​​​​Legal Disclaimer

Last updated: September 8, 2026

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Who we are

In this disclaimer, "Rising Phoenix," "we," "us," and "our" mean Rising Phoenix Capital Ventures, LLC and its affiliated companies, including, where the context requires, their principals and the general partners, managers, and servicers of the investment programs they sponsor.

 

Rising Phoenix Capital Ventures, LLC is the general partner of the Fund. Other Rising Phoenix affiliates serve as sponsor, manager, general partner, or servicer of other programs, as identified in each program's own offering documents, which control.

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Accredited investors only

Participation in any investment opportunity described on this website is restricted to persons and entities that qualify as accredited investors under Rule 501 of Regulation D and applicable state law. Offerings are made under Rule 506(c), which requires Rising Phoenix to verify accredited status through documentation rather than accept self-certification. Verification is completed before any subscription is accepted.

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This website is not an offer

Nothing on this website constitutes an offer to sell or a solicitation of an offer to buy any security. Any offer is made only through the offering documents for a specific offering. Where this website and the offering documents conflict, the offering documents control. No security may be offered or sold in any jurisdiction where that would be unlawful.

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Speculative, illiquid, unsecured

Interests in Rising Phoenix offerings are speculative, illiquid, and unsecured. There is no public market for them and none is expected to develop. Transfer is restricted. Investors should be prepared to hold for the full term of the offering and to bear a complete loss of capital.

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Distributions are not guaranteed

Preferred returns and distributions are paid from available cash flow and reserves. They are not guaranteed, are not debt obligations of Rising Phoenix or any affiliate, and may be reduced, suspended, or discontinued at any time. Royalty income depends on commodity prices, well production performance, decline rates, and operator decisions regarding development and operations — none of which Rising Phoenix controls. Mineral and royalty owners do not control whether, when, or how wells are drilled or operated.

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Targets and projections

Any targeted or projected yield, equity multiple, internal rate of return, or hold period shown on this website is an objective only, based on the sponsor's underwriting assumptions for the intended portfolio. Such figures are not guaranteed, are not a projection of any individual investor's results, and may not be achieved. Actual results may differ materially. Internal rate of return is a time-weighted measure sensitive to the timing of contributions and distributions, and will differ from cash yield. Statements about future events or performance are forward-looking statements that involve risks, assumptions, and uncertainties, and Rising Phoenix undertakes no obligation to update them.

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Past performance

Historical figures shown on this website, including distribution yields, equity multiples, and internal rates of return, come from Rising Phoenix's internal records and are unaudited. Annual cash yield reflects total cash distributed to investors in a period divided by invested capital. In years that include asset sales, those figures include the return of investors' original capital, not investment profit alone, and they are not internal rates of return or compounded returns. Where an average across funds is shown, it is a simple average of fund-level results rather than a composite return, individual fund and investor results vary, and the range of individual results is materially wider than the average. Prior programs are separate offerings that differ from any current offering in strategy, terms, fees, vintage, size, and market conditions. Past performance is not indicative of future results.

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Conflicts of interest

Rising Phoenix and its affiliates serve in multiple roles across our offerings, including as sponsor, general partner, and servicer, and receive fees and promoted interests in those capacities. Affiliates may acquire, hold, or sell mineral interests alongside or from our funds. These arrangements present conflicts of interest, which are described in the offering documents for each offering. Read them.

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Distribution and compensation

Interests in certain offerings are distributed through a managing broker-dealer that is a member of FINRA and SIPC, and through selling group members or placement agents it may engage. Where an offering is distributed that way, the managing broker-dealer and any selling group member or placement agent receives compensation in connection with the sale of interests. The amount, form, and payer of that compensation are described in the applicable offering documents, which control. Transaction-based compensation is itself a conflict of interest, because a person who receives it has a financial incentive to recommend an investment.

