Form D · Other Investment Fund

NSC Biotech Opportunities Fund, LLC

New York, NY · CIK 0001733796

Offering snapshot reported Mar 12, 2018 · SEC filing

Reported sold
$1.08M
Offering amount: $30M
Investors reported
11
Form D · investor count
Minimum accepted
$100K
Reported outside-investor minimum
First sale
Feb 28, 2018
As reported in this filing

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Mar 12, 2018Initial$1,075,000No comparison11SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.1
Duration over one year
No
Business combination
No
Sales commissions
$86K
Finders' fees
$0
Form D file number
021-307417

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
National Securities Corporation7569

Source: Form D, filed Mar 12, 2018. 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

NSC BIOTECH OPPORTUNITIES FUND, LLC (SERIES I)

Investment adviser: B. RILEY WEALTH ADVISORS, INC.

Gross asset value
$0
Beneficial owners
51
ADV minimum commitment
$100K

Reported in Form ADV on Aug 29, 2022. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator VENTURE BACK OFFICE, INC. CARY, North Carolina, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor WITHUM SMITH + BROWN, PC WHIPPANY, New Jersey, United States
Custodian MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED SAN FRANCISCO, California, United States Related to adviser: No
Marketer NATIONAL SECURITIES CORPORATION NEW YORK, New York, United States Related to adviser: Yes
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

WITHUM SMITH + BROWN, PC
PCAOB 100

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SEC 8-7221

NATIONAL SECURITIES CORPORATION
CRD 7569 · SEC 8-164

Filing source

Form ADV 1672517 · Aug 29, 2022 · Schedule D 7.B.(1), fund 805-3719789214

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.

People and organizations reported in Form D filings
NameReported role
Tom Kowalczyk Director
Michael Mullen Director
N/A Nsc Biotech Opportunities Management Associates, Llc Director
Glenn Worman Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
200 Vesey Street 25 Th Floor
New York, NY, 10281