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New Form D filings on 4 November 2026

68 operating companies and 120 pooled investment funds filed a new Form D (notice of an exempt securities offering) with the SEC on 4 November 2026. The companies reported $4.46B sold so far in total. Most filings came from CA 13, TX 10, MA 6, NY 5, DE 3.

Get these as CSV or daily alerts The SEC Form D Funding Leads actor pulls the same filings with filters (state, industry, amount, new companies only), issuer phone and address, and the people named in each filing.

Companies (68), largest amount sold first

CompanyLocationIndustrySold so farOffering sizeFirst saleExemptionFiling
AT Umbrella LLC (incorporated in the last 5 years)San Francisco, CABusiness Services$1.92B$1.92B2025-12-16Rule 506(b)SEC
Andersen Aggregator LLC (incorporated in the last 5 years)San Francisco, CABusiness Services$1.92B$1.92B2025-12-16Rule 506(b)SEC
Legora, Inc. (incorporated in the last 5 years)Dover, DEOther Technology$221M$550M2026-10-20Rule 506(b)SEC
EPHOD SECURITIES CO LTDDenver, COInvesting$100MIndefinite2026-11-04Rule 506(c), Investment Company Act 3(c), Investment Company Act 3(c)(1), 3c.9, 3c.2, 3c.10, 3c.3, 3c.11, 3c.4, 3c.12, 3c.5, 3c.13, 3c.6, 3c.14, Investment Company Act 3(c)(7)SEC
AI3 Bio, Inc.Watertown, MABiotechnology$48M$48M2026-06-09Rule 506(b)SEC
LCP Columbus Portfolio LLC (incorporated in the last 5 years)Denver, COCommercial$40M$40M2026-10-30Rule 506(b)SEC
Beyond Liquidity LLC (incorporated in the last 5 years)Houston, TXCommercial$32MIndefinite2021-05-04Rule 506(b), Investment Company Act 3(c), Investment Company Act 3(c)(1)SEC
MD MANAGEMENT LLCSan Francisco, CABusiness Services$19M$19M2025-12-16Rule 506(b)SEC
Johnson Square Warehouse District Holdings, LLC (incorporated in the last 5 years)Fayetteville, ARCommercial$13M$13M2026-06-04Rule 506(b)SEC
SIMSALASIM INC. (incorporated in the last 5 years)New York, NYOther Technology$11MIndefinite2026-09-14Rule 506(b)SEC
Highgate Legacy Fund Brookside Manager, LLC (incorporated in the last 5 years)Chicago, ILCommercial$11M$17M2026-10-20Rule 506(b)SEC
Elite 101 LLC (incorporated in the last 5 years)Great Neck, NYOther Real Estate$11M$25M2026-10-26Rule 506(b)SEC
Beyond Julian LLC (incorporated in the last 5 years)Houston, TXCommercial$10MIndefinite2021-12-16Rule 506(b)SEC
Kilmichael Bancorp, Inc.Kilmichael, MSCommercial Banking$8.0M$8.0M2026-10-23Rule 506(b)SEC
VP Jacksonville Holdings, LLC (incorporated in the last 5 years)Cincinnati, OHCommercial$6.8M$6.8M2026-10-27Rule 506(b)SEC
Impossible Diamond, Inc.Starkville, MSOther Technology$6.4M$6.4M2026-10-01Rule 506(b)SEC
MitoAI Inc. (incorporated in the last 5 years)Boston, MAOther Technology$5.4M$8.1M2026-10-22Rule 506(b)SEC
