Form D · Other Banking and Financial Services
LPL Investment Holdings Inc.
Boston, MA · CIK 0001397911
Offering snapshot reported Nov 25, 2009 · SEC filing
- Reported sold
- $931K Indefinite offering
- Investors reported
- 105 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Jun 15, 2008 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Nov 25, 2009 | Amendment | $930,819 | No comparison | 105 | SEC filing |
| Jun 24, 2008 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Not reported
- Exemptions
- 06
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-111915
Source: Form D, filed Nov 25, 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 Boyce | Director |
| Stephanie L. Brown | Executive |
| Mark S. Casady | Director, Executive |
| William E. Dwyer | Executive |
| Robert J. Moore | Executive |
| James S. Putnam | Director |
| Erik Ragatz | Director |
| James S. Riepe | Director |
| Richard P. Schifter | Director |
| Esther M. Stearns | Executive |
| Jeffrey E. Stiefler | Director |
| Allen R. Thorpe | Director |
Issuer details
Industry: Other Banking and Financial Services (See others in industry)
Address:
One Beacon Street, 22 Nd Floor
Boston, MA, 02108
Boston, MA, 02108