Form D · Hedge Fund
NeoWave Equity Fund LLC
New York, NY · CIK 0001490377
Offering snapshot reported Apr 8, 2014 · SEC filing
- Reported sold
- $1.42M Indefinite offering
- Investors reported
- 15 Form D · investor count
- Minimum accepted
- $25K Reported outside-investor minimum
- First sale
- Aug 3, 2009 As reported in this filing
Fundraising history
Reported soldDates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.
What changed?
Latest filing versus its linked predecessor, where available.
- Reported sold$1,190,000 → $1,415,000
- Reported investors13 → 15
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Apr 8, 2014 | Amendment | $1,415,000 | $225,000vs Mar 11, 2014 | 15 | SEC filing |
| Mar 11, 2014 | Amendment | $1,190,000 | $580,000vs Feb 11, 2014 | 13 | SEC filing |
| Feb 11, 2014 | Amendment | $610,000 | $125,000vs May 4, 2010 | 7 | SEC filing |
| May 4, 2010 | Initial | $485,000 | No comparison | 5 | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 06b
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $31.8K
- Finders' fees
- $0
- Form D file number
- 021-141494
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Emerson Equity | 130032 | Emerson Equity · CRD 130032 |
Source: Form D, filed Apr 8, 2014. Minimum accepted may differ from a standard advertised minimum.
Fund connections
The linked fund shows its most recently reported ADV details.
Matched by reported Form D file number
NEOWAVE EQUITY FUND LLC
Investment adviser: EMERSON EQUITY LLC
- Gross asset value
- $500K
- Beneficial owners
- 5
- ADV minimum commitment
- $100K
Reported in Form ADV on Apr 26, 2012. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
Provider details
- Annual audit
- No
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- No
- External marketing
- No
PERSHING LLC
SEC 8-17574
Filing source
Form ADV 643406 · Apr 26, 2012 · Schedule D 7.B.(1), fund 805-7939442691
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Glenn Neely | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:New York, NY, 10022