Form D · REITS and Finance
BERKELEY CAPITAL TRUST INC
San Francisco, CA · CIK 0001430248
Offering snapshot reported Dec 30, 2011 · SEC filing
- Reported sold
- $17.7M Offering amount: $25M
- Investors reported
- 342 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Dec 27, 2007 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$10,326,224 → $17,716,802
- Reported investors229 → 342
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Dec 30, 2011 | Amendment | $17,716,802 | $7,390,578vs Jun 3, 2010 | 342 | SEC filing |
| Jun 3, 2010 | Amendment | $10,326,224 | $591,500vs Apr 2, 2010 | 229 | SEC filing |
| Apr 2, 2010 | Amendment | $9,734,724 | $401,000vs Feb 26, 2010 | 214 | SEC filing |
| Feb 26, 2010 | Amendment | $9,333,724 | $151,000vs Feb 10, 2010 | 206 | SEC filing |
| Feb 10, 2010 | Amendment | $9,182,724 | $614,950vs Dec 30, 2009 | 203 | SEC filing |
| Dec 30, 2009 | Amendment | $8,567,774 | $381,500vs Nov 20, 2009 | 196 | SEC filing |
| Nov 20, 2009 | Amendment | $8,186,274 | $98,850vs Nov 10, 2009 | 186 | SEC filing |
| Nov 10, 2009 | Amendment | $8,087,424 | $448,670vs Sep 11, 2009 | 182 | SEC filing |
| Sep 11, 2009 | Amendment | $7,638,754 | $128,000vs Aug 14, 2009 | 174 | SEC filing |
| Aug 14, 2009 | Amendment | $7,510,754 | $255,000vs Jul 16, 2009 | 170 | SEC filing |
| Jul 16, 2009 | Amendment | $7,255,754 | $985,050vs May 15, 2009 | 164 | SEC filing |
| May 15, 2009 | Amendment | $6,270,704 | No comparison | Not reported | SEC filing |
| Apr 21, 2009 | Initial | $5,973,784 | No comparison | Not reported | SEC filing |
| Mar 17, 2008 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Equity
- Exemptions
- 06
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $2.5M (estimated)
- Finders' fees
- $0
- Form D file number
- 021-116101
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| PAUL L. WHITE II | 4669396 | HERITAGE FINANCIAL SYSTEMS, INC · CRD 133019 |
| HAROLD C. WHITE JR | 465047 | ASHTON CAPITAL MANAGEMENT, INC · CRD 26502 |
| GORDON W YEE | 2339698 | NATIONAL SECURITIES CORP · CRD 7569 |
| LARRY D FREIE | 1236742 | SUNSET FINANCIAL SERVICES · CRD 3538 |
| DEREK LOPEZ | 2320151 | NATIONAL SECURITIES CORP · CRD 5769 |
| FERDINAND R DOSONO | 2110497 | NATIONAL SECURITIES CORP · CRD 5769 |
| JEREMY L. GOVE | 5231794 | JP TURNER & CO., LLC · CRD 43177 |
| MICHAEL L. DIGAETANO | 2378300 | JP TURNER & CO., LLC · CRD 43177 |
| DOUGLAS W. SHRINER | 1140409 | HARRISON DOUGLAS, INC. · CRD 16515 |
| GILBERT R. CONRAD | 2746778 | JP TURNER & CO, LLC · CRD 43177 |
| FREDERICK F. PTUCHA | 368578 | FINANCIAL WEST GROUP · CRD 16668 |
| HUGH O. BARNDOLLAR III | 3027317 | GRANT BETTINGEN, INC. · CRD 16944 |
| ROBERT C. BAILING | 1018851 | FINANCIAL ADVISERS OF AMERICA, LLC · CRD 142170 |
| WILLIAM C. MONROE III | 4043470 | G.F. INVESTMENT SERVICES, LLC · CRD 132939 |
| PAUL GELORMINI | 2066089 | EPLANNING SECURITIES, INC. · CRD 46000 |
| ALAN S. FRIEDLANDER | 1890289 | D.H. HILL SECURITIES, LLP · CRD 41528 |
| DANNY H. HILL | 1012712 | D.H. HILL SECURITIES, LLP · CRD 41528 |
| ROBERT B. SETSER | 1005169 | CHARTER PACIFIC SECURITIES, LLC · CRD 144528 |
