FORM D
Notice of Exempt Offering of Securities

UNITED STATES SECURITIES
AND EXCHANGE COMMISSION
Washington, D.C.

OMB APPROVAL
OMB Number: 3235-0076
Estimated Average burden hours per response: 4.0
1. Issuer's Identity
CIK (Filer ID Number)Previous Name(s)Checkbox checkedNoneEntity Type
0002018496
Radio button not checkedCorporation
Radio button not checked Limited Partnership
Radio button checked Limited Liability Company
Radio button not checked General Partnership
Radio button not checked Business Trust
Radio button not checkedOther 
Name of Issuer
 INVESTX SERIES (SPX-U3), A SERIES OF INVESTX MASTER LLC
Jurisdiction of Incorporation/Organization
DELAWARE 
Year of Incorporation/Organization
Radio button not checkedOver Five Years Ago
Radio button checkedWithin Last Five Years (Specify Year)
2024
Radio button not checkedYet to Be Formed
 
  
  
 
2. Principal Place of Business and Contact Information
Name of Issuer
 INVESTX SERIES (SPX-U3), A SERIES OF INVESTX MASTER LLC
Street Address 1Street Address 2
 19 FULTON STREET
 SUITE 300
CityState/Province/CountryZIP/Postal CodePhone No. of Issuer
 New York
 NEW YORK
 
 10038
 212-390-9270 



3. Related Persons

Last NameFirst NameMiddle Name
InvestX Asset Management LLC
null
Street Address 1Street Address 2
 19 Fulton Street 
 Suite 300
CityState/Province/CountryZIP/Postal Code
 New York
 NEW YORK
 10038
 
Relationship:Checkbox not checkedExecutive OfficerCheckbox checkedDirectorCheckbox not checkedPromoter
Clarification of Response (if Necessary)
Manager of the Issuer


Last NameFirst NameMiddle Name
InvestX Markets LLC
null
Street Address 1Street Address 2
 19 Fulton Street 
 Suite 300
CityState/Province/CountryZIP/Postal Code
 New York
 NEW YORK
 10038
 
Relationship:Checkbox not checkedExecutive OfficerCheckbox not checkedDirectorCheckbox checkedPromoter
Clarification of Response (if Necessary)
Affiliate of the Manager of the Issuer


Last NameFirst NameMiddle Name
Great Lakes Fund Solutions, Inc.
null
Street Address 1Street Address 2
 500 Park Avenue 
 Suite 114
CityState/Province/CountryZIP/Postal Code
 Lake Villa
 ILLINOIS
 60046
 
Relationship:Checkbox checkedExecutive OfficerCheckbox not checkedDirectorCheckbox not checkedPromoter
Clarification of Response (if Necessary)
Administrative Manager of the Issuer


Last NameFirst NameMiddle Name
McLamore
Robert
Street Address 1Street Address 2
 c/o Great Lakes Fund Solutions, Inc. 
 500 Park Avenue, Suite 114
CityState/Province/CountryZIP/Postal Code
 Lake Villa
 ILLINOIS
 60046
 
Relationship:Checkbox checkedExecutive OfficerCheckbox not checkedDirectorCheckbox not checkedPromoter
Clarification of Response (if Necessary)
Officer of the Administrative Manager of the Issuer




4. Industry Group
 Radio button not checkedAgriculture
Banking & Financial Services
 Radio button not checked Commercial Banking
 Radio button not checked Insurance
 Radio button not checkedInvesting
 Radio button not checked Investment Banking
 Radio button checked Pooled Investment Fund

*Is the issuer registered as an investment company under the Investment Company Act of 1940?
Radio button not checked Yes  Radio button checkedNo
 Radio button not checkedOther Banking & Financial Services
Radio button not checked Business Services
Energy
 Radio button not checked Coal Mining
 Radio button not checked Electric Utilities
 Radio button not checked Energy Conservation
 Radio button not checked Environmental Services
 Radio button not checked Oil & Gas
 Radio button not checked Other Energy
Health Care
 Radio button not checked Biotechnology
 Radio button not checked Health Insurance
 Radio button not checked Hospitals & Physicians
 Radio button not checked Pharmaceuticals
 Radio button not checked Other Health Care
   
   
   
