Form D · Other Investment Fund

USB Focus Fund LevelUp 1, LLC

Lincoln, MA · CIK 0001618385

Offering snapshot reported Nov 24, 2014 · SEC filing

Reported sold
$10M
Offering amount: $10M
Investors reported
95
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Sep 29, 2014
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$5M$10MOct 10, 2014: $9,200,000.00Oct 10, 2014Nov 24, 2014: $10,000,000.00Nov 24, 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$9,200,000 → $10,000,000
  • Reported investors87 → 95

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Nov 24, 2014Amendment$10,000,000$800,000vs Oct 10, 201495SEC filing
Oct 10, 2014Initial$9,200,000No comparison87SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.1
Duration over one year
No
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-226210

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
US Boston Capital Corporation5251

Source: Form D, filed Nov 24, 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

USB FOCUS FUND LEVELUP 1, LLC

Investment adviser: PEAR TREE PARTNERS, LP

Gross asset value
$45.5K
Beneficial owners
95
ADV minimum commitment
$25K

Reported in Form ADV on Jul 21, 2022. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Auditor EDELSTEIN & COMPANY BOSTON, Massachusetts, United States
Custodian BOSTON PRIVATE BANK BOSTON, Massachusetts, United States Related to adviser: No
Marketer U. S. BOSTON CAPITAL CORPORATION LINCOLN, Massachusetts, United States Related to adviser: Yes
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
Yes

EDELSTEIN & COMPANY
PCAOB 3376

BOSTON PRIVATE BANK
LEI 0001172928

U. S. BOSTON CAPITAL CORPORATION
CRD 5251 · SEC 8-15885

Filing source

Form ADV 1665280 · Jul 21, 2022 · Schedule D 7.B.(1), fund 805-2814424326

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
Jennifer Dougherty Executive
Kathryn Collings Laing Executive
N/A Pear Tree Partners, L.P. Executive
Willard L. Umphrey Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
C/O Us Boston Capital 55 Old Bedford Road
Lincoln, MA, 01773