Form D · Other Investment Fund

VII Peaks-KBR Co-Optivist R Fund I, LLC

Palo Alto, CA · CIK 0001518257

Offering snapshot reported Jun 27, 2012 · SEC filing

Reported sold
$875K
Offering amount: $15M
Investors reported
8
Form D · investor count
Minimum accepted
$20K
Reported outside-investor minimum
First sale
Sep 23, 2011
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$438K$875KMay 2, 2011May 2, 2012: $875,000.00Jun 27, 2012: $875,000.00Jun 27, 2012

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.

No comparable changes in the displayed metrics.

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jun 27, 2012Amendment$875,000$0vs May 2, 20128SEC filing
May 2, 2012Amendment$875,000No comparison8SEC filing
May 2, 2011InitialYet to sellNo comparison0SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06, 3C, 3C.1
Duration over one year
No
Business combination
No
Sales commissions
$300K (estimated)
Finders' fees
$0
Form D file number
021-159142
KBR Capital Markets, the dealer manager, is entitled to receive a dealer manager fee of 2% of gross offering proceeds of $15,000,000 for an estimated total of $300,000, if the maximum offering amount is reached.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Brian Lucas5762262KBR Capital Markets, LLC · CRD 128800

Source: Form D, filed Jun 27, 2012. 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

VII PEAKS-KBR CO-OPTIVIST R FUND I, LLC

Investment adviser: VII PEAKS CAPITAL LLC

Gross asset value
$25.9K
Beneficial owners
13
ADV minimum commitment
$20K

Reported in Form ADV on Aug 5, 2019. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Auditor WEAVER AND TIDWELL LLP FORTH WORTH, Texas, United States
Custodian MORGAN STANLEY SAN FRANCISCO, California, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

WEAVER AND TIDWELL LLP
PCAOB 410

Filing source

Form ADV 1338277 · Aug 5, 2019 · Schedule D 7.B.(1), fund 805-9839594018

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
Gurpreet Chandhoke Director, Executive
Stephen J. Davis Director, Executive
Joseph Doncheski Director, Executive
Quinlan D Fang Director, Executive
Radhakrishnan Giroh Director, Executive
Vinay Kumar Director, Executive
Bhavin Shah Director, Executive
Stephen J Shea Director, Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
530 Lytton Avenue 2 Nd Floor
Palo Alto, CA, 94301