Form D · Residential
Thompson/Morgan Baton Rouge I, DST
Irvine, CA · CIK 0001466589
Offering snapshot reported Jul 29, 2010 · SEC filing
- Reported sold
- $21M Offering amount: $21.2M
- Investors reported
- 142 Form D · investor count
- Minimum accepted
- $100K Reported outside-investor minimum
- First sale
- Jun 11, 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$14,141,829 → $20,985,800
- Reported investors103 → 142
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Jul 29, 2010 | Amendment | $20,985,800 | $6,843,971vs Jan 22, 2010 | 142 | SEC filing |
| Jan 22, 2010 | Amendment | $14,141,829 | $4,541,868vs Nov 12, 2009 | 103 | SEC filing |
| Nov 12, 2009 | Amendment | $9,599,961 | $990,000vs Oct 14, 2009 | 74 | SEC filing |
| Oct 14, 2009 | Amendment | $8,609,961 | $293,500vs Oct 6, 2009 | 65 | SEC filing |
| Oct 6, 2009 | Amendment | $8,316,461 | $1,080,000vs Sep 16, 2009 | 61 | SEC filing |
| Sep 16, 2009 | Amendment | $7,236,461 | $487,000vs Aug 26, 2009 | 54 | SEC filing |
| Aug 26, 2009 | Amendment | $6,749,461 | $1,789,561vs Jul 21, 2009 | 50 | SEC filing |
| Jul 21, 2009 | Amendment | $4,959,900 | $676,900vs Jul 6, 2009 | 41 | SEC filing |
| Jul 6, 2009 | Amendment | $4,283,000 | $505,600vs Jun 22, 2009 | 35 | SEC filing |
| Jun 22, 2009 | Initial | $3,777,400 | No comparison | 30 | SEC filing |
Offering details
- Securities
- Equity
- Exemptions
- 06, 3C, 3C.1, 3C.5
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $2.76M (estimated)
- Finders' fees
- $0
- Form D file number
- 021-132145
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Larry I. Behrends | 16971 | Workman Securities Corporation · CRD 31989 |
| Tracy R. Turner | 1385745 | Private Asset Group, Inc. · CRD 142541 |
| Pacific West Securities, Inc. | 6390 | Pacific West Securities, Inc. · CRD 6390 |
| John P. Harvey, Jr. | 4227692 | Omni Brokerage, Inc. · CRD 16878 |
| Mark S. Mourick | 867435 | Gramercy Securities, Inc. · CRD 8177 |
| M. Gene Walter | 851987 | MCL Financial Group, Inc. · CRD 41180 |
| Stephen A. Pierce | 2170820 | GunnAllen Financial, Inc. · CRD 17609 |
| Paul A. Conte | 4803177 | Alternative Wealth Strategies, Inc. · CRD 130993 |
| Richard J. Maciasz | 1678609 | GunnAllen Financial, Inc. · CRD 17609 |
| Stuart C. Chamberlin, Jr. | 1549351 | GunnAllen Financial, Inc. · CRD 17609 |
| Karl R. Norman | 349146 | Questar Capital Corporation · CRD 43100 |
| Bradley D. McCord | 5435128 | Private Asset Group, Inc. · CRD 142541 |
| Lisa Y. del Rio | 5039684 | Direct Capital Securities, Inc. · CRD 29639 |
| Robert L. Johnson | 1570308 | Questar Capital Corporation · CRD 43100 |
| Ashlee R. Turner | 5467536 | Private Asset Group, Inc. · CRD 142541 |
| Lewis M. Savage | 4716737 | Direct Capital Securities, Inc. · CRD 29639 |
| Ronald J. Farner | 2335915 | National Securities Corporation · CRD 7569 |
| Michael J. Blackmore | 2879954 | Sammons Securities Company, LLC · CRD 115368 |
| Jimmy D. Weishaar | 2537959 | Sammons Securities Company, LLC · CRD 115368 |
| Warren A. Wedepohl | 4581750 | Pavek Investments Inc. · CRD 15791 |
| Derek J. Elrod | 4793202 | Sloan Securities Corp. · CRD 17930 |
| Robert A. Horning | 2311640 | Centaurus Financial, Inc. · CRD 30833 |
| Robert Muldoon | 2664336 | Omni Brokerage, Inc. · CRD 16878 |
| James M. Mohan | 2449709 | Sammons Securities Company, LLC · CRD 115368 |
| Brian D. Vosberg | 4476509 | Centaurus Financial, Inc. · CRD 30833 |
