Form D · Commercial

DLS Financial, LLC

Rome, GA · CIK 0001498161

Offering snapshot reported Jan 2, 2015 · SEC filing

Reported sold
$6.2M
Offering amount: $6.2M
Investors reported
81
Form D · investor count
Minimum accepted
$2K
Reported outside-investor minimum
First sale
Dec 9, 2014
As reported in this filing

What changed?

Latest filing versus its linked predecessor, where available.

  • Reported investors0 → 81
  • Minimum accepted$10,000 → $2,000

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jan 2, 2015Amendment$6,200,000No comparison81SEC filing
Nov 8, 2013InitialYet to sellNo comparison0SEC filing
Aug 4, 2010Initial$550,000No comparison3SEC filing

Offering details

Securities
Debt
Exemptions
06c
Duration over one year
No
Business combination
No
Sales commissions
$124K
Finders' fees
$0
Form D file number
021-206006
Rule 506 - Debt Offering - $6,200,000 - All or None Offering

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Jerry Dempsey1869325Dempsey Lord Smith, LLC · CRD 141238
Ernie Smith2205253Dempsey Lord Smith, LLC · CRD 141238
John Lord1352023Dempsey Lord Smith, LLC · CRD 141238

Source: Form D, filed Jan 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
Jerry Eskel Dempsey Executive, Promoter
John Hayward Lord Executive, Promoter
Ernest Liddell Smith Executive, Promoter

Issuer details

Industry: Commercial (See others in industry)

Address:
901 N Broad Street Suite 400
Rome, GA, 30161