Form D · Private Equity Fund

RAVEN ASSET-BASED OPPORTUNITY FUND I LP

New York, NY · CIK 0001551492

Offering snapshot reported Jun 3, 2013 · SEC filing

Reported sold
$153M
Offering amount: $153M
Investors reported
19
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Apr 2, 2012
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$76.4M$153MJun 11, 2012: $37,775,000.00Jun 11, 2012Jun 3, 2013: $152,875,000.00Jun 3, 2013

Dates 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$37,775,000 → $152,875,000
  • Reported investors9 → 19

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jun 3, 2013Amendment$152,875,000$115,100,000vs Jun 11, 201219SEC filing
Jun 11, 2012Initial$37,775,000No comparison9SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06, 3C, 3C.7
Duration over one year
No
Business combination
No
Sales commissions
$0 (estimated)
Finders' fees
$0 (estimated)
Form D file number
021-179550
The entity listed in Item 12 above is directly or indirectly paid commissions or similar sales compensation equal to a percentage of the fee paid to the general partner from the assets under management and/or the incentive allocation.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
David Paine Swift4846235NLCG Distributors, LLC · CRD 156263
Steven Dean Ford3239298NLCG Distributors, LLC · CRD 156263
John Colquhoun Swift3044123NLCG Distributors, LLC · CRD 156263
Bernard Norton4947281NLCG Distributors, LLC · CRD 156263
John Witherspoon Zimmerman4855085NLCG Distributors, LLC · CRD 156263

Source: Form D, filed Jun 3, 2013. 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

RAVEN ASSET-BASED OPPORTUNITY FUND I LP

Investment adviser: RAVEN CAPITAL MANAGEMENT LLC

Gross asset value
$2.78M
Beneficial owners
18
ADV minimum commitment
$1M

Reported in Form ADV on Sep 14, 2022. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator SS&C TECHNOLOGIES, INC. WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor RSM US LLP STAMFORD, Connecticut, United States
Custodian FIRST REPUBLIC BANK SAN FRANCISCO, California, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

RSM US LLP
PCAOB 49

Filing source

Form ADV 1675766 · Sep 14, 2022 · Schedule D 7.B.(1), fund 805-9614050193

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
Joshua A. Green Executive
Jeremy Tucker Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
110 Greene Street Suite 1102
New York, NY, 10012