Form D · Private Equity Fund

Rockwood IV-A, LP

Beachwood, OH · CIK 0001922307

Offering snapshot reported Jul 11, 2023 · SEC filing

Reported sold
$124M
Offering amount: $150M
Investors reported
12
Form D · investor count
Minimum accepted
$100K
Reported outside-investor minimum
First sale
Apr 1, 2022
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$62M$124MApr 15, 2022: $77,700,000.00Apr 15, 2022Apr 15, 2022: $77,700,000.00Sep 21, 2022: $80,950,000.00Sep 21, 2022Jan 17, 2023: $101,000,000.00Jan 17, 2023Jul 11, 2023: $124,000,000.00Jul 11, 2023

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$101,000,000 → $124,000,000
  • Reported investors7 → 12

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jul 11, 2023Amendment$124,000,000$23,000,000vs Jan 17, 202312SEC filing
Jan 17, 2023Amendment$101,000,000$20,050,000vs Sep 21, 20227SEC filing
Sep 21, 2022Amendment$80,950,000$3,250,000vs Apr 15, 20226SEC filing
Apr 15, 2022Initial$77,700,000No comparison5SEC filing
Apr 15, 2022Amendment$77,700,000$0vs Apr 15, 20225SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.1
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-442159
The Total Offering Amount and Total Amount Sold are aggregated with Rockwood IV, LP. The Total Amount Sold by the Issuer was $12,400,000.

Source: Form D, filed Jul 11, 2023. 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

ROCKWOOD EQUITY PARTNERS IV-A, LP

Investment adviser: ROCKWOOD EQUITY PARTNERS LLC

Gross asset value
$16.2M
Beneficial owners
13
ADV minimum commitment
$100K

Reported in Form ADV on Mar 31, 2026. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator GRYPHON FUND GROUP, LLC CLEVELAND, Ohio, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor COHEN AND COMPANY CLEVELAND, Ohio, United States
Custodian CIBC CLEVELAND, Ohio, 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

COHEN AND COMPANY
PCAOB 925

Filing source

Form ADV 2064504 · Mar 31, 2026 · Schedule D 7.B.(1), fund 805-7731860512

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
Brett R. Keith Director, Promoter
Herbert Josef Merrill Iii Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
200 Park Avenue Suite 420
Beachwood, OH, 44122