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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

NATIONAL PRIVATE SHARES, INC.

CRD 299487

BOCA RATON, FL

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Search this name across graphsid dfx:ria:40a2c0a8-d2d0-ad5c-d038-46389228e32e

Data as of Nov 4, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 3
On other graphs: 1
Observed: Dec 21, 2018 to Nov 4, 2019
6 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

National Private Shares, Inc.

Private equity manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $486MItem 5.F on the latest filing (2019-11-04); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $486M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees: 8
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 39
Private funds: 32Schedule D 7.B(1)
Private fund GAV: $482Mgross asset value as reported per fund; never fund size
Custody, client assets: $486M
SEC number: 801-114625
CRD: 299487
Filings on the tape: 6
First filed: Dec 21, 2018
Latest filed: Nov 4, 2019
Organised: Corporation, Washington

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
INNOVATION X HOLDINGS QP, LLC SERIES 2018-2 (PINTEREST)	Private Equity Fund	$60.4M	Nov 4, 2019	487	Dec 21, 2018	reported	021-313571
INNOVATION X HOLDINGS QP, LLC SERIES 2018-4 (LYFT)	Private Equity Fund	$21.7M	Nov 4, 2019	197	Dec 21, 2018	reported	021-313572
NSC BIOTECH OPPORTUNITIES QP FUND, LLC	Private Equity Fund	$17.0M	Nov 4, 2019	84	Dec 21, 2018	reported	021-235439
INNOVATION X HOLDINGS QP, LLC SERIES 2018-3 (SPACEX)	Private Equity Fund	$8.4M	Nov 4, 2019	71	Dec 21, 2018	reported	021-311656
INNOVATION X HOLDINGS II, LLC SERIES 2018-2 (PINTEREST)	Private Equity Fund	$8.0M	Nov 4, 2019	100	Dec 21, 2018	reported	021-281428
NAM SPECIAL SITUATIONS FUND VI LLC SERIES V1	Private Equity Fund	$6.9M	Nov 4, 2019	91	Dec 21, 2018	reported	021-320323
NSC BIOTECH OPPORTUNITIES FUND, LLC	Private Equity Fund	$5.2M	Nov 4, 2019	51	Dec 21, 2018	reported	021-307417
MEDIA VENTURES FUND I, LLC	Private Equity Fund	$0	Nov 4, 2019	100	Dec 2, 2016	reported	021-264128

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B.RILEY FINANCIAL, INC	SHAREHOLDER ( COMMON STOCK)	C	yes	02/2019	Apr 15, 2019	Nov 4, 2019
CHAFFEE, HAROLD, GERARD	CHIEF COMPLIANCE OFFICER	Na	yes	10/2018	Dec 21, 2018	Nov 4, 2019
DESENA, JOHN, CHARLES	Secretary	Na	yes	10/2018	Dec 21, 2018	Nov 4, 2019
GROENEVELD, WILLIAM, LAWRENCE	VICE PRESIDENT	Na	yes	10/2018	Dec 21, 2018	Nov 4, 2019
KAPLAN, HENRY, EDWARD	PRESIDENT & CHIEF OPERATING OFFICER	Na	yes	10/2018	Dec 21, 2018	Nov 4, 2019
KOENIGSBERG, JOHN, A	DIRECTOR OF OPERATIONS	Na	yes	10/2018	Dec 21, 2018	Nov 4, 2019
KOWALCZYK, THOMAS, DAVID	CHIEF EXECUTIVE OFFICER, DIRECTOR	Na	yes	10/2018	Dec 21, 2018	Nov 4, 2019
MULLEN, MICHAEL, ANTHONY	DIRECTOR, EXECUTIVE CHAIRMAN	Na	yes	10/2018	Dec 21, 2018	Nov 4, 2019
NATIONAL HOLDINGS CORPORATION	PARENT COMPANY	E	yes	10/2018	Dec 21, 2018	Nov 4, 2019
NHC HOLDINGS LLC	SHAREHOLDER (COMMON STOCK)	C	yes	02/2019	Apr 15, 2019	Nov 4, 2019
ORTEGA, DANIEL	CHIEF SUPERVISORY OFFICER	Na	yes	04/2019	Apr 15, 2019	Nov 4, 2019
RUNKLE, DONALD, KENNETH	CHIEF REGULATORY OFFICER	Na	yes	04/2019	Dec 21, 2018	Nov 4, 2019
WATSON, NATALIA, TOVAR	Treasurer	Na	yes	10/2018	Dec 21, 2018	Nov 4, 2019
WORMAN, GLENN, CHARLES	Director	Na	yes	10/2018	Dec 21, 2018	Nov 4, 2019