 

Rising Phoenix does not pay compensation to investment advisers. We do not pay, and do not offer to pay, any commission, revenue share, marketing allowance, solicitation fee, or other consideration to registered investment advisers, wealth managers, family offices, or their firms or personnel in connection with a client's investment in one of our offerings.

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No adviser relationship

Rising Phoenix is the sponsor and issuer of its offerings. Rising Phoenix is not a registered investment adviser and is not acting as an investment adviser, fiduciary, or municipal adviser to you, to any investment professional, or to any investment professional's clients. Nothing on this website creates an advisory or fiduciary relationship.

 

Materials directed to investment advisers, wealth managers, family offices, and other financial intermediaries are provided for their own professional evaluation. An adviser considering an offering for a client is solely responsible for its own due diligence, for determining suitability under its own standards and applicable law, and for meeting its own regulatory, disclosure, and fiduciary obligations to that client. Rising Phoenix does not evaluate suitability for any adviser's client.

 

Custody arrangements, platform availability, and operational details described on this website are subject to change and to the policies and eligibility requirements of the applicable custodian or platform.

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Third-party due diligence reports

Rising Phoenix may make available a due diligence report or similar analysis prepared by an independent third-party due diligence firm. Any such report was prepared by a firm engaged and compensated by Rising Phoenix or by the offering. It is not a recommendation to invest, not an endorsement of Rising Phoenix or any offering, not a rating, and not investment advice. It reflects the preparer's analysis as of its date, based on information available to and provided by us at that time, and is subject to the assumptions, scope, and limitations stated in the report itself. It is not a substitute for your own due diligence or for reading the offering documents. Reports are made available only to persons for whom they are appropriate and may be subject to confidentiality restrictions.

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Service providers are not endorsers

Rising Phoenix engages independent service providers, which may include custodians, fund administrators and transfer agents, independent auditors, reserve engineers, legal counsel, and due diligence firms. Naming a service provider identifies a relationship only. It is not an endorsement, recommendation, approval, or guarantee by that provider of Rising Phoenix, of any offering, or of any investment, and no service provider has reviewed or approved the content of this website.

 

Where an offering is available for custody at a particular custodian, that reflects the custodian's administrative acceptance of the asset for holding in client accounts. It is not a recommendation, endorsement, due diligence determination, or approval of the offering by that custodian, and it does not mean the custodian has evaluated the merits of the investment. Custodial acceptance is subject to change and to the custodian's own policies.

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Tax matters

Statements regarding tax treatment, including the percentage depletion allowance generally available to owners of mineral and royalty interests, are general in nature and are not tax advice. Tax treatment depends on each investor's individual circumstances and on law that is subject to change. Investors in our funds receive a Schedule K-1, which may be delivered after the standard filing deadline and may require an extension. Consult your own tax advisor.

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Testimonials

Any investor statement appearing on this website reflects the individual experience of the person quoted, was provided voluntarily and without compensation unless otherwise disclosed, and is not representative of every investor's experience. It is not a guarantee of future performance or success.

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Third-party information and media

Market data, industry information, and media coverage referenced on this website are provided for context and come from sources we believe reliable. Rising Phoenix does not independently verify, and does not guarantee, their accuracy or completeness. Media coverage is not an endorsement of any offering, and any award, ranking, or list is not indicative of future performance. Links to third-party sites are provided for convenience; we are not responsible for their content or privacy practices.

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Website content

This website may contain technical inaccuracies or typographical errors, and content may change without notice. Rising Phoenix makes no warranty, express or implied, regarding the website, and disclaims all implied warranties to the fullest extent permitted by law. Maps, diagrams, renderings, and other illustrations are for illustrative purposes only, are not to scale unless stated, do not depict any specific asset, property, well, or project unless expressly identified, and may be created or enhanced using artificial intelligence tools.

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Communications and fraud prevention

Do not transmit account numbers, government identification numbers, or funding instructions to us by unsecured email. Rising Phoenix will never change wire instructions by email. If you receive any communication appearing to come from us that changes payment or funding instructions, do not act on it — call us at 469.658.0211, using the number published here, to confirm.

