Form D · Other Banking and Financial Services

SQN Special Opportunity Fund LLC

New York, NY · CIK 0001502479

Offering snapshot reported Jun 22, 2011 · SEC filing

Reported sold
$6.43M
Offering amount: $10M
Investors reported
59
Form D · investor count
Minimum accepted
$30K
Reported outside-investor minimum
First sale
Sep 15, 2010
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$3.21M$6.43MSep 30, 2010: $1,700,000.00Sep 30, 2010Oct 21, 2010: $4,071,000.00Mar 3, 2011: $6,030,000.00Mar 3, 2011Apr 28, 2011: $6,280,000.00Apr 28, 2011Jun 22, 2011: $6,425,000.00Jun 22, 2011

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$6,280,000 → $6,425,000
  • Reported investors58 → 59

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jun 22, 2011Amendment$6,425,000$145,000vs Apr 28, 201159SEC filing
Apr 28, 2011Amendment$6,280,000$250,000vs Mar 3, 201158SEC filing
Mar 3, 2011Amendment$6,030,000$1,959,000vs Oct 21, 201025SEC filing
Oct 21, 2010Amendment$4,071,000$2,371,000vs Sep 30, 201025SEC filing
Sep 30, 2010Initial$1,700,000No comparison25SEC filing

Offering details

Securities
Equity
Exemptions
06
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-148363

Source: Form D, filed Jun 22, 2011. 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

SQN SPECIAL OPPORTUNITY FUND, LLC

Investment adviser: SQN CAPITAL MANAGEMENT, LLC

Gross asset value
$10.4M
Beneficial owners
86
ADV minimum commitment
$250K

Reported in Form ADV on Mar 29, 2024. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator PHEONIX AMERICAN FINANCIAL SERVICES, INC SAN RAFAEL, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor BAKER TILLY VIRCHOW KRAUSE LLP NEW YORK, New York, United States
Custodian SIGNATURE BANK NEW YORK, New York, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

BAKER TILLY VIRCHOW KRAUSE LLP
PCAOB 23

Filing source

Form ADV 1860427 · Mar 29, 2024 · Schedule D 7.B.(1), fund 805-1899741998

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
Neil Roberts Executive
Jeremiah Silkowski Executive

Issuer details

Industry: Other Banking and Financial Services (See others in industry)

Address:
110 William Street 26 Th Floor
New York, NY, 10038