Form D · Oil and Gas
Aztec X Oil & Gas Drilling Program
Houston, TX · CIK 0001472076
Offering snapshot reported Sep 23, 2010 · SEC filing
- Reported sold
- $12.7M Offering amount: $50M
- Investors reported
- 271 Form D · investor count
- Minimum accepted
- $50K Reported outside-investor minimum
- First sale
- Sep 25, 2009 As reported in this filing
Fundraising history
Reported soldDates 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$6,056,000 → $12,730,500
- Reported investors127 → 271
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Sep 23, 2010 | Amendment | $12,730,500 | $6,674,500vs Jun 4, 2010 | 271 | SEC filing |
| Aug 2, 2010 | Amendment | $9,065,500 | $3,009,500vs Jun 4, 2010 | 196 | SEC filing |
| Jun 14, 2010 | Amendment | $7,765,500 | $1,709,500vs Jun 4, 2010 | 167 | SEC filing |
| Jun 4, 2010 | Amendment | $6,056,000 | $4,891,000vs Dec 1, 2009 | 127 | SEC filing |
| Mar 18, 2010 | Amendment | $4,653,000 | $3,488,000vs Dec 1, 2009 | 87 | SEC filing |
| Dec 1, 2009 | Amendment | $1,165,000 | $1,140,000vs Oct 1, 2009 | 20 | SEC filing |
| Oct 1, 2009 | Initial | $25,000 | No comparison | 1 | SEC filing |
Offering details
- Securities
- Other
- Exemptions
- 06
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $6M (estimated)
- Finders' fees
- $0 (estimated)
- Form D file number
- 021-134906
Limited Partnership Units
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Ray Kim | 4446196 | Private Asset Group, Inc. · CRD 142541 |
| Al Vanderlaan | 1172406 | Capwest Securities · CRD 30002 |
| Steve Barton | 2788138 | QA3 Financial Corp. · CRD 14754 |
| Antonio Taddeo | 5110448 | Alternative Wealth Strategies, Inc. · CRD 130933 |
| Patrick Cruickshank | 4214868 | IMS Securities, Inc. · CRD 35567 |
| Joel Beyer | 2515319 | QA3 Corp. · CRD 14754 |
| John Brogdon | 1450806 | IMS Securities, Inc. · CRD 35567 |
| Steven Knowlton | 4527446 | IMS Securities, Inc. · CRD 35567 |
| David Gleeson | 2918661 | QA3 Financial Corp. · CRD 14754 |
| Nigel Bowman | 2022439 | IMS Securities, Inc. · CRD 35567 |
| Lawrence Lambert | 301059 | Capwest Securities Inc. · CRD 30002 |
| Charles Rognon | 816295 | IMS Securities, Inc. · CRD 35567 |
| Robert Themm | 2886714 | Alternative Wealth Strategies, Inc. · CRD 130933 |
| Robert Davis | 722322 | Calton & Associates, Inc. · CRD 20999 |
| Alan Lichtenstein | 1877017 | Alternative Wealth Strategies, Inc. · CRD 130933 |
| Howard Kaplan | 1171182 | Calton & Associates, Inc. · CRD 20999 |
| Oliver Williamson | 4642029 | Calton & Associates, Inc. · CRD 20999 |
| Mark Markland | 1487083 | QA3 Financial Corp. · CRD 14754 |
| Ron Lundy | 4060961 | QA3 Financial Corp. · CRD 14754 |
| Terry Wheeler | 2163092 | QA3 Financial Corp. · CRD 14754 |
| Jeff Nesseth | 1983482 | QA3 Financial Corp. · CRD 14754 |
| Charles Bowers | 27270 | Steven Falk & Associates, Inc · CRD 14297 |
| John Redfearn | 2771876 | QA3 Financial Corp. · CRD 14754 |
| James Gaul | 218833 | Alternative Wealth Strategies, Inc. · CRD 130933 |
| Jeff Rachlin | 823547 | Alternative Wealth Strategies, Inc. · CRD 130933 |
| John Bales | 1820734 | IMS Securities, Inc. · CRD 35567 |
| John Tyler | 4272019 | Capwest Securities Inc. · CRD 30002 |
| Tom English | 2459450 | WFP Securities · CRD 35098 |
| Nahum Daniels | 1521504 | QA3 Financial Corp. · CRD 14754 |