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Contact

Rising Phoenix Capital Ventures, LLC
Attn: Compliance Department

3824 Cedar Springs Rd #801-1932

Dallas, Texas 75219-4136

 

investor_relations@rising-phoenix.com

 

support@rising-phoenix.com

 

469.658.0211 · Monday–Friday, 9:00am–5:00pm Central

 

Written notices to Rising Phoenix should be sent to the address above, marked Attention: Compliance.​​​​​​​​

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Privacy Policy

Last updated: September 8, 2026

 

Rising Phoenix Capital Ventures, LLC and its affiliated companies ("Rising Phoenix," "we," "us," "our") respect your privacy. This policy explains what we collect, how we use it, and the choices you have. Rising Phoenix Capital Ventures, LLC is the general partner of the Fund and is responsible for the information practices described here. Having been named once, the short form "Rising Phoenix" is used throughout.

Making a request

The fastest way to reach us about your information is the request form at rising-phoenix.com/contact. Choose a Request Type and we will route it to the right team and log the date we received it. The form handles:

 

• General inquiry — anything not listed below

• Do not call / remove my number — puts your number on our internal do-not-call list, described in Section 8

• Do not sell or share my personal information — opts you out of cross-context behavioral advertising and targeted advertising, described in Section 5

• Access the information you have about me — the categories and specific pieces of personal information we hold, described in Section 9

• Correct my information

• Delete my information

• Appeal a previous decision — if we declined an earlier request, this is how you ask us to reconsider, described in Section 9

 

We ask for your state of residence because the rights available to you depend on where you live. You may also email support@rising-phoenix.com, call 469.658.0211, or write to the address in Section 14. Before we act on a request about specific personal information we will verify your identity, and we may need to ask you for additional information to do that.

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1. Notice at collection

We collect the categories of personal information described in Section 2 when you use this website, submit a form, schedule a call, or invest with us. We use it for the purposes in Section 3, share it with the categories of recipients in Section 6, and retain it for the periods in Section 11. We do not sell personal information for money. We do share personal information for cross-context behavioral advertising, and you may opt out at any time — see Section 5.

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2. Information we collect

Information you give us

 

• Identifiers: name, postal address, email address, telephone number

• Professional information: employer, title, investor experience

• Financial information: investment amount, accreditation status, source of funds, custodian and account information, and banking details necessary to process subscriptions and distributions

• Verification information: documentation supporting accredited investor status, and identity verification information collected to meet anti-money-laundering and know-your-customer obligations

• Communications: messages, call recordings where disclosed and permitted, meeting notes, and scheduling information

 

Information from investment professionals

 

If you contact us as an investment adviser, wealth manager, family office, broker-dealer, consultant, or other financial intermediary, we may collect your name and business contact information, your firm name and your role, your firm's custodian or custodians, assets under management or advisement, and the contents of your diligence questions and correspondence. If you later introduce a client to an offering, we may receive information about that client from you or from the client directly, and we handle it as described in this policy.

 

We do not contact your clients on our own initiative. Where you act as an intermediary, we do not add your clients to our marketing lists and do not solicit them independently based on information you give us. We communicate with a client you introduce in connection with that client's own inquiry, subscription, or investment, and, where you ask us to, with you included.

 

Information collected automatically

 

• Internet and device activity: IP address, device type, browser type, operating system, pages viewed, time on page, referring and exit URLs

• Approximate location derived from IP address

• Information from cookies, pixels, and similar technologies

 

Information from other sources

 

• Service providers who verify identity or accredited status

• Custodians and administrators involved in your investment

• Advertising and analytics partners

• Investment advisers and other intermediaries who introduce a client to an offering

• Publicly available sources

 

Sensitive personal information. To process an investment we may collect a Social Security number or taxpayer identification number, government identification, and financial account information. We collect and use sensitive personal information only to perform the services requested, to meet legal and regulatory obligations, and for related purposes permitted by law. We do not use or disclose sensitive personal information to infer characteristics about you.

