SEC filing record
Primary Source · SEC.gov

Moody ELM AL North Austin DST

2022 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

$50M

Investors

94

Min Invest

$25,000

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What this filing shows

·

Every sentence is a value as filed on SEC Form D

Moody ELM AL North Austin DST is a Delaware entity that first filed a Form D on June 16, 2022 and most recently amended it on March 9, 2023 in the Commercial industry group. The offering claims Rule 506(b) and covers equity. Moody ELM AL North Austin DST reported $50,400,000 sold from 94 investors of a $50,400,000 total offering as of the Form D filed March 9, 2023. 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 $25,000. The Form D names Moody Securities, LLC (CRD 148771), associated with None; David Levinson (CRD 705929), associated with American Trust Investment Services, Inc.; Ivan West (CRD 4921015), associated with American Trust Investment Services, Inc.; Arkadios Capital (CRD 282710), associated with None and 28 others as recipients of sales compensation soliciting in all states. The issuer's address of record is 9655 Katy Freeway, Suite 600, Houston, TX 77024.

EDGAR Filing Data

Form D — Primary Source

View on SEC.gov
CIK Number0001934270
Entity NameMoody ELM AL North Austin DST
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 TypeOther
Jurisdiction of OrganizationDelaware
Issuer Address9655 Katy Freeway, Suite 600, Houston, TX 77024
Phone(713) 977-7500
Industry / Fund TypeCommercial
Securities TypeEquity
First Sale DateJuly 7, 2022
Filing DateMarch 9, 2023
Accession Number0001934270-23-000001
Total Offering Amount$50,400,000
Total Amount Sold$50,400,000
Amount Remaining$0
Total Investors94
Non-Accredited InvestorsNone
Minimum Investment$25,000
Offering DurationOne year or less
Revenue RangeDecline to Disclose
State (Issuer Address)TX
Amendment Count3 filings on record

Filings on Record

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NAV prints

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none on file

Offering chains

1

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Related Persons (Form D)

Executive officers, directors, and promoters listed on the SEC Form D filing. Source: SEC.gov.

Brett C. Moody

Executive Officer · Houston, TX

President of Issuer's Manager

C. Moody ELM North Austin AM, LLC

Promoter · Houston, TX

C. Moody ELM North Austin Depositor, LLC

Promoter · Houston, TX

C. Moody National DST Sponsor, LLC

Promoter · Houston, TX

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.

Moody Securities, LLCCRD 148771 on BrokerCheck

Associated broker-dealer: None · Houston, TX · Soliciting in all states

David LevinsonCRD 705929 on BrokerCheck

Associated broker-dealer: American Trust Investment Services, Inc. (CRD 3001) · Lisle, IL · Soliciting in AK, AZ, CA, CO, CT, DC, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MT, NC, NH, NJ, NM, NV, NY, OH, OR, PA, RI, SC, TN, TX, UT, VA, WA, WI

Ivan WestCRD 4921015 on BrokerCheck

Associated broker-dealer: American Trust Investment Services, Inc. (CRD 3001) · Lisle, IL · Soliciting in AZ, CA, CO, FL, HI, IA, IL, KY, LA, MA, MI, NC, NH, NJ, NV, NY, OH, OR, PA, TX, UT, VA, VT, WA

Arkadios CapitalCRD 282710 on BrokerCheck

Associated broker-dealer: None · Atlanta, GA · Soliciting in all states

Roger BowlinCRD 1905652 on BrokerCheck

Associated broker-dealer: Aurora Securities (CRD 46147) · Mercer Island, WA · Soliciting in AK, AZ, CA, CO, FL, GA, HI, ID, IL, MI, MN, MT, NV, OR, SC, TN, TX, VA, WA

David John SegarraCRD 4482059 on BrokerCheck

Associated broker-dealer: Centaurus Financial, Inc. (CRD 30833) · Las Vegas, NV · Soliciting in AZ, CA, CO, FL, GA, HI, ID, IL, IN, KY, MA, MI, MN, MT, NC, ND, NJ, NM, NV, NY, OR, PA, TN, TX, UT, WA, WI, WV

Apryl WaldmanCRD 4653460 on BrokerCheck

Associated broker-dealer: Centaurus Financial, Inc. (CRD 30833) · Bellingham, WA · Soliciting in CA, CO, DC, FL, GA, MI, NY, OH, OR, UT, VA, WA

Kate KingCRD 4654157 on BrokerCheck

Associated broker-dealer: Centaurus Financial, Inc. (CRD 30833) · Irvine, CA · Soliciting in AL, CA, CO, CT, IL, MA, NC, NV, OR, UT, VA, WA

