Form D · Private Equity Fund
RiverRock Investment Fund I, LP
Houston, TX · CIK 0001479168
Offering snapshot reported Feb 1, 2011 · SEC filing
- Reported sold
- $1.4M Offering amount: $5M
- Investors reported
- 17 Form D · investor count
- Minimum accepted
- $25K Reported outside-investor minimum
- First sale
- Dec 16, 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$1,350,000 → $1,400,000
- Reported investors16 → 17
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Feb 1, 2011 | Amendment | $1,400,000 | $50,000vs Dec 22, 2009 | 17 | SEC filing |
| Dec 22, 2009 | Initial | $1,350,000 | No comparison | 16 | SEC filing |
Offering details
- Securities
- Equity, Pooled investment fund
- Exemptions
- 06, 3C, 3C.1
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $47K
- Finders' fees
- $0
- Form D file number
- 021-137113
Additional investors were obtained in Arizona, Colorado and Michigan through Registered Investment Agents in Texas, but these agents did not receive a fee, either directly or indirectly, and do not have CRD numbers, so they were not included in Item 12.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Huckin Financial Group, Inc. | 8593 | |
| Sunbelt Securities, Inc. | 42180 |
Source: Form D, filed Feb 1, 2011. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
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 |
|---|---|
| James T. Hickey | Director, Executive, Promoter |
| N/A N/A River Rock Investment Management, Llc | Director, Promoter |
| N/A N/A River Rock Trust, Llc | Promoter |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Houston, TX, 77027