Form D · Other Investment Fund

Advanced Technology Fund LLC

Staten Island, NY · CIK 0001611194

Offering snapshot reported Mar 19, 2015 · SEC filing

Reported sold
$18.1M
Offering amount: $25M
Investors reported
95
Form D · investor count
Minimum accepted
$10K
Reported outside-investor minimum
First sale
Jun 6, 2014
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$9.03M$18.1MJun 20, 2014: $402,500.00Jun 20, 2014Jul 2, 2014: $1,050,000.00Jul 18, 2014: $1,301,000.00Aug 14, 2014: $3,343,449.00Sep 3, 2014: $4,986,104.00Sep 19, 2014: $5,396,104.00Oct 6, 2014: $7,161,103.00Oct 24, 2014: $7,921,104.00Nov 18, 2014: $9,819,002.00Dec 12, 2014: $11,632,432.00Dec 23, 2014: $13,329,432.00Jan 20, 2015: $13,700,432.00Mar 19, 2015: $18,052,427.00Mar 19, 2015

Dates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.

What changed?

Latest filing versus its linked predecessor, where available.

  • Reported sold$13,700,432 → $18,052,427
  • Reported investors86 → 95

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Mar 19, 2015Amendment$18,052,427$4,351,995vs Jan 20, 201595SEC filing
Jan 20, 2015Amendment$13,700,432$2,068,000vs Dec 12, 201486SEC filing
Dec 23, 2014Amendment$13,329,432$1,697,000vs Dec 12, 201480SEC filing
Dec 12, 2014Amendment$11,632,432$1,813,430vs Nov 18, 201477SEC filing
Nov 18, 2014Amendment$9,819,002$1,897,898vs Oct 24, 201468SEC filing
Oct 24, 2014Amendment$7,921,104$760,001vs Oct 6, 201464SEC filing
Oct 6, 2014Amendment$7,161,103$1,764,999vs Sep 19, 201460SEC filing
Sep 19, 2014Amendment$5,396,104$410,000vs Sep 3, 201453SEC filing
Sep 3, 2014Amendment$4,986,104$1,642,655vs Aug 14, 201463SEC filing
Aug 14, 2014Amendment$3,343,449$2,042,449vs Jul 18, 201441SEC filing
Jul 18, 2014Amendment$1,301,000$898,500vs Jun 20, 201420SEC filing
Jul 2, 2014Amendment$1,050,000$647,500vs Jun 20, 201415SEC filing
Jun 20, 2014Initial$402,500No comparison7SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
No
Business combination
No
Sales commissions
$1.62M
Finders' fees
$244K
Form D file number
021-219599
Finders Fee paid to Halycon Partners Ltd.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
PHX FINANCIAL, INC.144403
HALYCON CABOT PARTNERS Ltd.32664

Source: Form D, filed Mar 19, 2015. 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

ADVANCED TECHNOLOGY FUND LLC - SERIES A

Investment adviser: L3 CAPITAL ADVISORS LLC

Gross asset value
$7.06M
Beneficial owners
67
ADV minimum commitment
$100K

Reported in Form ADV on Mar 30, 2020. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

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

Filing source

Form ADV 1402347 · Mar 30, 2020 · Schedule D 7.B.(1), fund 805-5210259090

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
NameReported role
Richard Cardinale Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
163 Coventry Road
Staten Island, NY, 10304