Carter Multifamily Growth & Income Fund, LLC 2026: Is It Legit? Form D Raise, Investors, Who Is Behind It

Q: What is Carter Multifamily Growth & Income Fund, LLC?

Carter Multifamily Growth & Income Fund, LLC is a Delaware limited liability company that filed a Form D with the SEC on November 4, 2019 in the REITS and Finance industry group. The filing claims Rule 506(b) for an offering of equity.

Q: Is Carter Multifamily Growth & Income Fund, LLC legit?

AltStreet does not rate legitimacy; it reports the public record. Carter Multifamily Growth & Income Fund, LLC filed a Form D with the SEC on November 4, 2019 claiming Rule 506(b). A Form D is a notice of an exempt offering, not a review or approval of it. The newest notice reports $103,140,519 sold to 1,047 investors. AltStreet's enforcement record (SEC, FINRA and state actions) shows no action naming the issuer as of today. Before investing, confirm the filing on EDGAR, check the seller's registration on FINRA BrokerCheck, and read the offering documents, which a Form D does not include.

Q: Is Carter Multifamily Growth & Income Fund, LLC registered with or approved by the SEC?

No. A Form D is a notice that an issuer is selling securities under an exemption from registration, and the SEC does not review, approve, or pass on the merits of the offering. The filing shows that Carter Multifamily Growth & Income Fund, LLC claimed Rule 506(b) and disclosed the items the form requires, such as the amount sold, the minimum investment, related persons, and anyone paid to sell the securities. It does not verify the issuer's claims or its business.

Q: How much has Carter Multifamily Growth & Income Fund, LLC raised?

Carter Multifamily Growth & Income Fund, LLC reported $103,140,519 sold from 1,047 investors of a $200,000,000 total offering as of the Form D filed November 4, 2019.

Q: Who can invest in Carter Multifamily Growth & Income Fund, LLC?

The offering relies on Rule 506(b), which permits sales to accredited investors and to no more than 35 non-accredited investors who meet a sophistication standard, and prohibits general solicitation. The filing reports no non-accredited investors. The minimum investment accepted from an outside investor is $50,000.

Q: What is the minimum investment in Carter Multifamily Growth & Income Fund, LLC?

The Form D lists $50,000 as the minimum investment accepted from any outside investor as of November 4, 2019. Issuers can waive their own minimums, and the figure does not include fees.

Q: Who is selling Carter Multifamily Growth & Income Fund, LLC and how are they paid?

The Form D names Sandlapper Securities, LLC (CRD 137906), associated with None; Cabot Lodge Securities LLC (CRD 159712), associated with None; Calton & Associates, Inc. (CRD 20999), associated with None; Purshe Kaplan Sterling Investments (CRD 35747), associated with None and 36 others as recipients of sales compensation soliciting in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY.

Q: Who is behind Carter Multifamily Growth & Income Fund, LLC?

The Form D lists 6 related persons: John E Carter, director (Chairman of the Board of Directors); Joseph E Caballero, director (Independent Director); Randall E Greene, director (Independent Director); Cynthia M Pfeifer, executive officer (Chief Executive Officer); Lisa A Drummond, executive officer (Chief Operating Officer and Secretary); Thomas W Guard, executive officer (Chief Financial Officer). Form D Item 3 requires executive officers, directors, and promoters of the issuer to be listed.

Q: Where is Carter Multifamily Growth & Income Fund, LLC located?

The issuer's address on its SEC filings is 4890 W. Kennedy Boulevard, Suite 825, Tampa, FL 33609. Its phone number of record is 8133871691. It is organized under the laws of Delaware.

Q: How long is the Carter Multifamily Growth & Income Fund, LLC offering open?

The issuer indicated that the offering is intended to last more than one year. An issuer must amend its Form D annually while a continuing offering stays open; 3 amendments are on record for this CIK.

