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| VII Peaks Capital LLC
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| CRD # | 153825 |
| SEC # | 801-71553 |
| CIK # | 0001539172 |
| AUM | |
| Employees | 1 (100% Investors, 0% Brokers) |
| Phone | 415-983-0127 |
| Address | 1431 Ocean Avenue Santa Monica, CA 90401 |
| Source | [IAPD] [EDGAR] [Website] |
| Total AUM ($M) |
|---|
| Type | Form D Funds | Date | Sold | AUM |
|---|---|---|---|---|
| Other | VII Peaks BDC Investors LLC | 2018-03-29 | ||
| Other | VII Peaks Direct Lending Fund | [2018-03-29] | 0.2 M | |
| Filed 2019-02-12 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Minimum $100,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| VC | VII Peaks Venture Capital VI LLC | 2013-12-11 | 0.2 M | |
| VC | VII Peaks Venture Capital V LLC | [2013-04-03] | 0.6 M | |
| Offered $1,000,000 · Filed 2014-06-27 (D) · Exemption 506(b) · Minimum $25,000 · Remaining $418,500 · Duration More than one year · Revenue Decline to Disclose | ||||
| Other | VII Peaks - KBR Co-Optivist B Fund II LLC | [2012-03-30] | 2.0 M | |
| Offered $15,000,000 · Filed 2012-06-27 (D/A) · Exemption 506, 3(c), 3(c)(1) · Minimum $20,000 · Remaining $15,000,000 · Duration One year or less · Commission $750,000 · Net Assets Decline to Disclose | ||||
| Other | VII Peaks - KBR Co-Optivist B Fund I LLC | [2012-03-30] | 1.1 M | |
| Offered $15,000,000 · Filed 2012-06-29 (D/A) · Exemption 506 · Minimum $20,000 · Remaining $15,000,000 · Duration One year or less · Commission $750,000 · Net Assets Decline to Disclose | ||||
| Other | VII Peaks-KBR Co-Optivist R Fund I LLC | [2012-03-30] | 0.9 M | 0.0 M |
| Offered $15,000,000 · Filed 2012-06-27 (D/A) · Exemption 506, 3(c), 3(c)(1) · Minimum $20,000 · Remaining $14,125,000 · Duration One year or less · Commission $300,000 · Net Assets Decline to Disclose | ||||
| VC | VII Peaks Venture Capital III LLC | [2012-03-30] | 0.1 M | 0.1 M |
| Offered $500,000 · Filed 2013-01-22 (D/A) · Exemption 506 · Remaining $357,500 · Duration More than one year · Revenue Decline to Disclose | ||||
| VC | VII Peaks Venture Capital II LLC | [2012-03-30] | 1.6 M | 0.4 M |
| Offered $3,000,000 · Filed 2013-01-22 (D/A) · Exemption 506 · Remaining $1,412,200 · Duration More than one year · Revenue Decline to Disclose | ||||
| VC | VII Peaks Venture Capital I LLC | [2012-03-30] | 11.3 M | 14.5 M |
| Offered $15,000,000 · Filed 2013-01-22 (D/A) · Exemption 506 · Remaining $3,744,200 · Duration More than one year · Revenue Decline to Disclose | ||||
| View All | ||||
| AUM Breakdown | Accounts | AUM ($M) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 0 | 0.0 |
| (b) Individuals (high net worth individuals) | 0 | 0.0 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 1 | 27.6 |
| (f) Pooled investment vehicles | 2 | 0.0 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 0 | 0.0 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.0 |
| (n) Other | 0 | 0.0 |
| Total | 3 | 27.6 |
| By Discretionary | ||
| Discretionary | 3 | 27.6 |
| Non-Discretionary | 0 | 0.0 |
| Total | 3 | 27.6 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 27.6 | |
| Total | 3 | 27.6 |
| Form D Directors | Role | # Filings | # Firms | 2011 - 2026 |
|---|---|---|---|---|
| Stephen Davis | Executive Officer | 58 | 4 | |
| Vinay Kumar | Executive Officer | 33 | 3 | |
| Bhavin Shah | Executive Officer | 14 | 3 | |
| Gurpreet Chandhoke | Executive Officer | 14 | 2 | |
| Stephen Shea | Executive Officer | 14 | 2 | |
| Joseph Doncheski | Executive Officer | 8 | 2 | |
| Quinlan Fang | Executive Officer | 5 | 2 | |
| Rudolph Galera | Executive Officer | 3 | 2 | |
| VII Peaks Capital LLC | Promoter | 2 | 2 | |
| Radhakrishnan Giroh | Executive Officer | 2 | 1 | |
| View All | ||||
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 3 | [0001539172] | |
| 4 | [0001539172] | |
| D | [0001539172] |
| Firm Profile (Form ADV) | |
|---|---|
| Discretionary AUM | $0.1B |
| Serves | Institutional |
| Fund Types | Hedge Fund |
| Form 3/4/5 Subject | 2011 - 2026 |
|---|---|
| VII Peaks Co-Optivist Income BDC II Inc | |
| VII Peaks Capital LLC |
| Insider Transaction (Form 3/4/5) | Date | Action | Shares | Price | Value ($) |
|---|---|---|---|---|---|
|
VII Peaks Co-Optivist Income BDC II Inc NONE
Common Stock
|
2014-06-24 | Sell | 22,333.33 | $9.14 | 204,127 |