The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete. |
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM D
Notice of Exempt Offering of Securities
|
| OMB APPROVAL |
| OMB Number: |
3235-0076 |
| Estimated average burden |
| hours per response: |
4.00 |
|
|
1. Issuer's Identity
| CIK (Filer ID Number) |
Previous Names |
|
Entity Type |
| 0001926461 |
|
| |
Corporation |
| |
Limited Partnership |
| |
Limited Liability Company |
| |
General Partnership |
| |
Business Trust |
| X |
Other (Specify) |
Statutory trust |
| Name of Issuer |
|---|
| Moody RI SW Austin DST |
| Jurisdiction of Incorporation/Organization |
|---|
| DELAWARE |
| Year of Incorporation/Organization |
|---|
| |
Over Five Years Ago |
| X |
Within Last Five Years (Specify Year) |
2022 |
| |
Yet to Be Formed |
|
2. Principal Place of Business and Contact Information
| Name of Issuer |
|---|
| Moody RI SW Austin DST |
| Street Address 1 |
Street Address 2 |
| 9655 KATY FREEWAY, SUITE 600 |
| City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
| HOUSTON |
TEXAS |
77024 |
(713) 977-7500 |
3. Related Persons
| Last Name |
First Name |
Middle Name |
| Moody |
Brett |
C |
| Street Address 1 |
Street Address 2 |
| 9655 Katy Freeway, Suite 600 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Houston |
TEXAS |
77024 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
President of Issuer's Manager
| Last Name |
First Name |
Middle Name |
| Moody RI SW Austin AM, LLC |
N/A |
| Street Address 1 |
Street Address 2 |
| 9655 Katy Freeway, Suite 600 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Houston |
TEXAS |
77024 |
| Relationship: |
|
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| Moody RI SW Austin Depositor, LLC |
N/A |
| Street Address 1 |
Street Address 2 |
| 9655 Katy Freeway, Suite 600 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Houston |
TEXAS |
77024 |
| Relationship: |
|
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| Moody National DST Sponsor, LLC |
N/A |
| Street Address 1 |
Street Address 2 |
| 9655 Katy Freeway, Suite 600 |
| City |
State/Province/Country |
ZIP/PostalCode |
| Houston |
TEXAS |
77024 |
| Relationship: |
|
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
4. Industry Group
| |
Agriculture |
|
Banking & Financial Services |
|
| |
Commercial Banking |
| |
Insurance |
| |
Investing |
| |
Investment Banking |
| |
Pooled Investment Fund |
|
|
|
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940? |
|
|
| |
Other Banking & Financial Services |
|
| |
Business Services |
|
Energy |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Health Care |
|
|
|
|
|
|
|
|
|
|
| |
Manufacturing |
|
Real Estate |
|
|
|
|
|
|
|
|
|
|
|
|
Retailing |
|
Restaurants |
|
Technology |
|
|
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|
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Travel |
|
|
|
|
|
| |
Tourism & Travel Services |
|
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|
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Other |
|
5. Issuer Size
| Revenue Range |
OR |
Aggregate Net Asset Value Range |
| |
No Revenues |
|
No Aggregate Net Asset Value |
| |
$1 - $1,000,000 |
|
$1 - $5,000,000 |
| |
$1,000,001 - $5,000,000 |
|
$5,000,001 - $25,000,000 |
| |
$5,000,001 - $25,000,000 |
|
$25,000,001 - $50,000,000 |
| |
$25,000,001 - $100,000,000 |
|
$50,000,001 - $100,000,000 |
| |
Over $100,000,000 |
|
Over $100,000,000 |
| X |
Decline to Disclose |
|
Decline to Disclose |
| |
Not Applicable |
|
Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
|
| |
Rule 504(b)(1) (not (i), (ii) or (iii)) |
|
| |
Rule 504 (b)(1)(i) |
|
| |
Rule 504 (b)(1)(ii) |
|
| |
Rule 504 (b)(1)(iii) |
|
| X |
Rule 506(b) |
|
| |
Rule 506(c) |
|
| |
Securities Act Section 4(a)(5) |
|
| |
Investment Company Act Section 3(c) |
|
| |
Section 3(c)(1) |
|
Section 3(c)(9) |
|
| |
Section 3(c)(2) |
|
Section 3(c)(10) |
|
| |
Section 3(c)(3) |
|
Section 3(c)(11) |
|
| |
Section 3(c)(4) |
|
Section 3(c)(12) |
|
| |