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3. How we use information

• To respond to inquiries and to schedule and conduct calls and appointments

• To evaluate, process, and administer investments, including verifying accredited investor status

• To respond to due diligence requests from investment professionals and their firms

• To make distributions and provide tax reporting, including Schedule K-1

• To meet legal, regulatory, recordkeeping, and anti-money-laundering obligations

• To operate, secure, analyze, and improve the website

• To communicate about offerings, portfolio updates, and events

• To measure and improve advertising
   

4. Cookies and tracking

We use session and persistent cookies, pixels, and similar technologies for authentication, site functionality, analytics, and advertising measurement. Most browsers let you refuse or delete cookies; some features may not work correctly if you do.

 

Opt-out preference signals. We honor the Global Privacy Control (GPC) and treat it as a valid request to opt out of the sale or sharing of personal information from the browser that transmits it. We do not currently respond to legacy "Do Not Track" browser headers, which have no agreed standard.

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5. Advertising, and what "sharing" means

We use advertising and analytics services including Google Analytics, Google Ads, and Meta (Facebook and Instagram). These services set cookies and receive information about your interaction with our website through tags on our pages.

 

Matched audiences. We may also provide advertising platforms with hashed identifiers, such as a hashed email address, so that we can reach people who are already in our contacts, exclude them from campaigns, or build audiences of people with similar characteristics. Hashing obscures the identifier but does not make it anonymous. Platforms are contractually limited in how they may use these lists.

 

Under California law, disclosing personal information to an advertising partner for cross-context behavioral advertising is treated as "sharing," and several other state laws treat it as "targeted advertising," even when no money changes hands.

 

We do not sell personal information for money. We do share personal information for cross-context behavioral advertising as described above. You may opt out at any time by choosing "Do not sell or share my personal information" on the request form at rising-phoenix.com/contact, by using the "Do Not Sell or Share My Personal Information" link in our website footer, by transmitting a GPC signal, or by emailing support@rising-phoenix.com. We do not sell or share the personal information of anyone we know to be under 16 years of age.

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6. Who we share information with

• Service providers performing services for us: hosting, analytics, advertising, email and text messaging, voice and voicemail delivery, scheduling, customer relationship management, electronic signature, investor portal and fund administration, identity and accreditation verification, third-party due diligence review, and payment processing

• Affiliates within the Rising Phoenix group, for the purposes described in this policy

• Professional advisors: attorneys, accountants, auditors

• Custodians and administrators connected to your investment

• Your own investment adviser or other representative, where you have authorized us to work with them

• Broker-dealers and their registered representatives, where an offering is distributed through them

• Regulators and law enforcement, where required by law, subpoena, or legal process, or to protect our rights, safety, or property

• Counterparties in a corporate transaction, such as a merger, financing, or sale of assets

 

We do not authorize service providers to use personal information for their own purposes.

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7. Your consent to be contacted

How you give consent. You give us permission to contact you when you take any action that provides us your contact information. That includes submitting any form on this website, booking a call, meeting, or appointment, requesting an investor presentation, offering materials, or a due diligence package, registering for a webinar or event, subscribing to updates or a newsletter, downloading a guide, starting a chat, or submitting a lead form on a platform where we advertise, such as Meta, Google, or LinkedIn.

 

What you are agreeing to. By doing any of those things, you agree that Rising Phoenix, its affiliates, and service providers acting on our behalf may contact you at the email address and telephone number you provide — by email, telephone call, text message, and voicemail — about your inquiry, our investment offerings, appointment scheduling and reminders, and related information. You agree that we may contact you at the telephone number you provide even if that number appears on a federal or state do-not-call registry, because you have asked us to contact you.

 

Automated, prerecorded, and AI-assisted communications. You agree that these communications may be sent, placed, delivered, drafted, or answered using automated systems and artificial intelligence tools. This includes automatic telephone dialing systems; automated and scheduled text messaging; AI chat assistants and messaging bots that answer questions and help schedule a call; automated email sequences; prerecorded and artificial voice messages, including AI-generated voice messages and voicemail messages delivered to your voicemail box without ringing your phone; and AI tools that help our team prepare and organize communications.

