Form D · Venture Capital Fund

AEI eASIC Investments IV, LLC

Chicago, IL · CIK 0001486481

Offering snapshot reported May 3, 2010 · SEC filing

Reported sold
$520K
Indefinite offering
Investors reported
7
Form D · investor count
Minimum accepted
$106K
Reported outside-investor minimum
First sale
Feb 25, 2010
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$260K$520KMar 10, 2010: $240,000.00Mar 10, 2010Apr 1, 2010: $415,000.00Apr 1, 2010May 3, 2010: $519,790.00May 3, 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$415,000 → $519,790
  • Reported investors6 → 7

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
May 3, 2010Amendment$519,790$104,790vs Apr 1, 20107SEC filing
Apr 1, 2010Amendment$415,000$175,000vs Mar 10, 20106SEC filing
Mar 10, 2010Initial$240,000No comparison3SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06
Duration over one year
No
Business combination
No
Sales commissions
$23.2K
Finders' fees
$0
Form D file number
021-139414

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Gordon Fallone1767760Advanced Equities Inc. · CRD 35545
Peter Fogarty1889799Advanced Equities Inc. · CRD 35545
William Metz808295Advanced Equities Inc. · CRD 35545

Source: Form D, filed May 3, 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 EASIC INVESTMENTS IV, LLC

Investment adviser: SPRUCE INVESTMENT ADVISORS LLC

Gross asset value
$174K
Beneficial owners
7
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 805-1098827269

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 E Asic Management Corp. Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

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