Form D · Investing

BENJAMIN EDWARDS INC

Clayton, MO · CIK 0001451623

Offering snapshot reported Apr 2, 2015 · SEC filing

Reported sold
$36.3M
Offering amount: $36.3M
Investors reported
450
Form D · investor count
Minimum accepted
$50K
Reported outside-investor minimum
First sale
Jul 1, 2011
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$18.1M$36.3MMay 13, 2011May 14, 2012: $7,048,128.00May 14, 2012Jun 22, 2012: $7,932,128.00May 10, 2013: $19,908,078.00May 10, 2013Mar 21, 2014: $26,595,584.00Mar 21, 2014Apr 2, 2015: $36,284,416.00Apr 2, 2015

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$26,595,584 → $36,284,416
  • Reported investors345 → 450

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Apr 2, 2015Amendment$36,284,416$9,688,832vs Mar 21, 2014450SEC filing
Mar 21, 2014Amendment$26,595,584$6,687,506vs May 10, 2013345SEC filing
May 10, 2013Amendment$19,908,078$11,975,950vs Jun 22, 2012225SEC filing
Jun 22, 2012Amendment$7,932,128$884,000vs May 14, 201245SEC filing
May 14, 2012Amendment$7,048,128No comparison40SEC filing
May 13, 2011InitialYet to sellNo comparison0SEC filing
Apr 23, 2010InitialYet to sellNo comparison0SEC filing
Jul 15, 2009InitialYet to sellNo comparison0SEC filing
Nov 26, 2008PaperNot reportedNo comparisonNot reportedSEC filing

Offering details

Securities
Equity
Exemptions
06b
Duration over one year
Yes
Business combination
No
Sales commissions
$234K (estimated)
Finders' fees
$0
Form D file number
021-159814
One employee has earned incentive compensation of approximately $234,000, based on a percentage of the securities he placed with investors, and received an additional amount of $50,000 in restricted securities of the Company for such services.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Douglas Rubenstein1138380Benjamin F. Edwards & Co., inc. · CRD 146936

Source: Form D, filed Apr 2, 2015. 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
Cynthia Lyn Becker Executive
Cynthia Lyn Bohme Executive
Pamela Edwards Bunn Director
Edgar Allen Cole Executive
Benjamin (Tad) Franklin Edwards Iv Director, Executive
Benjamin (Tad) Franklin Edwards, Iv Director, Executive
Wayne Grace Director
Mark Keller Director
Kurt D Longworth Executive
Thomas Hayden Martin Jr. Executive
John Michael Medart Director
Mike Medart Director

Issuer details

Industry: Investing (See others in industry)

Address:
One North Brentwood Boulevard, Suite 850
Clayton, MO, 63105