Form D · Venture Capital Fund

AEI 2006 VENTURE INVESTMENTS IV, LLC

Chicago, IL · CIK 0001449056

Offering snapshot reported Aug 4, 2009 · SEC filing

Reported sold
$4.85M
Indefinite offering
Investors reported
40
Form D · investor count
Minimum accepted
$106K
Reported outside-investor minimum
First sale
Jul 20, 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
Aug 4, 2009Amendment$4,846,494No comparison40SEC filing
Oct 24, 2008PaperNot reportedNo comparisonNot reportedSEC filing

Offering details

Securities
Not reported
Exemptions
06
Duration over one year
No
Business combination
No
Sales commissions
$258K (estimated)
Finders' fees
$0
Form D file number
021-123968

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
William Metz808295Advanced Equities Inc. · CRD 35545
James Kozak2237880Advanced Equities Inc. · CRD 35545
Michael Jakoby4852670Advanced Equities Inc. · CRD 35545
Dennis Colley1517102First Allied Securities Inc. · CRD 32444
Gary Cousino726486First Allied Securities Inc. · CRD 32444
Cindy Couyoumjian1456630First Allied Securities Inc. · CRD 32444
Anthony Diaz4131948First Allied Securities Inc. · CRD 32444
Robert Ellis2471350First Allied Securities Inc. · CRD 32444
John Franczak1402423First Allied Securities Inc. · CRD 32444
Allen Gamble2746330First 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
Cal McAusland2206464First Allied Securities Inc. · CRD 32444
Stanley Mok864314First Allied Securities Inc. · CRD 32444
John Montgomery1033543First Allied Securities Inc. · CRD 32444
Ken Noyce1330372First Allied Securities Inc. · CRD 32444
James Peters3135650First Allied Securities Inc. · CRD 32444
Ryan Peterson2206897First Allied Securities Inc. · CRD 32444
Shawn Rogers3081518First Allied Securities Inc. · CRD 32444
Eric Shore2375397First Allied Securities Inc. · CRD 32444
Richard Sloggett1313258First Allied Securities Inc. · CRD 32444
Arthur Smith714581First Allied Securities Inc. · CRD 32444
Robert Scott Wright2174368First Allied Securities Inc. · CRD 32444

Source: Form D, filed Aug 4, 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 IV, LLC

Investment adviser: SPRUCE INVESTMENT ADVISORS LLC

Gross asset value
$976K
Beneficial owners
42
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 805-9202322359

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 Drive Suite 1650
Chicago, IL, 60606