Form D · Venture Capital Fund

ADVANCED EQUITIES SUNIVA INVESTMENTS I LLC

Chicago, IL · CIK 0001433355

Offering snapshot reported Jun 10, 2009 · SEC filing

Reported sold
$2.62M
Indefinite offering
Investors reported
28
Form D · investor count
Minimum accepted
$106K
Reported outside-investor minimum
First sale
Jan 7, 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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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jun 10, 2009Amendment$2,618,630No comparison28SEC filing

Offering details

Securities
Not reported
Exemptions
06
Duration over one year
No
Business combination
No
Sales commissions
$142K (estimated)
Finders' fees
$0
Form D file number
021-117447

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Christopher Brothers2186156Advanced Equities Inc. · CRD 35545
Jared Carmel4796201Advanced Equities Inc. · CRD 35545
Joseph Cordi1397664Advanced Equities Inc. · CRD 35545
Mark Finckle2650476Advanced Equities Inc. · CRD 35545
Wesley Gordon5000607Advanced Equities Inc. · CRD 35545
Todd Harrigan2516869Advanced Equities Inc. · CRD 35545
Joe Hede2389098Advanced Equities Inc. · CRD 35545
Timothy Herrmann2446600Advanced Equities Inc. · CRD 35545
James Kozak2237880Advanced Equities Inc. · CRD 35545
John Galinsky1513926Advanced Equities Inc. · CRD 35545
William Metz808295Advanced Equities Inc. · CRD 35545
Chang Soo Han1048237First Allied Securities Inc. · CRD 32444
Peter Han4704497First Allied Securities Inc. · CRD 32444
Dudley Probert1466335First Allied Securities Inc. · CRD 32444
Brent Mccandless2299191First Allied Securities Inc. · CRD 32444
Thomas Schorn2928253First Allied Securities Inc. · CRD 32444

Source: Form D, filed Jun 10, 2009. 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 SUNIVA INVESTMENTS I, LLC

Investment adviser: SPRUCE INVESTMENT ADVISORS LLC

Gross asset value
$1
Beneficial owners
29
ADV minimum commitment
$100K

Reported in Form ADV on Mar 27, 2019. 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 1295734 · Mar 27, 2019 · Schedule D 7.B.(1), fund 805-2630617197

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 Suniva Management Corp. Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

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