CAP IX Qualified Investors Fund, 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
$111M
Investors
244
Min Invest
$500,000
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What this filing shows
·Every sentence is a value as filed on SEC Form D
CAP IX Qualified Investors Fund, LLC is a California limited liability company organized in 2017 that first filed a Form D on August 28, 2017 and most recently amended it on December 15, 2017, describing itself as a other investment fund. The offering claims Rule 506(b), Section 3(c), 3C.5, Section 3(c)(7) and covers equity. CAP IX Qualified Investors Fund, LLC reported $111,045,000 sold from 244 investors in an offering of indefinite size as of the Form D filed December 15, 2017. 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)(7), each investor must be a qualified purchaser, generally an individual with at least $5 million in investments. The filing reports no non-accredited investors. The minimum investment accepted from an outside investor is $500,000. The Form D names Kipling Capital, Inc. (CRD 41196), associated with None as the recipient of sales compensation soliciting in AZ, CA, CO, CT, DC, DE, FL, GA, HI, ID, IL, KY, LA, MA, MD, MI, MN, MO, NC, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, TX, UT, VA, VT, WA, WY. Sales commissions are reported as $0 and finders' fees as $0. Form D allows these to be estimates. The issuer's address of record is 601 California Street, Suite 1150, San Francisco, CA 94108.
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 December 15, 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 CAP Qualified Investors Fund family: 2 vehicles across 2 generations · 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…
Related Persons (Form D)
Executive officers, directors, and promoters listed on the SEC Form D filing. Source: SEC.gov.
Reliant Group Management, LLC
Executive Officer · SAN FRANCISCO, CA
Managing Member
Joseph L. Sherman
Executive Officer · SAN FRANCISCO, CA
Executive Officer of Reliant Group Management, LLC, Managing Member
Caskie L. Collet
Executive Officer · SAN FRANCISCO, CA
Executive Officer of Reliant Group Management, LLC, Managing Member
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.
Kipling Capital, Inc.CRD 41196 on BrokerCheck
Associated broker-dealer: None · MILL VALLEY, CA · Soliciting in AZ, CA, CO, CT, DC, DE, FL, GA, HI, ID, IL, KY, LA, MA, MD, MI, MN, MO, NC, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, TX, UT, VA, VT, WA, WY
Questions About CAP IX Qualified Investors Fund, LLC
Each answer is built from the values on the SEC filing and the AltStreet ledger, not from the issuer's marketing.
What is CAP IX Qualified Investors Fund, LLC?
CAP IX Qualified Investors Fund, LLC is a California limited liability company organized in 2017 that filed a Form D with the SEC on December 15, 2017 as a other investment fund. The filing claims Rule 506(b), Section 3(c), 3C.5, Section 3(c)(7) for an offering of equity.
Is CAP IX Qualified Investors Fund, LLC legit?
AltStreet does not rate legitimacy; it reports the public record. CAP IX Qualified Investors Fund, LLC filed a Form D with the SEC on December 15, 2017 claiming Rule 506(b), Section 3(c), 3C.5, Section 3(c)(7). A Form D is a notice of an exempt offering, not a review or approval of it. The newest notice reports $111,045,000 sold to 244 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 CAP IX Qualified Investors Fund, 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 CAP IX Qualified Investors Fund, LLC claimed Rule 506(b), Section 3(c), 3C.5, Section 3(c)(7) 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 CAP IX Qualified Investors Fund, LLC raised?
CAP IX Qualified Investors Fund, LLC reported $111,045,000 sold from 244 investors in an offering of indefinite size as of the Form D filed December 15, 2017.
Who can invest in CAP IX Qualified Investors Fund, 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)(7), each investor must be a qualified purchaser, generally an individual with at least $5 million in investments. The filing reports no non-accredited investors. The minimum investment accepted from an outside investor is $500,000.
What is the minimum investment in CAP IX Qualified Investors Fund, LLC?
The Form D lists $500,000 as the minimum investment accepted from any outside investor as of December 15, 2017. Issuers can waive their own minimums, and the figure does not include fees.
Who is selling CAP IX Qualified Investors Fund, LLC and how are they paid?
The Form D names Kipling Capital, Inc. (CRD 41196), associated with None as the recipient of sales compensation soliciting in AZ, CA, CO, CT, DC, DE, FL, GA, HI, ID, IL, KY, LA, MA, MD, MI, MN, MO, NC, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, TX, UT, VA, VT, WA, WY. Sales commissions are reported as $0 and finders' fees as $0. Form D allows these to be estimates.
Who is behind CAP IX Qualified Investors Fund, LLC?
The Form D lists 3 related persons: Reliant Group Management, LLC, executive officer (Managing Member); Joseph L. Sherman, executive officer (Executive Officer of Reliant Group Management, LLC, Managing Member); Caskie L. Collet, executive officer (Executive Officer of Reliant Group Management, LLC, Managing Member). Form D Item 3 requires executive officers, directors, and promoters of the issuer to be listed.
Where is CAP IX Qualified Investors Fund, LLC located?
The issuer's address on its SEC filings is 601 California Street, Suite 1150, San Francisco, CA 94108. Its phone number of record is (415) 788-0700. It is organized under the laws of California.
How long is the CAP IX Qualified Investors Fund, 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 CAP IX Qualified Investors Fund, LLC?
The issuer declined to disclose its net asset value 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.