New Form D filings on 9 November 2026
55 operating companies and 81 pooled investment funds filed a new Form D (notice of an exempt securities offering) with the SEC on 9 November 2026. The companies reported $523M sold so far in total. Most filings came from TX 8, CA 7, NY 7, MA 4, DE 4.
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 (55), largest amount sold first
| Company | Location | Industry | Sold so far | Offering size | First sale | Exemption | Filing |
|---|---|---|---|---|---|---|---|
| Zai Lab Ltd | Cambridge, MA | Biotechnology | $250M | $250M | 2026-10-27 | Rule 506(b) | SEC |
| VBT Financial Corp | San Antonio, TX | Commercial Banking | $81M | $81M | 2026-10-23 | Rule 506(b) | SEC |
| Ubicloud Inc. (incorporated in the last 5 years) | San Francisco, CA | Other | $50M | $50M | 2026-09-28 | Rule 506(b) | SEC |
| Newton Research, Inc. (incorporated in the last 5 years) | Needham, MA | Other Technology | $18M | $30M | 2026-10-23 | Rule 506(b) | SEC |
| MCP Holdings III LLC (incorporated in the last 5 years) | Uniontown, PA | Commercial | $18M | $18M | 2026-10-26 | Rule 506(b) | SEC |
| Rise Trinity Partners, LLC (incorporated in the last 5 years) | Scottsdale, AZ | Residential | $17M | $17M | 2026-11-05 | Rule 506(b), Investment Company Act 3(c), 3c.5 | SEC |
| Marble Group, Inc. (incorporated in the last 5 years) | New York, NY | Other Technology | $11M | $11M | 2026-10-23 | Rule 506(b) | SEC |
| Peraso Inc. | San Jose, CA | Other Technology | $10M | $10M | 2026-10-26 | Rule 506(b) | SEC |
| P8 HOUSING INVESTMENT FUND 1. LP (incorporated in the last 5 years) | Cheyenne, WY | Other Real Estate | $9.6M | $50M | 2026-04-29 | Rule 506(b) | SEC |
| NOAH Purple Rain Ltd Liability Co | New York, NY | Other | $9.2M | $9.2M | 2023-06-01 | Rule 506(b) | SEC |
| RICH RISING GROUP, INC (incorporated in the last 5 years) | Beverly Hills, CA | Other Technology | $7.5M | $7.5M | 2026-11-09 | Rule 506(b) | SEC |
| Happy Cow Foods Inc. (incorporated in the last 5 years) | Costa Mesa, CA | Retailing | $7.1M | $7.1M | 2026-10-23 | Rule 506(b) | SEC |
| Belle Meade Spirits, LLC (incorporated in the last 5 years) | Nashville, TN | Other | $5.9M | $10M | 2026-11-06 | Rule 506(b) | SEC |
| Bamboo Creative Solutions LLC (incorporated in the last 5 years) | Miami, FL | Other Technology | $5.1M | $5.1M | 2026-10-26 | Rule 506(b) | SEC |
| SPC Trinity LLC (incorporated in the last 5 years) | Lake Elmo, MN | Residential | $4.8M | $4.8M | 2026-11-05 | Rule 506(b), Investment Company Act 3(c), Investment Company Act 3(c)(1), 3c.5 | SEC |
| Transformer TX Holdings, LLC (incorporated in the last 5 years) | Pearland, TX | Hospitals and Physicians | $4.1M | $319M | 2026-11-02 | Rule 506(b) | SEC |
| Elka Lane Apts LLC (incorporated in the last 5 years) | Deforest, WI | Residential | $3.7M | $3.7M | 2026-10-10 | Rule 506(b) | SEC |
| CEP III - Terra 26, LLC (incorporated in the last 5 years) | Everett, WA | Other Real Estate | $1.8M | $1.8M | 2026-10-26 | Rule 506(b) | SEC |
| CARDO Compute LLC (incorporated in the last 5 years) | Denver, CO | Computers | $1.3M | Indefinite | 2026-10-27 | Rule 506(b) | SEC |
