Innovation X Holdings, LLC
Built from the SEC filing index the day the filing landed. The figures below are the issuer's own from Form D; AltStreet's analysis, sponsor link and data flags follow when the entity is enriched.
Raised
$11M
Investors
100
Min Invest
None stated
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What this filing shows
·Every sentence is a value as filed on SEC Form D
Innovation X Holdings, LLC is a Delaware limited liability company organized in 2015 that first filed a Form D on January 28, 2016 and most recently amended it on January 30, 2017, describing itself as a private equity fund. The offering claims Rule 506(b), Section 3(c), Section 3(c)(1) and covers equity and pooled investment fund interests. Innovation X Holdings, LLC reported $11,388,288 sold from 100 investors of a $230,000,000 total offering as of the Form D filed January 30, 2017. The filing states that the figure is combined across related vehicles, so it is not this entity's figure alone. The offering relies on Rule 506(b), which permits sales to accredited investors and to no more than 35 non-accredited investors who meet a sophistication standard, and prohibits general solicitation. Because the fund also relies on Section 3(c)(1), it may have no more than 100 beneficial owners. The filing reports no non-accredited investors. The filing lists the minimum investment as $0, meaning no minimum was stated. The Form D names National Securities Corp. (CRD 7569), associated with None as the recipient of sales compensation soliciting in all states. Sales commissions are reported as $1,138,828 and finders' fees as $0. Form D allows these to be estimates. The issuer's address of record is 410 Park Avenue 14th Floor, New York, NY 10022.
Critical Disclosures
What the filings and the regulators have said about this entity that a reader should know first. Each line links to its source. The history, the same event across other issuers, and alerts are in the terminal.
Reporting lapsed · Form D · last filing January 30, 2017
Offering declared to continue beyond a year; annual amendment 13+ months overdue An issuer that stops filing is the case the going-concern flag cannot catch: the report that would have carried it was never filed.
EDGAR Filing Data
Form D — Primary Source
View on SEC.govFilings on Record
Every filing AltStreet's ledger holds for this CIK, newest first. Each opens the SEC archive folder.
In the Terminal
Filing events
0
none on file
Critical / warning
0 / 0
0 watch · 0 info
Statements extracted
0
none on file
NAV prints
0
none on file
Offering chains
1
dark
Fund family Part of the Innovation family: 7 vehicles across 5 generations · adviser of record Innovation X Advisors · full family and the filing behind each link in the terminal
Investor
- The full fund family and any related vehicles (parallel, feeder, successor, sibling series) with the filing that shows each link
- 1 offering timeline: velocity, share raised, first-sale lag, stalled flags
Pro
- This issuer against its cohort: rank by velocity and share raised among offerings filed the same quarter
- The same events, statements and NAV moves across every issuer, screenable, with unlimited watches and CSV
Counts and dates above are the free record. The values, the series and the comparisons are the seat. Loading your view…
Adviser of Record (Form ADV)
CRD 299487 · lists this fund on Schedule D 7.B.(1) as a private equity fund
Auditor named on Form ADV: Marcum LLP · PCAOB-registered per the adviser
From the adviser's Form ADV as loaded from the SEC bulk data through December 31, 2024, joined on this issuer's Form D file number. Fund-level figures and the adviser's full fund roster are in the terminal.
Related Persons (Form D)
Executive officers, directors, and promoters listed on the SEC Form D filing. Source: SEC.gov.
Item 3 changed on the Form D filed 2017-01-30: 3 related persons added and 1 removed against the filing of 2016-01-28; 4 now listed. The names are in the Terminal feed.
Roger Monteforte
Executive Officer, Director, Promoter · New York, NY
Manager of Manager
David Levine
Executive Officer · Boca Raton, FL
Authorized signatory of National Asset Management, Inc., the Manager of the Manager.
Glenn Worman
Executive Officer · Brick, NJ
Authorized signatory of National Asset Management, Inc., the Manager of the Manager.
Michael Mullen
Executive Officer · New York, NY
Authorized signatory of National Asset Management, Inc., the Manager of the Manager.
Placement Agents and Sales Compensation (Form D)
Who the issuer reported paying to sell the securities (Form D Item 12), with the FINRA registration number the filer gave. Source: SEC.gov.
National Securities Corp.CRD 7569 on BrokerCheck
Associated broker-dealer: None · New York, NY · Soliciting in all states and outside the United States
Questions About Innovation X Holdings, LLC
Each answer is built from the values on the SEC filing and the AltStreet ledger, not from the issuer's marketing.
