Form D · Private Equity Fund

RRIF V, LP

Houston, TX · CIK 0001620381

Offering snapshot reported Mar 3, 2015 · SEC filing

Reported sold
$11.9M
Offering amount: $100M
Investors reported
65
Form D · investor count
Minimum accepted
$250K
Reported outside-investor minimum
First sale
Sep 18, 2014
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$5.97M$11.9MSep 26, 2014: $75,000.00Sep 26, 2014Mar 3, 2015: $11,931,250.00Mar 3, 2015

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$75,000 → $11,931,250
  • Reported investors1 → 65

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Mar 3, 2015Amendment$11,931,250$11,856,250vs Sep 26, 201465SEC filing
Sep 26, 2014Initial$75,000No comparison1SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06b, 3C, 3C.1
Duration over one year
No
Business combination
No
Sales commissions
$50K (estimated)
Finders' fees
$0
Form D file number
021-225402
Commissions yet to be earned and amount to be paid depends on amount sold by each broker and the agreement with each broker.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Sunbelt Securities, Inc.42180Sunbelt Securities, Inc. · CRD 42180
Carolina Financial Securities, LLC41970Carolina Financial Securities, LLC · CRD 41970
RiverRock Securities, LLC153178RiverRock Securities, LLC · CRD 153178
Michael Kiley851062Spire Securities, LLC · CRD 144131

Source: Form D, filed Mar 3, 2015. 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

RRIF V, LP

Investment adviser: RIVERROCK ASSET MANAGEMENT LLC

Gross asset value
$5.58M
Beneficial owners
98
ADV minimum commitment
$250K

Reported in Form ADV on Jan 8, 2024. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Auditor GRANT THORNTON LLP FT. LAUDERDALE, Florida, United States
Custodian FIRST HORIZON BANK MEMPHIS, Tennessee, United States Related to adviser: No
Custodian TVPX ARS, INC. SALT LAKE CITY, Utah, United States Related to adviser: No
Marketer CAROLINA FINANCIAL SECURITIES, LLC BREVARD, North Carolina, United States Related to adviser: No
Marketer RIVERROCK SECURITIES, LLC HOUSTON, Texas, United States Related to adviser: Yes
Marketer SPIRE SECURITIES, LLC RESTON, Virginia, United States Related to adviser: No
Marketer SUNBELT SECURITIES HOUSTON, Texas, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
Yes

GRANT THORNTON LLP
PCAOB 248

CAROLINA FINANCIAL SECURITIES, LLC
CRD 41970 · SEC 8-49653

RIVERROCK SECURITIES, LLC
CRD 153178 · SEC 8-68512

SPIRE SECURITIES, LLC
CRD 144131 · SEC 8-67635

SUNBELT SECURITIES
CRD 42180 · SEC 801-71479

Filing source

Form ADV 1810454 · Jan 8, 2024 · Schedule D 7.B.(1), fund 805-5464238032

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
James T Hickey Director, Executive, Promoter
Jay Jackson Promoter
Gp Sole Owner River Rock Trust, Llc Promoter
General Partner Rrim V, Llc Executive, Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
3200 Southwest Freeway Suite 3120
Houston, TX, 77027