AltStreetEDGAR DatabaseCarter Multifamily Growth & Income Fund, LLC
SEC filing record
Primary Source · SEC.gov
Carter Multifamily Growth & Income Fund, LLC2018 vintageRule 506(b)Filing record
Built from the SEC filing index the day the filing landed. The figures below are the issuer's own from Form D; AltStreet's analysis, sponsor link and data flags follow when the entity is enriched.
Raised
$103M
Investors
1,047
Min Invest
$50,000
Is this your company or fund? Claim this page free, or verify it and carry the Verified Issuer mark.
Claim freeVerify, $480/yr
What this filing shows·Every sentence is a value as filed on SEC Form D
Carter Multifamily Growth & Income Fund, LLC is a Delaware limited liability company that first filed a Form D on April 19, 2018 and most recently amended it on November 4, 2019 in the REITS and Finance industry group. The offering claims Rule 506(b) and covers equity. Carter Multifamily Growth & Income Fund, LLC reported $103,140,519 sold from 1,047 investors of a $200,000,000 total offering as of the Form D filed November 4, 2019. The offering relies on Rule 506(b), which permits sales to accredited investors and to no more than 35 non-accredited investors who meet a sophistication standard, and prohibits general solicitation. The filing reports no non-accredited investors. The minimum investment accepted from an outside investor is $50,000. The Form D names Sandlapper Securities, LLC (CRD 137906), associated with None; Cabot Lodge Securities LLC (CRD 159712), associated with None; Calton & Associates, Inc. (CRD 20999), associated with None; Purshe Kaplan Sterling Investments (CRD 35747), associated with None and 36 others as recipients of sales compensation soliciting in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY. The issuer's address of record is 4890 W. Kennedy Boulevard, Suite 825, Tampa, FL 33609.
Critical Disclosures
What the filings and the regulators have said about this entity that a reader should know first. Each line links to its source. The history, the same event across other issuers, and alerts are in the terminal.
Reporting lapsed · Form D · last filing November 4, 2019
Offering declared to continue beyond a year; annual amendment 13+ months overdue An issuer that stops filing is the case the going-concern flag cannot catch: the report that would have carried it was never filed.
Timeline 
Each line is a fact as filed. The history behind it, the same event across other issuers, and an alert on the next one:Open in the terminal Watch this issuer 
EDGAR Filing Data
Form D — Primary Source
View on SEC.gov 
CIK Number0001723529
Entity NameCarter Multifamily Growth & Income Fund, LLC
ExemptionRule 506(b)
What the exemption meansRule 506(b) of Regulation D: securities may be sold to an unlimited number of accredited investors and up to 35 non-accredited investors who meet the rule's sophistication standard, without general solicitation or advertising.
Entity TypeLimited Liability Company
Jurisdiction of OrganizationDelaware
Issuer Address4890 W. Kennedy Boulevard, Suite 825, Tampa, FL 33609
Phone(813) 387-1691
Industry / Fund TypeREITS and Finance
Securities TypeEquity
First Sale DateApril 5, 2018
Filing DateNovember 4, 2019
Accession Number0001723529-19-000001
Total Offering Amount$200,000,000
Total Amount Sold$103,140,519
Amount Remaining$96,859,481
Total Investors1,047
Non-Accredited InvestorsNone
Minimum Investment$50,000
Offering DurationIntended to last more than one year
Revenue RangeDecline to Disclose
State (Issuer Address)FL
Amendment Count4 filings on record
Filings on Record
Every filing AltStreet's ledger holds for this CIK, newest first. Each opens the SEC archive folder.
D/ANovember 4, 20190001723529-19-000001D/AJuly 23, 20180001723529-18-000005D/AJune 4, 20180001723529-18-000004DApril 19, 20180001723529-18-000003
In the Terminal
Filing events
0
none on file
Critical / warning
0 / 0
0 watch · 0 info
Statements extracted
0
none on file
NAV prints
0
none on file
Offering chains
1
dark
Open in the terminal Watch this issuerInvestor $149/mo unlocks the values; Pro $349/mo adds the universe.
Fund family Part of the Carter Multifamily Growth & Income Fund family: 4 vehicles across 3 generations · full family and the filing behind each link in the terminal
