Form D · Other Investment Fund
L3 Cubed LLC
New York, NY · CIK 0001600800
Offering snapshot reported Jan 5, 2017 · SEC filing
- Reported sold
- $20.4M Offering amount: $50M
- Investors reported
- 100 Form D · investor count
- Minimum accepted
- $100K Reported outside-investor minimum
- First sale
- Feb 18, 2016 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.
- Reported sold$11,726,950 → $20,385,464
- Reported investors75 → 100
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Jan 5, 2017 | Amendment | $20,385,464 | $8,658,514vs Jul 20, 2016 | 100 | SEC filing |
| Aug 9, 2016 | Amendment | $16,048,482 | $4,321,532vs Jul 20, 2016 | 89 | SEC filing |
| Jul 20, 2016 | Amendment | $11,726,950 | $3,133,750vs Jun 3, 2016 | 75 | SEC filing |
| Jun 3, 2016 | Amendment | $8,593,200 | $2,478,000vs May 18, 2016 | 59 | SEC filing |
| May 18, 2016 | Amendment | $6,115,200 | $5,260,700vs Mar 24, 2016 | 39 | SEC filing |
| May 3, 2016 | Amendment | $6,115,200 | $3,003,200vs Apr 12, 2016 | 39 | SEC filing |
| Apr 12, 2016 | Amendment | $3,112,000 | $2,257,500vs Mar 24, 2016 | 18 | SEC filing |
| Mar 24, 2016 | Amendment | $854,500 | $250,500vs Mar 3, 2016 | 13 | SEC filing |
| Mar 3, 2016 | Initial | $604,000 | No comparison | 10 | SEC filing |
| Mar 28, 2014 | Amendment | $5,633,000 | $505,000vs Mar 12, 2014 | 55 | SEC filing |
| Mar 12, 2014 | Amendment | $5,128,000 | $1,381,500vs Feb 25, 2014 | 50 | SEC filing |
| Feb 25, 2014 | Initial | $3,746,500 | No comparison | 35 | SEC filing |
Offering details
- Securities
- Pooled investment fund, Other
- Exemptions
- 06b, 3C, 3C.1
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $1.8M
- Finders' fees
- $332K
- Form D file number
- 021-258537
Series B, C and D Interests. The minimum amount disclosed in Item 11 may be modified by the Manager in its sole discretion.
Sales Commissions were paid to PHX Financial, Inc.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| PHX Financial, Inc. | 144403 | |
| Olympus Securities LLC | 114050 |
Source: Form D, filed Jan 5, 2017. 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
L3 CUBED LLC - SERIES B
Investment adviser: L3 CAPITAL ADVISORS LLC
- Gross asset value
- $6.45M
- Beneficial owners
- 71
- ADV minimum commitment
- $100K
Reported in Form ADV on Mar 30, 2020. 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
DASZKOWSKI, TOMPKINS, WEG & CARBONELLA, P.C.
PCAOB 3978
AXOS CLEARING LLC
SEC 8-53595
PHX FINANCIAL, INC.
CRD 144403 · SEC 8-67653
Filing source
Form ADV 1402347 · Mar 30, 2020 · Schedule D 7.B.(1), fund 805-4843164598
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 |
|---|---|
| Richard Cardinale | Executive |
| Paul Toboada | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:New York, NY, 10005