| David Leathers | 2253342 | QA3 Financial Corp. · CRD 14754 |
| Jack Halley | 2130728 | Capwest Securities Inc. · CRD 30002 |
| David Theis | 1422471 | QA3 Financial Corp. · CRD 14754 |
| Michael Dougherty | 2456707 | QA3 Financial Corp. · CRD 14754 |
| Robert Tweed | 2339324 | Capwest Securities Inc. · CRD 30002 |
| John Klett | 5307951 | Alternative Wealth Strategies, Inc · CRD 130933 |
| John Hannan | 1372033 | Private Asset Group, Inc. · CRD 142541 |
| James Conaway | 1920946 | 3 Financial Corp. · CRD 14754 |
| William Lance Tolbert | 4927030 | Calton & Associates, Inc. · CRD 20999 |
| Jackie Wadsworth | 2342163 | IMS Securities, Inc. · CRD 35567 |
| Michael Scavullo | 2537103 | JP Turner & Company · CRD 43177 |
| William Laseter Jr | 1086701 | JP Turner & Company · CRD 43177 |
| Joel Kamphis | 1730775 | JP Turner & Company · CRD 43177 |
| Anthony Marcello | 2844880 | JP Turner & Company · CRD 43177 |
| Bert Hermalink | 243918 | QA3 Financial Corp. · CRD 14754 |
| Donald DeWaay | 1297174 | DeWaay Financial Network, LLC · CRD 30767 |
| Joshua Cross | 4522751 | DeWaay Financial Network · CRD 30767 |
| Michael Roberts | 4700058 | JP Turner & Company · CRD 43177 |
| Brenton William Collins | 4915000 | DeWaay Financial Network · CRD 30767 |
| Gilbert Russell Conrad | 2746778 | JP Turner & Company · CRD 43177 |
| Charles Fischer | 1186289 | IMS Securities, Inc. · CRD 35567 |
| Guiseppi Morabito | 4873700 | JP Turner & Company · CRD 43177 |
| Scott Reisenweaver | 2485345 | QA3 Financial Corp. · CRD 14754 |
| Burke Richman | 1023504 | JP Turner & Company · CRD 43177 |
| Jason Hawke | 4177415 | JP Turner & Company · CRD 43177 |
| Kim Kopacka | 3153396 | IMS Securities, Inc. · CRD 35567 |
| Brian Mohan | 1549373 | Calton & Associates, Inc. · CRD 20999 |
| Chris Gammon | 2354523 | IMS Securities, Inc. · CRD 35567 |
| Kenneth Laurence Agee | 2768598 | QA3 Financial Corp. · CRD 14754 |
| Curtis Sathre | 2459115 | WFP Securities · CRD 35098 |
| Trent Byerly | 4187946 | QA3 Financial Corp. · CRD 14754 |
| Lee Hudson | 2933460 | JP Turner & Company · CRD 43177 |
| Clint Gharib | 2070991 | JP Turner & Company · CRD 43177 |
| Alvin D. Hulse | 3037276 | Steven L. Falk & Associates, Inc. · CRD 14297 |
| Brent D. Turner | 2429805 | QA3 Financial Corp. · CRD 14754 |
| Frank M. Currie | 1207937 | IMS Securities, Inc. · CRD 35567 |
| Jeffrey J. Pridey | 2136022 | Capwest Securities, Inc. · CRD 30002 |
| Stacey L. Rognon | 1898975 | IMS Securities, Inc. · CRD 35567 |
| Joshua W. Patterson | 3077302 | IMS Securities, Inc. · CRD 35567 |
| Thomas A. Karsten | 2305465 | DeWaay Financial Network, LLC · CRD 30767 |
| Timothy J. Sherer | 833618 | J.P. Turner & Company, L.L.C. · CRD 43177 |
| Ronald Kerher | 1012967 | Capital Financial Services, Inc. · CRD 8408 |
| Jim Warren | 4253846 | WFP Securities Corp. · CRD 35098 |
| Michael Woloshin | 732640 | JP Turner & Company, LLC · CRD 43177 |
Source: Form D, filed Sep 23, 2010. 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 |
|---|---|
| Ariane Cox | Executive |
| Franklin Fisher | Director, Executive |
| Larry Hornbrook | Executive |
| Kenneth Lehrer | Director |
| Kathryn Parks | Executive |
| Mark Vance | Director |
| Dayton Wheeler | Director |
Issuer details
Industry: Oil and Gas (See others in industry)
Address:
One Riverway Ste 1700
Houston, TX, 77056
Houston, TX, 77056