Investor
The full fund family and any related vehicles (parallel, feeder, successor, sibling series) with the filing that shows each link
1 offering timeline: velocity, share raised, first-sale lag, stalled flags
Pro
This issuer against its cohort: rank by velocity and share raised among offerings filed the same quarter
The same events, statements and NAV moves across every issuer, screenable, with unlimited watches and CSV
Counts and dates above are the free record. The values, the series and the comparisons are the seat. Loading your view…
Related Persons (Form D)
Executive officers, directors, and promoters listed on the SEC Form D filing. Source: SEC.gov.
John E Carter
Director · Tampa, FL
Chairman of the Board of Directors
Joseph E Caballero
Director · Tampa, FL
Independent Director
Randall E Greene
Director · Tampa, FL
Independent Director
Cynthia M Pfeifer
Executive Officer · Tampa, FL
Chief Executive Officer
Lisa A Drummond
Executive Officer · Tampa, FL
Chief Operating Officer and Secretary
Thomas W Guard
Executive Officer · Tampa, FL
Chief Financial Officer
Placement Agents and Sales Compensation (Form D)
Who the issuer reported paying to sell the securities (Form D Item 12), with the FINRA registration number the filer gave. Source: SEC.gov.
Sandlapper Securities, LLCCRD 137906 on BrokerCheck 
Associated broker-dealer: None · Greenville, SC · Soliciting in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
Cabot Lodge Securities LLCCRD 159712 on BrokerCheck 
Associated broker-dealer: None · New York, NY · Soliciting in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
Calton & Associates, Inc.CRD 20999 on BrokerCheck 
Associated broker-dealer: None · Tampa, FL · Soliciting in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
Purshe Kaplan Sterling InvestmentsCRD 35747 on BrokerCheck 
Associated broker-dealer: None · Albany, NY · Soliciting in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
Coastal Equities, Inc.CRD 23769 on BrokerCheck 
Associated broker-dealer: None · Wilmington, DE · Soliciting in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
Newbridge Securities CorporationCRD 104065 on BrokerCheck 
Associated broker-dealer: None · Boca Raton, FL · Soliciting in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
Cabin Securities, Inc.CRD 137608 on BrokerCheck 
Associated broker-dealer: None · Overland Park, KS · Soliciting in AZ, CA, CO, CT, FL, GA, IA, IL, KS, LA, MI, MN, MO, NC, ND, NE, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TX, WA, WY
Aegis Capital Corp.CRD 15007 on BrokerCheck 
Associated broker-dealer: None · New York, NY · Soliciting in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
Whitehall-Parker Securities, Inc.CRD 10608 on BrokerCheck 
Associated broker-dealer: None · San Francisco, CA · Soliciting in AZ, CA, CO, ID, NV, NY, OR, TX, UT, WA
Center Street Securities, Inc.CRD 26898 on BrokerCheck 
Associated broker-dealer: None · Nashville, TN · Soliciting in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
Corinthian Partners, L.L.C.CRD 38912 on BrokerCheck 
Associated broker-dealer: None · New York, NY · Soliciting in AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, IL, MA, MD, MI, MN, MO, NC, NE, NJ, NM, NV, NY, OH, OR, PA, RI, SC, TX, UT, VA, WA, WI
Emerson Equity LLCCRD 130032 on BrokerCheck 
Associated broker-dealer: None · San Mateo, CA · Soliciting in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
Chauner Securities, Inc.CRD 10075 on BrokerCheck 
Associated broker-dealer: None · Northbrook, IL · Soliciting in AZ, CA, CO, CT, DC, FL, IL, MA, MD, MN, NC, NH, NJ, NV, NY, OH, PA, RI, WI, WY
Sunbelt Securities, Inc.CRD 42180 on BrokerCheck 
Associated broker-dealer: None · Houston, TX · Soliciting in AK, AL, AR, AZ, CA, CO, CT, DE, FL, GA, HI, IA, IL, IN, KS, KY, LA, MA, MD, MI, MN, MO, MS, MT, NC, ND, NE, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, WA, WI, WV, WY
International Assets Advisory, LLCCRD 10645 on BrokerCheck 
Associated broker-dealer: None · Orlando, FL · Soliciting in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
Chalice Capital PartnersCRD 288898 on BrokerCheck 
Associated broker-dealer: None · San Diego, CA · Soliciting in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, MI, MN, MO, MS, MT, NC, NJ, NM, NV, NY, OH, OK, OR, PA, SC, SD, TN, TX, UT, VA, WA, WI, WV, WY
