Form D · Other Real Estate

WNC Tax Credits 38, LLC

Irvine, CA · CIK 0001471106

Offering snapshot reported Dec 9, 2011 · SEC filing

Reported sold
$15M
Offering amount: $15M
Investors reported
305
Form D · investor count
Minimum accepted
$25K
Reported outside-investor minimum
First sale
Apr 9, 2010
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$7.5M$15MApr 9, 2010Jun 17, 2010: $396,000.00Sep 20, 2010: $2,193,750.00Sep 20, 2010Nov 17, 2010: $5,089,000.00Apr 8, 2011: $9,164,580.00Apr 8, 2011Dec 9, 2011: $14,999,380.00Dec 9, 2011

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 investors0 → 305

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Dec 9, 2011Amendment$14,999,380No comparison305SEC filing
Apr 8, 2011Amendment$9,164,580No comparison185SEC filing
Nov 17, 2010Amendment$5,089,000No comparison94SEC filing
Sep 20, 2010Amendment$2,193,750No comparison42SEC filing
Jun 17, 2010Amendment$396,000No comparison9SEC filing
Apr 9, 2010InitialYet to sellNo comparison0SEC filing

Offering details

Securities
Other
Exemptions
06
Duration over one year
Yes
Business combination
No
Sales commissions
$1.05M (estimated)
Finders' fees
$0
Form D file number
021-140360
limited liability company interests

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
WNC Capital Corporation36174WNC Capital Corporation · CRD 36174
Securities America, Inc.10205Securities America, Inc. · CRD 10205
Michael A. Sebald1426782Landolt Securities, Inc. · CRD 28352
VSR Financial Services, Inc.14503VSR Financial Services, Inc. · CRD 14503
Robert D'Agosta1903105Berthel, Fisher and Company Financial Services, Inc. · CRD 13609
Ameritas Investment Corp.14869Ameritas Investment Corp. · CRD 14869
Jeffrey D. Noard1983392Allied Beacon Partners, Inc. · CRD 46227
NPB Financial Group, LLC137743NPB Financial Group, LLC · CRD 137743
Lawrence W. Warren1694288Berthel, Fisher and Company Financial Services, Inc. · CRD 13609
Transamerica Financial Advisors, Inc.16164Transamerica Financial Advisors, Inc. · CRD 16164
Arlene R. Moore2427590Intervest International Equities Corporation · CRD 20289
Henry K. Sterzing1031368Brazos Securities, Inc. · CRD 21624
Chad M. Tusa4524325Crown Capital Securities, L.P. · CRD 6312
SagePoint Financial, Inc.133763SagePoint Financial, Inc. · CRD 133763
FSC Securities Corporation7461FSC Securities Corporation · CRD 7461
Royal Alliance Associates, Inc.23131Royal Alliance Associates, Inc. · CRD 23131
Vernon L. Albright1346110Workman Securities Corporation · CRD 31898
H. Beck, Inc.1763H. Beck, Inc. · CRD 1763
David G. Gott1915608Berthel, Fisher and Company Financial Services, Inc. · CRD 13609
National Planning Corporation29604National Planning Corporation · CRD 29604
Independent Financial Group, LLC7717Independent Financial Group, LLC · CRD 7717
Richard G. Mueller720925Crown Capital Securities, L.P. · CRD 6312
Lloyd M. Johnston1626695Capital Financial Services, Inc. · CRD 8408
Dana D. Anderson2246831United Planners Financial Services of America · CRD 20804
Kenneth W. Rumbaugh1364691Harbour Investments, Inc. · CRD 19258
William B. Bowers III4433033The Strategic Financial Alliance, Inc. · CRD 126514
Jason L. Barney3167740United Planners Financial Services of America · CRD 20804
Ryan S. Ponsford4363535United Planners Financial Services of America · CRD 20804
James W. Olsen857594Crown Capital Securities, L.P. · CRD 6312
Scott M. Lehigh4420892Crown Capital Securities, Inc. · CRD 6312
David H. Arnold864817Intervest International Equities Corporation · CRD 20289
Cameron L. Stiles5489636SII Investments, Inc. · CRD 2225
Preston A. Loss727531Geneos Wealth Management, Inc. · CRD 120894
Roger E. Sulhoff1057321The Strategic Financial Alliance, Inc. · CRD 126514
Prakash D. Simha2970036The Strategic Financial Alliance, Inc. · CRD 126514
Garry N. Savage Sr.1195330Wall Street Strategies, Inc. · CRD 31268
Jeffrey P. Morand728191United Planners Financial Services of America · CRD 20804
David H. Yoder4905015Crown Capital Securities, L.P. · CRD 6312
Yi-Chen C. Yang4024717MCL Financial Group, Inc. · CRD 41180
John J. John1785564Capital Financial Services, Inc. · CRD 8408

Source: Form D, filed Dec 9, 2011. 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
Wilfred N. Cooer, Jr. Director, Executive
Jennifer E. Cooper Director
Kay L. Cooper Director
Wilfred N. Cooper, Jr. Director, Executive
Wilfred N. Cooper, Sr. Director
Michael J. Gaber Executive
Thomas J. Riha Executive
David N. Shafer Executive
Melanie Wenk Executive
Na Wnc & Associates, Inc. Promoter
Na Wnc Housing Tax Credits Manager 2, Llc Promoter
Na Wnc Housing Tax Credits Manager, Llc Promoter

Issuer details

Industry: Other Real Estate (See others in industry)

Address:
17782 Sky Park Circle
Irvine, CA, 92614