Concorde Investment Services, LLCCRD 151604 on BrokerCheck

Associated broker-dealer: None · Livonia, MI · 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 and outside the United States

Gregory SchmidlinCRD 4613478 on BrokerCheck

Associated broker-dealer: Crown Capital Securities, LP (CRD 6312) · Beaverton, OR · Soliciting in AZ, CA, ID, MA, OR, SD, WA

Christina NielsonCRD 4866971 on BrokerCheck

Associated broker-dealer: DAI Securities, LLC (CRD 36673) · Costa Mesa, CA · Soliciting in AR, AZ, CA, CO, CT, FL, HI, IA, ID, KY, MA, ME, MI, MT, NC, NM, NV, NY, OH, OK, OR, PA, TX, UT, WA

Nicholson GarrettCRD 7079780 on BrokerCheck

Associated broker-dealer: DAI Securities, LLC (CRD 36673) · Costa Mesa, CA · Soliciting in AZ, CA, FL, IA, MD, NJ, NV, NY, OR, TX, VA, WA

Nathaniel Michael KuhnCRD 4624143 on BrokerCheck

Associated broker-dealer: DAI Securities, LLC (CRD 36673) · Schaumburg, IL · Soliciting in AZ, CA, CO, FL, IL, IN, MA, MD, MN, MO, NC, NJ, NY, OH, PA, TN, UT, WI

Emerson Equity LLCCRD 130032 on BrokerCheck

Associated broker-dealer: None · San Mateo, CA · Soliciting in all states and outside the United States

Keegan De SilvaCRD 7227138 on BrokerCheck

Associated broker-dealer: Great Point Capital LLC (CRD 114203) · Chicago, IL · Soliciting in CA, CO, CT, FL, GA, IA, IL, IN, NJ, NY, TX, WA

Mark HerdingCRD 2239357 on BrokerCheck

Associated broker-dealer: Harbour Investments, Inc. (CRD 19258) · Phoenix, AZ · Soliciting in AR, AZ, CA, CO, FL, IL, MN, MO, NC, NM, NV, OR, SD, TX, VA, WI

Amr TenneyCRD 5506866 on BrokerCheck

Associated broker-dealer: Realized Financial, Inc./Thornhill Securities Inc. (CRD 22333) · Austin, TX · 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

Trawnegan GallCRD 6266415 on BrokerCheck

Associated broker-dealer: Wealthforge Securities, LLC (CRD 152550) · Prosper, TX · Soliciting in all states and outside the United States

John HarveyCRD 4227692 on BrokerCheck

Associated broker-dealer: Wealthforge Securities, LLC (CRD 152550) · Gainesville, VA · Soliciting in all states and outside the United States

Gary L. LeavittCRD 712745 on BrokerCheck

Associated broker-dealer: American Trust Investment Services, Inc. (CRD 3001) · San Clemente, CA · Soliciting in CA, FL, IA, IL, KY, LA, MA, NC, NJ, UT, VT

Randolph BarmacheCRD 4607939 on BrokerCheck

Associated broker-dealer: American Trust Investment Services, Inc. (CRD 3001) · Thousand Oaks, CA · Soliciting in AZ, CA, FL, NH, OR, TX

Edward Eric FernandezCRD 2956661 on BrokerCheck

Associated broker-dealer: Capulent LLC (CRD 155155) · Irvine, CA · Soliciting in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, KS, LA, MA, MD, ME, MI, MN, MO, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

Odin C. HelgersonCRD 2154583 on BrokerCheck

Associated broker-dealer: Crown Capital Securities, LP (CRD 6312) · Fargo, ND · Soliciting in AZ, CO, IA, MN, NC, ND, NE, WY

Ran FuchsCRD 5593133 on BrokerCheck

Associated broker-dealer: IDB Capital Corp (CRD 106032) · New York, NY · Soliciting in CA, CT, DC, DE, FL, GA, MA, MD, NJ, NY, PA, TX, VA

Alfred J. DiNicola, Jr.CRD 1305518 on BrokerCheck

Associated broker-dealer: MSC-BD, LLC (CRD 142927) · Tualatin, OR · Soliciting in CA, FL, GA, IL, NC, OR

Bradford WattCRD 2565438 on BrokerCheck

Associated broker-dealer: Patrick Capital Markets, LLC (CRD 16518) · Castle Rock, 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, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY

Jacob AdamsCRD 4975889 on BrokerCheck

Associated broker-dealer: Realized Financial, Inc./Thornhill Securities Inc. (CRD 22333) · Austin, TX · 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

David John FunesCRD 5467419 on BrokerCheck

Associated broker-dealer: Realized Financial, Inc./Thornhill Securities Inc. (CRD 22333) · Austin, TX · 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

Robert Clayton SchmidtCRD 6920482 on BrokerCheck

Associated broker-dealer: Realized Financial, Inc./Thornhill Securities Inc. (CRD 22333) · Austin, TX · 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

Peter RobertsCRD 6982848 on BrokerCheck

Associated broker-dealer: Wealthforge Securities, LLC (CRD 152550) · Richmond, VA · Soliciting in AZ, CA, CO, FL, GA, HI, KS, KY, LA, MI, MS, NE, NY, OH, TX, VA

Preston CharltonCRD 2135631 on BrokerCheck

Associated broker-dealer: Wealthforge Securities, LLC (CRD 152550) · Gainesville, VA · Soliciting in AZ, CO, CT, DC, FL, GA, MA, MD, ME, MN, NC, NJ, PA, SC, VA

Michael R FragerCRD 1230622 on BrokerCheck

Associated broker-dealer: Willow Cove Investment Group, Inc. (CRD 107824) · Winneconne, WI · Soliciting in CA, NV, OR, TX

Questions About Moody ELM AL North Austin DST

Each answer is built from the values on the SEC filing and the AltStreet ledger, not from the issuer's marketing.

What is Moody ELM AL North Austin DST?

Moody ELM AL North Austin DST is a Delaware entity that filed a Form D with the SEC on March 9, 2023 in the Commercial industry group. The filing claims Rule 506(b) for an offering of equity.

Is Moody ELM AL North Austin DST legit?

AltStreet does not rate legitimacy; it reports the public record. Moody ELM AL North Austin DST filed a Form D with the SEC on March 9, 2023 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 $50,400,000 sold to 94 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 Moody ELM AL North Austin DST 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 Moody ELM AL North Austin DST 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 Moody ELM AL North Austin DST raised?

Moody ELM AL North Austin DST reported $50,400,000 sold from 94 investors of a $50,400,000 total offering as of the Form D filed March 9, 2023.

Who can invest in Moody ELM AL North Austin DST?

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 $25,000.

What is the minimum investment in Moody ELM AL North Austin DST?

The Form D lists $25,000 as the minimum investment accepted from any outside investor as of March 9, 2023. Issuers can waive their own minimums, and the figure does not include fees.

Who is selling Moody ELM AL North Austin DST and how are they paid?

The Form D names Moody Securities, LLC (CRD 148771), associated with None; David Levinson (CRD 705929), associated with American Trust Investment Services, Inc.; Ivan West (CRD 4921015), associated with American Trust Investment Services, Inc.; Arkadios Capital (CRD 282710), associated with None and 28 others as recipients of sales compensation soliciting in all states.

Who is behind Moody ELM AL North Austin DST?

The Form D lists 4 related persons: Brett C. Moody, executive officer (President of Issuer's Manager); C. Moody ELM North Austin AM, LLC, promoter; C. Moody ELM North Austin Depositor, LLC, promoter; C. Moody National DST Sponsor, LLC, promoter. Form D Item 3 requires executive officers, directors, and promoters of the issuer to be listed.

Where is Moody ELM AL North Austin DST located?

The issuer's address on its SEC filings is 9655 Katy Freeway, Suite 600, Houston, TX 77024. Its phone number of record is (713) 977-7500. It is organized under the laws of Delaware.

How long is the Moody ELM AL North Austin DST offering open?

The issuer indicated that the offering is not intended to last more than one year. An issuer must amend its Form D annually while a continuing offering stays open; 2 amendments are on record for this CIK.

What is Moody ELM AL North Austin DST's revenue?

The issuer declined to disclose its revenue range on the Form D, which the form permits.

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Data Methodology

Capital raise figures, investor counts, and filing dates are sourced directly from SEC EDGAR Form D primary documents via the SEC EDGAR submissions API and full-text search index. EDGAR entity profiles and deal-level data are reviewed by AltStreet analysts with backgrounds in corporate finance and securities law — cross-referenced against offering circulars, audited financial statements, and primary regulatory filings before publication. Platform-provided information, where present, is clearly labeled and does not affect EDGAR data or AltStreet editorial coverage. Platforms may request factual corrections for demonstrable inaccuracies by contacting [email protected]. This page does not constitute investment advice.