Form D · Private Equity Fund
Series A of Rocky River Specific Opportunities Fund LLC
Rocky River, OH · CIK 0001763793
Offering snapshot reported Jan 8, 2019 · SEC filing
- Reported sold
- $2.8M Indefinite offering
- Investors reported
- 22 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Dec 26, 2018 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 |
|---|---|---|---|---|---|
| Jan 8, 2019 | Initial | $2,800,000 | No comparison | 22 | SEC filing |
Offering details
- Securities
- Equity, Pooled investment fund
- Exemptions
- 06b, 3C, 3C.1
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $0 (estimated)
- Finders' fees
- $0 (estimated)
- Form D file number
- 021-329965
The entity listed in Item 12 is paid directly or indirectly commissions or similar sales compensation equal to a percentage of the fee paid to the Managing Member from the assets under management and/or the incentive allocation.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Herndon Plant Oakley, Ltd. | 44971 |
Source: Form D, filed Jan 8, 2019. 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
ROCKY RIVER SPECIFIC OPPORTUNITIES FUND LLC - SERIES A
Investment adviser: CLEVELAND CAPITAL MANAGEMENT, L.L.C.
- Gross asset value
- $217K
- Beneficial owners
- 20
- ADV minimum commitment
- $0
Reported in Form ADV on May 4, 2026. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
Provider details
- Annual audit
- No
- Prime brokers
- Yes
- Custodians
- No
- Administrator other than the adviser
- Yes
- External marketing
- Yes
SPRINGWATER ADVISORS, LLC
CRD 150034 · SEC 801-70064
ROTH CAPITAL PARTNERS, LLC
CRD 15407 · SEC 8-32129
Filing source
Form ADV 2101121 · May 4, 2026 · Schedule D 7.B.(1), fund 805-2894173740
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.
| Name | Reported role |
|---|---|
| Cleveland Capital Management, L.L.C. | Executive, Promoter |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Rocky River, OH, 44116