NE1 UC, DST
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
$10M
Investors
36
Min Invest
$25,000
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What this filing shows
·Every sentence is a value as filed on SEC Form D
NE1 UC, DST is a Delaware entity that first filed a Form D on May 5, 2022 and most recently amended it on October 17, 2023 in the Residential industry group. The offering claims Rule 506(c) and covers equity. NE1 UC, DST reported $10,139,514 sold from 36 investors of a $10,139,514 total offering as of the Form D filed October 17, 2023. The offering relies on Rule 506(c), so the issuer may advertise it but may sell only to investors it has verified as accredited. The filing reports no non-accredited investors. The minimum investment accepted from an outside investor is $25,000. The Form D names Preferred Capital Securities, LLC (CRD 169719), associated with None; RCX Capital Group, LLC (CRD 114290), associated with None; Colorado Financial Service Corporation (CRD 104343), associated with None; FNEX Capital, LLC (CRD 166316), associated with None and 6 others as recipients of sales compensation soliciting in all states. The issuer's address of record is 3348 Peachtree Road Ne, Suite 1430, Atlanta, GA 30326.
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
closed
Investor
- 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.
NewStar Exchange I, LLC
Executive Officer · Atlanta, GA
Sponsor of the Issuer
NewStar UC Depositor, LLC
Executive Officer · Atlanta, GA
Depositor
NEI UC Manager, LLC
Executive Officer · Atlanta, GA
Administrative Trustee
Boone DuPree
Executive Officer · Atlanta, GA
Chief Executive Officer
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.
Preferred Capital Securities, LLCCRD 169719 on BrokerCheck
Associated broker-dealer: None · Atlanta, GA · Soliciting in all states
RCX Capital Group, LLCCRD 114290 on BrokerCheck
Associated broker-dealer: None · The Woodlands, TX · Soliciting in CO, NV, TX
Colorado Financial Service CorporationCRD 104343 on BrokerCheck
Associated broker-dealer: None · Centennial, CO · Soliciting in CO, OK
FNEX Capital, LLCCRD 166316 on BrokerCheck
Associated broker-dealer: None · Indianapolis, IN · Soliciting in CA, DC, GA, IL, MD, NC, NY, OR, TX, VA
DFPG Investments, LLCCRD 155576 on BrokerCheck
Associated broker-dealer: None · Sandy, UT · Soliciting in CO, SC
Nationwide Planning Associates Inc.CRD 31029 on BrokerCheck
Associated broker-dealer: None · Fair Lawn, NJ · Soliciting in CA, NJ, WI
Arkadios CapitalCRD 282710 on BrokerCheck
Associated broker-dealer: None · Atlanta, GA · Soliciting in MA, NJ
CreativeOne Securities, LLCCRD 152974 on BrokerCheck
Associated broker-dealer: None · Overland Park, KS · Soliciting in NY
Equifinancial LLCCRD 136708 on BrokerCheck
Associated broker-dealer: None · Miami, FL · Soliciting in FL
Emerson Equity LLCCRD 130032 on BrokerCheck
Associated broker-dealer: None · San Mateo, CA · Soliciting in NY
Questions About NE1 UC, DST
Each answer is built from the values on the SEC filing and the AltStreet ledger, not from the issuer's marketing.
What is NE1 UC, DST?
NE1 UC, DST is a Delaware entity that filed a Form D with the SEC on October 17, 2023 in the Residential industry group. The filing claims Rule 506(c) for an offering of equity.
Is NE1 UC, DST legit?
AltStreet does not rate legitimacy; it reports the public record. NE1 UC, DST filed a Form D with the SEC on October 17, 2023 claiming Rule 506(c). A Form D is a notice of an exempt offering, not a review or approval of it. The newest notice reports $10,139,514 sold to 36 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 NE1 UC, DST 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 NE1 UC, DST claimed Rule 506(c) 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 NE1 UC, DST raised?
NE1 UC, DST reported $10,139,514 sold from 36 investors of a $10,139,514 total offering as of the Form D filed October 17, 2023.
Who can invest in NE1 UC, DST?
The offering relies on Rule 506(c), so the issuer may advertise it but may sell only to investors it has verified as accredited. The filing reports no non-accredited investors. The minimum investment accepted from an outside investor is $25,000.
What is the minimum investment in NE1 UC, DST?
The Form D lists $25,000 as the minimum investment accepted from any outside investor as of October 17, 2023. Issuers can waive their own minimums, and the figure does not include fees.
Who is selling NE1 UC, DST and how are they paid?
The Form D names Preferred Capital Securities, LLC (CRD 169719), associated with None; RCX Capital Group, LLC (CRD 114290), associated with None; Colorado Financial Service Corporation (CRD 104343), associated with None; FNEX Capital, LLC (CRD 166316), associated with None and 6 others as recipients of sales compensation soliciting in all states.
Who is behind NE1 UC, DST?
The Form D lists 4 related persons: NewStar Exchange I, LLC, executive officer (Sponsor of the Issuer); NewStar UC Depositor, LLC, executive officer (Depositor); NEI UC Manager, LLC, executive officer (Administrative Trustee); Boone DuPree, executive officer (Chief Executive Officer). Form D Item 3 requires executive officers, directors, and promoters of the issuer to be listed.
Where is NE1 UC, DST located?
The issuer's address on its SEC filings is 3348 Peachtree Road Ne, Suite 1430, Atlanta, GA 30326. Its phone number of record is 770-370-8027. It is organized under the laws of Delaware.
How long is the NE1 UC, DST 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.
What is NE1 UC, DST's revenue?
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.