Form D · Oil and Gas

Aztec XI-A Oil & Gas LP / Aztec Energy LLC

Houston, TX · CIK 0001501256

Offering snapshot reported Nov 16, 2010 · SEC filing

Reported sold
$5.05M
Offering amount: $50M
Investors reported
100
Form D · investor count
Minimum accepted
$50K
Reported outside-investor minimum
First sale
Sep 29, 2010
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$2.52M$5.05MSep 28, 2010Oct 14, 2010: $250,000.00Oct 14, 2010Nov 1, 2010: $970,000.00Nov 1, 2010Nov 12, 2010: $1,960,000.00Nov 16, 2010: $5,046,750.00Nov 16, 2010

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 investors0 → 100

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Nov 16, 2010Amendment$5,046,750No comparison100SEC filing
Nov 12, 2010Amendment$1,960,000No comparison40SEC filing
Nov 1, 2010Amendment$970,000No comparison20SEC filing
Oct 14, 2010Amendment$250,000No comparison6SEC filing
Sep 28, 2010InitialYet to sellNo comparison0SEC filing

Offering details

Securities
Other
Exemptions
06
Duration over one year
No
Business combination
No
Sales commissions
$454K (estimated)
Finders' fees
$0 (estimated)
Form D file number
021-148255
Limited Partnership Units

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Ron Lundy4060961QA3 Financial · CRD 14754
Don DeWaay1297174DeWaay Financial Network, Inc. · CRD 30767
Adam Hardin5739850QA3 Financial · CRD 14754
John Redfearn2771876QA3 Financial · CRD 14754
James Lockhart4415115Harbor Light Securities, LLC · CRD 130227
Josh Cross4522751DeWaay Financial Network, Inc. · CRD 14754
Stacey Rognon1898975IMS Securities, Inc. · CRD 35567
Joshua Patterson3077302IMS Securities, Inc. · CRD 35567
Frank Currie1207937IMS Securities, Inc. · CRD 35567
Thomas Karsten2305465DeWaay Financial Network, Inc. · CRD 30767
Jeffrey Paladini4341198DeWaay Financial Network, Inc. · CRD 30767
Curtis Sathre2459115WFP Securities · CRD 35098
Steve Barton2788138QA3 Financial · CRD 14754
Jeff Schade2263323J.P. Turner & Company · CRD 43177
Ronald Kerher1012967Capital Financial Services, Inc. · CRD 8408
Jeffrey R. Nesseth1983482QA3 Financial Corp. · CRD 14754
Terry D. Wheeler2163092QA3 Financial Corp. · CRD 14754
Alvin D. Hulse3037276Steven L. Falk & Associates Inc. · CRD 14297
Antonio A. Taddeo5110448Alternative Wealth Strategies, Inc. · CRD 130933
Steven Knowlton4527446IMS Securities, Inc. · CRD 35567
Lawrence W. Lambert301059Capwest Securities, Inc. · CRD 30002
Alfred S. Vanderlaan1172406Capwest Securities, Inc. · CRD 30002
Charles Fischer1186289IMS Securities, Inc · CRD 35567
Jack Halley2130728Capwest Securities, Inc. · CRD 30002
Brent Turner2429805QA3 Financial · CRD 14754
Tim Sherer833618JP Turner & Company · CRD 43177
Carl Worden III3130121JP Turner & Company · CRD 43177
Leigh Zachary2508360IMS Securities, Inc · CRD 35567
John Bales1820734IMS Securities, Inc. · CRD 35567
Keith Herman2322605Alternative Wealth Strategies, Inc. · CRD 130933
Brent Collins4915000DeWaay Financial · CRD 30767
Dean Harvey3076399IMS Securities, Inc. · CRD 35567
Anthony Mowrer1947261JP Turner & Company · CRD 43177
William Laseter1086701JP Turner & Company · CRD 43177
G. Russell Conrad2746778JP Turner & Company · CRD 43177
Richard Stocker2573644JP Turner & Company · CRD 43177

Source: Form D, filed Nov 16, 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.

People and organizations reported in Form D filings
NameReported role
Ariane Cox Executive
Larry Hornbrook Executive
Waylan Johnson Executive
Kenneth Lehrer Director
Mark Vance Director
Dayton Wheeler Director

Issuer details

Industry: Oil and Gas (See others in industry)

Address:
One Riverway Ste 1580
Houston, TX, 77056