Form D · Other Banking and Financial Services
Certus Financial Group LLC
Laguna Niguel, CA · CIK 0001542145
Offering snapshot reported Feb 8, 2018 · SEC filing
- Reported sold
- $853K Indefinite offering
- Investors reported
- 24 Form D · investor count
- Minimum accepted
- $50K Reported outside-investor minimum
- First sale
- Feb 9, 2012 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.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Feb 8, 2018 | Amendment | $852,500 | $0vs Feb 9, 2017 | 24 | SEC filing |
| Feb 9, 2017 | Amendment | $852,500 | $0vs Jan 29, 2016 | 24 | SEC filing |
| Jan 29, 2016 | Initial | $852,500 | No comparison | 24 | SEC filing |
| Feb 5, 2015 | Amendment | $790,000 | $340,000vs Feb 13, 2013 | 21 | SEC filing |
| Feb 13, 2013 | Amendment | $450,000 | $298,000vs Feb 13, 2012 | 15 | SEC filing |
| Feb 13, 2012 | Initial | $152,000 | No comparison | 3 | SEC filing |
Offering details
- Securities
- Equity, Pooled investment fund
- Exemptions
- 06b
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-256257
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Richard J Roberts | 21445874 | TCFG Wealth Management, LLC · CRD 164153 |
Source: Form D, filed Feb 8, 2018. 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 |
|---|---|
| Rick Roberts | Executive |
Issuer details
Industry: Other Banking and Financial Services (See others in industry)
Address:Laguna Niguel, CA, 92677