Form D · Other Investment Fund

Fund FG-AZM, a series of Forge Investments LLC

Salt Lake City, UT · CIK 0001758764

Offering snapshot reported Dec 2, 2020 · SEC filing

Reported sold
$12.2M
Offering amount: $12.2M
Investors reported
27
Form D · investor count
Minimum accepted
$20K
Reported outside-investor minimum
First sale
Jan 30, 2019
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$6.09M$12.2MFeb 6, 2019: $286,612.00Feb 6, 2019May 7, 2019: $679,477.00Aug 28, 2019: $826,350.00Sep 16, 2019: $1,985,009.00Nov 5, 2019: $1,985,009.00Nov 13, 2019: $2,085,011.00Nov 26, 2019: $2,364,643.00Feb 20, 2020: $2,459,931.00Apr 30, 2020: $2,559,928.00May 1, 2020: $2,655,176.00May 12, 2020: $2,948,308.00May 19, 2020: $4,282,975.00Jun 3, 2020: $4,939,884.00Jun 9, 2020: $5,762,127.00Jul 2, 2020: $7,493,018.00Jul 22, 2020: $8,603,896.00Aug 17, 2020: $10,681,704.00Sep 10, 2020: $10,934,187.00Oct 8, 2020: $11,460,507.00Oct 28, 2020: $11,277,170.00Nov 12, 2020: $12,062,900.00Dec 2, 2020: $12,184,164.00Dec 2, 2020

Dates 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$12,062,900 → $12,184,164
  • Reported investors26 → 27

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Dec 2, 2020Amendment$12,184,164$121,264vs Nov 12, 202027SEC filing
Nov 12, 2020Amendment$12,062,900$785,730vs Oct 28, 202026SEC filing
Oct 28, 2020Amendment$11,277,170-$183,337vs Oct 8, 202024SEC filing
Oct 8, 2020Amendment$11,460,507$526,320vs Sep 10, 202024SEC filing
Sep 10, 2020Amendment$10,934,187$252,483vs Aug 17, 202024SEC filing
Aug 17, 2020Amendment$10,681,704$2,077,808vs Jul 22, 202024SEC filing
Jul 22, 2020Amendment$8,603,896$1,110,878vs Jul 2, 202022SEC filing
Jul 2, 2020Amendment$7,493,018$1,730,891vs Jun 9, 202019SEC filing
Jun 9, 2020Amendment$5,762,127$822,243vs Jun 3, 202016SEC filing
Jun 3, 2020Amendment$4,939,884$656,909vs May 19, 202016SEC filing
May 19, 2020Amendment$4,282,975$1,334,667vs May 12, 202014SEC filing
May 12, 2020Amendment$2,948,308$293,132vs May 1, 202011SEC filing
May 1, 2020Amendment$2,655,176$95,248vs Apr 30, 20208SEC filing
Apr 30, 2020Amendment$2,559,928$99,997vs Feb 20, 20207SEC filing
Feb 20, 2020Amendment$2,459,931$95,288vs Nov 26, 20197SEC filing
Nov 26, 2019Amendment$2,364,643$279,632vs Nov 13, 20197SEC filing
Nov 13, 2019Amendment$2,085,011$100,002vs Nov 5, 20197SEC filing
Nov 5, 2019Amendment$1,985,009$0vs Sep 16, 20196SEC filing
Sep 16, 2019Amendment$1,985,009$1,158,659vs Aug 28, 20196SEC filing
Aug 28, 2019Amendment$826,350$146,873vs May 7, 20193SEC filing
May 7, 2019Amendment$679,477$392,865vs Feb 6, 20193SEC filing
Feb 6, 2019Initial$286,612No comparison2SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C.1
Duration over one year
No
Business combination
No
Sales commissions
$1.66M
Finders' fees
$0
Form D file number
021-332253

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Forge Markets LLC166555Forge Markets LLC · CRD 166555

Source: Form D, filed Dec 2, 2020. 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

FG-ASH, A SERIES OF FORGE INVESTMENTS LLC

Investment adviser: FORGE GLOBAL ADVISORS LLC

Gross asset value
$2.6M
Beneficial owners
1
ADV minimum commitment
$20K

Reported in Form ADV on Jun 21, 2024. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Auditor EISNERAMPER NEW YORK, New York, United States
Custodian FIRST REPUBLIC BANK SAN FRANCISCO, California, United States Related to adviser: No
Custodian FORGE TRUST COMPANY SIOUX FALLS, South Dakota, United States Related to adviser: Yes
Marketer FORGE SECURITIES LLC SAN FRANCISCO, California, United States Related to adviser: Yes
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
Yes

EISNERAMPER
PCAOB 274

FIRST REPUBLIC BANK
LEI YWC0TIKBQM2JV8L4IV08

FORGE SECURITIES LLC
CRD 134596 · SEC 8-66846

Filing source

Form ADV 1882833 · Jun 21, 2024 · Schedule D 7.B.(1), fund 805-5621807363

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.

People and organizations reported in Form D filings
NameReported role
Llc Assure Fund Management Ii Director
Jeremy Neilson Executive
Richard Thoms Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
6510 S Millrock Drive Suite 400
Salt Lake City, UT, 84121