| Glide Holdings, LLC (incorporated in the last 5 years) | Orem, UT | Other | $1.1M | $1.5M | 2026-10-09 | Rule 506(b) | SEC |
| DegreeSight Inc | Austin, TX | Other Technology | $1.0M | $3.0M | 2026-08-24 | Rule 506(b) | SEC |
| Authentica Group, Inc. (incorporated in the last 5 years) | Tallahassee, FL | Other Technology | $1.0M | $2.5M | 2026-10-16 | Rule 506(b) | SEC |
| Series Fund X, a series of UM Pre-IPO Portfolio Fund II LLC (incorporated in the last 5 years) | New York, NY | Other | $950K | Indefinite | 2026-10-19 | Rule 506(c) | SEC |
| GiftBetter Inc. (incorporated in the last 5 years) | St. Louis, MO | Other Technology | $500K | $1.3M | 2026-04-18 | Rule 506(b) | SEC |
| VBASE Oil Co | Pendleton, SC | Manufacturing | $468K | $1.5M | 2026-06-22 | Rule 506(b) | SEC |
| BITTERROOT RESOURCES LTD | Vancouver, A1 | Other | $429K | $782K | 2026-10-08 | Rule 506(b) | SEC |
| BetterStory, Inc. (incorporated in the last 5 years) | Wilmington, DE | Other Technology | $420K | $1.0M | 2026-11-03 | Rule 506(b) | SEC |
| IDEW, Inc. (incorporated in the last 5 years) | New York, NY | Other | $400K | $500K | 2026-10-30 | Rule 506(b) | SEC |
| Talent Shares, Inc. (incorporated in the last 5 years) | Dover, DE | Other Technology | $345K | $500K | 2026-10-27 | Rule 506(b) | SEC |
| Phoenix Halcyon Partners, LLC (incorporated in the last 5 years) | Goodyear, AZ | Residential | $250K | $3.0M | 2026-10-29 | Rule 506(c) | SEC |
| Toil Partners MSP, LP (incorporated in the last 5 years) | Blaine, MN | Other | $250K | $2.5M | 2026-10-20 | Rule 506(b) | SEC |
| D'LUX Storage, Inc. (incorporated in the last 5 years) | San Jose, CA | Other | $250K | $5.0M | 2026-10-26 | Rule 506(c) | SEC |
| PIG Storage 1, LLC (incorporated in the last 5 years) | Liberty Hill, TX | Other | $240K | $300K | 2026-10-13 | Rule 506(b) | SEC |
| NBO Pharma Inc. | Bedford, NY | Pharmaceuticals | $238K | $7.0M | 2026-11-02 | Rule 506(c) | SEC |
| Intelligent Wellness Solutions Inc. (incorporated in the last 5 years) | Atlanta, GA | Other Technology | $225K | $2.0M | 2026-11-01 | Rule 506(b) | SEC |
| KVC X LLC (incorporated in the last 5 years) | Harleysville, PA | Investing | $115K | $115K | 2026-10-26 | Rule 506(b) | SEC |
| Outlast Power Inc. (incorporated in the last 5 years) | Dover, NY | Other Energy | $100K | Indefinite | 2026-11-02 | Rule 506(b) | SEC |
| SCREENGENI.US, INC. (incorporated in the last 5 years) | Wilmington, DE | Other Technology | $85K | $350K | 2026-07-07 | Rule 506(b) | SEC |
| Film Number 1, LLC (incorporated in the last 5 years) | The Woodlands, TX | Other | $75K | $75K | 2025-10-01 | Rule 504 | SEC |
| Flip Flow HQ Inc (incorporated in the last 5 years) | Brighton, MA | Other Technology | $71K | $200K | 2026-10-21 | Rule 506(b) | SEC |
| Accelerate, LLC (incorporated in the last 5 years) | Milford, MA | Other Technology | $25K | $500K | 2026-11-03 | Rule 506(b) | SEC |
| PIG Strong, LLC (incorporated in the last 5 years) | Liberty Hill, TX | Other | $24K | $500K | 2026-11-06 | Rule 506(b) | SEC |