 

An AI assistant does not provide investment advice or recommendations. Any discussion of an offering's terms happens with our team and is governed by that offering's documents.

 

Every prerecorded or AI voice message we send will identify Rising Phoenix at the beginning of the message, give a telephone number you can call to reach us, and give you an automated way to tell us to stop. We do not send these messages before 8:00am or after 9:00pm in your time zone.

 

Consent is not a condition of investing. You may invest without agreeing to receive marketing calls, text messages, or voicemail messages, and you may withdraw consent at any time as described in Section 8. Withdrawing consent does not affect communications required to service an existing investment.

 

Text messages. Message frequency varies. Message and data rates may apply. Reply HELP for help and STOP to stop. Carriers are not liable for delayed or undelivered messages. Telephone numbers collected for text messaging, and your consent to receive text messages, are never shared or sold to any third party for that third party's own marketing purposes.

 

Call recording. Calls with Rising Phoenix may be recorded or transcribed for quality, training, recordkeeping, and compliance purposes where permitted by law. Where the law of your state requires the consent of all parties, you will be notified at the start of the call and may decline recording. Recordings and transcripts may be processed by third-party tools, including AI-assisted summarization tools, under contract with us.

 

Email. You may unsubscribe from marketing email at any time using the unsubscribe link in any marketing message, or by submitting a request at rising-phoenix.com/contact. We will still send transactional and account communications required to service an existing investment.

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8. Stopping contact, and your do-not-call rights

We do not call, text, or send voicemail messages before 8:00am or after 9:00pm in your own time zone, and we observe any stricter limit your state imposes.

 

How to stop contact. Tell any representative "do not call me again," "remove my number," "stop all calls," or "put me on your do not call list," reply STOP, END, QUIT, UNSUBSCRIBE, or CANCEL to any text, or use the opt-out option offered in any recorded message. You may also choose "Do not call / remove my number" on the request form at rising-phoenix.com/contact, email support@rising-phoenix.com, or write to the address in Section 14, marked Attention: Do Not Call. You may revoke consent by any reasonable method, you do not need to give a reason, and we will confirm the request.

 

What happens next. Your number goes on our internal do-not-call list. We implement the request as quickly as practicable and in every case within ten days. We retain the record for a minimum of five years. Once your number is on that list, neither Rising Phoenix nor any third party we contract with will contact you for sales purposes.

 

One exception, and it is narrow. If you hold an account, an investment, or a property interest with us, we may still contact you to service that relationship. That is account servicing, not solicitation, and it stops when the relationship ends or when you tell us to stop.

 

You may also register with the National Do Not Call Registry at donotcall.gov. Rising Phoenix maintains a written do-not-call policy; to request a copy, email support@rising-phoenix.com.

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9. Your privacy rights

Depending on your state of residence, you may have the right to:

 

• Know and access the categories and specific pieces of personal information we have collected, the sources, the purposes, and the categories of recipients

• Correct inaccurate personal information

• Delete personal information, subject to exceptions

• Obtain a portable copy of personal information you provided

• Opt out of the sale or sharing of personal information, of targeted advertising, and of profiling that produces legal or similarly significant effects

• Limit the use and disclosure of sensitive personal information

• Be free from discrimination for exercising any of these rights

 

How to exercise them. Use the request form at rising-phoenix.com/contact and choose the Request Type that matches what you want — access, correction, deletion, do not sell or share, or do not call. You may also email support@rising-phoenix.com or use the contact information in Section 14. We will verify your identity before acting on a request, and we respond within the time the law of your state allows.

 

If we say no, you can appeal. Choose "Appeal a previous decision" on the same form. We will review the decision again and respond within the period required by law. If we deny the appeal, we will tell you how to submit a complaint to your state attorney general.