Section 3(c)(5) |
|
Section 3(c)(13) |
|
| |
Section 3(c)(6) |
|
Section 3(c)(14) |
|
|
|
7. Type of Filing
| |
New Notice |
|
Date of First Sale |
2022-05-05 |
|
|
First Sale Yet to Occur |
| X |
Amendment |
8. Duration of Offering
| Does the Issuer intend this offering to last more than one year? |
|
|
9. Type(s) of Securities Offered (select all that apply)
| X |
Equity |
|
Pooled Investment Fund Interests |
| |
Debt |
|
Tenant-in-Common Securities |
| |
Option, Warrant or Other Right to Acquire Another Security |
|
Mineral Property Securities |
| |
Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
|
Other (describe) |
|
|
10. Business Combination Transaction
| Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
|
|
Clarification of Response (if Necessary):
11. Minimum Investment
| Minimum investment accepted from any outside investor |
$25,000
|
USD |
12. Sales Compensation
| Recipient |
| Recipient CRD Number |
|
None |
|
| David Levinson |
705929 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| American Trust Investment Services, Inc. |
3001 |
| Street Address 1 |
Street Address 2 |
| 4722 Main Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lisle |
ILLINOIS |
60532 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| HAWAII |
| TEXAS |
| FLORIDA |
| NEVADA |
| WASHINGTON |
| NEW YORK |
| SOUTH CAROLINA |
| WISCONSIN |
| MASSACHUSETTS |
| MARYLAND |
| IOWA |
| MAINE |
| OHIO |
| GEORGIA |
| IDAHO |
| MICHIGAN |
| CALIFORNIA |
| UTAH |
| MINNESOTA |
| ILLINOIS |
| OREGON |
| INDIANA |
| MONTANA |
| KANSAS |
| ALASKA |
| VIRGINIA |
| COLORADO |
| KENTUCKY |
| CONNECTICUT |
| PENNSYLVANIA |
| LOUISIANA |
| NORTH CAROLINA |
| RHODE ISLAND |
| ARIZONA |
| NEW HAMPSHIRE |
| TENNESSEE |
| NEW JERSEY |
| DISTRICT OF COLUMBIA |
| NEW MEXICO |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Ivan West |
4921015 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| American Trust Investment Services, Inc. |
3001 |
| Street Address 1 |
Street Address 2 |
| 4722 Main Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lisle |
ILLINOIS |
60532 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| HAWAII |
| ILLINOIS |
| OREGON |
| TEXAS |
| FLORIDA |
| NEVADA |
| WASHINGTON |
| NEW YORK |
| VIRGINIA |
| COLORADO |
| KENTUCKY |
| PENNSYLVANIA |
| MASSACHUSETTS |
| NORTH CAROLINA |
| ARIZONA |
| OHIO |
| NEW HAMPSHIRE |
| MICHIGAN |
| NEW JERSEY |
| CALIFORNIA |
| VERMONT |
| UTAH |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Linda Wimsatt |
1401802 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| American Trust Investment Services, Inc. |
3001 |
| Street Address 1 |
Street Address 2 |
| 2173 Salk Avenue, #250 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Carlsbad |
CALIFORNIA |
92008 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| FLORIDA |
| ARIZONA |
| GEORGIA |
| TENNESSEE |
| CALIFORNIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| James Kevin Johnston |
1689783 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Arete Wealth Management, LLC |
44856 |
| Street Address 1 |
Street Address 2 |
| 775 Ridge Lake Blvd, Suite 150 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Memphis |
TENNESSEE |
38120 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| SOUTH CAROLINA |
| ARKANSAS |
| PENNSYLVANIA |
| FLORIDA |
| MISSISSIPPI |
| GEORGIA |
| TENNESSEE |
| ALABAMA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Arkadios Capital |
282710 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 309 East Paces Ferry Road, Suite 1000 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Atlanta |
GEORGIA |
30305 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Roger Bowlin |
1905652 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Aurora Securities |
46147 |
| Street Address 1 |
Street Address 2 |
| 77th Avenue SE, Suite 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Mercer Island |
WASHINGTON |
98040 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARKANSAS |
| HAWAII |
| MINNESOTA |
| ILLINOIS |
| OREGON |
| TEXAS |
| FLORIDA |
| GEORGIA |
| WASHINGTON |
| ALABAMA |
| COLORADO |
| CALIFORNIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Edward Eric Fernandez |
2956661 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Capulent LLC |
155155 |
| Street Address 1 |
Street Address 2 |
| 2603 Main St, Ste 1050 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Irvine |
CALIFORNIA |
92614 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| DELAWARE |
| HAWAII |
| TEXAS |
| FLORIDA |
| NEVADA |
| WASHINGTON |
| NEW YORK |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| WISCONSIN |
| MASSACHUSETTS |
| MARYLAND |
| IOWA |
| MAINE |
| OHIO |
| GEORGIA |
| IDAHO |
| MICHIGAN |
| OKLAHOMA |
| CALIFORNIA |
| UTAH |
| WEST VIRGINIA |
| MINNESOTA |
| MISSOURI |
| ILLINOIS |
| OREGON |
| MONTANA |
| KANSAS |
| ALASKA |
| ALABAMA |
| VIRGINIA |
| COLORADO |
| ARKANSAS |
| CONNECTICUT |
| PENNSYLVANIA |
| LOUISIANA |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| RHODE ISLAND |
| ARIZONA |
| NEW HAMPSHIRE |
| TENNESSEE |
| NEW JERSEY |
| VERMONT |
| DISTRICT OF COLUMBIA |
| NEW MEXICO |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Surya Metzler |
4558292 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Centaurus Financial Inc. |
30833 |
| Street Address 1 |
Street Address 2 |
| 4695 MacArthur Court, Suite 1100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Newport Beach |
CALIFORNIA |
92660 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| TEXAS |
| FLORIDA |
| NEVADA |
| ARIZONA |
| WASHINGTON |
| CALIFORNIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Kelley Slaught |
1126586 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Centaurus Financial Inc. |
30833 |
| Street Address 1 |
Street Address 2 |
| 10 E. Figuroa Street, Suite #204 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Santa Barbara |
CALIFORNIA |
93101 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| HAWAII |
| OREGON |
| MASSACHUSETTS |
| FLORIDA |
| NEVADA |
| ARIZONA |
| WASHINGTON |
| NEW YORK |
| COLORADO |
| CALIFORNIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| David John Segarra |
4482059 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Centaurus Financial Inc. |
30833 |
| Street Address 1 |
Street Address 2 |
| 2777 Paradise Road, Suite #2002 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Las Vegas |
NEVADA |
89109 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| HAWAII |
| TEXAS |
| FLORIDA |
| NEVADA |
| WASHINGTON |
| NEW YORK |
| WISCONSIN |
| MASSACHUSETTS |
| GEORGIA |
| IDAHO |
| MICHIGAN |
| CALIFORNIA |
| UTAH |
| WEST VIRGINIA |
| MINNESOTA |
| ILLINOIS |
| OREGON |
| INDIANA |
| MONTANA |
| COLORADO |
| KENTUCKY |
| PENNSYLVANIA |
| NORTH CAROLINA |
| NORTH DAKOTA |
| ARIZONA |
| TENNESSEE |
| NEW JERSEY |
| NEW MEXICO |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Joshua Charles Thornhill |
6409315 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Center Street Securities, Inc. |
26898 |
| Street Address 1 |
Street Address 2 |
| 112 Professional Parkway |
| City |
State/Province/Country |
ZIP/Postal Code |
| Troy |
MISSOURI |
63379 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| MISSOURI |
| ILLINOIS |
| TEXAS |
| IOWA |
| COLORADO |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Concorde Investment Services, LLC |
151604 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 19500 Victor Parkway, Suite 550 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Livonia |
MICHIGAN |
48152 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| DELAWARE |
| HAWAII |
| TEXAS |
| MASSACHUSETTS |
| MARYLAND |
| IOWA |
| MAINE |
| IDAHO |
| MICHIGAN |
| UTAH |
| MINNESOTA |
| MISSOURI |
| ILLINOIS |
| INDIANA |
| MISSISSIPPI |
| MONTANA |
| ALASKA |
| ALABAMA |
| VIRGINIA |
| ARKANSAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| RHODE ISLAND |
| ARIZONA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| VERMONT |
