Form D · Other Real Estate

Strategic Wealth & Income Fund, LLC

Scottsdale, AZ · CIK 0001457315

Offering snapshot reported May 13, 2010 · SEC filing

Reported sold
$11.6M
Offering amount: $700M
Investors reported
173
Form D · investor count
Minimum accepted
$25K
Reported outside-investor minimum
First sale
Feb 25, 2009
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$5.8M$11.6MMar 5, 2009: $30,000.00Mar 5, 2009Oct 5, 2009: $8,402,658.00Oct 5, 2009Mar 18, 2010: $11,353,658.00May 13, 2010: $11,598,659.00May 13, 2010

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$11,353,658 → $11,598,659
  • Reported investors167 → 173

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
May 13, 2010Amendment$11,598,659$245,001vs Mar 18, 2010173SEC filing
Mar 18, 2010Amendment$11,353,658$2,951,000vs Oct 5, 2009167SEC filing
Oct 5, 2009Amendment$8,402,658$8,372,658vs Mar 5, 2009117SEC filing
Mar 5, 2009Initial$30,000No comparisonNot reportedSEC filing

Offering details

Securities
Equity, Debt, Pooled investment fund
Exemptions
06, 3C, 3C.5
Duration over one year
Yes
Business combination
No
Sales commissions
$52.5M (estimated)
Finders' fees
$0
Form D file number
021-127454
Sales commissions = 6%; Marketing/due diligence fee = 0.5%; Supervisory fee = 1%; after members receive return of capital + 20% IRR; broker dealers receive pro rata share of 5% of net earnings of Issuer

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Lawson Financial Corporation15261
Independent Financial Group, LLC7717
QA3 Financial Group14754
Sunset Financial Services, Inc.3538
Workman Securities Corporation31898
CapWest Securities30002
American Portfolios Financial Services, Inc.18487
Ausdal Financial Partners, Inc.7995
Regent Capital Group, Inc.126881
Galt Financial Group, Inc.146976
Cue Financial Group, Inc.21033
Arque Capital, Ltd.121192
Empire Securities Corporation2826
Capital Financial Services, Inc.8408
Ameritas Investment Corp14869
Steven L. Falk & Associates14297
Union Capital Company110301
Foothill Securities, Inc.1027
American Independent Securities Group, LLC135288

Source: Form D, filed May 13, 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.

People and organizations reported in Form D filings
NameReported role
Shane Albers Director, Executive
Steven Darak Executive
Terri Guske Executive
Jerome Joseph Executive
Sharon Jutila Executive
Ann Mc Cartney Executive
Fawn Medesha Executive
Will Meris Director, Executive
Brian Peterson Executive
Swi Management, Llc Swi Management, Llc Promoter

Issuer details

Industry: Other Real Estate (See others in industry)

Address:
4900 North Scottsdale Road, Suite 5000
Scottsdale, AZ, 85251