| Hom3 Technologies LLC (incorporated in the last 5 years) | Escondido, CA | Other Technology | $10K | Indefinite | 2026-11-04 | Rule 506(b) | SEC |
| Glowrizz Inc. (incorporated in the last 5 years) | Lewes, DE | Manufacturing | $90 | $90 | Rule 506(b) | SEC | |
| BRC Partners IX LP (incorporated in the last 5 years) | Danville, CA | Commercial | $0 | $69M | Rule 506(c) | SEC | |
| Monetary Metals & Co. | Scottsdale, AZ | Other | $0 | $40M | 2026-10-26 | Rule 506(b) | SEC |
| Hall Wisconsin Rural Fund X, LP (incorporated in the last 5 years) | Dallas, TX | REITS and Finance | $0 | $34M | Rule 506(c), Investment Company Act 3(c), Investment Company Act 3(c)(1) | SEC | |
| ELM WF, LLC (incorporated in the last 5 years) | Chamblee, GA | Commercial | $0 | $8.6M | Rule 506(b) | SEC | |
| SLTX HP SL, LLC (incorporated in the last 5 years) | Sugar Land, TX | Commercial | $0 | $8.0M | Rule 506(b) | SEC | |
| Life Impact Partners 14 LLC (incorporated in the last 5 years) | Draper, UT | Biotechnology | $0 | $5.0M | Rule 506(b) | SEC | |
| Life Impact Partners 15 LLC (incorporated in the last 5 years) | Draper, UT | Biotechnology | $0 | $5.0M | Rule 506(b) | SEC | |
| CES Properties Fund LVIII (TEPF 8) LLC (incorporated in the last 5 years) | Bellevue, WA | Other Real Estate | $0 | $2.8M | Rule 506(b) | SEC | |
| GROWING SEASON LLC (incorporated in the last 5 years) | Louisville, KY | Other | $0 | $2.1M | 2025-09-26 | Rule 504 | SEC |
| CES Properties Fund LIX (Vintage Hill) LLC (incorporated in the last 5 years) | Bellevue, WA | Other Real Estate | $0 | $900K | Rule 506(b) | SEC | |
| Know-It-All Movie LLC (incorporated in the last 5 years) | Brooklyn, NY | Other | $0 | $150K | Rule 506(b) | SEC |
Pooled investment funds (81)
| Fund | Location | Sold so far | Offering size | Filing |
|---|---|---|---|---|
| BlackRock Multi-Strategy FoHFs (US), L.P. | New York, NY | $181M | Indefinite | SEC |
| Lazard Global Equity Franchise LLC | New York, NY | $178M | Indefinite | SEC |
| Clocktower Commodity Access Feeder LP | Santa Monica, CA | $114M | Indefinite | SEC |
| HUDSON HOUSING TAX CREDIT FUND CXXVII LLC | New York, NY | $106M | Indefinite | SEC |
| SNSR Capital LLC - Series A | Bridgeville, PA | $100M | $100M | SEC |
| PEPP 2026 S.C.Sp. | Grand Duchy Of Luxembourg, N4 | $85M | Indefinite | SEC |
| Franklin Crypto Liquid Opportunities LP | San Mateo, CA | $64M | Indefinite | SEC |
| Juniper Co-Invest III, LP | Denver, CO | $53M | $53M | SEC |
| Franklin Crypto Liquid Opportunities Onshore LP | San Mateo, CA | $49M | Indefinite | SEC |
| HG Vora Special Opportunities IDF Series of the SALI Multi-Series Fund, L.P. | Austin, TX | $25M | Indefinite | SEC |
| HUDSON HOUSING TAX CREDIT FUND CXXIV LP | New York, NY | $24M | Indefinite | SEC |
| Franklin Crypto Liquid Opportunities Offshore Ltd | San Mateo, CA | $13M | Indefinite | SEC |
| FAFO Fund I LP | Middletown, DE | $10M | Indefinite | SEC |
| Industrial Capital Strategic Deterrence I, L.P. | Manhattan Beach, CA | $7.5M | $7.5M | SEC |
| SOMERSAULT VENTURES JIJI SPV | Dover, DE | $5.0M | $5.0M | SEC |