 

California. California residents have the rights above under the CCPA as amended by the CPRA, and may designate an authorized agent to submit requests. Agents must provide proof of authorization, and we may require you to verify your own identity directly. We respond within 45 days, extendable by a further 45 days where reasonably necessary.

 

California "Shine the Light." California Civil Code § 1798.83 permits California residents to request, once per year and free of charge, information about the personal information we disclosed to third parties for those third parties' own direct marketing purposes during the prior calendar year. Rising Phoenix does not disclose personal information to third parties for their own direct marketing purposes. To make a request, email support@rising-phoenix.com with "Shine the Light Request" in the subject line.

 

Texas. Texas residents have the rights above under the Texas Data Privacy and Security Act, and we recognize universal opt-out mechanisms, including the Global Privacy Control, as a valid opt-out of targeted advertising. If we decline to act on your request, you may appeal using the "Appeal a previous decision" option on our request form. We will respond to an appeal within the period required by law, and if we deny the appeal we will tell you how to submit a complaint to the Texas Attorney General.

 

Other states. Residents of states with comprehensive privacy laws may have similar rights and may submit requests through the same form and contact methods.

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10. Financial privacy

Nonpublic personal financial information collected in connection with an investment is handled in accordance with applicable federal financial privacy law and the privacy notice provided to investors with their offering documents. Where that notice and this policy differ with respect to investment information, the investor privacy notice controls.

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11. Retention

We retain personal information for as long as necessary for the purposes described in this policy, and longer where required by law — including recordkeeping obligations that apply to securities offerings, tax records, and anti-money-laundering rules. Records relating to an investment are generally retained for the life of the investment and for the statutory period after it ends. Consent records and do-not-call records are retained for a minimum of five years.

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12. Security

We use commercially reasonable administrative, technical, and physical safeguards to protect personal information. No method of transmission over the Internet or method of electronic storage is 100% secure, and we cannot guarantee absolute security. Do not send account numbers, government identification numbers, or funding instructions by unsecured email.

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13. Children

This website is not directed to children under 13, and we do not knowingly collect personal information from them. If you believe a child has provided us personal information, email support@rising-phoenix.com and we will delete it.

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14. Changes and contact

We may update this policy from time to time. Material changes will be reflected in the "Last updated" date above and, where required, communicated to you directly.

 

To make a privacy request, use the form at rising-phoenix.com/contact. To reach us any other way:

 

Rising Phoenix Capital Ventures, LLC

Attn: Compliance Department

3824 Cedar Springs Rd #801-1932

Dallas, Texas 75219-4136

 

support@rising-phoenix.com · 469.658.0211

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Regulatory Disclosure

Last updated: September 8, 2026

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What this page covers

This page describes the regulatory status of Rising Phoenix and its affiliates, the exemptions our offerings rely on, the third parties involved in them, and how you can independently verify what we say about ourselves.

 

Investment risk, performance figures, forward-looking statements, and the terms of use for this website are addressed in our Legal Disclaimer. How we collect and use information, and your contact and privacy choices, are addressed in our Privacy Policy. Where those documents and this page overlap, read them together.

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Entities and their roles

"Rising Phoenix" refers to Rising Phoenix Capital Ventures, LLC and its affiliated companies. The affiliated group includes entities operating under the Rising Phoenix Capital, Rising Phoenix Resources, and Rising Phoenix Royalties names.

 

Different affiliates serve different functions depending on the program: sponsor, general partner, manager, and servicer. The entity responsible for any particular offering is identified in that offering's own governing documents, which control. Do not infer from this website which entity stands behind a given program.

 

Each investment program is a separate legal entity with its own documents, terms, economics, and risks. An investment in one program creates no interest in, and no claim against, any other program or against Rising Phoenix generally.

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Investment adviser status

Rising Phoenix Capital Ventures, LLC is an Exempt Reporting Adviser with the U.S. Securities and Exchange Commission.