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
NATIONAL ASSET MANAGEMENT, INC.	n/a	Bd affiliated wealth	$4.2B	N	yes	n/a
GILMAN CIOCIA, INC.	n/a	n/a	n/a	N	yes	n/a
INNOVATION X MANAGEMENT II LLC	n/a	n/a	n/a	Y	no	n/a
INNOVATION X MANAGEMENT LLC	n/a	n/a	n/a	Y	no	n/a
MEDIA VENTURES MANAGEMENT LLC	n/a	n/a	n/a	Y	no	n/a
NAM BIOTECH MANAGEMENT LLC	n/a	n/a	n/a	N	yes	n/a
NAM BIOTECH MANAGEMENT LLC	n/a	n/a	n/a	Y	no	n/a
NAM SPECIAL SITUATIONS MANAGEMENT LLC	n/a	n/a	n/a	Y	no	n/a
NATIONAL INSURANCE CORPORATION	n/a	n/a	n/a	N	yes	n/a
NATIONAL SECURITIES CORPORATION	n/a	n/a	n/a	N	yes	n/a
NSC BIOTECH OPPORTUNITIES MANAGEMENT ASSOCIATES, LLC	n/a	n/a	n/a	N	yes	n/a
NSC BIOTECH VENTURE FUND MANAGEMENT ASSOCIATES LLC	n/a	n/a	n/a	Y	no	n/a
POWERMAT PARTNERS MANAGEMENT ASSOCIATES, LLC	n/a	n/a	n/a	Y	yes	n/a
TRUNCATUS MANAGEMENT LLC	n/a	n/a	n/a	Y	no	n/a
TSIF MANAGEMENT ASSOCIATES LLC	n/a	n/a	n/a	Y	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	8	yes

Relationships

Affiliated with (1)

→ B. RILEY WEALTH ADVISORS, INC.Registered adviserother investment adviser, common control
factForm ADV

Advises (8)

→ INNOVATION X HOLDINGS QP, LLC SERIES 2018-4 (LYFT)Private fundPrivate Equity Fund, IA
Dec 21, 2018 to presentfactForm ADV
→ NAM SPECIAL SITUATIONS FUND VI LLC SERIES V1Private fundPrivate Equity Fund, IA
Dec 21, 2018 to presentfactForm ADV
→ INNOVATION X HOLDINGS QP, LLC SERIES 2018-2 (PINTEREST)Private fundPrivate Equity Fund, IA
Dec 21, 2018 to presentfactForm ADV
→ INNOVATION X HOLDINGS QP, LLC SERIES 2018-3 (SPACEX)Private fundPrivate Equity Fund, IA
Dec 21, 2018 to presentfactForm ADV
→ NSC BIOTECH OPPORTUNITIES FUND, LLCPrivate fundPrivate Equity Fund, IA
Dec 21, 2018 to presentfactForm ADV
→ NSC BIOTECH OPPORTUNITIES QP FUND, LLCPrivate fundPrivate Equity Fund, IA
Dec 21, 2018 to presentfactForm ADV
→ MEDIA VENTURES FUND I, LLCPrivate fundPrivate Equity Fund, IA
Dec 2, 2016 to presentfactForm ADV
→ INNOVATION X HOLDINGS II, LLC SERIES 2018-2 (PINTEREST)Private fundPrivate Equity Fund, IA
Dec 21, 2018 to presentfactForm ADV

Controls (14)

