Form D · Other Investment Fund
Spectrum Opportunity Fund, LLC
Charlotte, NC · CIK 0001679071
Offering snapshot reported Aug 10, 2016 · SEC filing
- Reported sold
- $0 Offering amount: $23M
- Investors reported
- 91 Form D · investor count
- Minimum accepted
- $75K Reported outside-investor minimum
- First sale
- Aug 5, 2016 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
- Reported investors0 → 91
- Minimum accepted$250,000 → $75,000
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Aug 10, 2016 | Amendment | $0 | No comparison | 91 | SEC filing |
| Jul 7, 2016 | Initial | Yet to sell | No comparison | 0 | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 06b, 3C, 3C.5
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $200K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-266546
The placement agent will receive between 0.5% and 1% of commitment for capital.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| CapFinancial Securities, LLC | 126291 |
Source: Form D, filed Aug 10, 2016. 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 |
|---|---|
| John Boylan | Director |
| Darryl Dewberry | Director, Executive |
| James Dulin | Director |
| Stephen Mc Clure | Director, Executive |
| Brent Reel | Director, Executive |
| Lew Semones | Director |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:
201 South Tryon Street, Suite 550
Charlotte, NC, 28202
Charlotte, NC, 28202