Skyway Capital Markets, LLCCRD 124630 on BrokerCheck 
Associated broker-dealer: None · Tampa, FL · Soliciting in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, IA, ID, IL, IN, KS, KY, LA, MD, MI, MN, MS, MT, NC, ND, NE, NH, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
KCD Financial, Inc.CRD 127473 on BrokerCheck 
Associated broker-dealer: None · Green Bay, WI · Soliciting in AL, AR, AZ, CA, CO, CT, DC, FL, GA, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, WA, WI, WV, WY
INDEPENDENT FINANCIAL GROUP, LLCCRD 7717 on BrokerCheck 
Associated broker-dealer: None · San Diego, CA · Soliciting in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
PARITER SECURITIES, LLCCRD 127836 on BrokerCheck 
Associated broker-dealer: None · Guaynabo, PR · Soliciting in CA, FL, MA, MD, NY, PR
TITAN SECURITIESCRD 131392 on BrokerCheck 
Associated broker-dealer: None · Addison, TX · Soliciting in AR, AZ, CA, CO, FL, GA, HI, ID, IN, KS, LA, MD, MI, MN, MO, NC, NE, NJ, NM, NV, NY, OH, OK, PA, SD, TN, TX, UT, VA, WA, WI, WV, WY
ADVISORY GROUP EQUITY SERVICES LTD.CRD 15427 on BrokerCheck 
Associated broker-dealer: None · WOBURN, MA · Soliciting in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
ARKADIOS CAPITALCRD 282710 on BrokerCheck 
Associated broker-dealer: None · ATLANTA, GA · Soliciting in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
CENTAURUS FINANCIAL, INC.CRD 30833 on BrokerCheck 
Associated broker-dealer: None · ANAHEIM, CA · Soliciting in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
CLARAPHI ADVISORY NETWORK, LLCCRD 165868 on BrokerCheck 
Associated broker-dealer: None · ALISO VIEJO, CA · Soliciting in AZ, CA, CO, CT, FL, GA, HI, IL, MD, MN, MO, NC, NE, NJ, NM, NV, NY, OH, OK, OR, PA, SC, TN, TX, VA, WA, WI
DEMPSEY LORD SMITH, LLCCRD 141238 on BrokerCheck 
Associated broker-dealer: None · ROME, GA · Soliciting in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
FORESIGHT WEALTH MANAGEMENT, LLCCRD 153881 on BrokerCheck 
Associated broker-dealer: None · DRAPER, UT · Soliciting in AZ, CA, CO, ID, IL, MN, NJ, NV, NY, OR, TX, UT, WA, WY
KALOS CAPITAL, INC.CRD 44337 on BrokerCheck 
Associated broker-dealer: None · ALPHARETTA, GA · Soliciting in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
LANDOLT SECURITIES, INC.CRD 28352 on BrokerCheck 
Associated broker-dealer: None · OSHKOSH, WI · Soliciting in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
NI ADVISORSCRD 134502 on BrokerCheck 
Associated broker-dealer: None · MILPITAS, CA · Soliciting in AZ, CA, CT, FL, GA, HI, ID, MA, MD, ME, MI, MO, NC, NJ, NV, NY, OR, PA, SC, TX, VA, WA
PRESIDENTIAL BROKERAGE, INC.CRD 28784 on BrokerCheck 
Associated broker-dealer: None · GREENWOOD VILLAGE, CO · Soliciting in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
SILVERHAWK ASSET MANAGEMENT, LLCCRD 167798 on BrokerCheck 
Associated broker-dealer: None · SCOTTSDALE, AZ · Soliciting in AZ, CA, CT, TN, WA
STAINES FINANCIAL, LLCCRD 299405 on BrokerCheck 
Associated broker-dealer: None · ROSEVILLE, CA · Soliciting in CA, NH, NJ, NY, PA, TX
THE STRATEGIC FINANCIAL ALLIANCE, INC.CRD 126514 on BrokerCheck 
Associated broker-dealer: None · ATLANTA, GA · Soliciting in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
CORNERSTONE WEALTH ADVISORS, INC.CRD 124947 on BrokerCheck 
Associated broker-dealer: None · EDINA, MN · Soliciting in CA, MN, WI
WESTPARK CAPITAL, INC.CRD 39914 on BrokerCheck 
Associated broker-dealer: None · LOS ANGELES, CA · Soliciting in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
LEGACY WEALTH MANAGEMENT, LLCCRD 174767 on BrokerCheck 
Associated broker-dealer: None · Boise, ID · Soliciting in AZ, CA, CO, FL, HI, ID, IL, MI, OR, TX, UT, WA
MONEY CONCEPTS CAPITAL CORPCRD 12963 on BrokerCheck 
Associated broker-dealer: None · PALM BEACH GARDENS, FL · Soliciting in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
COASTAL EQUITIES, INC.CRD 23769 on BrokerCheck 
Associated broker-dealer: None · WILMINGTON, DE · Soliciting in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
UNCOMMON CAPITAL, LLCCRD 226622 on BrokerCheck 
Associated broker-dealer: None · Auburn, CA · Soliciting in CA, TX