← KOENIGSBERG, JOHN, AOwnerDIRECTOR OF OPERATIONS, ownership code NA, individual
Dec 21, 2018 to presentfactForm ADV
← KAPLAN, HENRY, EDWARDOwnerPRESIDENT & CHIEF OPERATING OFFICER, ownership code NA, individual
Dec 21, 2018 to presentfactForm ADV
← MULLEN, MICHAEL, ANTHONYOwnerDIRECTOR, EXECUTIVE CHAIRMAN, ownership code NA, individual
Dec 21, 2018 to presentfactForm ADV
← GROENEVELD, WILLIAM, LAWRENCEOwnerVICE PRESIDENT, ownership code NA, individual
Dec 21, 2018 to presentfactForm ADV
← RUNKLE, DONALD, KENNETHOwnerCHIEF REGULATORY OFFICER, ownership code NA, individual
Dec 21, 2018 to presentfactForm ADV
← WORMAN, GLENN, CHARLESOwnerDIRECTOR, ownership code NA, individual
Dec 21, 2018 to presentfactForm ADV
← DESENA, JOHN, CHARLESOwnerSECRETARY, ownership code NA, individual
Dec 21, 2018 to presentfactForm ADV
← CHAFFEE, HAROLD, GERARDOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 21, 2018 to presentfactForm ADV
← ORTEGA, DANIELOwnerCHIEF SUPERVISORY OFFICER, ownership code NA, individual
Apr 15, 2019 to presentfactForm ADV
← WATSON, NATALIA, TOVAROwnerTREASURER, ownership code NA, individual
Dec 21, 2018 to presentfactForm ADV
← KOWALCZYK, THOMAS, DAVIDOwnerCHIEF EXECUTIVE OFFICER, DIRECTOR, ownership code NA, individual
Dec 21, 2018 to presentfactForm ADV
← B.RILEY FINANCIAL, INCOwnerSHAREHOLDER ( COMMON STOCK), ownership code C, domestic entity
Apr 15, 2019 to presentfactForm ADV
← NATIONAL HOLDINGS CORPORATIONOwnerPARENT COMPANY, ownership code E, domestic entity
Dec 21, 2018 to presentfactForm ADV
← NHC HOLDINGS LLCOwnerSHAREHOLDER (COMMON STOCK), ownership code C, domestic entity
Apr 15, 2019 to presentfactForm ADV

Dated events

Occurred
Apr 15, 2019
Control person joined
Daniel Ortega (Chief Supervisory Officer) appeared on Schedule A of National Private Shares, Inc.
Form ADVobserved 5 days ago
Occurred
Apr 15, 2019
Control person left
Alison Kay Johnson (Vice President, Director) no longer on Schedule A of National Private Shares, Inc. (listed 2019-02-05, absent 2019-04-15)
Form ADVobserved 5 days ago
Occurred
Dec 21, 2018
First Form ADV filing
National Private Shares, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:40a2c0a8-d2d0-ad5c-d038-46389228e32e
First observed: Dec 21, 2018
Last observed: Nov 4, 2019 83 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

NATIONAL PRIVATE SHARES, INC.

CRD 299487

BOCA RATON, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:40a2c0a8-d2d0-ad5c-d038-46389228e32e

Data as of Nov 4, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:34 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

INNOVATION X HOLDINGS QP, LLC SERIES 2018-2 (PINTEREST)

Private Equity Fund

$60.4M

Nov 4, 2019

487

Dec 21, 2018

reported

021-313571

INNOVATION X HOLDINGS QP, LLC SERIES 2018-4 (LYFT)

Private Equity Fund

$21.7M

Nov 4, 2019

197

Dec 21, 2018

reported

021-313572

NSC BIOTECH OPPORTUNITIES QP FUND, LLC

Private Equity Fund

$17.0M

Nov 4, 2019

Dec 21, 2018

reported

021-235439

INNOVATION X HOLDINGS QP, LLC SERIES 2018-3 (SPACEX)

Private Equity Fund

$8.4M

Nov 4, 2019

Dec 21, 2018

reported

021-311656

INNOVATION X HOLDINGS II, LLC SERIES 2018-2 (PINTEREST)

