Form D · Other Investment Fund

A-GGQ-45-Fund, a series of AX-XoRs-Funds, LLC

Salt Lake City, UT · CIK 0001748528

Offering snapshot reported Sep 11, 2018 · SEC filing

Reported sold: $110K
Investors reported: 36
Minimum accepted: $1K
First sale: Sep 6, 2018

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Sep 11, 2018	Initial	$109,521	No comparison	36	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06b, 3C, 3C.1
Duration over one year: No
Business combination: No

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-321043

Source: Form D, filed Sep 11, 2018. Minimum accepted may differ from a standard advertised minimum.

Fund connections

The linked fund shows its most recently reported ADV details.

Matched by reported Form D file number

A-GGQ-45-FUND, A SERIES OF AX-XORS-FUNDS, LLC

Investment adviser: PLATFORM ADVISOR, LLC

Gross asset value: $102K
Beneficial owners: 36
ADV minimum commitment: $1K

Reported in Form ADV on Jan 15, 2020. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator ASSURE FUND MANAGEMENT, LLC SALT LAKE CITY, Utah, United States Investor statements: No (provided to no investors) Related to adviser: No

Custodian CARTA SECURITIES, LLC SAN FRANCISCO, California, United States Related to adviser: No

Marketer AL BRAND, INC. SAN FRANCISCO, California, United States Related to adviser: Yes

Provider details

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

CARTA SECURITIES, LLC
SEC 8-69701

Filing source

Form ADV 1369215 · Jan 15, 2020 · Schedule D 7.B.(1), fund 805-9974432408

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

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
Name	Reported role
Llc Assure Fund Management	Director
Jeremy Neilson	Executive
Richard Thoms	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

2150 S. 1300 E., Suite 360
Salt Lake City, UT, 84106