Questions About Carter Multifamily Growth & Income Fund, LLC
Each answer is built from the values on the SEC filing and the AltStreet ledger, not from the issuer's marketing.
What is Carter Multifamily Growth & Income Fund, LLC?Carter Multifamily Growth & Income Fund, LLC is a Delaware limited liability company that filed a Form D with the SEC on November 4, 2019 in the REITS and Finance industry group. The filing claims Rule 506(b) for an offering of equity.
Is Carter Multifamily Growth & Income Fund, LLC legit?AltStreet does not rate legitimacy; it reports the public record. Carter Multifamily Growth & Income Fund, LLC filed a Form D with the SEC on November 4, 2019 claiming Rule 506(b). A Form D is a notice of an exempt offering, not a review or approval of it. The newest notice reports $103,140,519 sold to 1,047 investors. AltStreet's enforcement record (SEC, FINRA and state actions) shows no action naming the issuer as of today. Before investing, confirm the filing on EDGAR, check the seller's registration on FINRA BrokerCheck, and read the offering documents, which a Form D does not include.
Is Carter Multifamily Growth & Income Fund, LLC registered with or approved by the SEC?No. A Form D is a notice that an issuer is selling securities under an exemption from registration, and the SEC does not review, approve, or pass on the merits of the offering. The filing shows that Carter Multifamily Growth & Income Fund, LLC claimed Rule 506(b) and disclosed the items the form requires, such as the amount sold, the minimum investment, related persons, and anyone paid to sell the securities. It does not verify the issuer's claims or its business.
How much has Carter Multifamily Growth & Income Fund, LLC raised?Carter Multifamily Growth & Income Fund, LLC reported $103,140,519 sold from 1,047 investors of a $200,000,000 total offering as of the Form D filed November 4, 2019.
Who can invest in Carter Multifamily Growth & Income Fund, LLC?The offering relies on Rule 506(b), which permits sales to accredited investors and to no more than 35 non-accredited investors who meet a sophistication standard, and prohibits general solicitation. The filing reports no non-accredited investors. The minimum investment accepted from an outside investor is $50,000.
What is the minimum investment in Carter Multifamily Growth & Income Fund, LLC?The Form D lists $50,000 as the minimum investment accepted from any outside investor as of November 4, 2019. Issuers can waive their own minimums, and the figure does not include fees.
Who is selling Carter Multifamily Growth & Income Fund, LLC and how are they paid?The Form D names Sandlapper Securities, LLC (CRD 137906), associated with None; Cabot Lodge Securities LLC (CRD 159712), associated with None; Calton & Associates, Inc. (CRD 20999), associated with None; Purshe Kaplan Sterling Investments (CRD 35747), associated with None and 36 others as recipients of sales compensation soliciting in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY.
Who is behind Carter Multifamily Growth & Income Fund, LLC?The Form D lists 6 related persons: John E Carter, director (Chairman of the Board of Directors); Joseph E Caballero, director (Independent Director); Randall E Greene, director (Independent Director); Cynthia M Pfeifer, executive officer (Chief Executive Officer); Lisa A Drummond, executive officer (Chief Operating Officer and Secretary); Thomas W Guard, executive officer (Chief Financial Officer). Form D Item 3 requires executive officers, directors, and promoters of the issuer to be listed.
Where is Carter Multifamily Growth & Income Fund, LLC located?The issuer's address on its SEC filings is 4890 W. Kennedy Boulevard, Suite 825, Tampa, FL 33609. Its phone number of record is 8133871691. It is organized under the laws of Delaware.
How long is the Carter Multifamily Growth & Income Fund, LLC offering open?The issuer indicated that the offering is intended to last more than one year. An issuer must amend its Form D annually while a continuing offering stays open; 3 amendments are on record for this CIK.
What is Carter Multifamily Growth & Income Fund, LLC's revenue?The issuer declined to disclose its revenue range on the Form D, which the form permits.
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