Form D · Investing
Preferred Income Partners IV, LLC
Dallas, TX · CIK 0001457305
Offering snapshot reported Mar 3, 2010 · SEC filing
- Reported sold
- $40.7M Offering amount: $50M
- Investors reported
- 663 Form D · investor count
- Minimum accepted
- $10K Reported outside-investor minimum
- First sale
- Mar 1, 2009 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$1,190,000 → $40,667,818
Filing history
Scroll to see all columns →
| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Mar 3, 2010 | Amendment | $40,667,818 | $39,477,818vs Mar 3, 2009 | 663 | SEC filing |
| Mar 3, 2009 | Initial | $1,190,000 | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Not reported
- Exemptions
- 06, 3C, 3C.5
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $3.25M (estimated)
- Finders' fees
- $0
- Form D file number
- 021-127380
Based on maximum offering amount
Sales compensation recipients
Scroll to see all columns →
| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| E. Neil Gillis | 4064036 | Commonwealth Financial Network · CRD 8032 |
| Robert Hoey | 1930990 | Commonwealth Financial Network · CRD 8032 |
| J. Michael Johnson | 4553653 | Commonwealth Financial Network · CRD 8032 |
| James Lamont | 2846228 | Independent Financial Group · CRD 7717 |
| Michelle Mabry | 81987030 | Commonwealth Financial Network · CRD 8032 |
| Steven Meahan | 1234042 | Pacific West Securities · CRD 6390 |
| William J. O'Brien | 1075392 | Commonwealth Financial Network · CRD 8032 |
| Roy J. Schieffer | 1218125 | Independent Financial Group · CRD 7717 |
| Jacob C. Short | 1873314 | Commonwealth Financial Network · CRD 8032 |
| Mark Sparhawk | 1550276 | Commonwealth Financial Network · CRD 8032 |
| Joseph Sullivan | 1722599 | Commonwealth Financial Network · CRD 8032 |
| Addison B. Thompson | 2714143 | Commonwealth Financial Network · CRD 8032 |
| Alan J. Dole | 4904989 | Sanders Morris Harris · CRD 20580 |
| Alexander Paoletto | 864081 | Sanders Morris Harris · CRD 20580 |
| Andrew R. Lippman | 1712470 | Commonwealth Financial Network · CRD 8032 |
| Ann L. Egan | 726128 | The Strategic Financial Alliance · CRD 126514 |
| Michael Spieler | 5246976 | The Strategic Financial Alliance · CRD 126514 |
| Anthony T. Pace | 2115209 | M Holdings Securities · CRD 43285 |
| William H. Medlin | 3227657 | Sanders Morris Harris · CRD 20580 |
| Bradley A. Levin | 2457718 | Commonwealth Financial Network · CRD 8032 |
| Brian W. Armstrong | 3040269 | First Financial Equity Corporation · CRD 16507 |
| Brian G. Greenwood | 1212459 | Commonwealth Financial Network · CRD 8032 |
| Bruce C. Worthington | 2193895 | Commonwealth Financial Network · CRD 8032 |
| Bryn T. Henry | 4465166 | Commonwealth Financial Network · CRD 8032 |
| Charles R. Herrod | 712573 | Commonwealth Financial Network · CRD 8032 |
| Cary B. Stamp | 2087021 | Commonwealth Financial Network · CRD 8032 |
| Charles G. Peckham | 359140 | Commonwealth Financial Network · CRD 8032 |
| Charles P. Brown | 1833265 | Commonwealth Financial Network · CRD 8032 |
| Adam Robinson | 2409443 | Commonwealth Financial Network · CRD 8032 |
| Charles E. Roberts | 4533614 | Commonwealth Financial Network · CRD 8032 |
| Cheryl L. Knight | 1854248 | Strategic Financial Alliance · CRD 126514 |
| Christina S. Nielson | 4866971 | Omni Brokerage Inc. · CRD 16878 |
| Christopher W. Pascale | 2562003 | Commonwealth Financial Network · CRD 8032 |
| Jeremy M. Lobo | 2945385 | Commonwealth Financial Network · CRD 8032 |
| Craig G. Richman | 1183507 | Commonwealth Financial Network · CRD 8032 |
| Douglas McKenna | 1045137 | Madison Avenue Securities Inc. · CRD 23224 |
| Dale Rubin | 1304312 | Sanders Morris Harris Inc. · CRD 20580 |
| Dale E. Wright | 1142615 | Sanders Morris Harris Inc. · CRD 20580 |
| Daniel P. Benson | 5533157 | Madison Avenue Securities Inc. · CRD 23224 |
| Daneil F. Hey SR | 1224254 | Sanders Morris Harris Inc. · CRD 20580 |
| Daniel L. Bonder | 2518757 | Sanders Morris Harris Inc. · CRD 20580 |
| David B. Root JR | 1270361 | Commonwealth Financial Network · CRD 8032 |
| David N. Navarro | 1527259 | Commonwealth Financial Network · CRD 8032 |
| John A. Ferrante II | 2617378 | Commonwealth Financial Network · CRD 8032 |
| David R. Gibbs | 1375737 | Commonwealth Financial Network · CRD 8032 |
| David R. Koehler | 4832628 | Independent Financial Group LLC · CRD 7717 |
