Form D · Private Equity Fund
RiverRock Investment Fund IV, LP
Houston, TX · CIK 0001561747
Offering snapshot reported Jan 6, 2014 · SEC filing
- Reported sold
- $7.93M Offering amount: $100M
- Investors reported
- 42 Form D · investor count
- Minimum accepted
- $100K Reported outside-investor minimum
- First sale
- Apr 16, 2013 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$1,865,000 → $7,925,000
- Reported investors14 → 42
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Jan 6, 2014 | Amendment | $7,925,000 | $6,060,000vs Nov 15, 2013 | 42 | SEC filing |
| Nov 15, 2013 | Amendment | $1,865,000 | $1,150,000vs Sep 6, 2013 | 14 | SEC filing |
| Sep 6, 2013 | Amendment | $715,000 | $125,000vs Jun 4, 2013 | 9 | SEC filing |
| Jun 4, 2013 | Amendment | $590,000 | $540,000vs Apr 18, 2013 | 7 | SEC filing |
| Apr 18, 2013 | Initial | $50,000 | No comparison | 1 | SEC filing |
Offering details
- Securities
- Equity, Pooled investment fund
- Exemptions
- 06b, 3C, 3C.1
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $1M (estimated)
- Finders' fees
- $0
- Form D file number
- 021-195218
Commissions yet to be earned and amount depends on amount sold by each broker throughout the placement.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Frank J. Marrone | 4960685 | Sunbelt Securities, Inc. · CRD 42180 |
| Sunbelt Securities, Inc. | 42180 | Sunbelt Securities, Inc. · CRD 42180 |
| Matthew C. Knauss | 5967992 | Sunbelt Securities, Inc. · CRD 42180 |
| Charles W. Bingham | 4877997 | Sunbelt Securities, Inc. · CRD 42180 |
| Catherine L. Hicks | 5945027 | Carolina Financial Securities, LLC · CRD 41970 |
| Carolina Financial Securities, LLC | 41970 | Carolina Financial Securities, LLC · CRD 41970 |
| RiverRock Securities, LLC | 153178 | RiverRock Securities, LLC · CRD 153178 |
Source: Form D, filed Jan 6, 2014. 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 |
| Jay Jackson | Director, Promoter |
| Carrie Pickett | Director, Promoter |
| General Partner River Rock Investment Management Iv, Llc | Executive, Promoter |
| Sole Owner River Rock Trust, Llc | Promoter |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Houston, TX, 77027