Form D · Venture Capital Fund
Roth Allegiance I, LLC
Newport Beach, CA · CIK 0001594522
Offering snapshot reported Dec 17, 2013 · SEC filing
- Reported sold
- $1.05M Offering amount: $5M
- Investors reported
- 15 Form D · investor count
- Minimum accepted
- $1 Reported outside-investor minimum
- First sale
- Dec 6, 2013 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 17, 2013 | Initial | $1,045,110 | No comparison | 15 | SEC filing |
Offering details
- Securities
- Equity, Pooled investment fund
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $300K
- Finders' fees
- $0
- Form D file number
- 021-208156
Assumes maximum dollar amount of sales and maximum commission amount on each sale.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Roth Capital Partners, LLC | 15407 |
Source: Form D, filed Dec 17, 2013. 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 |
|---|---|
| N/A Roth Capital Partners, Llc | Director, Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:
888 San Clemente Drive
Newport Beach, CA, 92660
Newport Beach, CA, 92660