Beyond Loan 3 LLC (incorporated in the last 5 years)Houston, TXCommercial$5.1MIndefinite2023-09-15Rule 506(b), Investment Company Act 3(c), Investment Company Act 3(c)(1)SEC
Lithios Inc. (incorporated in the last 5 years)Medford, MAOther Technology$5.1M$10M2026-10-19Rule 506(b)SEC
Madison Sunrise, LLC (incorporated in the last 5 years)Poway, CACommercial$5.0M$5.0MRule 506(b)SEC
EP Jefferson Flats JV, LLC (incorporated in the last 5 years)Richmond, VACommercial$4.9M$6.8M2026-09-15Rule 506(b)SEC
K&M QOF LLC (incorporated in the last 5 years)San Diego, CAOther Real Estate$4.8MIndefinite2026-10-01Rule 504, Rule 506(c), 4a5SEC
K&M 3 LLC (incorporated in the last 5 years)San Diego, CAOther Real Estate$4.1MIndefinite2026-10-01Rule 504, Rule 506(c), 4a5SEC
EVENERGI LABS INC. (incorporated in the last 5 years)Ann Arbor, MIOther Technology$4.0M$5.0M2026-10-23Rule 506(b)SEC
Beyond Westminster 1 LLC (incorporated in the last 5 years)Houston, TXCommercial$3.9MIndefinite2022-08-26Rule 506(b), Investment Company Act 3(c), Investment Company Act 3(c)(1)SEC
MJS Investors LLC (incorporated in the last 5 years)Charlottesville, VAInvesting$3.1M$3.1M2026-09-21Rule 506(b)SEC
DATA I/O CORPRedmond, WAOther Technology$3.0M$3.0M2026-10-20Rule 506(b)SEC
Original Watermen, Inc. (incorporated in the last 5 years)Carlsbad, CARetailing$2.9M$4.0M2026-10-22Rule 506(b)SEC
BEYOND RETAIL EQUITY LLCHouston, TXOther Real Estate$2.9MIndefinite2021-07-01Rule 506(b)SEC
Nocionix,Inc. (incorporated in the last 5 years)Westlake, OHOther Health Care$2.7M$10M2026-10-23Rule 506(b)SEC
Impossible Diamond, Inc.Starkville, MSOther Technology$2.2M$7.0M2026-10-01Rule 506(b)SEC
Tremont AI, Inc. (incorporated in the last 5 years)Boston, MAOther Technology$2.0M$2.0M2026-02-09Rule 506(b)SEC
Eat Scoops, Inc. (incorporated in the last 5 years)Lafayette, COOther$1.7M$1.9M2026-10-22Rule 506(b)SEC
Switchback Namibia Hybrid Fund II, LLC (incorporated in the last 5 years)Wilmington, DEOther Energy$1.7M$1.7MRule 506(b)SEC
ADM TRONICS UNLIMITED, INC.Northvale, NJManufacturing$1.6M$5.4M2026-10-26Rule 506(b)SEC
Infinity Industrial IV Investors, LLC (incorporated in the last 5 years)West Des Moines, IACommercial$1.5M$3.1M2026-10-27Rule 506(c)SEC
31 Jump Street LLC (incorporated in the last 5 years)San Diego, CAOther Real Estate$1.3MIndefinite2026-10-01Rule 504, Rule 506(c), 4a5SEC
Newcoda, Inc. (incorporated in the last 5 years)Miami, FLOther Technology$1.3M$1.8M2026-10-01Rule 506(b)SEC
TP Urban LLC (incorporated in the last 5 years)San Diego, CAOther Real Estate$1.2MIndefinite2026-10-01Rule 504, Rule 506(c), 4a5SEC
House Fly Home Services, Inc.New Orleans, LAOther Technology$600K$750K2026-02-11Rule 506(b)SEC
U-Back 316 Holding LLC (incorporated in the last 5 years)Sheridan, WYResidential$553K$675K2026-10-21Rule 506(b)SEC
