Form D · Venture Capital Fund

AEI 2010 Clean Tech Ventures I, LLC

Chicago, IL · CIK 0001492216

Offering snapshot reported Jun 9, 2010 · SEC filing

Reported sold
$4.8M
Indefinite offering
Investors reported
91
Form D · investor count
Minimum accepted
$106K
Reported outside-investor minimum
First sale
May 10, 2010
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$2.4M$4.8MMay 20, 2010: $2,359,300.00May 20, 2010May 27, 2010: $3,098,200.00May 27, 2010Jun 9, 2010: $4,799,700.00Jun 9, 2010

Dates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.

What changed?

Latest filing versus its linked predecessor, where available.

  • Reported sold$3,098,200 → $4,799,700
  • Reported investors71 → 91

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jun 9, 2010Amendment$4,799,700$1,701,500vs May 27, 201091SEC filing
May 27, 2010Amendment$3,098,200$738,900vs May 20, 201071SEC filing
May 20, 2010Initial$2,359,300No comparison57SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06
Duration over one year
No
Business combination
No
Sales commissions
$250K
Finders' fees
$0
Form D file number
021-142348

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Christopher Capra2691295Advanced Equities Inc. · CRD 35545
Curtis Robinson1765195Advanced Equities Inc. · CRD 35545
Eric Richardson3182616Advanced Equities Inc. · CRD 35545
Jared Carmel4796201Advanced Equities Inc. · CRD 35545
Gordon Fallone1767760Advanced Equities Inc. · CRD 35545
Peter Fogarty1889799Advanced Equities Inc. · CRD 35545
John Ferrick2568789Advanced Equities Inc. · CRD 35545
James Kozak2237880Advanced Equities Inc. · CRD 35545
Joseph Cordi1397664Advanced Equities Inc. · CRD 35545
Sandino Napolis4048454Advanced Equities Inc. · CRD 35545
Taylor Hollenbeck5523109Advanced Equities Inc. · CRD 35545
Tom Tang5518409Advanced Equities Inc. · CRD 35545
William Pedersen2586686Advanced Equities Inc. · CRD 35545
Arthur Hsieh2086229First Allied Securities Inc. · CRD 32444
Arvind Kulkarni1763821First Allied Securities Inc. · CRD 32444
Daniel Buchsbaum3086286First Allied Securities Inc. · CRD 32444
Herbert Meushaw2069106First Allied Securities Inc. · CRD 32444
Jeffrey Forehand1618003First Allied Securities Inc. · CRD 32444
Jeff Snyder2911802First Allied Securities Inc. · CRD 32444
Jerry Gruber1195389First Allied Securities Inc. · CRD 32444
John Bartels2780646First Allied Securities Inc. · CRD 32444
John Levee2022567First Allied Securities Inc. · CRD 32444
Lou Naser2233089First Allied Securities Inc. · CRD 32444
Mark Chamberlain1655738First Allied Securities Inc. · CRD 32444
Michael Thiel1108580First Allied Securities Inc. · CRD 32444
Ronald Selik1616960First Allied Securities Inc. · CRD 32444
Stephen Dudurich724748First Allied Securities Inc. · CRD 32444
Stuart Hoshide1838860First Allied Securities Inc. · CRD 32444
Timothy Rice2417854First Allied Securities Inc. · CRD 32444
Shane Hunt2956880First Allied Securities Inc. · CRD 32444
Hugh Halsey4516923First Allied Securities Inc. · CRD 32444
Gary Saccaro1806863Advanced Equities Inc. · CRD 35545
Jordan Berlin821934Advanced Equities Inc. · CRD 35545
Timothy Touloukian2803832Advanced Equities Inc. · CRD 35545
Daniel Porter849544First Allied Securities Inc. · CRD 32444
Donald Allenbrand1979760First Allied Securities Inc. · CRD 32444
Brad Seyffer2498070Advanced Equities Inc. · CRD 35545
Bijal Modi5155401Advanced Equities Inc. · CRD 35545
Jared Slater4476358Advanced Equities Inc. · CRD 35545
James Piff1991874Advanced Equities Inc. · CRD 35545
Jonathan Chaet4039148Advanced Equities Inc. · CRD 35545
Kevin Graetz1935982Advanced Equities Inc. · CRD 35545
Joe Hede2389098Advanced Equities Inc · CRD 35545
Robert Jones1871026Advanced Equities Inc · CRD 35545
Ryan Metz5609347Advanced Equities Inc · CRD 35545
William Metz808295Advanced Equities Inc. · CRD 35545
Wesley Gordon5000607Advanced Equities Inc. · CRD 35545
Andrew Scheirer4256666First Allied Securities · CRD 32444
Christine Tang4774839First Allied Securities · CRD 32444
Howard Berkowitz1293296First Allied Securities · CRD 32444
Joseph Accardi728322First Allied Securities · CRD 32444

Source: Form D, filed Jun 9, 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

AEI 2010 CLEANTECH VENTURES I, LLC

Investment adviser: SPRUCE INVESTMENT ADVISORS LLC

Gross asset value
$550K
Beneficial owners
106
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 805-6516295071

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 2010 Venture Management Corp. Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

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