What is Innovation X Holdings, LLC?
Innovation X Holdings, LLC is a Delaware limited liability company organized in 2015 that filed a Form D with the SEC on January 30, 2017 as a private equity fund. The filing claims Rule 506(b), Section 3(c), Section 3(c)(1) for an offering of equity and pooled investment fund interests.
Is Innovation X Holdings, LLC legit?
AltStreet does not rate legitimacy; it reports the public record. Innovation X Holdings, LLC filed a Form D with the SEC on January 30, 2017 claiming Rule 506(b), Section 3(c), Section 3(c)(1). A Form D is a notice of an exempt offering, not a review or approval of it. The newest notice reports $11,388,288 sold to 100 investors. AltStreet's enforcement record (SEC, FINRA and state actions) shows no action naming the issuer as of today. Before investing, confirm the filing on EDGAR, check the seller's registration on FINRA BrokerCheck, and read the offering documents, which a Form D does not include.
Is Innovation X Holdings, LLC registered with or approved by the SEC?
No. A Form D is a notice that an issuer is selling securities under an exemption from registration, and the SEC does not review, approve, or pass on the merits of the offering. The filing shows that Innovation X Holdings, LLC claimed Rule 506(b), Section 3(c), Section 3(c)(1) and disclosed the items the form requires, such as the amount sold, the minimum investment, related persons, and anyone paid to sell the securities. It does not verify the issuer's claims or its business.
How much has Innovation X Holdings, LLC raised?
Innovation X Holdings, LLC reported $11,388,288 sold from 100 investors of a $230,000,000 total offering as of the Form D filed January 30, 2017. The filing states that the figure is combined across related vehicles, so it is not this entity's figure alone.
Who can invest in Innovation X Holdings, LLC?
The offering relies on Rule 506(b), which permits sales to accredited investors and to no more than 35 non-accredited investors who meet a sophistication standard, and prohibits general solicitation. Because the fund also relies on Section 3(c)(1), it may have no more than 100 beneficial owners. The filing reports no non-accredited investors. The filing lists the minimum investment as $0, meaning no minimum was stated.
What is the minimum investment in Innovation X Holdings, LLC?
The Form D lists the minimum investment as $0, which means the issuer did not state a minimum on the form. The offering documents, not the Form D, set the actual subscription terms.
Who is selling Innovation X Holdings, LLC and how are they paid?
The Form D names National Securities Corp. (CRD 7569), associated with None as the recipient of sales compensation soliciting in all states. Sales commissions are reported as $1,138,828 and finders' fees as $0. Form D allows these to be estimates.
Who is behind Innovation X Holdings, LLC?
The Form D lists 4 related persons: Roger Monteforte, executive officer, director, promoter (Manager of Manager); David Levine, executive officer (Authorized signatory of National Asset Management, Inc., the Manager of the Manager); Glenn Worman, executive officer (Authorized signatory of National Asset Management, Inc., the Manager of the Manager); Michael Mullen, executive officer (Authorized signatory of National Asset Management, Inc., the Manager of the Manager). Form D Item 3 requires executive officers, directors, and promoters of the issuer to be listed.
Where is Innovation X Holdings, LLC located?
The issuer's address on its SEC filings is 410 Park Avenue 14th Floor, New York, NY 10022. Its phone number of record is 2124178000. It is organized under the laws of Delaware.
How long is the Innovation X Holdings, LLC offering open?
The issuer indicated that the offering is intended to last more than one year. An issuer must amend its Form D annually while a continuing offering stays open; 1 amendment is on record for this CIK.
How large is Innovation X Holdings, LLC?
The issuer declined to disclose its revenue range on the Form D, which the form permits.
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Data Methodology
Capital raise figures, investor counts, and filing dates are sourced directly from SEC EDGAR Form D primary documents via the SEC EDGAR submissions API and full-text search index. EDGAR entity profiles and deal-level data are reviewed by AltStreet analysts with backgrounds in corporate finance and securities law — cross-referenced against offering circulars, audited financial statements, and primary regulatory filings before publication. Platform-provided information, where present, is clearly labeled and does not affect EDGAR data or AltStreet editorial coverage. Platforms may request factual corrections for demonstrable inaccuracies by contacting [email protected]. This page does not constitute investment advice.