BELONG IMMIGRATION SERVICES, INC (incorporated in the last 5 years)Wilmington, DEBusiness Services$500KIndefinite2026-09-10Rule 506(b)SEC
IREX VI Retail DST (incorporated in the last 5 years)Dallas, TXCommercial$387K$91M2026-10-20Rule 506(b)SEC
TOPWATER CATTLE Co ACQUISITION POOL 2, LLC (incorporated in the last 5 years)Mont Belvieu, TXOther$375K$4.0M2026-10-21Rule 506(b)SEC
GS Finance Corp.New York, NYInvestment Banking$323K$323K2026-10-30Rule 506(b)SEC
LadyBits, Inc. (incorporated in the last 5 years)Alexandria, VAOther Health Care$320K$807K2026-10-20Rule 506(b)SEC
Sigma5 Inc. (incorporated in the last 5 years)Santa Cruz, CAOther Technology$270K$500K2026-10-06Rule 506(b)SEC
Datifact Inc. (incorporated in the last 5 years)Orange, CAOther Technology$250K$420K2026-10-06Rule 506(b)SEC
Muon Vision Inc.Cambridge, MAOther$200K$200K2026-10-09Rule 506(b)SEC
Allina Health Surgery Center - Brooklyn Park, LLCBrooklyn Park, MNOther Health Care$135K$585K2026-10-19Rule 506(b)SEC
Series 95-1, a series of StartEngine Private LLC (incorporated in the last 5 years)Burbank, CAOther$130K$405K2026-10-20Rule 506(c)SEC
Ausel, Inc. (incorporated in the last 5 years)Carlsbad, CABiotechnology$120K$5.0M2026-10-22Rule 506(b)SEC
Giraffe Gold Holdings LLC (incorporated in the last 5 years)Cleveland, OHRetailing$80K$400K2026-10-20Rule 506(b)SEC
Happy Time Beverages, Inc. (incorporated in the last 5 years)Frisco, TXManufacturing$50K$3.0M2026-10-21Rule 506(b)SEC
ANSTRA INC (incorporated in the last 5 years)Brooklyn, NYRetailing$35K$250K2026-10-27Rule 506(b)SEC
GS Finance Corp.New York, NYInvestment Banking$3K$3K2026-10-28Rule 506(b)SEC
Rising Tide Labs, Inc. (incorporated in the last 5 years)Portland, OROther Technology$220$2202026-11-04Rule 506(b)SEC
BlueHealer Inc. (incorporated in the last 5 years)Baltimore, MDBiotechnology$1$12026-10-09Rule 506(b)SEC
Mainstay Income Opportunity Fund II, LLLP (incorporated in the last 5 years)Auburndale, FLOther$0$20MRule 506(b)SEC
LomaAlta Capital Fund I, LP (incorporated in the last 5 years)Brownsville, TXCommercial$0$15M2026-10-23Rule 506(b), Investment Company Act 3(c), 3c.5SEC
TSO 66 Well Remediation Program, LP (incorporated in the last 5 years)Fort Worth, TXOil and Gas$0$14MRule 506(c)SEC
Post Pro Capital Fund II, LLC (incorporated in the last 5 years)Chattanooga, TNResidential$0$10MRule 506(c)SEC
Cedar Mill Courtyard Apartments, LLC (incorporated in the last 5 years)Portland, ORCommercial$0$5.1MRule 506(b)SEC
17925 SW Rosa Rd LLC (incorporated in the last 5 years)Portland, ORCommercial$0$2.0MRule 506(b)SEC
PulsePoint Lake Norman ASC, LLC (incorporated in the last 5 years)Tampa, FLOther Health Care$0$1.8MRule 506(b)SEC
AX Big Industrial Portfolio I DST (incorporated in the last 5 years)Salt Lake City, UTOther Real Estate$0IndefiniteRule 506(b), Investment Company Act 3(c), 3c.5SEC
