Form D · Private Equity Fund

Advanced Technology Select Fund IX LLC

New York, NY · CIK 0001802232

Offering snapshot reported Aug 18, 2020 · SEC filing

Reported sold
$12.5M
Offering amount: $50M
Investors reported
88
Form D · investor count
Minimum accepted
$100K
Reported outside-investor minimum
First sale
Dec 13, 2019
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$6.25M$12.5MFeb 19, 2020: $3,466,906.00Feb 19, 2020Feb 20, 2020: $3,466,906.00Aug 18, 2020: $12,495,103.00Aug 18, 2020

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$3,466,906 → $12,495,103
  • Reported investors31 → 88

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Aug 18, 2020Amendment$12,495,103$9,028,197vs Feb 20, 202088SEC filing
Feb 20, 2020Amendment$3,466,906$0vs Feb 19, 202031SEC filing
Feb 19, 2020Initial$3,466,906No comparison31SEC filing

Offering details

Securities
Pooled investment fund, Other
Exemptions
06b, 3C, 3C.1
Duration over one year
No
Business combination
No
Sales commissions
$1.25M
Finders' fees
$0
Form D file number
021-360934
Series A, B and C 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 Aug 18, 2020. 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 IX LLC - SERIES C

Investment adviser: KAJJ MANAGEMENT, LLC

Gross asset value
$4.88M
Beneficial owners
52
ADV minimum commitment
$100K

Reported in Form ADV on Sep 24, 2020. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Auditor DASZKOWSKI, TOMPKINS, WEG & CARBONELLA, CPA, PC STATEN ISLAND, New York, United States
Marketer PHX FINANCIAL, INC. NEW YORK, New York, United States Related to adviser: Yes
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
No
Administrator other than the adviser
No
External marketing
Yes

DASZKOWSKI, TOMPKINS, WEG & CARBONELLA, CPA, PC
PCAOB 3978

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

Filing source

Form ADV 1457921 · Sep 24, 2020 · Schedule D 7.B.(1), fund 805-9705335385

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
Kevin Chen Executive
Kajj Management Llc Executive, Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
20 Pine Street #1511
New York, NY, 10005