Derby RR OZB 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
$40M
Investors
11
Min Invest
None stated
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What this filing shows
·Every sentence is a value as filed on SEC Form D
Derby RR OZB LLC is a Delaware limited liability company that first filed a Form D on July 12, 2019 and most recently amended it on September 11, 2023, describing itself as a private equity fund. The offering claims Rule 506(b), Section 3(c), 3C.5 and covers equity and pooled investment fund interests. Derby RR OZB LLC reported $40,400,000 sold from 11 investors in an offering of indefinite size as of the Form D filed September 11, 2023. 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. The filing reports no non-accredited investors. The filing lists the minimum investment as $0, meaning no minimum was stated. The Form D names no recipient of sales compensation, which usually means the issuer or its affiliates are placing the securities directly. The issuer's address of record is 1717 W. 6th St, Suite 380, Austin, TX 78703.
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.
Offering stalled · Form D · last filing September 11, 2023
Latest annual amendment reported no change in amount sold or investors
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
stalled
Investor
- 1 offering timeline: velocity, share raised, first-sale lag, stalled flags
Pro
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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 2023-09-11: 1 related person added and 4 removed against the filing of 2022-09-15; 7 now listed. The names are in the Terminal feed.
Ovation Partners LP
Executive Officer · San Antonio, TX
Entity that controls one of the Co-managers of the Issuer
Michael Rovner
Executive Officer · San Antonio, TX
Manager and Sole Member of Ovation Management LLC; Founding Partner of the Investment Manager to the Issuer
Jeff Serra
Executive Officer · San Antonio, TX
Founding Partner of Ovation Partners
Ovation Management LLC
Executive Officer · San Antonio, TX
General Partner of Ovation Partners LP
Derby RR OZ GP LLC
Executive Officer · San Antonio, TX
Co-Manager of Issuer
Ovation OZ Management LLC
Executive Officer · San Antonio, TX
Manager of Derby RR OZ GP LLC
Chris Creel
Executive Officer · San Antonio, TX
Chief Compliance Officer of Investment Manager to the Issuer
Questions About Derby RR OZB LLC
Each answer is built from the values on the SEC filing and the AltStreet ledger, not from the issuer's marketing.
What is Derby RR OZB LLC?
Derby RR OZB LLC is a Delaware limited liability company that filed a Form D with the SEC on September 11, 2023 as a private equity fund. The filing claims Rule 506(b), Section 3(c), 3C.5 for an offering of equity and pooled investment fund interests.
Is Derby RR OZB LLC legit?
AltStreet does not rate legitimacy; it reports the public record. Derby RR OZB LLC filed a Form D with the SEC on September 11, 2023 claiming Rule 506(b), Section 3(c), 3C.5. A Form D is a notice of an exempt offering, not a review or approval of it. The newest notice reports $40,400,000 sold to 11 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 Derby RR OZB 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 Derby RR OZB LLC claimed Rule 506(b), Section 3(c), 3C.5 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 Derby RR OZB LLC raised?
Derby RR OZB LLC reported $40,400,000 sold from 11 investors in an offering of indefinite size as of the Form D filed September 11, 2023.
Who can invest in Derby RR OZB 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. 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 Derby RR OZB 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 Derby RR OZB LLC and how are they paid?
The Form D names no recipient of sales compensation, which usually means the issuer or its affiliates are placing the securities directly.
Who is behind Derby RR OZB LLC?
The Form D lists 7 related persons: Ovation Partners LP, executive officer (Entity that controls one of the Co-managers of the Issuer); Michael Rovner, executive officer (Manager and Sole Member of Ovation Management LLC; Founding Partner of the Investment Manager to the Issuer); Jeff Serra, executive officer (Founding Partner of Ovation Partners); Ovation Management LLC, executive officer (General Partner of Ovation Partners LP); Derby RR OZ GP LLC, executive officer (Co-Manager of Issuer); Ovation OZ Management LLC, executive officer (Manager of Derby RR OZ GP LLC); Chris Creel, executive officer (Chief Compliance Officer of Investment Manager to the Issuer). Form D Item 3 requires executive officers, directors, and promoters of the issuer to be listed.
Where is Derby RR OZB LLC located?
The issuer's address on its SEC filings is 1717 W. 6th St, Suite 380, Austin, TX 78703. Its phone number of record is 5126476060. It is organized under the laws of Delaware.
How long is the Derby RR OZB LLC offering open?
The issuer indicated that the offering is not intended to last more than one year. An issuer must amend its Form D annually while a continuing offering stays open; 6 amendments are on record for this CIK.
How large is Derby RR OZB 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.