Form D · REITS and Finance
Rockwood IX Upper Tier REIT, Inc.
New York, NY · CIK 0001626410
Offering snapshot reported Dec 1, 2014 · SEC filing
- Reported sold
- $125K Offering amount: $125K
- Investors reported
- 125 Form D · investor count
- Minimum accepted
- $1K Reported outside-investor minimum
- First sale
- Nov 17, 2014 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 |
|---|---|---|---|---|---|
| Dec 1, 2014 | Initial | $125,000 | No comparison | 125 | SEC filing |
Offering details
- Securities
- Equity, Pooled investment fund
- Exemptions
- 06b, 3C, 3C.7
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $6.25K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-229220
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Charles B. Harrison | 3071551 | H & L Equities, LLC · CRD 113794 |
| Phyllis J. Beck | 1020488 | H&L Equities, LLC · CRD 113794 |
| Patrick J. Whelchel | 5389090 | H&L Equities, LLC · CRD 113794 |
| Scott Harrison | 4981070 | H&L Equities, LLC · CRD 113794 |
| Lori Mayfield | 4899271 | H & L Equities, LLC · CRD 113794 |
Source: Form D, filed Dec 1, 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 |
|---|---|
| David I. Becker | Director, Executive |
| Peter J. Falco | Director, Executive |
| Robert L. Gray, Jr. | Executive |
| Peter Kaye | Executive |
| Jennifer A. Levy | Executive |
| None Reit Funding, Llc | Promoter |
| Walter P. Schmidt | Director, Executive |
| Tyson Skillings | Executive |
| David A. Streicher | Executive |
Issuer details
Industry: REITS and Finance (See others in industry)
Address:
Rockwood Capital, Llc 140 East 45th Street, 34th Floor
New York, NY, 10017
New York, NY, 10017