Form D · Other Investment Fund
COLI VUL-9 Series Account
Greenwood Village, CO · CIK 0001484140
Offering snapshot reported Aug 9, 2010 · SEC filing
- Reported sold
- $125M Indefinite offering
- Investors reported
- 0 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Jul 26, 2010 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
Scroll to see all columns →
| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Aug 9, 2010 | Initial | $125,000,000 | No comparison | 0 | SEC filing |
Offering details
- Securities
- Other
- Exemptions
- 06, 3C, 3C.7
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-146100
Variable life insurance contract
Sales comp paid by Ins Co. out of its own resouces. The Co. periodically deducts insurance & other contract charges from amounts allocated to the separate account issuer in accordance with the terms of the applicable variable life insurance contracts.
Sales compensation recipients
Scroll to see all columns →
| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| William J. Lynch | 1060714 | Lynch & Associates · CRD 140762 |
Source: Form D, filed Aug 9, 2010. Minimum accepted may differ from a standard advertised minimum.
Fund connections
The linked fund shows its most recently reported ADV details.
Matched by reported Form D file number
COLI-VUL 9 SERIES ACCOUNT (BONY)
Investment adviser: EMPOWER CAPITAL MANAGEMENT, LLC
- Gross asset value
- $343M
- Beneficial owners
- 1
- ADV minimum commitment
- $0
Reported in Form ADV on Jan 6, 2022. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- No
- External marketing
- Yes
DELOITTE & TOUCHE
PCAOB 34
GWFS EQUITIES, INC.
CRD 13109 · SEC 8-33854
Filing source
Form ADV 1585284 · Jan 6, 2022 · Schedule D 7.B.(1), fund 805-5428563448
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
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 |
|---|---|
| Insurance Company Great West Life & Annuity | Promoter |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Greenwood Village, CO, 80111