Form D · Venture Capital Fund

Advanced Equities Alien Series I Investments II LLC

Chicago, IL · CIK 0001393139

Offering snapshot reported Feb 2, 2010 · SEC filing

Reported sold
$7.24M
Offering amount: $7.24M
Investors reported
79
Form D · investor count
Minimum accepted
$106K
Reported outside-investor minimum
First sale
Dec 5, 2006
As reported in this filing

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Feb 2, 2010Amendment$7,244,686No comparison79SEC filing
Mar 6, 2007PaperNot reportedNo comparisonNot reportedSEC filing

Offering details

Securities
Not reported
Exemptions
06
Duration over one year
No
Business combination
No
Sales commissions
$378K
Finders' fees
$0
Form D file number
021-101060

Sales compensation recipients

Scroll to see all columns →

RecipientCRDAssociated broker-dealer
William Barkow2660220Advanced Equities Inc. · CRD 35545
Christopher Capra2691295Advanced Equities Inc. · CRD 35545
Joseph Cordi1397664Advanced Equities Inc. · CRD 35545
Todd Harrigan2516869Advanced Equities Inc. · CRD 35545
Timothy Herrmann2446600Advanced Equities Inc. · CRD 35545
James Lynch2387056Advanced Equities Inc. · CRD 35545
Owen Schnaper5097283Advanced Equities Inc. · CRD 35545
Robert Marassa2649843Advanced Equities Inc. · CRD 35545
Bijal Modi5155401Advanced Equities Inc. · CRD 35545
Frank Mazzola2371623Advanced Equities Inc. · CRD 35545
William Metz808295Advanced Equities Inc. · CRD 35545
James Piff1991874Advanced Equities Inc. · CRD 35545
Hayward Roy2842866Advanced Equities Inc. · CRD 35545
Miles Russell2759784Advanced Equities Inc. · CRD 35545
William Schrimpf415220Advanced Equities Inc. · CRD 35545
Aaron Segal4041489Advanced Equities Inc. · CRD 35545
Gary Cousino726486First Allied Securities Inc. · CRD 32444
Cindy Couyoumjian1456630First Allied Securities Inc. · CRD 32444
Christine Tang4774839First Allied Securities Inc. · CRD 32444
Arvind Kulkarni1763821First Allied Securities Inc. · CRD 32444
Paul Escudero2111381First Allied Securities Inc. · CRD 32444
Mark Frederick2132368First Allied Securities Inc. · CRD 32444
Gile Williams1062570First Allied Securities Inc. · CRD 32444

Source: Form D, filed Feb 2, 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 SERIES I INVESTMENTS II, LLC

Investment adviser: SPRUCE INVESTMENT ADVISORS LLC

Gross asset value
$928K
Beneficial owners
81
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

Auditor EISNERAMPER NEW YORK, New York, United States
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 805-4313685379

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.

People and organizations reported in Form D filings
NameReported role
N/A Advanced Equities Alien Management Corp. Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
311 South Wacker Dr Suite 1650
Chicago, IL, 60606