Form D · Other Banking and Financial Services
ConvergEx Holdings, LLC
New York, NY · CIK 0001378709
Offering snapshot reported Dec 15, 2009 · SEC filing
- Reported sold
- $5.66M Offering amount: $5.66M
- Investors reported
- 4 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Dec 1, 2009 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 |
|---|---|---|---|---|---|
| Dec 15, 2009 | Initial | $5,657,604 | No comparison | 4 | SEC filing |
| Nov 16, 2009 | Initial | $8,752,000 | No comparison | 145 | SEC filing |
| Jul 12, 2007 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Oct 12, 2006 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Not reported
- Exemptions
- 06
- Duration over one year
- No
- Business combination
- Yes
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-95724
The offering is closed. No furhter units will be sold in this offering.
Source: Form D, filed Dec 15, 2009. 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 |
|---|---|
| Richard Brueckner | Director |
| John Cahaly | Director |
| Barry R. Dunn | Director |
| Thomas P. Gibbons | Director |
| Todd Gibbons | Director |
| Sean P. Mc Laughlin | Director |
| Constatine S. Mihas | Director |
| Constantine S. Mihas | Director |
| Charles E. Rappold | Executive |
| Collin E. Roche | Director |
| Joseph Schenk | Director |
| Christopher Springer | Executive |
| John Sununu | Director |
| Bruce Van Saun | Director |
| Joseph M. Velli | Director, Executive |
Issuer details
Industry: Other Banking and Financial Services (See others in industry)
Address:
1633 Broadway 48 Th Fl
New York, NY, 10019
New York, NY, 10019