Form D · Commercial

TEI Diversified Income & Opportunity Fund IV LLC

New York, NY · CIK 0001728129

Offering snapshot reported Jan 27, 2020 · SEC filing

Reported sold
$129M
Offering amount: $150M
Investors reported
1,092
Form D · investor count
Minimum accepted
$25K
Reported outside-investor minimum
First sale
Sep 16, 2016
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$64.3M$129MJan 16, 2018Jan 17, 2020: $128,639,555.00Jan 27, 2020: $128,639,555.00Jan 27, 2020

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 investors0 → 1,092

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jan 27, 2020Amendment$128,639,555$0vs Jan 17, 20201,092SEC filing
Jan 17, 2020Amendment$128,639,555No comparison0SEC filing
Jan 17, 2018AmendmentYet to sellNo comparison0SEC filing
Jan 16, 2018InitialYet to sellNo comparison0SEC filing

Offering details

Securities
Equity
Exemptions
06b
Duration over one year
Yes
Business combination
No
Sales commissions
$6.88M
Finders' fees
$0
Form D file number
021-303277

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Time Equities Securities114422
Advisory Group Equity Services Ltd15427
Alliance Global Partners15007
American Portfolios Financial Services Inc.112697
Arete Wealth Management, LLC44856
Berthel Fisher & Co13609
Cabot Lodge Securities159712
Calton & Associates20999
Capital City Securities146001
Cascade Financial Management, Inc.119030
Center Street Securities26898
Concorde Investment Services, LLC151604
Crown Capital Securities, LP6312
D.H. Hill Securities41528
Dempsey Lord Smith141238
DFPG Investments, Inc.155576
Emerson Equity, LLC130032
Folio Investments, Inc.48015
Great Point Capital Advisors114203
Halliday Financial31741
IBN Financia Services, Inc.42360
Lightpath Capital34617
M.H. LeBlang Inc.2535
Madison Avenue Securities, Inc.23224
Maxim Group120708
McNally Financial Services121196
Moloney Securities38535
Nationwide Planning Associates31029
Newbridge Securities104065
NH Cohen Capital LLC171914
Oak Tree Securities, Inc.18126
Paulson Investment Company, Inc.5670
Peak Brokerage Services157045
Primex29394
Stonecrest Capital Markets39616
Sunbelt Securities, Inc.42180
Vestech Securities41409
Westpark Capital Inc.39914
Whiitehall-Parker Securities10608
Wilmington Capital Securities133839

Source: Form D, filed Jan 27, 2020. 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.

People and organizations reported in Form D filings
NameReported role
Francis Greenburger Executive
Robert Kantor Executive

Issuer details

Industry: Commercial (See others in industry)

Address:
55 Fifth Avenue 15 Th Floor
New York, NY, 10003