AI3 Bio, Inc.Watertown, MABiotechnology$0Indefinite2026-06-09Rule 506(b)SEC
Cyphaira Corp. (incorporated in the last 5 years)Seminole, OKOther$0IndefiniteRule 506(b)SEC

Pooled investment funds (120)

FundLocationSold so farOffering sizeFiling
Alpha Co-Invest I LPNew York, NY$1000MIndefiniteSEC
AE Industrial Partners BR Fund, LPBoca Raton, FL$851MIndefiniteSEC
CMWA Capital Appreciation Fund LLCBeachwood, OH$387MIndefiniteSEC
Fundomo ME-003, LPKeene, NH$118M$118MSEC
NexGen Buyout Partners Fund II, L.P.George Town, E9$110MIndefiniteSEC
QUANTINNO DEALS EXCELSIOR CUSTOM SERIES, L.P. - SERIES QE0056New York, NY$98MIndefiniteSEC
Fundomo Morningstar, LPKeene, NH$41M$41MSEC
Fundomo FA-002, LPKeene, NH$25M$25MSEC
Barramundi - Series 41 - Diamond FoundryBoca Raton, FL$20M$23MSEC
QUANTINNO DEALS EXCELSIOR CUSTOM SERIES, L.P. - SERIES QE0055New York, NY$20MIndefiniteSEC
QUANTINNO DEALS EXCELSIOR CUSTOM SERIES, L.P. - SERIES QE0058New York, NY$20MIndefiniteSEC
QUANTINNO DEALS EXCELSIOR CUSTOM SERIES, L.P. - SERIES QE0042New York, NY$17MIndefiniteSEC
Barramundi - Series 43 - Diamond FoundryBoca Raton, FL$16M$16MSEC
QUANTINNO DEALS EXCELSIOR CUSTOM SERIES, L.P. - SERIES QE0052New York, NY$15MIndefiniteSEC
QUANTINNO DEALS EXCELSIOR CUSTOM SERIES, L.P. - SERIES QE0046New York, NY$15MIndefiniteSEC
Tended Investors, LLCSan Francisco, CA$14M$14MSEC
JKZH 4 a Series of CGF2021 LLCClaymont, DE$13M$13MSEC
NuProtein Capital, LLCSt. Charles, IL$13M$13MSEC
Guild Capital - Project C SPV LLCMiami, FL$12M$12MSEC
JHSF CAPITAL GLOBAL OPPORTUNITIES FIXED INCOME FUND LLCWilmington, DE$12MIndefiniteSEC
QUANTINNO DEALS EXCELSIOR CUSTOM SERIES, L.P. - SERIES QE0054New York, NY$10MIndefiniteSEC
QUANTINNO DEALS EXCELSIOR CUSTOM SERIES, L.P. - SERIES QE0050New York, NY$10MIndefiniteSEC
QUANTINNO DEALS EXCELSIOR CUSTOM SERIES, L.P. - SERIES QE0045New York, NY$10MIndefiniteSEC
QUANTINNO DEALS EXCELSIOR CUSTOM SERIES, L.P. - SERIES QE0059New York, NY$10MIndefiniteSEC
QUANTINNO DEALS EXCELSIOR CUSTOM SERIES, L.P. - SERIES QE0047New York, NY$10MIndefiniteSEC
QUANTINNO DEALS EXCELSIOR CUSTOM SERIES, L.P. - SERIES QE0057New York, NY$10MIndefiniteSEC
QUANTINNO DEALS EXCELSIOR CUSTOM SERIES, L.P. - SERIES QE0041New York, NY$10MIndefiniteSEC
QUANTINNO DEALS EXCELSIOR CUSTOM SERIES, L.P. - SERIES QE0048New York, NY$10MIndefiniteSEC
QUANTINNO DEALS EXCELSIOR CUSTOM SERIES, L.P. - SERIES QE0053New York, NY$10MIndefiniteSEC
QUANTINNO DEALS EXCELSIOR CUSTOM SERIES, L.P. - SERIES QE0049New York, NY$10MIndefiniteSEC
QUANTINNO DEALS EXCELSIOR CUSTOM SERIES, L.P. - SERIES QE0044New York, NY$10MIndefiniteSEC
QUANTINNO DEALS EXCELSIOR CUSTOM SERIES, L.P. - SERIES QE0043New York, NY$9.8MIndefiniteSEC
ND Visby SPV2, L.P.Grand Cayman, E9$9.8MIndefiniteSEC
Critical Frontier SPV 4 LPMontecito, CA$7.8MIndefiniteSEC