| HDDC TMRW 3 LLC | New York, NY | $4.1M | $4.1M | SEC |
| Academy Opportunities Fund I, L.P. | Del Mar, CA | $3.9M | Indefinite | SEC |
| FC Series DAT A LP | San Mateo, CA | $3.7M | Indefinite | SEC |
| SC Growth 4 LLC | New York, NY | $3.3M | $3.3M | SEC |
| U.S. HMC SERIES FUND LP - SERIES X | New York, NY | $3.1M | Indefinite | SEC |
| Mento VC Fund II LLC | Warwick, PA | $3.0M | $55M | SEC |
| VF a series of VS Growth V LLC | Sheridan, WY | $3.0M | $3.0M | SEC |
| Blumberg Capital Opportunity Fund (SN), L.P. | Sunny Isles Beach, FL | $3.0M | $3.0M | SEC |
| Solid Financial Ventures - Lucid Preferred, LP | Raleigh, NC | $3.0M | Indefinite | SEC |
| Mario Kart Fund, LP | Denver, CO | $2.8M | $3.0M | SEC |
| TRICAP BTR FUND II LLC | Ann Arbor, MI | $2.3M | $2.3M | SEC |
| Somersault Ventures Pioneers SPV I | Dover, DE | $2.2M | $3.0M | SEC |
| MSHT-2, a series of ALEXTAR VC, LLC | San Francisco, CA | $2.2M | $2.2M | SEC |
| FAI 1026 a Series of CGF2026 LLC | Claymont, DE | $2.1M | $2.1M | SEC |
| Augment Collective II, LLC | Austin, TX | $2.1M | $2.1M | SEC |
| Acadian U.S. Micro/Small-Cap Equity Portable Alpha Fund, LLC | Boston, MA | $1.7M | Indefinite | SEC |
| Edge Partners LLC, Series T IPSecure | Westport, CT | $1.4M | $6.0M | SEC |
| BSV Grey Wind, LLC | Dallas, TX | $1.1M | $1.1M | SEC |
| FF PPath Fund a Series of FF SPV Holdings LLC | Claymont, DE | $860K | $860K | SEC |
| ANTHROPIC SPV | Dover, DE | $829K | $829K | SEC |
| Series F Liquid Opportunities LP | San Mateo, CA | $775K | Indefinite | SEC |
| TipTop SPV07 a Series of CGF2026 LLC | Claymont, DE | $744K | $744K | SEC |
| WAGMI 209 - WAGMI Master LLC | Irving, TX | $703K | $703K | SEC |
| SOMERSAULT VENTURES EXPLEE SPV I | Dover, DE | $600K | $600K | SEC |
| RC IX a Series of CGF2021 LLC | Claymont, DE | $600K | $600K | SEC |
| Forti SF Partners I SCSp | Bertrange, N4 | $542K | Indefinite | SEC |
| EquityZen Growth Technology Fund LLC - Series 2422 | New York, NY | $500K | $500K | SEC |
| Somersault Ventures Explee SPV II | Dover, DE | $450K | $450K | SEC |
| SHI 0826 a Series of CGF2021 LLC | Claymont, DE | $407K | $407K | SEC |
| Hill Series LLC Series EXT PATR-1 | San Francisco, CA | $375K | $375K | SEC |
| EquityZen Growth Technology Fund LLC - Series 2419 | New York, NY | $370K | $370K | SEC |
| Features Opp Fund Prana 2026Q3 a Series of CGF2021 LLC | Claymont, DE | $325K | $325K | SEC |
| KruFund SPV X a Series of CGF2026 LLC | Claymont, DE | $305K | $305K | SEC |
| OUTRIDER TVH 2610 a Series of CGF2026 LLC | Claymont, DE | $240K | $240K | SEC |
| U.S. Boston Growth Capital QSBS Fund, LP | Newark, DE | $239K | $239K | SEC |
| DPV Clausius I a Series of DataPower Capital Partners LLC | Claymont, DE | $235K | $235K | SEC |
| LMDA Oct 2026 a Series of Kapital Bridge Investments LLC | Claymont, DE | $225K | $225K | SEC |
| Tash Card Portfolio I a series of Allocations 2026 Master, LLC | Berkeley, CA | $221K | $221K | SEC |
| Goldmount XI a series of Goldmount Capital Partners LLC | Port Purcell, D8 | $201K | $201K | SEC |
| FIGURE AI SPV | Dover, DE | $200K | $200K | SEC |
