Form D · Other Investment Fund

Advanced Technology Select Fund IV LLC

New York, NY · CIK 0001722516

Offering snapshot reported Apr 11, 2018 · SEC filing

Reported sold
$14.6M
Offering amount: $50M
Investors reported
95
Form D · investor count
Minimum accepted
$100K
Reported outside-investor minimum
First sale
Oct 31, 2017
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$7.31M$14.6MNov 14, 2017: $4,269,430.00Nov 14, 2017Apr 11, 2018: $14,622,693.00Apr 11, 2018

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$4,269,430 → $14,622,693
  • Reported investors43 → 95

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Apr 11, 2018Amendment$14,622,693$10,353,263vs Nov 14, 201795SEC filing
Nov 14, 2017Initial$4,269,430No comparison43SEC filing

Offering details

Securities
Pooled investment fund, Other
Exemptions
06b, 3C, 3C.1
Duration over one year
No
Business combination
No
Sales commissions
$1.23M
Finders' fees
$0
Form D file number
021-298646
Series A, B, C and D interests. The minimum amount disclosed in Item 11 may be modified by the Manager in its sole discretion.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
PHX Financial, Inc.144403

Source: Form D, filed Apr 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

ADVANCED TECHNOLOGY SELECT FUND IV LLC - SERIES B

Investment adviser: L3 CAPITAL ADVISORS LLC

Gross asset value
$4.16M
Beneficial owners
50
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
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

Filing source

Form ADV 1402347 · Mar 30, 2020 · Schedule D 7.B.(1), fund 805-2382188406

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, Promoter
N/A L3 Capital Advisors, Llc Executive, Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
75 Wall Street, Suite 23 R
New York, NY, 10005