Form D · Commercial
Moody RI SW Austin DST
Houston, TX · CIK 0001926461
Offering snapshot reported Mar 8, 2023 · SEC filing
- Reported sold
- $40M Offering amount: $40M
- Investors reported
- 113 Form D · investor count
- Minimum accepted
- $25K Reported outside-investor minimum
- First sale
- May 5, 2022 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
- Reported investors0 → 113
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Mar 8, 2023 | Amendment | $40,040,000 | No comparison | 113 | SEC filing |
| May 6, 2022 | Initial | Yet to sell | No comparison | 0 | SEC filing |
Offering details
- Securities
- Equity
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $3.19M (estimated)
- Finders' fees
- $0
- Form D file number
- 021-444725
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| David Levinson | 705929 | American Trust Investment Services, Inc. · CRD 3001 |
| Ivan West | 4921015 | American Trust Investment Services, Inc. · CRD 3001 |
| Linda Wimsatt | 1401802 | American Trust Investment Services, Inc. · CRD 3001 |
| James Kevin Johnston | 1689783 | Arete Wealth Management, LLC · CRD 44856 |
| Arkadios Capital | 282710 | |
| Roger Bowlin | 1905652 | Aurora Securities · CRD 46147 |
| Edward Eric Fernandez | 2956661 | Capulent LLC · CRD 155155 |
| Surya Metzler | 4558292 | Centaurus Financial Inc. · CRD 30833 |
| Kelley Slaught | 1126586 | Centaurus Financial Inc. · CRD 30833 |
| David John Segarra | 4482059 | Centaurus Financial Inc. · CRD 30833 |
| Joshua Charles Thornhill | 6409315 | Center Street Securities, Inc. · CRD 26898 |
| Concorde Investment Services, LLC | 151604 | |
| Harmony M. Russo | 5294771 | Crown Capital Securities, LP · CRD 6312 |
| DAI Securities, LLC | 36673 | |
| Dillon Hall | 6463342 | EMERSON EQUITY LLC · CRD 130032 |
| Lance Stafford | 2900449 | EMERSON EQUITY LLC · CRD 130032 |
| Adam Shipley | 6482848 | EMERSON EQUITY LLC · CRD 130032 |
| Matthew Peter Larson | 7031272 | EMERSON EQUITY LLC · CRD 130032 |
| Norma Nisbet | 5590290 | Great Point Capital LLC · CRD 114203 |
| Mark Herding | 2239357 | Harbour Investments, Inc. · CRD 19258 |
| Bradford Watt | 2565438 | Patrick Capital Markets, LLC · CRD 16518 |
| Sandy Simmons | 1018907 | Patrick Capital Markets, LLC · CRD 16518 |
| Amr Tenney | 5506866 | Thornhill Securities, Inc. · CRD 22333 |
| Jacob Adams | 4975889 | Thornhill Securities, Inc. · CRD 22333 |
| David John Funes | 5467419 | Thornhill Securities, Inc. · CRD 22333 |
| Robert Johnson | 4318220 | Thornhill Securities, Inc. · CRD 22333 |
| David Kangas | 6591398 | Wealthforge Securities, LLC · CRD 152550 |
| Trawnegan Gall | 6266415 | Wealthforge Securities, LLC · CRD 152550 |
| Preston Charlton | 2135631 | Wealthforge Securities, LLC · CRD 152550 |
| Moody Securities, LLC | 148771 |
Source: Form D, filed Mar 8, 2023. 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 |
|---|---|
| Brett C Moody | Executive |
| N/A Moody National Dst Sponsor, Llc | Promoter |
| N/A Moody Ri Sw Austin Am, Llc | Promoter |
| N/A Moody Ri Sw Austin Depositor, Llc | Promoter |
Issuer details
Industry: Commercial (See others in industry)
Address:
9655 Katy Freeway, Suite 600
Houston, TX, 77024
Houston, TX, 77024