| NEW MEXICO |
| FLORIDA |
| NEVADA |
| WASHINGTON |
| NEW YORK |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| WISCONSIN |
| OHIO |
| GEORGIA |
| OKLAHOMA |
| CALIFORNIA |
| WEST VIRGINIA |
| WYOMING |
| OREGON |
| KANSAS |
| COLORADO |
| KENTUCKY |
| CONNECTICUT |
| PENNSYLVANIA |
| LOUISIANA |
| TENNESSEE |
| DISTRICT OF COLUMBIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Harmony M. Russo |
5294771 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Crown Capital Securities, LP |
6312 |
| Street Address 1 |
Street Address 2 |
| 2660 Townsgate Road, Suite 310 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Westlake Village |
CALIFORNIA |
91361 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| PENNSYLVANIA |
| OREGON |
| FLORIDA |
| NEVADA |
| WASHINGTON |
| IDAHO |
| NEW YORK |
| VIRGINIA |
| NEW JERSEY |
| CALIFORNIA |
| UTAH |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| DAI Securities, LLC |
36673 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 2200 Century Parkway NE, Suite 435 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Atlanta |
GEORGIA |
30345 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| DELAWARE |
| HAWAII |
| TEXAS |
| MASSACHUSETTS |
| MARYLAND |
| IOWA |
| MAINE |
| IDAHO |
| MICHIGAN |
| UTAH |
| MINNESOTA |
| MISSOURI |
| ILLINOIS |
| INDIANA |
| MISSISSIPPI |
| MONTANA |
| ALASKA |
| ALABAMA |
| VIRGINIA |
| ARKANSAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| RHODE ISLAND |
| ARIZONA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| VERMONT |
| NEW MEXICO |
| FLORIDA |
| NEVADA |
| WASHINGTON |
| NEW YORK |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| WISCONSIN |
| OHIO |
| GEORGIA |
| OKLAHOMA |
| CALIFORNIA |
| WEST VIRGINIA |
| WYOMING |
| OREGON |
| KANSAS |
| COLORADO |
| KENTUCKY |
| CONNECTICUT |
| PENNSYLVANIA |
| LOUISIANA |
| TENNESSEE |
| DISTRICT OF COLUMBIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Dillon Hall |
6463342 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| EMERSON EQUITY LLC |
130032 |
| Street Address 1 |
Street Address 2 |
| 1820 E Ray Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Chandler |
ARIZONA |
85225 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CONNECTICUT |
| HAWAII |
| SOUTH DAKOTA |
| ILLINOIS |
| MARYLAND |
| KANSAS |
| ARIZONA |
| IDAHO |
| COLORADO |
| CALIFORNIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Lance Stafford |
2900449 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| EMERSON EQUITY LLC |
130032 |
| Street Address 1 |
Street Address 2 |
| 9940 Research Drive, Suite 200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Irvine |
CALIFORNIA |
92618 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| MISSOURI |
| WYOMING |
| OREGON |
| TEXAS |
| INDIANA |
| FLORIDA |
| MISSISSIPPI |
| ALABAMA |
| NEW YORK |
| VIRGINIA |
| COLORADO |
| KENTUCKY |
| SOUTH CAROLINA |
| ARKANSAS |
| CONNECTICUT |
| PENNSYLVANIA |
| LOUISIANA |
| NORTH CAROLINA |
| RHODE ISLAND |
| GEORGIA |
| TENNESSEE |
| NEW JERSEY |
| CALIFORNIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Adam Shipley |
6482848 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| EMERSON EQUITY LLC |
130032 |
| Street Address 1 |
Street Address 2 |
| 9940 Research Drive, Suite 200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Irvine |
CALIFORNIA |
92618 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ILLINOIS |
| OREGON |
| NEVADA |
| ARIZONA |
| GEORGIA |
| NEW HAMPSHIRE |
| IDAHO |
| NEW YORK |
| COLORADO |
| CALIFORNIA |
| KENTUCKY |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Matthew Peter Larson |
7031272 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| EMERSON EQUITY LLC |
130032 |
| Street Address 1 |
Street Address 2 |
| 155 Bovet Road, Suite 725 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Mateo |
CALIFORNIA |
94402 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| TEXAS |
| FLORIDA |
| ARIZONA |
| COLORADO |
| CALIFORNIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Norma Nisbet |
5590290 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Great Point Capital LLC |
114203 |
| Street Address 1 |
Street Address 2 |
| 200 West Jackson Blvd., Suite 1000 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Chicago |
ILLINOIS |
60606 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| MISSOURI |
| WISCONSIN |
| ILLINOIS |
| KANSAS |
| OHIO |
| GEORGIA |
| IDAHO |
| NEW YORK |
| CALIFORNIA |
| KENTUCKY |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Mark Herding |
2239357 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Harbour Investments, Inc. |
19258 |
| Street Address 1 |
Street Address 2 |
| 4648 N 32nd St |
| City |
State/Province/Country |
ZIP/Postal Code |
| Phoenix |
ARIZONA |
85018 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| MINNESOTA |
| MISSOURI |
| ILLINOIS |
| OREGON |
| FLORIDA |
| NEVADA |
| VIRGINIA |
| COLORADO |
| ARKANSAS |
| SOUTH DAKOTA |
| WISCONSIN |
| NORTH CAROLINA |
| ARIZONA |
| CALIFORNIA |
| NEW MEXICO |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Bradford Watt |
2565438 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Patrick Capital Markets, LLC |
16518 |
| Street Address 1 |
Street Address 2 |
| 115 Wilcox Street, Suite 220 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Castle Rock |
COLORADO |
80104 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| DELAWARE |
| HAWAII |
| TEXAS |
| MASSACHUSETTS |
| MARYLAND |
| IOWA |
| MAINE |
| IDAHO |
| MICHIGAN |
| UTAH |
| MINNESOTA |
| MISSOURI |
| ILLINOIS |
| INDIANA |
| MISSISSIPPI |
| MONTANA |
| ALASKA |
| ALABAMA |
| VIRGINIA |
| ARKANSAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| RHODE ISLAND |
| ARIZONA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| VERMONT |
| NEW MEXICO |
| FLORIDA |
| NEVADA |
| WASHINGTON |
| NEW YORK |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| WISCONSIN |
| OHIO |
| GEORGIA |
| OKLAHOMA |
| CALIFORNIA |
| WEST VIRGINIA |
| WYOMING |
| OREGON |
| KANSAS |
| COLORADO |
| KENTUCKY |
| CONNECTICUT |
| PENNSYLVANIA |
| LOUISIANA |
| TENNESSEE |
| DISTRICT OF COLUMBIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Sandy Simmons |
1018907 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Patrick Capital Markets, LLC |
16518 |
| Street Address 1 |
Street Address 2 |
| 115 Wilcox Street, Suite 220 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Castle Rock |
COLORADO |
80104 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| TEXAS |
| FLORIDA |
| WASHINGTON |
| NEW YORK |
| SOUTH CAROLINA |
| WISCONSIN |
| MASSACHUSETTS |
| MARYLAND |
| OHIO |
| GEORGIA |
| MICHIGAN |
| OKLAHOMA |
| CALIFORNIA |
| UTAH |
| MINNESOTA |
| ILLINOIS |
| OREGON |
| INDIANA |
| VIRGINIA |
| COLORADO |
| CONNECTICUT |
| PENNSYLVANIA |
| NORTH CAROLINA |
| NEBRASKA |
| ARIZONA |
| NEW JERSEY |
| NEW MEXICO |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Amr Tenney |
5506866 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Thornhill Securities, Inc. |
22333 |
| Street Address 1 |
Street Address 2 |
| 400 W. 15th St., Suite 700 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Austin |
TEXAS |
78701 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| DELAWARE |
| HAWAII |
| TEXAS |
| MASSACHUSETTS |
| MARYLAND |
| IOWA |
| MAINE |
| IDAHO |
| MICHIGAN |
| UTAH |
| MINNESOTA |
| MISSOURI |
| ILLINOIS |
| INDIANA |
| MISSISSIPPI |
| MONTANA |
| ALASKA |
| ALABAMA |
| VIRGINIA |
| ARKANSAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| RHODE ISLAND |
| ARIZONA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| VERMONT |
| NEW MEXICO |
| FLORIDA |
| NEVADA |
| WASHINGTON |
| NEW YORK |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| WISCONSIN |
| OHIO |
| GEORGIA |
| OKLAHOMA |
| CALIFORNIA |
| WEST VIRGINIA |
| WYOMING |
| OREGON |
| KANSAS |
| COLORADO |
| KENTUCKY |
| CONNECTICUT |
| PENNSYLVANIA |
| LOUISIANA |
| TENNESSEE |
