Form D · Venture Capital Fund

AEI 2006 VENTURE INVESTMENTS III, LLC

Chicago, IL · CIK 0001383209

Offering snapshot reported Jul 22, 2009 · SEC filing

Reported sold
$6.97M
Indefinite offering
Investors reported
71
Form D · investor count
Minimum accepted
$106K
Reported outside-investor minimum
First sale
Jun 30, 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

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jul 22, 2009Amendment$6,968,788No comparison71SEC filing
Oct 27, 2008PaperNot reportedNo comparisonNot reportedSEC filing
Nov 24, 2006PaperNot reportedNo comparisonNot reportedSEC filing

Offering details

Securities
Not reported
Exemptions
06
Duration over one year
No
Business combination
No
Sales commissions
$367K (estimated)
Finders' fees
$0
Form D file number
021-97429

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Christopher Capra2691295Advanced Equities Inc. · CRD 35545
Kevin Eisenstadt1626257Advanced Equities Inc. · CRD 35545
Phillip Falk2372997Advanced Equities Inc. · CRD 35545
James Kozak2237880Advanced Equities Inc. · CRD 35545
Gary Cousino726486First Allied Securities Inc. · CRD 32444
Cindy Couyoumjian1456630First Allied Securities Inc. · CRD 32444
Anthony Diaz4131948First Allied Securities Inc. · CRD 32444
Jason Dyken4531301First Allied Securities Inc. · CRD 32444
Frisco Escudero2794899First Allied Securities Inc. · CRD 32444
Gaston Escudero2077442First Allied Securities Inc. · CRD 32444
Paul Escudero2111381First Allied Securities Inc. · CRD 32444
Greg Farrall2559797First Allied Securities Inc. · CRD 32444
Thomas Fortino2579139First Allied Securities Inc. · CRD 32444
Allen Gamble2746330First Allied Securities Inc. · CRD 32444
Jerry Gruber1195389First Allied Securities Inc. · CRD 32444
Graham Guess2803700First Allied Securities Inc. · CRD 32444
Stuart Hoshide1838860First Allied Securities Inc. · CRD 32444
Rick Jaye1091766First Allied Securities Inc. · CRD 32444
Solomon Karmel4522329First Allied Securities Inc. · CRD 32444
Arvind Kulkarni1763821First Allied Securities Inc. · CRD 32444
David Libarkin2948558First Allied Securities Inc. · CRD 32444
Alan Marcum1044638First Allied Securities Inc. · CRD 32444
Andrew Markham1863372First Allied Securities Inc. · CRD 32444
Cal McAusland2206464First Allied Securities Inc. · CRD 32444
Robert Mcgaha2409416First Allied Securities Inc. · CRD 32444
John Montgomery1033543First Allied Securities Inc. · CRD 32444
Craig Morgan339858First Allied Securities Inc. · CRD 32444
Ryan Peterson2206897First Allied Securities Inc. · CRD 32444
John Pfaffmann2060427First Allied Securities Inc. · CRD 32444
Shawn Rogers3081518Advanced Equities Inc. · CRD 35545
Eric Shore2375397First Allied Securities Inc. · CRD 32444
Richard Sloggett1313258First Allied Securities Inc. · CRD 32444
Arthur Lee Smith714581First Allied Securities Inc. · CRD 32444
Warren Weeks2389162First Allied Securities Inc. · CRD 32444
Erik Weir2009973First Allied Securities Inc. · CRD 32444
Ronald Whited1643066First Allied Securities Inc. · CRD 32444
Christopher Wright725409First Allied Securities Inc. · CRD 32444
Robert S. Wright2174368First Allied Securities Inc. · CRD 32444

Source: Form D, filed Jul 22, 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

AEI 2006 VENTURE INVESTMENTS III, LLC

Investment adviser: SPRUCE INVESTMENT ADVISORS LLC

Gross asset value
$1.23M
Beneficial owners
75
ADV minimum commitment
$100K

Reported in Form ADV on Oct 6, 2023. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Auditor ADEPTUS PARTNERS LLC 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

ADEPTUS PARTNERS LLC
PCAOB 3686

Filing source

Form ADV 1791924 · Oct 6, 2023 · Schedule D 7.B.(1), fund 805-8840323726

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
Dwight Badger Director
Keith Daubenspeck Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
311 S Wacker Dr Ste 1650
Chicago, IL, 60606