Form D · Other Investment Fund
Ridgewood Capital QP Energy Technologies Fund LLC
Montvale, NJ · CIK 0001481087
Offering snapshot reported Jun 10, 2010 · SEC filing
- Reported sold
- Yet to sell Offering amount: $30M
- Investors reported
- 0 Form D · investor count
- Minimum accepted
- $50K Reported outside-investor minimum
- First sale
- Yet to occur 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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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Jun 10, 2010 | Amendment | Yet to sell | No comparison | 0 | SEC filing |
| Jun 3, 2010 | Amendment | Yet to sell | No comparison | 0 | SEC filing |
| Feb 9, 2010 | Initial | Yet to sell | No comparison | 0 | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 06
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $1.68M (estimated)
- Finders' fees
- $0
- Form D file number
- 021-138597
May be increased to $80,000,000 or more
Assuming total offering amount is sold.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Alternative Wealth Strategies, Inc. | None | Alternative Wealth Strategies, Inc. · CRD 130933 |
| Robert E. Swanson | 1332429 | Ridgewood Securities Corp. · CRD 15453 |
| TransAm Securities Inc. | None | TransAm Securities Inc, · CRD 18923 |
Source: Form D, filed Jun 10, 2010. 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
RIDGEWOOD CAPITAL QP ENERGY TECHNOLOGIES FUND LLC
Investment adviser: RIDGEWOOD CAPITAL MANAGEMENT, LLC
- Gross asset value
- $1.95M
- Beneficial owners
- 57
- ADV minimum commitment
- $200K
Reported in Form ADV on Mar 31, 2017. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- No
- External marketing
- No
Filing source
Form ADV 1101643 · Mar 31, 2017 · Schedule D 7.B.(1), fund 805-3751006005
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 |
|---|---|
| Robert L. Gold | Executive |
| Leslie Golden | Director |
| Daniel V. Gulino | Executive |
| Maria E. Haggerty | Executive |
| Capital Management, Llc Ridgewood | Promoter |
| Elton Sherwin | Director |
| Jeffrey H Strasberg | Executive |
| Robert E. Swanson | Director |
| Matthew E. Swanson | Executive |
| Jeanne Thompson | Executive |
| Mirna Valdes | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Montvale, NJ, 07645