| DISTRICT OF COLUMBIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Jacob Adams |
4975889 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Thornhill Securities, Inc. |
22333 |
| Street Address 1 |
Street Address 2 |
| 400 W. 15th St., Suite 700 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Austin |
TEXAS |
78701 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| DELAWARE |
| HAWAII |
| TEXAS |
| MASSACHUSETTS |
| MARYLAND |
| IOWA |
| MAINE |
| IDAHO |
| MICHIGAN |
| UTAH |
| MINNESOTA |
| MISSOURI |
| ILLINOIS |
| INDIANA |
| MISSISSIPPI |
| MONTANA |
| ALASKA |
| ALABAMA |
| VIRGINIA |
| ARKANSAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| RHODE ISLAND |
| ARIZONA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| VERMONT |
| NEW MEXICO |
| FLORIDA |
| NEVADA |
| WASHINGTON |
| NEW YORK |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| WISCONSIN |
| OHIO |
| GEORGIA |
| OKLAHOMA |
| CALIFORNIA |
| WEST VIRGINIA |
| WYOMING |
| OREGON |
| KANSAS |
| COLORADO |
| KENTUCKY |
| CONNECTICUT |
| PENNSYLVANIA |
| LOUISIANA |
| TENNESSEE |
| DISTRICT OF COLUMBIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| David John Funes |
5467419 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Thornhill Securities, Inc. |
22333 |
| Street Address 1 |
Street Address 2 |
| 400 W. 15th St., Suite 700 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Austin |
TEXAS |
78701 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| DELAWARE |
| HAWAII |
| TEXAS |
| MASSACHUSETTS |
| MARYLAND |
| IOWA |
| MAINE |
| IDAHO |
| MICHIGAN |
| UTAH |
| MINNESOTA |
| MISSOURI |
| ILLINOIS |
| INDIANA |
| MISSISSIPPI |
| MONTANA |
| ALASKA |
| ALABAMA |
| VIRGINIA |
| ARKANSAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| RHODE ISLAND |
| ARIZONA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| VERMONT |
| NEW MEXICO |
| FLORIDA |
| NEVADA |
| WASHINGTON |
| NEW YORK |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| WISCONSIN |
| OHIO |
| GEORGIA |
| OKLAHOMA |
| CALIFORNIA |
| WEST VIRGINIA |
| WYOMING |
| OREGON |
| KANSAS |
| COLORADO |
| KENTUCKY |
| CONNECTICUT |
| PENNSYLVANIA |
| LOUISIANA |
| TENNESSEE |
| DISTRICT OF COLUMBIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Robert Johnson |
4318220 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Thornhill Securities, Inc. |
22333 |
| Street Address 1 |
Street Address 2 |
| 400 W. 15th St., Suite 700 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Austin |
TEXAS |
78701 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| DELAWARE |
| HAWAII |
| TEXAS |
| MASSACHUSETTS |
| MARYLAND |
| IOWA |
| MAINE |
| IDAHO |
| MICHIGAN |
| UTAH |
| MINNESOTA |
| MISSOURI |
| ILLINOIS |
| INDIANA |
| MISSISSIPPI |
| MONTANA |
| ALASKA |
| ALABAMA |
| VIRGINIA |
| ARKANSAS |
| NORTH CAROLINA |
| NORTH DAKOTA |
| NEBRASKA |
| RHODE ISLAND |
| ARIZONA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| VERMONT |
| NEW MEXICO |
| FLORIDA |
| NEVADA |
| WASHINGTON |
| NEW YORK |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| WISCONSIN |
| OHIO |
| GEORGIA |
| OKLAHOMA |
| CALIFORNIA |
| WEST VIRGINIA |
| WYOMING |
| OREGON |
| KANSAS |
| COLORADO |
| KENTUCKY |
| CONNECTICUT |
| PENNSYLVANIA |
| LOUISIANA |
| TENNESSEE |
| DISTRICT OF COLUMBIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| David Kangas |
6591398 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Wealthforge Securities, LLC |
152550 |
| Street Address 1 |
Street Address 2 |
| 738 E. Chapman Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| Orange |
CALIFORNIA |
92866 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Trawnegan Gall |
6266415 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Wealthforge Securities, LLC |
152550 |
| Street Address 1 |
Street Address 2 |
| 130 N Preston Road, Suite 238 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Prosper |
TEXAS |
75078 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Preston Charlton |
2135631 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Wealthforge Securities, LLC |