 

• SEC File No. 802-136482

• CRD / Firm No. 342604

• Form ADV filed May 13, 2026

• Status: Active

 

The firm's filing appears on the SEC's Investment Adviser Public Disclosure system under the name Rising Phoenix Capital, with Rising Phoenix Capital Ventures, LLC listed as an additional business name for the same firm.

 

An Exempt Reporting Adviser is not a registered investment adviser. Exempt Reporting Advisers file only portions of Form ADV, are not subject to the full registration, examination, and compliance regime that applies to registered advisers, and do not deliver a Form ADV Part 2 brochure. Rising Phoenix remains subject to the antifraud provisions of the Investment Advisers Act, including Section 206 and Rule 206(4)-8, which governs statements made to investors and prospective investors in pooled investment vehicles.

 

Exempt Reporting Adviser status is a filing status. It is not registration, approval, endorsement, or a finding of any kind by the SEC or by any state regulator, and it says nothing about the merits of any offering.

 

Our Form ADV, and any disclosure events reported on it, are public. Read them at adviserinfo.sec.gov, searching by the firm name or by CRD number 342604.

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Securities offerings and exemptions

Interests in Rising Phoenix programs are not registered under the Securities Act of 1933 or under any state securities law. They are offered in reliance on exemptions from registration, most commonly Rule 506(c) of Regulation D.

 

• No regulator has approved anything. Neither the SEC nor any state securities regulator has approved or disapproved any offering, passed upon its merits or fairness, or passed upon the accuracy or adequacy of this website or of any offering document. Any representation to the contrary is unlawful.

• Form D. For each offering conducted under Regulation D, a Form D notice is filed with the SEC and is publicly available on the SEC's EDGAR system at sec.gov/edgar. A Form D is a notice filing. It is not a registration, and the SEC does not review it for accuracy.

• State notice filings. Securities sold under Rule 506 are federal covered securities. States may require notice filings and fees but do not review the merits of the offering.

• General solicitation. Rule 506(c) permits us to advertise an offering publicly, including on this website and through paid advertising, on the condition that every purchaser is an accredited investor whose status we have verified. Nothing on this website constitutes an offer of any program for which general solicitation is not permitted.
   

Investor eligibility and verification

Most offerings on this website are available only to accredited investors as defined in Rule 501 of Regulation D. Under Rule 506(c) we must take reasonable steps to verify accredited status through documentation. Self-certification is not sufficient. Verification may require tax returns, brokerage or bank statements, or a written confirmation from your attorney, certified public accountant, registered investment adviser, or registered broker-dealer, and may be performed on our behalf by an independent verification provider.

 

Certain offerings may be conducted under other exemptions that permit participation by persons who are not accredited investors, where the exemption and that offering's documents allow. Eligibility standards are set per offering and stated in its documents.

 

Meeting an eligibility standard is not a determination that an investment is suitable for you.

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Distribution, compensation, and conflicts

Interests in certain offerings are distributed through a managing broker-dealer that is a member of FINRA and SIPC, and through selling group members or placement agents it may engage. Where an offering is distributed that way:

 

• The managing broker-dealer and any selling group member or placement agent receives compensation in connection with the sale of interests. The amount, form, and payer are stated in that offering's documents.

• Transaction-based compensation is a conflict of interest: a person who receives it has a financial incentive to recommend an investment.

• A registered broker-dealer's recommendations to retail customers are governed by Regulation Best Interest, which is an obligation of that broker-dealer, not of Rising Phoenix as issuer.

• You can check any broker-dealer or registered representative at brokercheck.finra.org.

 

Rising Phoenix and its affiliates separately receive management fees, acquisition fees, servicing fees, and a carried or promoted interest, as described in each offering's documents. These are conflicts of interest and are disclosed there.

 

Rising Phoenix does not pay compensation to investment advisers. We do not pay, and do not offer to pay, any commission, revenue share, marketing allowance, solicitation fee, or other consideration to registered investment advisers, wealth managers, family offices, or their firms or personnel in connection with a client's investment.