| David T. Tracy | 4860924 | Commonwealth Financial Network · CRD 8032 |
| Diane E. Rook Johnson | 2709979 | Pacific West Securities Inc. · CRD 6390 |
| Douglas G. Hesse | 865552 | The Strategic Financial Alliance Inc. · CRD 126514 |
| Warren D. Prehmus | 1875927 | The Strategic Financial Alliance Inc. · CRD 126514 |
| Dwight A. Smith | 5642031 | Workman Securities Corporation · CRD 31898 |
| Edgar A. Wade | 2282355 | Workman Securities Corporation · CRD 31898 |
| Edward H. Maass | 1067659 | Commonwealth Financial Network · CRD 8032 |
| Edward J. Sokolowski | 2221001 | Commonwealth Financial Network · CRD 8032 |
| Eric E. Elek | 3062911 | Commonwealth Financial Network · CRD 8032 |
| Eric J. Reding SR | 3185806 | Madison Avenue Securities Inc. · CRD 23224 |
| Eugene T. Cindrich | 2444041 | Advisory Group Equity Services Ltd · CRD 15427 |
| Frank W. Kimmel | 1158721 | Commonwealth Financial Network · CRD 8032 |
| Gary L. Imel | 254765 | Madison Avenue Securities Inc. · CRD 23224 |
| George M. Bowen | 2919183 | Commonwealth Financial Network · CRD 8032 |
| George H. Gardner III | 1156809 | Commonwealth Financial Network · CRD 8032 |
| Gerald H. Denney Jr. | 1463871 | Commonwealth Financial Network · CRD 8032 |
| Gerald Loftin | 2514109 | Commonwealth Financial Network · CRD 8032 |
| Gilbert N. Greer | 723153 | Commonwealth Financial Network · CRD 8032 |
| Greg S. Bowen | 2328903 | Pacific West Securities Inc. · CRD 6390 |
| Douglas K. Perry | 2260883 | Pacific West Securities Inc. · CRD 6390 |
| Gregory G. Randall | 2143449 | Sanders Morris Harris Inc. · CRD 20580 |
| Gregory F. Partalis | 1197074 | Commonwealth Financial Network · CRD 8032 |
| John W. Bowman | 1514826 | Commonwealth Financial Network · CRD 8032 |
| James Mahoney | 4606032 | Commonwealth Financial Network · CRD 8032 |
| Nicholas T. Christie | 4285089 | Commonwealth Financial Network · CRD 8032 |
| James K. Duncklee | 2025578 | Commonwealth Financial Network · CRD 8032 |
| Jarratt G. Bennett | 18309 | The Strategic Financial Alliance Inc. · CRD 126514 |
| Mark A. Keen | 3178657 | The Strategic Financial Alliance Inc. · CRD 126514 |
| Jay M. Diamond | 1293312 | Commonwealth Financial Network · CRD 8032 |
| Jeffrey A. Segal | 1886939 | Commonwealth Financial Network · CRD 8032 |
| Seth A. Renaud | 4946831 | Commonwealth Financial Network · CRD 8032 |
| Jeffery D. Isaacson | 1974540 | Commonwealth Financial Network · CRD 8032 |
| Jeffrey D. Moscaret | 1522650 | Commonwealth Financial Network · CRD 8032 |
| John M. Augustine | 2304923 | Commonwealth Financial Network · CRD 8032 |
| Matthew J. Zuleger | 2961391 | Commonwealth Financial Network · CRD 8032 |
| John P Harvey JR | 4227692 | OMNI Brokerage Inc. · CRD 16878 |
| Andrew H. Walker | 4823479 | Sanders Morris Harris · CRD 20580 |
| John R. Peters | 1168518 | Commonwealth Financial Network · CRD 8032 |
| John B. Robinson | 2578458 | Sanders Morris Harris Inc. · CRD 20580 |
| John L. Tyler JR | 4272019 | CapWest Securities Inc. · CRD 30002 |
| Jonathan Maxson | 5403589 | Madison Avenue Securities Inc. · CRD 23224 |
| Jonathan C. Wolff | 1203730 | Commonwealth Financial Network · CRD 8032 |
| Joseph A. Leonczyk | 2911492 | Commonwealth Financial Network · CRD 8032 |
| Joseph R. Montecarlo | 338324 | Commonwealth Financial Network · CRD 8032 |
| Joseph R> Broadbent | 3132498 | OMNI Brokerage Inc. · CRD 16878 |
| Kari L. Kennard | 4179309 | Pacific West Securities Inc. · CRD 6390 |
| Katie W. Brewer | 4841855 | LPL Financial Corporation · CRD 6413 |
| Kenneth J. Elkins | 4438904 | Sanders Morris Harris Inc. · CRD 20580 |
| Kevin C. McCarthy | 1702715 | Madison Avenue Securities Inc. · CRD 23224 |
| Kevin M. OBrien | 1866397 | Commonwealth Financial Network · CRD 8032 |
| Kevin P. Moore | 2321372 | Commonwealth Financial Network · CRD 8032 |
| Sally W. Munford | 1431493 | Commonwealth Financial Network · CRD 8032 |
| Kris T. Maksimovich | 4185617 | Commonwealth Financial Network · CRD 8032 |
| Marcus G. Warren | 4522297 | Madison Avenue Securities Inc. · CRD 23224 |
| Not reported |
Source: Form D, filed Mar 3, 2010. 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 J. Cole, Jr. | Executive |
| Kenneth J. Dunn | Executive |
| Thomas B. Mock | Executive |
| Timothy C. Nichols | Executive |
Issuer details
Industry: Investing (See others in industry)
Address:
13760 Noel Road Suite 800
Dallas, TX, 75240
Dallas, TX, 75240