0001601594-14-000001.txt : 20140310 0001601594-14-000001.hdr.sgml : 20140310 20140310135842 ACCESSION NUMBER: 0001601594-14-000001 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b ITEM INFORMATION: Investment Company Act Section 3(c) ITEM INFORMATION: Section 3(c)(1) ITEM INFORMATION: Section 3(c)(7) FILED AS OF DATE: 20140310 DATE AS OF CHANGE: 20140310 EFFECTIVENESS DATE: 20140310 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CARLI, LP CENTRAL INDEX KEY: 0001601594 IRS NUMBER: 464558050 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D SEC ACT: 1933 Act SEC FILE NUMBER: 021-213225 FILM NUMBER: 14680176 BUSINESS ADDRESS: STREET 1: 3200 SOUTHWEST FREEWAY STREET 2: SUITE 3120 CITY: HOUSTON STATE: TX ZIP: 77027 BUSINESS PHONE: 713-375-1300 MAIL ADDRESS: STREET 1: 3200 SOUTHWEST FREEWAY STREET 2: SUITE 3120 CITY: HOUSTON STATE: TX ZIP: 77027 D 1 primary_doc.xml X0707 D LIVE 0001601594 CARLI, LP 3200 SOUTHWEST FREEWAY SUITE 3120 HOUSTON TX TEXAS 77027 713-375-1300 DELAWARE None None Limited Partnership true 2013 General Partner CARLI Management, LLC 3200 Southwest Freeway Suite 3120 Houston TX TEXAS 77027 Executive Officer Promoter General Partner of Issuer Sole Owner of GP RiverRock Trust, LLC 3200 Southwest Freeway Suite 3120 Houston TX TEXAS 77027 Promoter Sole Owner of Issuer's General Partner James T Hickey 3200 Southwest Freeway Suite 3120 Houston TX TEXAS 77027 Executive Officer Director Promoter Managing Director of Issuer's General Partner and General Partner's parent, RiverRock Trust, LLC, and ultimate parent, RiverRock Group, LLC Jay Jackson 3200 Southwest Freeway Suite 3120 Houston TX TEXAS 77027 Director Promoter Director of RiverRock Group, LLC (ultimate parent of General Partner) Pooled Investment Fund Private Equity Fund false Decline to Disclose 06b 3C 3C.1 3C.7 false 2014-03-03 true true true false 100000 RiverRock Securities, LLC 153178 RiverRock Securities, LLC 153178 3200 Southwest Freeway Suite 3120 Houston TX TEXAS 77027 AZ ARIZONA CA CALIFORNIA CO COLORADO CT CONNECTICUT FL FLORIDA GA GEORGIA LA LOUISIANA MD MARYLAND MA MASSACHUSETTS NV NEVADA NY NEW YORK NC NORTH CAROLINA OH OHIO OR OREGON PA PENNSYLVANIA SC SOUTH CAROLINA TX TEXAS VA VIRGINIA false Timothy Haluszczak 4537962 RiverRock Securities, LLC 153178 3200 Southwest Freeway Suite 3120 Houston TX TEXAS 77027 FL FLORIDA MD MARYLAND NY NEW YORK PA PENNSYLVANIA TX TEXAS false Patrick Capital Markets, LLC 16518 Patrick Capital Markets, LLC 16518 88 Kenrick Plaza St Louis MO MISSOURI 63119 AL ALABAMA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS LA LOUISIANA MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI NV NEVADA NJ NEW JERSEY NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO PA PENNSYLVANIA RI RHODE ISLAND SC SOUTH CAROLINA TN TENNESSEE TX TEXAS UT UTAH VA VIRGINIA WA WASHINGTON WI WISCONSIN false Indefinite 850000 Indefinite false 1 50000 true 0 Commissions yet to be earned and amount will depend on amounts sold by each broker and related management fees. 0 true Certain persons named in Item 3 or affiliates thereof may receive payments deemed to be made from the proceeds of the offering, including management fees, reimbursement and/or carried interest. The amount of such fees cannot be estimated at this time. false CARLI, LP James T. Hickey James T. Hickey Managing Director of Issuer's General Partner 2014-03-10