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No insurance, no guarantee

Interests in Rising Phoenix programs are not deposits, are not insured by the FDIC or any government agency, are not guaranteed by any bank, and may lose value, including all of the value invested.

 

SIPC membership does not protect your investment. Where an offering is distributed through a SIPC-member broker-dealer, SIPC protects customer assets held by a failed brokerage firm. It does not protect against a decline in the value of an investment, and it does not guarantee the performance of any offering.

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Anti-money laundering and identity verification

We are required to verify the identity of investors and, in appropriate cases, the source of investment funds, and to screen against applicable sanctions lists. We may request documentation, may decline a subscription, and may be required to report or restrict activity. Providing false information in connection with a subscription may be a criminal offense.

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Independent service providers

Rising Phoenix engages independent third parties in connection with its programs. Depending on the program, these may include a fund administrator or transfer agent, an independent registered public accounting firm, independent petroleum reserve engineers, legal counsel, a qualified custodian, and third-party due diligence firms.

 

Engaging a service provider is not an endorsement by that provider. No service provider has reviewed or approved this website. Where an offering is accepted for custody at a particular custodian, that acceptance is an administrative decision by the custodian to hold the asset in client accounts. It is not a recommendation, an endorsement, a due diligence determination, or an evaluation of the merits of the investment.

 

A due diligence report prepared by an independent third-party firm was prepared by a firm engaged and compensated by Rising Phoenix or by the offering. It is not a rating, not a recommendation, and not an endorsement.

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Investor reporting and tax

Investors in our funds receive a Schedule K-1. K-1s may be delivered after the standard individual filing deadline and may require you to extend your return. Tax treatment depends on your own circumstances and on law that may change. Nothing on this website is tax advice.

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Marketing, calls, and recorded communications

• Consent. When you submit a form, book a call, request materials, or otherwise give us your contact information, you consent to be contacted as described in our Privacy Policy, including by automated systems, AI-assisted messaging, and prerecorded or artificial voice messages. Consent is not a condition of investing and may be withdrawn at any time.

• Do-not-call. We maintain a written do-not-call policy and an internal do-not-call list. A copy of the written policy is available on request at support@rising-phoenix.com. Requests to stop contact are implemented within ten days and the record is retained for at least five years.

• Call recording. Calls may be recorded or transcribed for quality, training, recordkeeping, and compliance. Where the law of your state requires all-party consent, you will be notified at the start of the call and may decline.

• AI-assisted communications. Some of our communications are generated or assisted by artificial intelligence. An AI assistant does not provide investment advice, does not make offers, and cannot agree to terms. Any discussion of an offering's terms occurs with our team and is governed exclusively by that offering's documents. Where an automated message and the offering documents conflict, the documents control.
   

Privacy of financial information

Nonpublic personal financial information collected in connection with an investment is handled under applicable federal financial privacy law and under the privacy notice delivered to investors with their offering documents. Where that notice and our website Privacy Policy differ with respect to investment information, the investor privacy notice controls.

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How to verify us, and where to complain

We would rather hear from you first. Contact our Compliance Department using the details below, and we will respond in writing.

 

You may also independently verify or contact:

 

• SEC investment adviser filings — adviserinfo.sec.gov  (search CRD 342604)

• SEC offering filings (Form D) — sec.gov/edgar 

• Broker-dealers and registered representatives — brokercheck.finra.org 

• SEC investor complaints — sec.gov/tcr, or investor.gov for investor education

• Texas State Securities Board — for Texas residents, ssb.texas.gov 

• Your own state securities regulator — nasaa.org maintains a directory

• Privacy complaints — the Texas Attorney General for Texas residents, or your state attorney general
   

Contact

Rising Phoenix Capital Ventures, LLC

Attn: Compliance Department

3824 Cedar Springs Rd #801-1932

Dallas, Texas 75219-4136

 

support@rising-phoenix.com

 

469.658.0211 · Monday - Friday, 9:00am - 5:00pm Central