152550 |
| Street Address 1 |
Street Address 2 |
| 7051 Heathcote Village Way, Suite 200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Gainesville |
VIRGINIA |
20155 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| MINNESOTA |
| FLORIDA |
| NEW YORK |
| VIRGINIA |
| COLORADO |
| SOUTH CAROLINA |
| CONNECTICUT |
| PENNSYLVANIA |
| MASSACHUSETTS |
| NORTH CAROLINA |
| MARYLAND |
| MAINE |
| ARIZONA |
| GEORGIA |
| NEW JERSEY |
| DISTRICT OF COLUMBIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Moody Securities, LLC |
148771 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 9655 Katy Freeway, Suite 600 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Houston |
TEXAS |
77024 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
13. Offering and Sales Amounts
| Total Offering Amount |
$40,040,000
|
USD |
|
| Total Amount Sold |
$40,040,000
|
USD |
| Total Remaining to be Sold |
$0
|
USD |
|
Clarification of Response (if Necessary):
14. Investors
|
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering. |
|
|
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: |
|
15. Sales Commissions & Finder's Fees Expenses
Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
| Sales Commissions |
$3,192,850
|
USD |
|
| Finders' Fees |
$0
|
USD |
|
Clarification of Response (if Necessary):
16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
Clarification of Response (if Necessary):
$1,250,000 of carrying costs will be paid to an affiliate of the Manager from offering proceeds and an affiliate received a transaction consulting fee which was not paid from offering proceeds.Signature and Submission
Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.
Terms of Submission
| In submitting this notice, each issuer named above is: |
- Notifying the SEC and/or each State in which this notice is filed of the offering of
securities described and undertaking to furnish them, upon written request, in the accordance with applicable
law, the information furnished to offerees.*
- Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator
or other legally designated officer of the State in which the issuer maintains its principal
place of business and any State in which this notice is filed, as its agents for service of
process, and agreeing that these persons may accept service on its behalf, of any notice,
process or pleading, and further agreeing that such service may be made by registered or
certified mail, in any Federal or state action, administrative proceeding, or arbitration
brought against the issuer in any place subject to the jurisdiction of the United States, if the
action, proceeding or arbitration (a) arises out of any activity in connection with the
offering of securities that is the subject of this notice, and (b) is founded, directly or
indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange
Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the
Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii)
the laws of the State in which the issuer maintains its principal place of business or any State
in which this notice is filed.
- Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) or Rule 506(d).
|
Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.
For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.
| Issuer |
Signature |
Name of Signer |
Title |
Date |
| Moody RI SW Austin DST |
Brett C. Moody |
Brett C Moody |
President of Issuer's Manager |
2023-03-08 |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
* This undertaking does not affect any limits Section 102(a) of the National Securities Markets
Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to
require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes
of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot
routinely require offering materials under this undertaking or otherwise and can require offering materials only to the
extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.