| Joseph R. Broadbent | 3132498 | Omni Brokerage, Inc. · CRD 16878 |
| F. Brian Tanner | 5038888 | Omni Brokerage, Inc. · CRD 16878 |
| Robert G. Tatum | 1936605 | BancorpSouth Investment Services, Inc. · CRD 46259 |
| Robert D. Russell | 4667804 | Kalos Capital, Inc. · CRD 44337 |
| James T. Riner | 376932 | Crown Capital Securities, L.P. · CRD 6312 |
| Robert Russel Tweed | 2339324 | Capwest Securities, Inc. · CRD 30002 |
| Debra L. Mackie | 2528711 | Questar Capital Corporation · CRD 43100 |
| Berthel, Fisher & Company Financial Services, Inc. | 13069 | |
| James W. Olsen | 857594 | Crown Capital Securities, L.P. · CRD 6312 |
| Jeffrey J. Arburn | 1475817 | Whitehall-Parker Securities, Inc. · CRD 10608 |
| Norberto Fernandez | 5241882 | Newport Coast Securities · CRD 16944 |
| William W. Gammon | 1811853 | Centaurus Financial, Inc. · CRD 30833 |
| William R. Furlong, Jr. | 801636 | Newport Coast Securities, Inc. · CRD 16944 |
| Michael S. Welch | 4215661 | Kalos Capital, Inc. · CRD 44337 |
| Angela L. Tejeda | 4212910 | Money Concepts Capital Corp. · CRD 12963 |
| Christopher M. Schellin | 5575534 | Capstone Financial Group, Inc. · CRD 133591 |
| Leslie M. Pappas | 1735372 | Regent Capital Group, Inc. · CRD 126881 |
| Gregory W. McCloskey | 2820510 | Newport Coast Securities, Inc. · CRD 16944 |
| Ivette M. Peugnet | 1623785 | Crown Capital Securities, L.P. · CRD 6312 |
| David B. McMillen | 1198070 | Crown Capital Securities, L.P. · CRD 6312 |
| Craig C. Frieders | 2817574 | Sloan Securities Corp. · CRD 17930 |
| Adam Bryan | 5443986 | Direct Capital Securities, Inc. · CRD 29639 |
| John M. Kosmicki | 2093885 | Questar Capital Corporation · CRD 43100 |
| Gary L. Flater | 1049132 | MCL Financial Group, Inc. · CRD 41180 |
| Daniel P. Raupp | 4079107 | Gunnallen Financial, Inc. · CRD 17609 |
| David J. Chwalek | 2159441 | Investors Capital Corp. · CRD 30613 |
| Lambert B. Hermelink III | 243918 | QA3 Financial Corp. · CRD 14754 |
| Jack R. Maurer | 3081542 | TNP Securities, LLC · CRD 149178 |
| Nathan P. MacDonald | 2250393 | Investors Capital Corp. · CRD 30613 |
| Mark A. Cline | 3206962 | United Equity Securities, LLC · CRD 47261 |
| Keith A. Herman | 2322605 | Alternative Wealth Strategies, Inc. · CRD 130933 |
| Brian F. Lynch | 4660088 | TNP Securities, LLC · CRD 149178 |
| Timothy J. Sherer | 833618 | J.P. Turner & Company, L.L.C. · CRD 43177 |
| Michele F. Boyer | 5046676 | Workman Securities Corporation · CRD 31898 |
| James M. Whitson | 1353438 | United Equity Securities, LLC · CRD 47261 |
| Robert A. Graham | 1025936 | Arete Wealth Management, LLC · CRD 44856 |
| James T. Mabbott | 2270546 | QA3 Financial Corp. · CRD 14754 |
| Kathleen L. Heshelow | 4909103 | Capwest Securities, Inc. · CRD 30002 |
| Craig S. Sturges | 1315735 | Centaurus Financial, Inc. · CRD 30833 |
| Michael A. Sebald | 1426782 | Landolt Securities, Inc. · CRD 28352 |
| Joseph R. Donato | 4218627 | Investors Capital Corp. · CRD 30613 |
Source: Form D, filed Jul 29, 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 |
|---|---|
| Greg Genovese | Executive |
| Darryll Goodman | Executive |
| Johanna Howard | Executive |
| Jack R. Maurer | Executive |
| Anthony W. Thompson | Executive |
Issuer details
Industry: Residential (See others in industry)
Address:
1900 Main Street Suite 700
Irvine, CA, 92614
Irvine, CA, 92614