PLUS Collective Access IIIA, L.P.Venice, CA$7.5MIndefiniteSEC
Gesher BeeHero I, LLCDenver, CO$6.3M$6.3MSEC
Artisan Investment Fund L.P.George Town, E9$5.5MIndefiniteSEC
ROSECLIFF NEXT GENERATION LP - SERIES BOSNew York, NY$5.1M$11MSEC
AEGIS SPECIAL SITUATIONS FUND LLC - SERIES AEROSPACE VNew York, NY$5.1MIndefiniteSEC
ROSECLIFF NEXT GENERATION LP - SERIES BOLTNew York, NY$5.0M$5.4MSEC
Lake Hill Augustus Fund LLCNew York, NY$5.0MIndefiniteSEC
Inflection Ventures Zipline Fund I LLCPeconic, NY$4.9M$4.9MSEC
NVP Activate Co-Invest LPNew York, NY$4.4MIndefiniteSEC
1900 FP Normandy 2026 Series (fund of 1900 Direct Series LLC)San Antonio, TX$3.1MIndefiniteSEC
MGI Investments LP - Series 44New York, NY$3.1M$3.1MSEC
Animal Capital Buywander SPV III LLCRaleigh, NC$3.0M$3.0MSEC
Recombinate Health Co-Invest I, LLCSan Francisco, CA$2.9M$2.9MSEC
EquityZen Growth Technology Fund LLC - Series 2427New York, NY$2.9M$2.9MSEC
Jackson Rose Venture II, LLC Series NSeaside Park, NJ$2.8MIndefiniteSEC
Spruill Capital Coinvest I LLCHeath, TX$2.7M$15MSEC
Eleven VC Investment, LLCChicago, IL$2.6M$2.6MSEC
Dream SPV TA LLCLas Vegas, NV$2.5MIndefiniteSEC
JCZ-2026, a series of Jibe Partnership Holdings, LPRoswell, GA$2.5M$2.5MSEC
LI-1002 Fund I, a series of Roll Up Vehicles, LPLynnwood, WA$2.4M$2.4MSEC
Type One Vega LLCMalibu, CA$2.0M$2.0MSEC
Berch Capital Fund V, a series of Berch Capital Master, LPAustin, TX$1.8M$1.8MSEC
WiFi Fund II LLCDe Forest, WI$1.6M$1.6MSEC
Present Ventures Partners Motor City WTGL LLCMontecito, CA$1.4M$1.4MSEC
BVI Core Q32026-1 Series, a series of Blu Venture Investors Core, LLCArlington, VA$1.4MIndefiniteSEC
PROOF ZLI, LLCArlington, VA$876K$876KSEC
TH-0918 Fund I, a series of Sandlot Ventures Investment Partnership, LPNew York, NY$665K$665KSEC
Amplify Weekend 2026 LPLos Angeles, CA$624K$624KSEC
JHSF Capital Fasano MiamiGrand Cayman, E9$600KIndefiniteSEC
Shado Opportunities I LLCBal Harbour, FL$530K$530KSEC
LFG DOG a Series of LFG VC LLCClaymont, DE$518K$518KSEC
SU-1006, a series of Silicon Valley CISO Funds, LPMenlo Park, CA$500K$500KSEC
New Fare Loonen SPV LLCOld Greenwich, CT$500K$500KSEC
Decimus Defense Fund LLC - Series 15Dover, DE$500K$500KSEC
PROOF IV BCGI LLCArlington, VA$488K$488KSEC
Rivi-Quilter October 2026 a Series of CGF2026 LLCClaymont, DE$466K$466KSEC
Bochi Peppi Partners LLCPortland, OR$400K$400KSEC
VE-0912 Fund I, a series of Roll Up Vehicles, LPLynnwood, WA$400K$400KSEC
Builders-BL-0930 Fund I, a series of Platform Funds 2026, LPLynnwood, WA$370K$370KSEC
Veridical VC Opportunities II a Series of CGF2026 LLCClaymont, DE$355K$355KSEC
LPS SPV I, LLCNew York, NY$318K$318KSEC
Golden Hour 2026 a Series of CGF2026 LLCClaymont, DE$303K$303KSEC
ERBR-1, a series of ALEXTAR VC, LLCSan Francisco, CA$297K$297KSEC