Private Equity Fund

$8.0M

Nov 4, 2019

100

Dec 21, 2018

reported

021-281428

NAM SPECIAL SITUATIONS FUND VI LLC SERIES V1

Private Equity Fund

$6.9M

Nov 4, 2019

Dec 21, 2018

reported

021-320323

NSC BIOTECH OPPORTUNITIES FUND, LLC

Private Equity Fund

$5.2M

Nov 4, 2019

Dec 21, 2018

reported

021-307417

MEDIA VENTURES FUND I, LLC

Private Equity Fund

Nov 4, 2019

100

Dec 2, 2016

reported

021-264128

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

B.RILEY FINANCIAL, INC

SHAREHOLDER ( COMMON STOCK)

yes

02/2019

Apr 15, 2019

Nov 4, 2019

CHAFFEE, HAROLD, GERARD

CHIEF COMPLIANCE OFFICER

yes

10/2018

Dec 21, 2018

Nov 4, 2019

DESENA, JOHN, CHARLES

Secretary

yes

10/2018

Dec 21, 2018

Nov 4, 2019

GROENEVELD, WILLIAM, LAWRENCE

VICE PRESIDENT

yes

10/2018

Dec 21, 2018

Nov 4, 2019

KAPLAN, HENRY, EDWARD

PRESIDENT & CHIEF OPERATING OFFICER

yes

10/2018

Dec 21, 2018

Nov 4, 2019

KOENIGSBERG, JOHN, A

DIRECTOR OF OPERATIONS

yes

10/2018

Dec 21, 2018

Nov 4, 2019

KOWALCZYK, THOMAS, DAVID

CHIEF EXECUTIVE OFFICER, DIRECTOR

yes

10/2018

Dec 21, 2018

Nov 4, 2019

MULLEN, MICHAEL, ANTHONY

DIRECTOR, EXECUTIVE CHAIRMAN

yes

10/2018

Dec 21, 2018

Nov 4, 2019

NATIONAL HOLDINGS CORPORATION

PARENT COMPANY

yes

10/2018

Dec 21, 2018

Nov 4, 2019

NHC HOLDINGS LLC

SHAREHOLDER (COMMON STOCK)

yes

02/2019

Apr 15, 2019

Nov 4, 2019

ORTEGA, DANIEL

CHIEF SUPERVISORY OFFICER

yes

04/2019

Apr 15, 2019

Nov 4, 2019

RUNKLE, DONALD, KENNETH

CHIEF REGULATORY OFFICER

yes

04/2019

Dec 21, 2018

Nov 4, 2019

WATSON, NATALIA, TOVAR

Treasurer

yes

10/2018

Dec 21, 2018

Nov 4, 2019

WORMAN, GLENN, CHARLES

Director

yes

10/2018

Dec 21, 2018

Nov 4, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

NATIONAL ASSET MANAGEMENT, INC.

n/a

Bd affiliated wealth

$4.2B

yes

n/a

GILMAN CIOCIA, INC.

n/a

yes

n/a

INNOVATION X MANAGEMENT II LLC

n/a

INNOVATION X MANAGEMENT LLC

n/a

MEDIA VENTURES MANAGEMENT LLC

n/a

NAM BIOTECH MANAGEMENT LLC

n/a

yes

n/a

NAM BIOTECH MANAGEMENT LLC

n/a

NAM SPECIAL SITUATIONS MANAGEMENT LLC

n/a

NATIONAL INSURANCE CORPORATION

n/a

yes

n/a

NATIONAL SECURITIES CORPORATION

n/a

yes

n/a

NSC BIOTECH OPPORTUNITIES MANAGEMENT ASSOCIATES, LLC

n/a

yes

n/a

NSC BIOTECH VENTURE FUND MANAGEMENT ASSOCIATES LLC

n/a

POWERMAT PARTNERS MANAGEMENT ASSOCIATES, LLC

n/a

yes

n/a

TRUNCATUS MANAGEMENT LLC

n/a

TSIF MANAGEMENT ASSOCIATES LLC

n/a

City

State

Country

Employees

Also broker-dealer

NEW YORK

United States

yes