Form D · Other Banking and Financial Services
Advisor Group Holdings, Inc.
New York, NY · CIK 0001677044
Offering snapshot reported Jan 11, 2017 · SEC filing
- Reported sold
- $9.15M Indefinite offering
- Investors reported
- 132 Form D · investor count
- Minimum accepted
- $50K Reported outside-investor minimum
- First sale
- Oct 21, 2016 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
- Reported investors0 → 132
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Jan 11, 2017 | Amendment | $9,150,000 | No comparison | 132 | SEC filing |
| Oct 7, 2016 | Initial | Yet to sell | No comparison | 0 | SEC filing |
Offering details
- Securities
- Equity
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-272104
Source: Form D, filed Jan 11, 2017. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
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.
| Name | Reported role |
|---|---|
| Jeffrey Michael Auld | Executive |
| Valerie Gay Brown | Director |
| James William Clabby Iii | Executive |
| Patrick Daignault | Director |
| Andrea Michelle Dircks Larsen | Executive |
| Richard David Fergesen | Executive |
| Dmitry Goldin | Executive |
| Cynthia Ann Hamel | Executive |
| James Mac Naughton | Director |
| Donald B. Marron | Director |
| Erica Maja Mc Ginnis | Executive |
| Jerome John Murphy | Executive |
| Allison Lee Pratt | Executive |
| James Dale Price | Director, Executive |
| Matthew Adam Schlueter | Executive |
| Mary Kathryn Simonson | Executive |
| Noah David Sorkin | Executive |
| Richard J. Sterne | Director |
| Stuart Szabo | Director |
| Susan Suskind Theder | Executive |
| Mark F. Vassallo | Director |
Issuer details
Industry: Other Banking and Financial Services (See others in industry)
Address:
One World Financial Center 15 Th Floor
New York, NY, 10281
New York, NY, 10281