RHI 1026 a Series of CGF2026 LLCClaymont, DE$285K$285KSEC
LU-0908 Fund I, a series of Hustle Fund Angel Squad Verticals, LPLynnwood, WA$232K$232KSEC
Razor Capital XII LLCMidvale, UT$200K$200KSEC
AK-1003 Fund I, a series of Hustle Fund Angel Squad Verticals, LPLynnwood, WA$154K$154KSEC
Series 007 a series of AIS Advisors LLCHouston, TX$117K$117KSEC
EXRX 1026 a Series of CGF2026 LLCClaymont, DE$105K$105KSEC
TA-0820 Fund II, a series of Pack Ventures, LPLynnwood, WA$103K$103KSEC
nFleXion VestGen HoldCo Loan I LLCNew York, NY$97K$97KSEC
Elies-MY-0807 Fund I, a series of Platform Funds 2026, LPLynnwood, WA$74K$74KSEC
Varion Ventures O1 LLCSan Francisco, CA$70K$70KSEC
Rooster Tail Partners LPPalm Beach Gardens, FL$50K$50KSEC
Lovelace SPV I FOREVITA a Series of CGF2021 LLCClaymont, DE$50K$50KSEC
MLV WW I, LLCMount Pleasant, SC$25K$25KSEC
GENTIS Fund I SCSpLuxembourg, N4$0$336MSEC
ProCall Fund LPGreen Bay, WI$0$25MSEC
ARCHIV Capital Fund S LPMiami, FL$0IndefiniteSEC
ARCHIV Capital Fund M LPMiami, FL$0IndefiniteSEC
ARCHIV Capital Fund H LPMiami, FL$0IndefiniteSEC
ARCHIV Capital Fund A LPMiami, FL$0IndefiniteSEC
Type One Odin LLCMalibu, CA$0$0SEC
Armin Kohan, Vehicle 1 LPFountain Valley, CA$0$0SEC
Daft Capital Growth Varda LPSan Francisco, CA$0$0SEC
DFV VenaVitals SPV LLCHenderson, NV$0$0SEC
Quadrance Frontier Leaders II, LLCMiami, FL$0$0SEC
Green Book Ventures Horizon V LLCSan Francisco, CA$0$0SEC
Platinum Lumen Principals International (Cayman), L.P.Beverly Hills, CA$0IndefiniteSEC
Atreides Private Opportunities II Access Offshore LPNew York, NY$0IndefiniteSEC
Atreides Private Opportunities II Access LLCNew York, NY$0IndefiniteSEC
Lime Rock Partners X, L.P.Westport, CT$0IndefiniteSEC
Overbay 2026 Fund - AIV 1 LPToronto, A6$0IndefiniteSEC
MFF-Alta, L.P.Greenwich, CT$0IndefiniteSEC
Banner Ridge Small Buyouts II, LPNew York, NY$0IndefiniteSEC
Banner Ridge DSCO Fund III (Insurance) RNF, LPNew York, NY$0IndefiniteSEC
Providence IX Helios Co-Investment L.P.Providence, RI$0IndefiniteSEC
AlpInvest Secondaries IX Access LLCNew York, NY$0IndefiniteSEC
Premier Capella Access Fund, L.P.New York, NY$0IndefiniteSEC
Revere DC Holdings, LPSan Francisco, CA$0IndefiniteSEC
PBN IV Equity Holdings LPSt Peter Port, Y7$0IndefiniteSEC
LightX Capital Fund I, LPChicago, IL$0IndefiniteSEC
AP Enterprise Co-Invest (B), L.P.New York, NY$0IndefiniteSEC
Hanwha Next Generation AI Fund II LPSan Francisco, CA$0IndefiniteSEC
QUANTINNO DEALS EXCELSIOR CUSTOM SERIES, L.P. - SERIES QE0051New York, NY$0IndefiniteSEC
Peakline Ventures Opportunity Fund II, LPChicago, IL$0IndefiniteSEC

Source: SEC EDGAR Form D filings (new notices only, amendments left out). Amounts are what the issuer reported. Not investment advice. Each row links to the original filing.

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