| BO-2, a series of ALEXTAR VC, LLC | San Francisco, CA | $185K | $185K | SEC |
| EquityZen Growth Technology Fund LLC - Series 2413 | New York, NY | $180K | $180K | SEC |
| SI 1026 a Series of CGF2026 LLC | Claymont, DE | $136K | $136K | SEC |
| Illini Angels LLC - Series 8643 | Reno, NV | $128K | $133K | SEC |
| CSHA-3, a series of ALEXTAR VC, LLC | San Francisco, CA | $100K | $100K | SEC |
| FC TRD (a series of FC Growth Investments LLC) | San Mateo, CA | $68K | Indefinite | SEC |
| LTI a Series of CGF2026 LLC | Claymont, DE | $43K | $43K | SEC |
| JTVC - Kittys Needlepoint SAFE a Series of CGF2021 LLC | Claymont, DE | $27K | $27K | SEC |
| FC Metaversal Holdings (a series of FC Growth Investments LLC) | San Mateo, CA | $1K | Indefinite | SEC |
| Altimeter Premier Growth IX, L.P. | Boston, MA | $0 | $2.50B | SEC |
| Yellow Wood Capital Partners IV, L.P. | Boston, MA | $0 | $950M | SEC |
| Franklin Park Co-Investment Fund VII, L.P. | Bala Cynwyd, PA | $0 | $585M | SEC |
| Youngstown Next Generation Fund LLC | Youngstown, OH | $0 | $2.0M | SEC |
| Sharp Alpha Opportunity Fund I LLC | Dover, DE | $0 | Indefinite | SEC |
| EQT X Co-Investment (O) SCSp | Luxembourg, N4 | $0 | Indefinite | SEC |
| Colossus DF Holdings, LP | San Francisco, CA | $0 | Indefinite | SEC |
| Balerion Space Ventures Global Fund I, L.P. | Dallas, TX | $0 | Indefinite | SEC |
| Balerion Space Ventures Global Fund I (Parallel), L.P. | Dallas, TX | $0 | Indefinite | SEC |
| PTCJ-6 Co-invest A L.P. | Grand Cayman, E9 | $0 | Indefinite | SEC |
| iCapital-Sands Capital Global Innovation IV Access Fund, L.P. | New York, NY | $0 | Indefinite | SEC |
| NGP TTSTC CO-INVEST SIDE CAR, L.P. | Dallas, TX | $0 | Indefinite | SEC |
| 26North Diversified Credit Income Fund-A LP | New York, NY | $0 | Indefinite | SEC |
| IEQ Capital Access Fund - Blackstone Infrastructure Partners, L.P. | New York, NY | $0 | Indefinite | SEC |
| ICQ Opportunities IS, LP | San Francisco, CA | $0 | Indefinite | SEC |
| AP Neptune Co-Invest, L.P. | New York, NY | $0 | Indefinite | SEC |
| Coatue CT 180 LLC | New York, NY | $0 | Indefinite | SEC |
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.
Other days
- 10 November 2026: 66 companies, 102 funds
- 9 November 2026: 55 companies, 81 funds
- 6 November 2026: 102 companies, 69 funds
- 5 November 2026: 61 companies, 130 funds
- 4 November 2026: 68 companies, 120 funds
- 3 November 2026: 61 companies, 84 funds
- 2 November 2026: 76 companies, 68 funds
- 30 October 2026: 76 companies, 98 funds
- 29 October 2026: 53 companies, 113 funds
- 28 October 2026: 61 companies, 81 funds
- 27 October 2026: 67 companies, 69 funds
- 26 October 2026: 53 companies, 55 funds
- 23 October 2026: 67 companies, 120 funds
- 22 October 2026: 71 companies, 110 funds
- 21 October 2026: 73 companies, 102 funds
- 20 October 2026: 67 companies, 65 funds
- 19 October 2026: 70 companies, 74 funds
- 16 October 2026: 53 companies, 84 funds
- 15 October 2026: 93 companies, 115 funds
- 14 October 2026: 97 companies, 158 funds
- 13 October 2026: 108 companies, 128 funds