Form D · Venture Capital Fund

AEI Magnum Investments III, LLC

Chicago, IL · CIK 0001494240

Offering snapshot reported Aug 10, 2010 · SEC filing

Reported sold
$256K
Indefinite offering
Investors reported
9
Form D · investor count
Minimum accepted
$106K
Reported outside-investor minimum
First sale
Jun 29, 2010
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$128K$256KJul 6, 2010: $94,750.00Jul 6, 2010Jul 16, 2010: $146,250.00Jul 16, 2010Aug 10, 2010: $255,750.00Aug 10, 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$146,250 → $255,750
  • Reported investors6 → 9

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Aug 10, 2010Amendment$255,750$109,500vs Jul 16, 20109SEC filing
Jul 16, 2010Amendment$146,250$51,500vs Jul 6, 20106SEC filing
Jul 6, 2010Initial$94,750No comparison4SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06
Duration over one year
No
Business combination
No
Sales commissions
$14.5K
Finders' fees
$0
Form D file number
021-144459

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Gordon Fallone1767760Advanced Equities Inc. · CRD 35545
Peter Fogarty1889799Advanced Equities Inc. · CRD 35545
Gary Saccaro1806863Advanced Equities Inc. · CRD 35545
Joseph Cordi1397664Advanced Equities Inc. · CRD 35545
Eric Richardson3182616Advanced Equities Inc. · CRD 35545

Source: Form D, filed Aug 10, 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 MAGNUM INVESTMENTS III, LLC

Investment adviser: SPRUCE INVESTMENT ADVISORS LLC

Gross asset value
$6.77K
Beneficial owners
12
ADV minimum commitment
$100K

Reported in Form ADV on Mar 26, 2018. 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 1193409 · Mar 26, 2018 · Schedule D 7.B.(1), fund 805-5868000143

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 Magnum Management Corp. Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

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