-----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, UkKg1L75l9kxOHT/eDtfmt9l1FyeLSXjFVDeKp2cXCN8SjfW/RhFqenvQWYa6qkC iIU2SLoo8VKEjApj24MAnw== 0001457315-10-000005.txt : 20100513 0001457315-10-000005.hdr.sgml : 20100513 20100513153626 ACCESSION NUMBER: 0001457315-10-000005 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: 20100513 DATE AS OF CHANGE: 20100513 EFFECTIVENESS DATE: 20100513 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: 10828294 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 X0704 D/A LIVE 0001457315 Strategic Wealth & Income Fund, LLC 4900 NORTH SCOTTSDALE ROAD, SUITE 5000 SCOTTSDALE AZ ARIZONA 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 ARIZONA 85251 Promoter Manager Shane Albers 4900 North Scottsdale Road, Suite 5000 Scottsdale AZ ARIZONA 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 ARIZONA 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 ARIZONA 85251 Executive Officer Executive Officer of SWI Management, LLC, manager of the Issuer Ann McCartney 4900 North Scottsdale Road, Suite 5000 Scottsdale AZ ARIZONA 85251 Executive Officer Executive Officer of SWI Management, LLC, manager of the Issuer Brian Peterson 4900 North Scottsdale Road, Suite 5000 Scottsdale AZ ARIZONA 85251 Executive Officer Executive Officer of SWI Management, LLC, manager of the Issuer Terri Guske 4900 North Scottsdale Road, Suite 5000 Scottsdale AZ ARIZONA 85251 Executive Officer Executive Officer of SWI Management, LLC, manager of the Issuer Other Real Estate Decline to Disclose 06 3C 3C.5 true 0001457315-10-000004 2009-02-25 true true true true false 25000 Lawson Financial Corporation 15261 None None 3352 E. Camelback Road Phoenix AZ ARIZONA 85018 AL ALABAMA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT FL FLORIDA GA GEORGIA ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI NV NEVADA NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA OH OHIO OR OREGON PA PENNSYLVANIA SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VA VIRGINIA WA WASHINGTON WI WISCONSIN WY WYOMING false Independent Financial Group, LLC 7717 None None 12636 High Bluff Drive, Suite 100 San Diego CA CALIFORNIA 92130 All States false QA3 Financial Group 14754 None None One Valmont Plaza, 4th Floor P.O. Box 542055 Omaha NE NEBRASKA 68154-5203 All States false Sunset Financial Services, Inc. 3538 None None 3520 Broadway Kansas City MO MISSOURI 64111 All States false Workman Securities Corporation 31898 None None 6500 City West Parkway, Suite 350 Eden Prairie MN MINNESOTA 55344 All States false CapWest Securities 30002 None None 3900 S. Wadsworth Blvd., Suite 590 Lakewood CO COLORADO 80235 All States false American Portfolios Financial Services, Inc. 18487 None None 4520 Veterans Memorial Highway 4th Floor East Holbrook NY NEW YORK 11741 All States false Ausdal Financial Partners, Inc. 7995 None None 220 N. Main Street, Suite 400 Davenport IA IOWA 52801-1921 AL ALABAMA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT FL FLORIDA GA GEORGIA ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA SC SOUTH CAROLINA SD SOUTH DAKOTA TX TEXAS UT UTAH VA VIRGINIA WA WASHINGTON WI WISCONSIN WY WYOMING false Regent Capital Group, Inc. 126881 None None 4035 E. Thousand Oaks Blvd., Suite 240 Westlake Village CA CALIFORNIA 91362 AZ ARIZONA CA CALIFORNIA CO COLORADO CT CONNECTICUT FL FLORIDA ID IDAHO NV NEVADA NJ NEW JERSEY OR OREGON UT UTAH VT VERMONT WA WASHINGTON false Galt Financial Group, Inc. 146976 None None 2815 Townsgate Road, Suite 100 West Lake Village CA CALIFORNIA 91361 AK ALASKA CA CALIFORNIA HI HAWAII NY NEW YORK OR OREGON UT UTAH WA WASHINGTON false Cue Financial Group, Inc. 21033 None None 3200 N. Central Aveue, Suite 200 Phoenix AZ ARIZONA 85012 AL ALABAMA AK ALASKA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA HI HAWAII ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN WY WYOMING false Arque Capital, Ltd. 121192 None None 5080 N. 40th Street, Suite 103 Phoenix AZ ARIZONA 85018 AL ALABAMA AK ALASKA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE FL FLORIDA GA GEORGIA HI HAWAII ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA SC SOUTH CAROLINA SD SOUTH DAKOTA TX TEXAS UT UTAH VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN false Empire Securities Corporation 2826 None None 10 Universal City Plaza, 20th Floor Universal City CA CALIFORNIA 91608 AL ALABAMA AK ALASKA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA HI HAWAII ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA ME MAINE MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NH NEW HAMPSHIRE NJ NEW JERSEY NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA PR PUERTO RICO RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VT VERMONT VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN WY WYOMING false Capital Financial Services, Inc. 8408 None None #1 North Main Street Minot ND NORTH DAKOTA 58703 All States false Ameritas Investment Corp 14869 None None 5900 "O" Street Lincoln NE NEBRASKA 14869 All States false Steven L. Falk & Associates 14297 None None 11280 Granite Ridge Drive Suite 1042 Las Vegas NV NEVADA 89135 All States false Union Capital Company 110301 None None 4400 E. Broadway Suite 512 Tucson AZ ARIZONA 85711 All States false Foothill Securities, Inc. 1027 None None 150 E. Dana Street Mountain View CA CALIFORNIA 94041 All States false American Independent Securities Group, LLC 135288 None None 1036 E. Iron Eagle Dr. Suite 105 Eagle ID IDAHO 83616 All States false 700000000 11598659 688401341 false 173 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 Will Meris Will Meris Executive Officer of manager of Issuer 2010-05-12 -----END PRIVACY-ENHANCED MESSAGE-----