Form D · Venture Capital Fund
ADVANCED EQUITIES ALIEN INVESTMENTS III LLC
Chicago, IL · CIK 0001442899
Offering snapshot reported Jan 21, 2010 · SEC filing
- Reported sold
- $579K Offering amount: $579K
- Investors reported
- 8 Form D · investor count
- Minimum accepted
- $106K Reported outside-investor minimum
- First sale
- Jul 29, 2008 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Jan 21, 2010 | Amendment | $579,033 | No comparison | 8 | SEC filing |
| Aug 11, 2008 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Not reported
- Exemptions
- 06
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-121409
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| James Kozak | 2237880 | Advanced Equities Inc. · CRD 35545 |
| John Galinsky | 1513926 | Advanced Equities Inc. · CRD 35545 |
Source: Form D, filed Jan 21, 2010. Minimum accepted may differ from a standard advertised minimum.
Fund connections
The linked fund shows its most recently reported ADV details.
Matched by reported Form D file number
ADVANCED EQUITIES ALIEN INVESTMENTS III, LLC
Investment adviser: SPRUCE INVESTMENT ADVISORS LLC
- Gross asset value
- $312K
- Beneficial owners
- 9
- ADV minimum commitment
- $100K
Reported in Form ADV on Jun 30, 2020. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- No
- Administrator other than the adviser
- No
- External marketing
- No
EISNERAMPER
PCAOB 274
Filing source
Form ADV 1440803 · Jun 30, 2020 · Schedule D 7.B.(1), fund 805-8800692980
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| N/A Advanced Equities Alien Management Corp. | Director |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Chicago, IL, 60606