-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, B7cOVIZy5TlNiL9yTNZVANqU3HwyMRZOF7oCp/c02nvtEW8ukp5gUIa5x/36iy6a hAeHi7KIVS39SBcK46ohbw== 0001457315-09-000002.txt : 20091005 0001457315-09-000002.hdr.sgml : 20091005 20091005170925 ACCESSION NUMBER: 0001457315-09-000002 CONFORMED SUBMISSION TYPE: D/A PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: Rule 506 ITEM INFORMATION: Investment Company Act Section 3(c) ITEM INFORMATION: Section 3(c)(5) FILED AS OF DATE: 20091005 DATE AS OF CHANGE: 20091005 EFFECTIVENESS DATE: 20091005 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Strategic Wealth & Income Fund, LLC CENTRAL INDEX KEY: 0001457315 IRS NUMBER: 208680047 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D/A SEC ACT: 1933 Act SEC FILE NUMBER: 021-127454 FILM NUMBER: 091106278 BUSINESS ADDRESS: STREET 1: 4900 NORTH SCOTTSDALE ROAD, SUITE 5000 CITY: SCOTTSDALE STATE: AZ ZIP: 85251 BUSINESS PHONE: (480) 840-8400 MAIL ADDRESS: STREET 1: 4900 NORTH SCOTTSDALE ROAD, SUITE 5000 CITY: SCOTTSDALE STATE: AZ ZIP: 85251 D/A 1 primary_doc.xml X0603 D/A LIVE 0001457315 Strategic Wealth & Income Fund, LLC 4900 NORTH SCOTTSDALE ROAD, SUITE 5000 SCOTTSDALE AZ 85251 (480) 840-8400 DELAWARE IMH Secured Load Fund II, LLC None Limited Liability Company true 2007 SWI Management, LLC SWI Management, LLC 4900 North Scottsdale Road, Suite 5000 Scottsdale AZ 85251 Promoter Manager Shane Albers 4900 North Scottsdale Road, Suite 5000 Scottsdale AZ 85251 Executive Officer Director Executive Officer and Director of SWI Management, LLC, manager of the Issuer Will Meris 4900 North Scottsdale Road, Suite 5000 Scottsdale AZ 85251 Executive Officer Director Executive Officer and Director of SWI Management, LLC, manager of the Issuer Steven Darak 4900 North Scottsdale Road, Suite 5000 Scottsdale AZ 85251 Executive Officer Executive Officer of SWI Management, LLC, manager of the Issuer Ann McCartney 4900 North Scottsdale Road, Suite 5000 Scottsdale AZ 85251 Executive Officer Executive Officer of SWI Management, LLC, manager of the Issuer Brian Peterson 4900 North Scottsdale Road, Suite 5000 Scottsdale AZ 85251 Executive Officer Executive Officer of SWI Management, LLC, manager of the Issuer Terri Guske 4900 North Scottsdale Road, Suite 5000 Scottsdale AZ 85251 Executive Officer Executive Officer of SWI Management, LLC, manager of the Issuer Other Real Estate Decline to Disclose 06 3C 3C.5 true 0001457315-09-000001 2009-02-25 true true true true false 25000 Lawson Financial Corporation 15261 None None 3352 E. Camelback Road Phoenix AZ 85018 AL AZ AR CA CO CT FL GA ID IL IN IA KS KY LA MD MA MI MN MS NV NM NY NC OH OR PA SC SD TN TX UT VA WA WI WY Independent Financial Group, LLC 7717 None None 12636 High Bluff Drive, Suite 100 San Diego CA 92130 All States QA3 Financial Group 14754 None None One Valmont Plaza, 4th Floor P.O. Box 542055 Omaha NE 68154-5203 All States Sunset Financial Services, Inc. 3538 None None 3520 Broadway Kansas City MO 64111 All States Workman Securities Corporation 31898 None None 6500 City West Parkway, Suite 350 Eden Prairie MN 55344 All States CapWest Securities 30002 None None 3900 S. Wadsworth Blvd., Suite 590 Lakewood CO 80235 All States American Portfolios Financial Services, Inc. 18487 None None 4520 Veterans Memorial Highway 4th Floor East Holbrook NY 11741 All States Ausdal Financial Partners, Inc. 7995 None None 220 N. Main Street, Suite 400 Davenport IA 52801-1921 AL AZ AR CA CO CT FL GA ID IL IN IA KS KY LA MD MA MI MN MS MO MT NE NV NH NJ NM NY NC ND OH OK OR PA SC SD TX UT VA WA WI WY Regent Capital Group, Inc. 126881 None None 4035 E. Thousand Oaks Blvd., Suite 240 Westlake Village CA 91362 AZ CA CO CT FL ID NV NJ OR UT VT WA Galt Financial Group, Inc. 146976 None None 2815 Townsgate Road, Suite 100 West Lake Village CA 91361 AK CA HI NY OR UT WA Cue Financial Group, Inc. 21033 None None 3200 N. Central Aveue, Suite 200 Phoenix AZ 85012 AL AK AZ AR CA CO CT DE DC FL GA HI ID IL IN IA KS KY LA MD MA MI MN MS MO MT NE NV NJ NM NY NC ND OH OK OR PA SC SD TN TX UT VA WA WV WI WY Arque Capital, Ltd. 121192 None None 5080 N. 40th Street, Suite 103 Phoenix AZ 85018 AL AK AZ AR CA CO CT DE FL GA HI ID IL IN IA KS KY LA MD MA MI MN MS MO MT NE NV NH NJ NM NY NC ND OH OK OR PA SC SD TX UT VA WA WV WI Empire Securities Corporation 2826 None None 10 Universal City Plaza, 20th Floor Universal City CA 91608 AL AK AZ AR CA CO CT DE DC FL GA HI ID IL IN IA KS KY LA ME MD MA MI MN MS MO MT NE NV NH NJ NY NC ND OH OK OR PA PR RI SC SD TN TX UT VT VA WA WV WI WY Capital Financial Services, Inc. 8408 None None #1 North Main Street Minot ND 58703 All States Ameritas Investment Corp 14869 None None 5900 "O" Street Lincoln NE 14869 All States 700000000 8402658 691597342 false 117 52500000 true 0 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 3500000 true See Item 15 for commissions. Only .75% of supervisory fee can be paid to insiders. Manager receives organization fee = 0.5%, and amount above only includes organization fee because other commissions are in Item 15. false Strategic Wealth & Income Fund, LLC /s/ Will Meris Will Meris Executive Officer of manager of Issuer 2009-10-05 -----END PRIVACY-ENHANCED MESSAGE-----