Form D · Other Investment Fund
Lombard International Life Assurance Co Separate Account VA 128
Philadelphia, PA · CIK 0001636677
Offering snapshot reported Apr 12, 2022 · SEC filing
- Reported sold
- $43.2M Indefinite offering
- Investors reported
- 5 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- May 28, 2015 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$34,663,582 → $43,163,581
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Apr 12, 2022 | Amendment | $43,163,581 | $8,499,999vs Apr 1, 2020 | 5 | SEC filing |
| Apr 1, 2020 | Amendment | $34,663,582 | $10,459,049vs Jun 7, 2019 | 5 | SEC filing |
| Jun 7, 2019 | Amendment | $24,204,533 | $8,650,000vs Mar 29, 2018 | 5 | SEC filing |
| Mar 29, 2018 | Amendment | $15,554,533 | $4,500,000vs Mar 30, 2017 | 4 | SEC filing |
| Mar 30, 2017 | Amendment | $11,054,533 | $256,927vs Mar 21, 2016 | 2 | SEC filing |
| Mar 21, 2016 | Amendment | $10,797,606 | $7,663,009vs Jun 1, 2015 | 2 | SEC filing |
| Jun 1, 2015 | Initial | $3,134,597 | No comparison | 2 | SEC filing |
Offering details
- Securities
- Pooled investment fund, Other
- Exemptions
- 06b, 3C, 3C.7
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $1.08M
- Finders' fees
- $0
- Form D file number
- 021-240897
variable annuity contracts
Issuer pays no sales commissions or finders' fees. LILAC pays all sales commissions or finders' fees from its corporate resources.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| M Holdings Securities, Inc | 43285 | James E. Cleary · CRD 2135040 |
| M Financial Securities Marketing, Inc | 139304 | James E. Cleary · CRD 2135040 |
| UBS Financial Services, Inc. | 8174 | Ross Gaudoin · CRD 5500976 |
Source: Form D, filed Apr 12, 2022. 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 |
|---|---|
| Lilac Lombard International Life Assurance Company | Promoter |
| Pflac Philadelphia Financial Life Assurance Company | Promoter |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Philadelphia, PA, 19103