  
Radio button not checked Manufacturing
Real Estate
 Radio button not checkedCommercial
 Radio button not checkedConstruction
 Radio button not checkedREITS & Finance
 Radio button not checkedResidential
Radio button not checkedOther Real Estate
Radio button not checked Retailing
Radio button not checkedRestaurants
Technology
Radio button not checked Computers
Radio button not checked Telecommunications
Radio button not checked Other Technology
Travel
Radio button not checked Airlines & Airports
Radio button not checked Lodging & Conventions
Radio button not checked Tourism & Travel Services
Radio button not checked Other Travel
Radio button not checkedOther

  
   
5. Issuer Size
Revenue RangeAggregate Net Asset Value Range
Radio button not checkedNo RevenuesRadio button not checked No Aggregate Net Asset Value
Radio button not checked $1 - $1,000,000Radio button not checked$1 - $5,000,000
Radio button not checked $1,000,001 - $5,000,000Radio button not checked $5,000,001 - $25,000,000
Radio button not checked$5,000,001 - $25,000,000Radio button not checked $25,000,001 - $50,000,000
Radio button not checked$25,000,001 - $100,000,000Radio button not checked $50,000,001 - $100,000,000
Radio button not checked Over $100,000,000Radio button not checked Over $100,000,000
Radio button not checked Decline to Disclose Radio button checkedDecline to Disclose
Radio button not checked Not ApplicableRadio button not checked Not Applicable

 
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
Checkbox not checkedRule 504(b)(1) (not (i), (ii)
or (iii))		Checkbox not checkedRule 506(b)      
Checkbox not checkedRule 504 (b)(1)(i) Checkbox checkedRule 506(c)
Checkbox not checkedRule 504 (b)(1)(ii) Checkbox not checkedSecurities Act Section 4(a)(5)
Checkbox not checkedRule 504 (b)(1)(iii)Checkbox not checkedInvestment Company Act Section 3(c)
 
 

7. Type of Filing
Checkbox not checked New Notice Date of First Sale 
2024-03-19
Checkbox not checked First Sale Yet to Occur
Checkbox checked Amendment


 
 
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? Radio button not checked Yes Radio button checked No
 
 
9. Type(s) of Securities Offered (select all that apply)
Checkbox checkedPooled Investment Fund InterestsCheckbox not checkedEquity
Checkbox not checkedTenant-in-Common Securities Checkbox not checkedDebt
Checkbox not checkedMineral Property SecuritiesCheckbox not checkedOption, Warrant or Other Right to Acquire Another Security
Checkbox not checkedSecurity to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire SecurityCheckbox not checkedOther (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? Radio button not checked Yes Radio button checked No
Clarification of Response (if Necessary)
 
 
 
