Hark IV Series 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
$125M
Investors
6
Min Invest
$1,000,000
Is this your company or fund? Claim this page free, or verify it and carry the Verified Issuer mark.
What this filing shows
·Every sentence is a value as filed on SEC Form D
Hark IV Series Fund, LLC is a Delaware limited liability company that first filed a Form D on September 28, 2022 and most recently amended it on November 9, 2023, describing itself as a other investment fund. The offering claims Rule 506(b), Section 3(c), Section 3(c)(7) and covers pooled investment fund interests. Hark IV Series Fund, LLC reported $125,000,000 sold from 6 investors in an offering of indefinite size as of the Form D filed November 9, 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. 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 $1,000,000. The Form D names Investment Associates AG, associated with None; PTP Securities, LLC (CRD 136832), associated with None as recipients of sales compensation. The issuer's address of record is 299 Park Avenue, 36th Floor, New York, NY 10171.
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 November 9, 2023
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
Investor
- 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.
Item 3 changed on the Form D filed 2023-11-09: 1 related person added and 0 removed against the filing of 2022-09-28; 5 now listed. The names are in the Terminal feed.
Hark Capital Advisors LLC
Executive Officer · New York, NY
Manager of the Issuer
Doug Cruikshank
Executive Officer · New York, NY
Principal of the General Partner of the Issuer
Rafael Castro
Executive Officer · New York, NY
Principal of the General Partner of the Issuer
Rich Davis
Executive Officer · New York, NY
Principal of the General Partner of the Issuer
Hark Capital Advisors LLC
Executive Officer · New York, NY
Investment Manager of the Issuer
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.
Investment Associates AG
Associated broker-dealer: None · Altendorf, V8 and outside the United States
PTP Securities, LLCCRD 136832 on BrokerCheck
Associated broker-dealer: None · Hartford, CT · Soliciting in all states
Questions About Hark IV Series 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 Hark IV Series Fund, LLC?
Hark IV Series Fund, LLC is a Delaware limited liability company that filed a Form D with the SEC on November 9, 2023 as a other investment fund. The filing claims Rule 506(b), Section 3(c), Section 3(c)(7) for an offering of pooled investment fund interests.
Is Hark IV Series Fund, LLC legit?
AltStreet does not rate legitimacy; it reports the public record. Hark IV Series Fund, LLC filed a Form D with the SEC on November 9, 2023 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 $125,000,000 sold to 6 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 Hark IV Series 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 Hark IV Series Fund, LLC 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 Hark IV Series Fund, LLC raised?
Hark IV Series Fund, LLC reported $125,000,000 sold from 6 investors in an offering of indefinite size as of the Form D filed November 9, 2023.
Who can invest in Hark IV Series 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 $1,000,000.
What is the minimum investment in Hark IV Series Fund, LLC?
The Form D lists $1,000,000 as the minimum investment accepted from any outside investor as of November 9, 2023. Issuers can waive their own minimums, and the figure does not include fees.
Who is selling Hark IV Series Fund, LLC and how are they paid?
The Form D names Investment Associates AG, associated with None; PTP Securities, LLC (CRD 136832), associated with None as recipients of sales compensation.
Who is behind Hark IV Series Fund, LLC?
The Form D lists 5 related persons: Hark Capital Advisors LLC, executive officer (Manager of the Issuer); Doug Cruikshank, executive officer (Principal of the General Partner of the Issuer); Rafael Castro, executive officer (Principal of the General Partner of the Issuer); Rich Davis, executive officer (Principal of the General Partner of the Issuer); Hark Capital Advisors LLC, executive officer (Investment Manager of the Issuer). Form D Item 3 requires executive officers, directors, and promoters of the issuer to be listed.
Where is Hark IV Series Fund, LLC located?
The issuer's address on its SEC filings is 299 Park Avenue, 36th Floor, New York, NY 10171. Its phone number of record is (312) 266-7300. It is organized under the laws of Delaware.
How long is the Hark IV Series 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 Hark IV Series Fund, LLC?
The issuer declined to disclose its net asset value range on the Form D, which the form permits.
Is this your company or fund?
Free claim: add your contact details, website, team and a description to this page. The filed facts stay as filed.
Verified Issuer, $480 a year: AltStreet checks the identity of your company and the authority of the person claiming it against your filings, confirms your contact details on a stated date and again at each renewal, and marks the page so people researching you find a current, attributed profile beside the public filing record. It is not a review of any offering.
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.