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SEC filing record
Primary Source · SEC.gov

NB Secondary Opportunities Offshore Fund V LP

Fund Vehicle2020 vintageRule 506(b), Section 3(c), Section 3(c)(7)Filing record

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

$1.6B

Investors

188

Min Invest

None stated

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What this filing shows

·

Every sentence is a value as filed on SEC Form D

NB Secondary Opportunities Offshore Fund V LP is a Cayman Islands entity that first filed a Form D on August 14, 2020 and most recently amended it on August 18, 2022, describing itself as a private equity fund. The offering claims Rule 506(b), Section 3(c), Section 3(c)(7) and covers pooled investment fund interests. NB Secondary Opportunities Offshore Fund V LP reported $1,612,554,393 sold from 188 investors in an offering of indefinite size as of the Form D filed August 18, 2022. 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 filing lists the minimum investment as $0, meaning no minimum was stated. The Form D names Stifel, Nicolaus & Company, Incorporated (CRD 793), associated with None; Jefferies LLC (CRD 2347), associated with None; VolcomCapital S.A., associated with None; Neuberger Berman BD LLC (CRD 2908), associated with None and 1 other as recipients of sales compensation soliciting in all states. The issuer's address of record is 1290 Avenue of the Americas, 41st Floor, New York, NY 10104.

EDGAR Filing Data

Form D — Primary Source

View on SEC.gov
CIK Number0001821019
Entity NameNB Secondary Opportunities Offshore Fund V LP
ExemptionRule 506(b), Section 3(c), Section 3(c)(7)
What the exemption meansRule 506(b) of Regulation D: securities may be sold to an unlimited number of accredited investors and up to 35 non-accredited investors who meet the rule's sophistication standard, without general solicitation or advertising. Section 3(c) of the Investment Company Act of 1940: the issuer is a pooled investment vehicle relying on an exclusion from registration as an investment company. Section 3(c)(7) of the Investment Company Act: the fund is excluded from investment-company registration because every investor is a qualified purchaser, generally an individual with at least $5 million in investments or an institution with at least $25 million.
Entity TypeOther
Jurisdiction of OrganizationCayman Islands
Issuer Address1290 Avenue of the Americas, 41st Floor, New York, NY 10104
Phone(212) 476-9000
Industry / Fund TypePooled Investment Fund · Private Equity Fund
Investment Company ActExcluded under Section 3(c)(7) (qualified purchasers only)
Securities TypePooled investment fund interests
First Sale DateAugust 21, 2020
Filing DateAugust 18, 2022
Accession Number0001821019-22-000002
Total Offering AmountIndefinite
Total Amount Sold$1,612,554,393
Total Investors188
Non-Accredited InvestorsNone
Minimum Investment$0 (no stated minimum)
Offering DurationOne year or less
Revenue RangeDecline to Disclose
State (Issuer Address)NY
Amendment Count3 filings on record

Filings on Record

Every filing AltStreet's ledger holds for this CIK, newest first. Each opens the SEC archive folder.

D/AAugust 18, 2022D/AAugust 16, 2021DAugust 14, 2020

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

lapsed

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Fund family Part of the NB Secondary Opportunities Fund family: 9 vehicles across 3 generations · full family and the filing behind each link in the terminal

Investor

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  • 1 offering timeline: velocity, share raised, first-sale lag, stalled flags

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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 2022-08-18: 1 related person added and 1 removed against the filing of 2021-08-16; 13 now listed. The names are in the Terminal feed.

NB Alternatives Advisers LLC

Promoter · Dallas, TX

Investment Adviser

Brian Talbot

Executive Officer · New York, NY

Managing Director of the Issuer's GP

Ethan Falkove

Executive Officer · New York, NY

Managing Director of the Issuer's GP

Tristram Perkins

Executive Officer · New York, NY

Managing Director of the Issuer's GP

Peter Bock

Executive Officer · New York, NY

Managing Director of the Issuer's GP

Benjamin Perl

Executive Officer · New York, NY

Managing Director of the Issuer's GP

NB Secondary Opportunities Associates V GP LLC

Promoter · New York, NY

General Partner of the Issuer

Scott Koenig

Executive Officer · New York, NY

Managing Director of the GP of the Issuer's GP

David Lyon

Executive Officer · New York, NY

Managing Director of the GP of the Issuer's GP

Joana Rocha Scaff

Executive Officer · London, X0

Managing Director of the GP of the Issuer's GP

David Rocha Stonberg

Executive Officer · New York, NY

Managing Director of the GP of the Issuer's GP

Elizabeth Rocha Traxler

Executive Officer · New York, NY

Managing Director of the GP of the Issuer's GP

Anthony Rocha Tutrone

Executive Officer · New York, NY

Managing Director of the GP of the Issuer's GP

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.