| ERIC PAUL WESCHKE | 2486324 | ALTERNATIVE WEALTH STRATEGIES, INC. · CRD 130933 |
| RONALD DALE VAN WYNGARDEN | 1286498 | BERTHEL, FISHER & CO FINANCIAL SERVICES, INC. · CRD 13609 |
| MARK B. REINKING | 1602957 | SUNSET FINANCIAL SERVICES, INC. · CRD 3538 |
| MITCH FISHER | 869469 | National Securities Corp. · CRD 7569 |
| WFP SECURITIES CORPORATION | 35098 | WFP SECURITIES CORPORATION · CRD 35098 |
| CENTAURUS FINANCIAL, INC. | 30833 | CENTAURUS FINANCIAL, INC. · CRD 30833 |
| AFA FINANCIAL GROUP, LLC | 127648 | AFA FINANCIAL GROUP, LLC · CRD 127648 |
| Kathryn Fitzgerald | 1411000 | NATIONAL SECURITIES CORPORATION · CRD 7569 |
| Jeffrey Rachlin | 823547 | ALTERNATIVE WEALTH STRATEGIES, INC. · CRD 130933 |
| JALON O'CONNELL | 3005016 | NATIONAL SECURITIES CORP. · CRD 7569 |
| BRUCE BEETZ | 1527269 | OAK TREE SECURITIES, INC · CRD 18126 |
| Mark Pizarek | 3216820 | OAK TREE SECURITIES, INC · CRD 18126 |
| Sonya Lee | 2742405 | OAK TREE SECURITIES, INC · CRD 18126 |
| William Furlong | 801636 | Newport Coast Securities · CRD 16944 |
| Edwin Suzuki | 4851317 | Newport Coast Securities · CRD 16944 |
| Berkeley Capital Securities | 136982 | Berkeley Capital Securities · CRD 136982 |
| GILBERT A. CORNETT | 54395 | D.H. HILL SECURITIES, LLLP · CRD 41528 |
| PAUL K. DOAK | 2764556 | D.H. HILL SECURITIES, LLLP · CRD 41528 |
| JAMES W. WRIGHT JR | 2460998 | D.H. HILL SECURITIES, LLLP · CRD 41528 |
| MICHAEL M. MCGREGOR | 2263066 | HARRISON DOUGLAS, INC. · CRD 16515 |
| DEAN A. HARVEY | 3076399 | IMS SECURITIES, INC. · CRD 35567 |
| JACKIE DIVONO WADSWORTH | 2342163 | IMS SECURITIES, INC. · CRD 35567 |
| JOHN W. BALES JR | 1820734 | IMS SECURITIES, INC. · CRD 35567 |
| JOHN T. BROGDON JR | 1450806 | IMS SECURITIES, INC. · CRD 35567 |
| STACEY L. ROGNON | 1898975 | IMS SECURITIES, INC. · CRD 35567 |
| WILLIAM G. CHRISTIAN JR | 2521197 | IMS SECURITIES, INC. · CRD 35567 |
| DWIGHT K. KAY | 5376903 | INDEPENDENT FINANCIAL GROUP, LLC · CRD 7717 |
| ROBERT E. SCHULTZ | 415778 | NEWPORT COAST SECURITIES, INC. · CRD 16944 |
| KENNETH W. FINNELL | 1184110 | NEWPORT COAST SECURITIES, INC. · CRD 16944 |
| RAY W. KIM | 4446196 | NEWPORT COAST SECURITIES, INC. · CRD 16944 |
| CHARLES W. BINGHAM | 4877997 | SUNBELT SECURITIES, INC. · CRD 42180 |
| DWAYNE M. TIDWELL | 2612587 | SUNBELT SECURITIES, INC. · CRD 42180 |
| JASON B. VANCLEF | 5096529 | VFG SECURITIES, INC. · CRD 15121 |
| KRISTOPHER B. FIELD | 4603208 | VFG SECURITIES, INC. · CRD 15121 |
| MARK A. TREWITT | 1364490 | VFG SECURITIES, INC. · CRD 15121 |
| TONY M. HARTMAN | 5602407 | VFG SECURITIES, INC. · CRD 15121 |
| JOHN P. PAGE | 5837916 | JRL CAPITAL CORPORATION · CRD 10225 |
Source: Form D, filed Dec 30, 2011. 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 |
|---|---|
| Berkeley Advisors, Llc | Promoter |
| Berkeley Capital Advisers, Llc | Promoter |
| Michel D. Snegg | Director, Executive |
| Aaron Snegg | Director, Executive |
| Norman Villarina | Director, Executive |
| Doug Wertheimer | Director |
Issuer details
Industry: REITS and Finance (See others in industry)
Address:
555 Montgomery Suite 1550
San Francisco, CA, 94111
San Francisco, CA, 94111