Form D · Venture Capital Fund

AEI ALIEN SERIES B' INVESTMENTS I, LLC

Chicago, IL · CIK 0001510956

Offering snapshot reported Jul 7, 2011 · SEC filing

Reported sold
$1.8M
Indefinite offering
Investors reported
52
Form D · investor count
Minimum accepted
$106K
Reported outside-investor minimum
First sale
Mar 31, 2011
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$900K$1.8MMay 31, 2011: $1,314,350.00May 31, 2011Jul 7, 2011: $1,799,150.00Jul 7, 2011

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$1,314,350 → $1,799,150
  • Reported investors35 → 52

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jul 7, 2011Amendment$1,799,150$484,800vs May 31, 201152SEC filing
May 31, 2011Initial$1,314,350No comparison35SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06
Duration over one year
No
Business combination
No
Sales commissions
$102K
Finders' fees
$0
Form D file number
021-160536

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Arthur Coleman847936Advanced Equities Inc. · CRD 35545
Brady Clark5876496Advanced Equities Inc. · CRD 35545
Chris Clark1952666Advanced Equities Inc. · CRD 35545
Cem Karaca4208108Advanced Equities Inc. · CRD 35545
Sandino Napolis4048454Advanced Equities Inc. · CRD 35545
Eric Richardson3182616Advanced Equities Inc. · CRD 35545
Geoff Carfagnini2771125Advanced Equities Inc. · CRD 35545
Gordon Fallone1767760Advanced Equities Inc. · CRD 35545
Gary Saccaro1806863Advanced Equities Inc. · CRD 35545
Peter Fogarty1889799Advanced Equities Inc. · CRD 35545
Rick Post5469061Advanced Equities Inc. · CRD 35545
Gregory Grycan1663960Advanced Equities Inc. · CRD 35545
Joseph Cordi1397664Advanced Equities Inc. · CRD 35545
Jordan Berlin821934Advanced Equities Inc. · CRD 35545
Jared Carmel4796201Advanced Equities Inc. · CRD 35545
Scott Kyle2703722Advanced Equities Inc. · CRD 35545
Timothy Touloukian2803832Advanced Equities Inc. · CRD 35545
William Pedersen2586686Advanced Equities Inc. · CRD 35545
James Kozak2237880Advanced Equities Inc. · CRD 35545
Christopher P Hollamon4714027Advanced Equities Inc. · CRD 35545
Etienn Couret3099991Advanced Equities Inc. · CRD 35545
Larry Cohen3191796Advanced Equities Inc. · CRD 35545
Patrick Thurman825773First Allied Securities, Inc. · CRD 32444
Robert N Casolaro2737895First Allied Securities, Inc. · CRD 32444
William Schrimpf415220Advanced Equities Inc. · CRD 35545

Source: Form D, filed Jul 7, 2011. 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 ALIEN SERIES B INVESTMENTS I, LLC

Investment adviser: SPRUCE INVESTMENT ADVISORS LLC

Gross asset value
$1.37M
Beneficial owners
52
ADV minimum commitment
$100K

Reported in Form ADV on Jun 30, 2020. 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 1440803 · Jun 30, 2020 · Schedule D 7.B.(1), fund 805-3601482157

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 Alien Management Corp. Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

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