Stifel, Nicolaus & Company, IncorporatedCRD 793 on BrokerCheck

Associated broker-dealer: None · St. Louis, MO · Soliciting in all states and outside the United States

Jefferies LLCCRD 2347 on BrokerCheck

Associated broker-dealer: None · New York, NY · Soliciting in all states and outside the United States

VolcomCapital S.A.

Associated broker-dealer: None · Montevideo, X3 and outside the United States

Neuberger Berman BD LLCCRD 2908 on BrokerCheck

Associated broker-dealer: None · New York, NY · Soliciting in all states and outside the United States

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD 7691 on BrokerCheck

Associated broker-dealer: None · NEW YORK, NY · Soliciting in all states and outside the United States

Questions About NB Secondary Opportunities Offshore Fund V LP

Each answer is built from the values on the SEC filing and the AltStreet ledger, not from the issuer's marketing.

What is NB Secondary Opportunities Offshore Fund V LP?

NB Secondary Opportunities Offshore Fund V LP is a Cayman Islands entity that filed a Form D with the SEC on August 18, 2022 as a private equity fund. The filing claims Rule 506(b), Section 3(c), Section 3(c)(7) for an offering of pooled investment fund interests.

Is NB Secondary Opportunities Offshore Fund V LP legit?

AltStreet does not rate legitimacy; it reports the public record. NB Secondary Opportunities Offshore Fund V LP filed a Form D with the SEC on August 18, 2022 claiming Rule 506(b), Section 3(c), 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 $1,612,554,393 sold to 188 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 NB Secondary Opportunities Offshore Fund V LP 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 NB Secondary Opportunities Offshore Fund V LP claimed Rule 506(b), Section 3(c), 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 NB Secondary Opportunities Offshore Fund V LP raised?

NB Secondary Opportunities Offshore Fund V LP reported $1,612,554,393 sold from 188 investors in an offering of indefinite size as of the Form D filed August 18, 2022.

Who can invest in NB Secondary Opportunities Offshore Fund V LP?

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 filing lists the minimum investment as $0, meaning no minimum was stated.

What is the minimum investment in NB Secondary Opportunities Offshore Fund V LP?

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 NB Secondary Opportunities Offshore Fund V LP and how are they paid?

The Form D names Stifel, Nicolaus & Company, Incorporated (CRD 793), associated with None; Jefferies LLC (CRD 2347), associated with None; VolcomCapital S.A., associated with None; Neuberger Berman BD LLC (CRD 2908), associated with None and 1 other as recipients of sales compensation soliciting in all states.

Who is behind NB Secondary Opportunities Offshore Fund V LP?

The Form D lists 13 related persons: NB Alternatives Advisers LLC, promoter (Investment Adviser); Brian Talbot, executive officer (Managing Director of the Issuer's GP); Ethan Falkove, executive officer (Managing Director of the Issuer's GP); Tristram Perkins, executive officer (Managing Director of the Issuer's GP); Peter Bock, executive officer (Managing Director of the Issuer's GP); Benjamin Perl, executive officer (Managing Director of the Issuer's GP); NB Secondary Opportunities Associates V GP LLC, promoter (General Partner of the Issuer); Scott Koenig, executive officer (Managing Director of the GP of the Issuer's GP), and 5 more. Form D Item 3 requires executive officers, directors, and promoters of the issuer to be listed.

Where is NB Secondary Opportunities Offshore Fund V LP located?

The issuer's address on its SEC filings is 1290 Avenue of the Americas, 41st Floor, New York, NY 10104. Its phone number of record is (212) 476-9000. It is organized under the laws of Cayman Islands.

How long is the NB Secondary Opportunities Offshore Fund V LP 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; 2 amendments are on record for this CIK.

How large is NB Secondary Opportunities Offshore Fund V LP?

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.