11. Minimum Investment
Minimum investment accepted from any outside investor$
 25000
USD

12. Sales Compensation
Recipient Recipient CRD NumberCheckbox not checkedNone
 Daniel Bernard Savoie
 569391
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 InvestX Markets LLC
 148248
Street Address 1      Street Address 2
19 Fulton Street
Suite 300
City State/Province/CountryZIP/Postal Code
 New York
 NEW YORK
 10038
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
MICHIGAN
NORTH CAROLINA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Ashley Mofrad
 7286124
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 InvestX Markets LLC
 148248
Street Address 1      Street Address 2
19 Fulton Street
Suite 300
City State/Province/CountryZIP/Postal Code
 New York
 NEW YORK
 10038
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
CALIFORNIA
FLORIDA
IDAHO
TEXAS
Recipient Recipient CRD NumberCheckbox not checkedNone
 Namhee Park
 6724895
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Kingswood Capital Partners, LLC
 288898
Street Address 1      Street Address 2
110 East Wilshire Avenue
Suite 301
City State/Province/CountryZIP/Postal Code
 Fullerton
 CALIFORNIA
 92832
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
UTAH
Recipient Recipient CRD NumberCheckbox not checkedNone
 John Jason Ferneau
 6136562
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Kingswood Capital Partners, LLC
 288898
Street Address 1      Street Address 2
975 Lincoln Street
Suite 204
City State/Province/CountryZIP/Postal Code
 Denver
 COLORADO
 80203
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ARIZONA
CALIFORNIA
COLORADO
NEBRASKA
WASHINGTON
Recipient Recipient CRD NumberCheckbox not checkedNone
 Han Gu
 6863727
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Kingswood Capital Partners, LLC
 288898
Street Address 1      Street Address 2
2 Overhill Road
Suite 400
City State/Province/CountryZIP/Postal Code
 Scarsdale
 NEW YORK
 10583
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
MICHIGAN
Recipient Recipient CRD NumberCheckbox not checkedNone
 Rhett Price Grimes
 6283241
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Kingswood Capital Partners, LLC
 288898
Street Address 1      Street Address 2
11440 West Bernardo Court
Suite 300
City State/Province/CountryZIP/Postal Code
 San Diego
 CALIFORNIA
 92127
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
NORTH CAROLINA
SOUTH CAROLINA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Morris Gordon Nutt
 2891940
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Kingswood Capital Partners, LLC
 288898
Street Address 1      Street Address 2
1730 South Germantown Road
Suite 224
City State/Province/CountryZIP/Postal Code
 Germantown
 TENNESSEE
 38138
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
TENNESSEE
Recipient Recipient CRD NumberCheckbox not checkedNone
 Gary Glenn Garcia II
 5027185
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Kingswood Capital Partners, LLC
 288898
Street Address 1      Street Address 2
106 South Tampania Avenue
Suite 202
City State/Province/CountryZIP/Postal Code
 Tampa
 FLORIDA
 33609
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
FLORIDA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Daniel M. King
 5954543
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Kingswood Capital Partners, LLC
 288898
Street Address 1      Street Address 2
11440 West Bernardo Court
Suite 300
City State/Province/CountryZIP/Postal Code
 San Diego
 CALIFORNIA
 92127
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Judson Harris Gee
 2453009
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Kingswood Capital Partners, LLC
 288898
Street Address 1      Street Address 2
2616 Fort Street
 
City State/Province/CountryZIP/Postal Code
 Charlotte
 NORTH CAROLINA
 28205
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
NORTH CAROLINA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Aaron Wall
 7805948
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Fidelis Capital
 322287
Street Address 1      Street Address 2
7200 Wisconsin Avenue
 
City State/Province/CountryZIP/Postal Code
 Bethesda
 MARYLAND
 20814
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
MARYLAND
Recipient Recipient CRD NumberCheckbox not checkedNone
 Justin Dale Tompkins
 6319600
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 InvestX Markets LLC
 148248
Street Address 1      Street Address 2
19 Fulton Street
Suite 300
City State/Province/CountryZIP/Postal Code
 New York
 NEW YORK
 10038
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
NEBRASKA
TEXAS
Recipient Recipient CRD NumberCheckbox not checkedNone
 Marcus A. New
 7235082
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 InvestX Markets LLC
 148248
Street Address 1      Street Address 2
19 Fulton Street
Suite 300
City State/Province/CountryZIP/Postal Code
 New York
 NEW YORK
 10038
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
VIRGINIA



13. Offering and Sales Amounts
 
Total Offering Amount $
 
USDCheckbox checkedIndefinite
Total Amount Sold $
3660000
USD
Total Remaining to be Sold $
 
USDCheckbox checkedIndefinite
Clarification of Response (if Necessary)
  
 
14. Investors

Checkbox not checkedSelect if securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
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:
40
 
15. Sales Commissions & Finders’ 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$
164700
USDCheckbox checkedEstimate
Finders' Fees$
0
USDCheckbox not checkedEstimate
Clarification of Response (if Necessary)
The Issuer may require investors brought by a registered broker-dealer to pay up to 4.5% of the investor's commitment to such dealer-broker. In addition, selling agents and referring firms may receive a carried interest of 5.0%.
 

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.
 $ 
366000
USDCheckbox checkedEstimate
Clarification of Response (if Necessary)
Represents a 3.0% one-time upfront management fee plus a 5.0% setup fee for organizational and operating expenses plus a 2.0% fee for assisting with setup of brokers and other selling participants, and other processing and documentation work.

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, 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 it 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.
 
IssuerSignatureName of SignerTitleDate
INVESTX SERIES (SPX-U3), A SERIES OF INVESTX MASTER LLC/s/ Marcus A. NewMarcus A. NewOfficer2024-05-06