Form D · Venture Capital Fund

AEI Magnum Investments IV, LLC

Chicago, IL · CIK 0001494239

Offering snapshot reported Sep 2, 2010 · SEC filing

Reported sold
$3.4M
Indefinite offering
Investors reported
53
Form D · investor count
Minimum accepted
$106K
Reported outside-investor minimum
First sale
Jun 16, 2010
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$1.7M$3.4MJun 24, 2010: $397,000.00Jun 24, 2010Jul 6, 2010: $1,785,344.00Jul 6, 2010Jul 16, 2010: $2,448,065.00Aug 10, 2010: $3,002,165.00Aug 10, 2010Sep 2, 2010: $3,402,165.00Sep 2, 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$3,002,165 → $3,402,165
  • Reported investors49 → 53

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Sep 2, 2010Amendment$3,402,165$400,000vs Aug 10, 201053SEC filing
Aug 10, 2010Amendment$3,002,165$554,100vs Jul 16, 201049SEC filing
Jul 16, 2010Amendment$2,448,065$662,721vs Jul 6, 201038SEC filing
Jul 6, 2010Amendment$1,785,344$1,388,344vs Jun 24, 201026SEC filing
Jun 24, 2010Initial$397,000No comparison10SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06
Duration over one year
No
Business combination
No
Sales commissions
$171K
Finders' fees
$0
Form D file number
021-143962

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Gary Saccaro1806863Advanced Equities Inc. · CRD 35545
John Ferrick2568789Advanced Equities Inc. · CRD 35545
James Kozak2237880Advanced Equities Inc. · CRD 35545
Gordon Fallone1767760Advanced Equities Inc. · CRD 35545
Peter Fogarty1889799Advanced Equities Inc. · CRD 35545
William Metz808295Advanced Equities Inc. · CRD 35545
Jared Carmel4796201Advanced Equities Inc. · CRD 35545
Kevin Graetz1935982Advanced Equities Inc. · CRD 35545
Joe Hede2389098Advanced Equities Inc. · CRD 35545
Christopher Capra2691295Advanced Equities Inc. · CRD 35545
Wesley Gordon5000607Advanced Equities Inc. · CRD 35545
Joseph Cordi1397664Advanced Equities Inc. · CRD 35545
Toby Harris4791779First Allied Securities Inc. · CRD 32444
Michael Williams468074First Allied Securities Inc. · CRD 32444
Larry Cohen3191796Advanced Equities Inc. · CRD 35545

Source: Form D, filed Sep 2, 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 IV, LLC

Investment adviser: SPRUCE INVESTMENT ADVISORS LLC

Gross asset value
$74.9K
Beneficial owners
51
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 805-1682018440

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