Investment adviser · CRD 287901

L3 CAPITAL ADVISORS LLC

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Mar 30, 2020

Regulatory AUM: $175M
Client accounts: 13
Employees: 6
Advisory professionals: 6

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Pooled investment vehicles	13	$174,555,145	100.0%

Filing source

Form ADV 1402347 · Mar 30, 2020 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

41 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

ADVANCED TECHNOLOGY SELECT FUND LLC - SERIES CPrivate Equity Fund · Last reported Mar 30, 2020$18.8MGross asset value

Auditor DASZKOWSKI, TOMPKINS, WEG & CARBONELLA, P.C. STATEN ISLAND, New York, United States

Marketer PHX FINANCIAL, INC. NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: No
Administrator other than the adviser: No
External marketing: Yes

DASZKOWSKI, TOMPKINS, WEG & CARBONELLA, P.C.
PCAOB 3978

PHX FINANCIAL, INC.
CRD 144403 · SEC 8-67653

Fund details & source

Fund ID: 805-1028945176
Reported beneficial owners: 78
Minimum commitment: $100K
Form D file number: 021-236868

Form ADV 1402347 · Mar 30, 2020 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

MOGO INDUSTRIES LLCPrivate Equity Fund · Last reported Mar 30, 2020$13.2MGross asset value

Form D fundraising filings

Mogo Industries LLC

Auditor DASZKOWSKI, TOMPKINS, WEG & CARBONELLA, P.C. STATEN ISLAND, New York, United States

Custodian AXOS CLEARING LLC OMAHA, Nebraska, United States Related to adviser: No

Marketer PHX FINANCIAL, INC. NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: No
External marketing: Yes

DASZKOWSKI, TOMPKINS, WEG & CARBONELLA, P.C.
PCAOB 3978

AXOS CLEARING LLC
SEC 8-53595

PHX FINANCIAL, INC.
CRD 144403 · SEC 8-67653

Fund details & source

Fund ID: 805-4048557221
Reported beneficial owners: 88
Minimum commitment: $100K
Form D file number: 021-201525

Form ADV 1402347 · Mar 30, 2020 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

L3 CAPITAL INCOME FUND LLCPrivate Equity Fund · Last reported Mar 30, 2020$12.2MGross asset value

Form D fundraising filings

L3 Capital Income Fund LLC

Auditor DASZKOWSKI, TOMPKINS, WEG & CARBONELLA, P.C. STATEN ISLAND, New York, United States

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: No
Administrator other than the adviser: No
External marketing: No

DASZKOWSKI, TOMPKINS, WEG & CARBONELLA, P.C.
PCAOB 3978

Fund details & source

Fund ID: 805-2382814079
Reported beneficial owners: 25
Minimum commitment: $100K
Form D file number: 021-353008

Form ADV 1402347 · Mar 30, 2020 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

L3 CUBED LLC - SERIES CPrivate Equity Fund · Last reported Mar 30, 2020$11.9MGross asset value

Auditor DASZKOWSKI, TOMPKINS, WEG & CARBONELLA, P.C. STATEN ISLAND, New York, United States

Marketer PHX FINANCIAL, INC. NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: No
Administrator other than the adviser: No
External marketing: Yes

DASZKOWSKI, TOMPKINS, WEG & CARBONELLA, P.C.
PCAOB 3978

PHX FINANCIAL, INC.
CRD 144403 · SEC 8-67653

Fund details & source

Fund ID: 805-2176260922
Reported beneficial owners: 81
Minimum commitment: $100K
Form D file number: 021-212449
Form D file number: 021-258537

Form ADV 1402347 · Mar 30, 2020 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

ADVANCED TECHNOLOGY FUND LLC - SERIES CPrivate Equity Fund · Last reported Mar 30, 2020$10.9MGross asset value

Auditor DASZKOWSKI, TOMPKINS, WEG & CARBONELLA, P.C. STATEN ISLAND, New York, United States

Marketer PHX FINANCIAL, INC. NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: No
Administrator other than the adviser: No
External marketing: Yes

DASZKOWSKI, TOMPKINS, WEG & CARBONELLA, P.C.
PCAOB 3978

PHX FINANCIAL, INC.
CRD 144403 · SEC 8-67653

Fund details & source

Fund ID: 805-7204607469
Reported beneficial owners: 76
Minimum commitment: $100K
Form D file number: 021-219599

Form ADV 1402347 · Mar 30, 2020 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

ADVANCED TECHNOLOGY SELECT FUND II LLC - SERIES BPrivate Equity Fund · Last reported Mar 30, 2020$8.9MGross asset value

Auditor DASZKOWSKI, TOMPKINS, WEG & CARBONELLA, P.C. STATEN ISLAND, New York, United States

Marketer PHX FINANCIAL, INC. NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: No
Administrator other than the adviser: No
External marketing: Yes

DASZKOWSKI, TOMPKINS, WEG & CARBONELLA, P.C.
PCAOB 3978

PHX FINANCIAL, INC.
CRD 144403 · SEC 8-67653

Fund details & source

Fund ID: 805-5182912249
Reported beneficial owners: 48
Minimum commitment: $100K
Form D file number: 021-245940

Form ADV 1402347 · Mar 30, 2020 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

ADVANCED TECHNOLOGY SELECT FUND II LLC - SERIES APrivate Equity Fund · Last reported Mar 30, 2020$8.25MGross asset value

Auditor DASZKOWSKI, TOMPKINS, WEG & CARBONELLA, P.C. STATEN ISLAND, New York, United States

Custodian AXOS CLEARING LLC OMAHA, Nebraska, United States Related to adviser: No

Marketer PHX FINANCIAL, INC. NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: No
External marketing: Yes

DASZKOWSKI, TOMPKINS, WEG & CARBONELLA, P.C.
PCAOB 3978

AXOS CLEARING LLC
SEC 8-53595

PHX FINANCIAL, INC.
CRD 144403 · SEC 8-67653

Fund details & source

Fund ID: 805-2351394462
Reported beneficial owners: 77
Minimum commitment: $100K
Form D file number: 021-245940

Form ADV 1402347 · Mar 30, 2020 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Mar 30, 2020. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Fixed · Performance-based

Principal office

75 WALL STREET, SUITE 23R
NEW YORK, NY, 10005, United States

CRD 287901

Filing source

Form ADV 1402347 · Mar 30, 2020 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.