Form D · Other Investment Fund

Mogo Industries LLC

New York, NY · CIK 0001584595

Offering snapshot reported Apr 16, 2014 · SEC filing

Reported sold
$12.8M
Offering amount: $25M
Investors reported
79
Form D · investor count
Minimum accepted
$50K
Reported outside-investor minimum
First sale
Aug 8, 2013
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$6.41M$12.8MAug 16, 2013: $2,067,000.00Aug 16, 2013Dec 3, 2013: $5,815,935.00Dec 3, 2013Jan 2, 2014: $9,478,905.00Mar 12, 2014: $10,964,598.00Apr 16, 2014: $12,814,985.00Apr 16, 2014

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$10,964,598 → $12,814,985
  • Reported investors71 → 79

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Apr 16, 2014Amendment$12,814,985$1,850,387vs Mar 12, 201479SEC filing
Mar 12, 2014Amendment$10,964,598$1,485,693vs Jan 2, 201471SEC filing
Jan 2, 2014Amendment$9,478,905$3,662,970vs Dec 3, 201353SEC filing
Dec 3, 2013Amendment$5,815,935$3,748,935vs Aug 16, 201342SEC filing
Aug 16, 2013Initial$2,067,000No comparison15SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.1, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$988K
Finders' fees
$207K
Form D file number
021-201525
Finders' Fee payable to Halycon Cabot Partners Ltd.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Blackwall Capital Markets, Inc.144403
Halycon Cabot Partners Ltd.32664

Source: Form D, filed Apr 16, 2014. 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

MOGO INDUSTRIES LLC

Investment adviser: L3 CAPITAL ADVISORS LLC

Gross asset value
$13.2M
Beneficial owners
88
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

Auditor DASZKOWSKI, TOMPKINS, WEG & CARBONELLA, P.C. STATEN ISLAND, New York, United States
Custodian AXOS CLEARING LLC OMAHA, Nebraska, United States Related to adviser: No
Marketer PHX FINANCIAL, INC. NEW YORK, New York, United States Related to adviser: No
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 805-4048557221

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
Richard Cardinale Executive
Paul Taboada Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
10 West Street #35 C
New York, NY, 10004