Search Form D filings: private placements and private funds (exempt offerings under
Regulation D, Section 4(a)(5) and the Investment Company Act 3(c) exclusions), since 2009.
Each result is one filing: issuer (CIK, name, city, state, entity type, year of incorporation),
industry group and fund type, revenue or net-asset-value range, exemptions claimed (code and
meaning), securities offered, date of first sale, total offering amount (null with
offering_amount_indefinite=true when the filer wrote "Indefinite"), total amount sold so far,
remaining, minimum investment, number of investors and non-accredited investors, sales
commissions, finders' fees, proceeds paid to executives/directors/promoters, and counts of related
persons and sales recipients. totals sums the WHOLE match, not just the page, and
totals.by_category breaks it down by industry group and fund type.
Categories are SEC's own (Form D Item 4), as the filer chose them; filter with exactly these
(case does not matter, several comma-separated). industry:
Banking & financial: Commercial Banking, Insurance, Investing, Investment Banking,
Pooled Investment Fund, Other Banking and Financial Services
Real estate: Commercial, Construction, REITS and Finance, Residential, Other Real Estate
Technology: Computers, Telecommunications, Other Technology
Health care: Biotechnology, Health Insurance, Hospitals and Physicians, Pharmaceuticals, Other Health Care
Energy: Coal Mining, Electric Utilities, Energy Conservation, Environmental Services, Oil and Gas, Other Energy
Travel: Airlines and Airports, Lodging and Conventions, Tourism and Travel Services, Other Travel
Single: Agriculture, Business Services, Manufacturing, Retailing, Restaurants, Other
fund_type (given only when industry is Pooled Investment Fund): Hedge Fund, Private Equity Fund,
Venture Capital Fund, Other Investment Fund.
Issuer size (Form D Item 5), also SEC's own values:
revenue_range (operating companies, and VC/PE funds): No Revenues, $1 - $1,000,000,
$1,000,001 - $5,000,000, $5,000,001 - $25,000,000, $25,000,001 - $100,000,000,
Over $100,000,000, Decline to Disclose, Not Applicable
nav_range (hedge funds and other investment funds): No Aggregate Net Asset Value,
$1 - $5,000,000, $5,000,001 - $25,000,000, $25,000,001 - $50,000,000,
$50,000,001 - $100,000,000, Over $100,000,000, Decline to Disclose, Not Applicable
About 82% of filers choose Decline to Disclose for revenue (nearly all funds for NAV), so a
size filter finds only those that disclosed; for "smaller raises" filter on amounts instead
(max_sold, max_offering) and say which you used.
Examples from real filings:
Founders Fund Growth IV, LP -> Pooled Investment Fund / Venture Capital Fund
Blackstone Private Equity Strategies Fund L.P. -> Pooled Investment Fund / Private Equity Fund
Renaissance Institutional Diversified Global Equities Onshore Fund -> Pooled Investment Fund / Hedge Fund
BlackRock Private Equity Co-Investments 2025 (Lux) SCSp -> Pooled Investment Fund / Other Investment Fund
Alexander Series Trust (a cash fund) -> Pooled Investment Fund / Other Investment Fund
New York Life Insurance & Annuity Corp -> Insurance
Blackstone Real Estate Income Trust -> REITS and Finance
Blue Owl Real Estate Exchange VI DST (a real estate syndication) -> Other Real Estate
Space Exploration Technologies (SpaceX), X.AI Holdings, Databricks -> Other Technology
Koios Medical -> Biotechnology
The filer picks the category, so similar vehicles can land in different ones (a single-deal SPV
may be Pooled Investment Fund or Other; some real estate syndications tick "pooled investment
fund interests" as the security while choosing a real estate group). The securities field
(pooled_fund, equity, debt...) is a second, independent signal.
How to read the numbers:
- A Form D/A restates the whole form, and total_amount_sold is cumulative. amendments="latest"
(default) returns each offering once, at its newest filing, so sums never double count;
"new" returns only original notices filed in the date range (new raises); "all" every filing.
- For a Pooled Investment Fund, above all an evergreen or cash fund with an Indefinite
offering, amount sold is cumulative subscriptions since the offering began (money in and
out), not capital raised: Alexander Series Trust reports $591 billion. Read by_category before
adding categories together, and say which categories a total includes.
- Dates filter the filing date, not the date of first sale.
- Form D says where the issuer is (state) and where paid salespeople solicited (solicited_in),
never where investors live.
Use get_private_offering for one filing in full (people, placement agents, offering history).
Args:
q: Issuer name contains (e.g. "Databricks"). Also matches funds and SPVs named after a
company ("Gaingels Databricks 2023 LLC"), which are investors in it, not the company.
cik: Issuer CIK; matches primary issuer or co-issuer. For one company's own filings, find
its CIK with search_companies and pass it here rather than q.
industry: One or more SEC industry groups from the list above, comma-separated
exclude_industry: Industry groups to leave out, comma-separated (e.g. "Pooled Investment Fund"
for operating companies only)
fund_type: One or more of Hedge Fund, Private Equity Fund, Venture Capital Fund, Other Investment Fund
revenue_range: One or more SEC revenue ranges from the list above, comma-separated
nav_range: One or more SEC net asset value ranges from the list above, comma-separated
exemption: "506(b)", "506(c)", "506" (any Rule 506 incl. pre-2013), "504", "4(a)(5)", "3(c)(1)", "3(c)(7)"...
security: equity, debt, option_warrant, security_to_be_acquired, pooled_fund, tenant_in_common, mineral_property, other
state: Issuer's state/country code, e.g. "CA", "NY", "X0" (United Kingdom)
solicited_in: Two-letter state where a paid placement agent solicited (offerings with no paid agent never match)
recipient: Placement agent / broker-dealer name contains, or its FINRA CRD number (e.g. "7691" = Merrill Lynch)
person: Related person's name contains (executive officer, director, promoter)
from_date: Filing date from (YYYY-MM-DD)
to_date: Filing date to (YYYY-MM-DD)
min_sold: Minimum total amount sold, USD
max_sold: Maximum total amount sold, USD
min_offering: Minimum total offering amount (the planned raise), USD
max_offering: Maximum total offering amount, USD (Indefinite offerings never match)
amendments: "latest" (default), "new" or "all" — see above
sort: "date" (newest first, default), "sold" or "offering" (largest first)
limit: Results per page (1-100, default 20)
offset: Pagination offset