Form D · Venture Capital Fund

AEI 2010 Clean Tech Ventures II, LLC

Chicago, IL · CIK 0001492217

Offering snapshot reported Jun 14, 2010 · SEC filing

Reported sold
$10.3M
Indefinite offering
Investors reported
134
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$5.17M$10.3MMay 21, 2010: $4,730,559.00May 21, 2010Jun 8, 2010: $9,960,908.00Jun 8, 2010Jun 14, 2010: $10,347,305.00Jun 14, 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$9,960,908 → $10,347,305
  • Reported investors119 → 134

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jun 14, 2010Amendment$10,347,305$386,397vs Jun 8, 2010134SEC filing
Jun 8, 2010Amendment$9,960,908$5,230,349vs May 21, 2010119SEC filing
May 21, 2010Initial$4,730,559No comparison70SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06
Duration over one year
No
Business combination
No
Sales commissions
$575K
Finders' fees
$0
Form D file number
021-142402

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Bijal Modi5155401Advanced Equities Inc. · CRD 35545
Brad Seyffer2498070Advanced Equities Inc. · CRD 35545
Christopher Capra2691295Advanced Equities Inc. · CRD 35545
Eric Richardson3182616Advanced Equities Inc. · CRD 35545
Gary Saccaro1806863Advanced Equities Inc. · CRD 35545
Gordon Fallone1767760Advanced Equities Inc. · CRD 35545
Peter Fogarty1889799Advanced Equities Inc. · CRD 35545
Gregory Grycan1663960Advanced Equities Inc. · CRD 35545
James Kozak2237880Advanced Equities Inc. · CRD 35545
Jared Carmel4796201Advanced Equities Inc. · CRD 35545
John Ferrick2568789Advanced Equities Inc. · CRD 35545
Joseph Cordi1397664Advanced Equities Inc. · CRD 35545
Kevin Barrett5241590Advanced Equities Inc. · CRD 35545
Kevin Graetz1935982Advanced Equities Inc. · CRD 35545
Joe Hede2389098Advanced Equities Inc. · CRD 35545
Peter McDonnell1374657Advanced Equities Inc. · CRD 35545
Sandino Napolis4048454Advanced Equities Inc. · CRD 35545
Wesley Gordon5000607Advanced Equities Inc. · CRD 35545
William Metz808295Advanced Equities Inc. · CRD 35545
Bhagwati Mahendru2360416First Allied Securities Inc. · CRD 32444
Christopher Wright725409First Allied Securities Inc. · CRD 32444
Daniel Buchsbaum3086286First Allied Securities Inc. · CRD 32444
Gile Williams1062570First Allied Securities Inc. · CRD 32444
Steven Hutchinson1170068First Allied Securities Inc. · CRD 32444
Amy Conley2171373First Allied Securities Inc. · CRD 32444
Todd Walker2756201First Allied Securities Inc. · CRD 32444
Janet Montgomery853307First Allied Securities Inc. · CRD 32444
John Bartels2780646First Allied Securities Inc. · CRD 32444
John Levee2022567First Allied Securities Inc. · CRD 32444
John Taylor1990537First Allied Securities Inc. · CRD 32444
Mario Gonzalez4022309First Allied Securities Inc. · CRD 32444
Mark Chamberlain1655738First Allied Securities Inc. · CRD 32444
Stephen Dudurich724748First Allied Securities Inc. · CRD 32444
Stuart Hoshide1838860First Allied Securities Inc. · CRD 32444
Terry Garland1986864First Allied Securities Inc. · CRD 32444
Michael Williams468074First Allied Securities Inc. · CRD 32444
Toby Harris4791779First Allied Securities Inc. · CRD 32444
Jared Slater4476358Advanced Equities Inc. · CRD 35545
Jeff Binkert2491492Advanced Equities Inc. · CRD 35545
Chris Gambino4129800Advanced Equities Inc. · CRD 35545
Jordan Berlin821934Advanced Equities Inc. · CRD 35545
Raymond Kim4443798Advanced Equities Inc. · CRD 35545
Robert Grimes5213268Advanced Equities Inc · CRD 35545
Robert Jones1871026Advanced Equities Inc · CRD 35545
William Pederson2586686Advanced Equities Inc · CRD 35545
Rick Jaye1091766First Allied Securities Inc. · CRD 32444
Victoria Powell4805256First Allied Securities Inc. · CRD 32444
Arthur Coleman847936Advanced Equities Inc. · CRD 35545
Mark Miller5742278Advanced Equities Inc. · CRD 35545
Frederic May1334138First Allied Securities Inc. · CRD 32444
Staci Scharadin3202644First Allied Securities Inc. · CRD 32444
Shane Hunt2956880First Allied Securities Inc. · CRD 32444

Source: Form D, filed Jun 14, 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 II, LLC

Investment adviser: SPRUCE INVESTMENT ADVISORS LLC

Gross asset value
$1.16M
Beneficial owners
125
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 805-2644571703

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