Form D · Venture Capital Fund

AEI SERIOUS ENERGY III, LLC

Chicago, IL · CIK 0001523337

Offering snapshot reported Sep 30, 2011 · SEC filing

Reported sold
$613K
Offering amount: $613K
Investors reported
16
Form D · investor count
Minimum accepted
$106K
Reported outside-investor minimum
First sale
Jun 20, 2011
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$306K$613KJun 30, 2011: $129,500.00Jun 30, 2011Jul 7, 2011: $285,500.00Jul 19, 2011: $358,500.00Jul 19, 2011Aug 22, 2011: $491,500.00Aug 22, 2011Sep 30, 2011: $612,551.00Sep 30, 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$491,500 → $612,551
  • Reported investors12 → 16

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Sep 30, 2011Amendment$612,551$121,051vs Aug 22, 201116SEC filing
Aug 22, 2011Amendment$491,500$133,000vs Jul 19, 201112SEC filing
Jul 19, 2011Amendment$358,500$73,000vs Jul 7, 20118SEC filing
Jul 7, 2011Amendment$285,500$156,000vs Jun 30, 20116SEC filing
Jun 30, 2011Initial$129,500No comparison3SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06
Duration over one year
No
Business combination
No
Sales commissions
$31.8K
Finders' fees
$0
Form D file number
021-162101

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Mark Markland1487083First Allied Securities Inc. · CRD 32444
Eric Richardson3182616Advanced Equities, Inc. · CRD 35545
Wesley Gordon5000607Advanced Equities, Inc. · CRD 35545
Kevin Graetz1935982Advanced Equities, Inc. · CRD 35545
Joe Hede2389098Advanced Equities, Inc. · CRD 35545
Christopher Capra2691295Advanced Equities, Inc. · CRD 35545
Gary Saccaro1806863Advanced Equities, Inc. · CRD 35545
Joseph Cordi1397664Advanced Equities, Inc. · CRD 35545
Louise H Short1751555First Allied Securities, Inc. · CRD 32444
Timothy Touloukian2803832Advanced Equities, Inc. · CRD 35545
Geoff Carfagnini2771125Advanced Equities, Inc. · CRD 35545
Jeffrey Hiera4927416Advanced Equities, Inc. · CRD 35545

Source: Form D, filed Sep 30, 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 SERIOUS ENERGY III, LLC

Investment adviser: SPRUCE INVESTMENT ADVISORS LLC

Gross asset value
$2.54K
Beneficial owners
16
ADV minimum commitment
$100K

Reported in Form ADV on Mar 28, 2016. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Auditor BBD, LLP PHILADELPHIA, Pennsylvania, United States
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
No
Administrator other than the adviser
No
External marketing
No
Filing source

Form ADV 991435 · Mar 28, 2016 · Schedule D 7.B.(1), fund 805-5985252615

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 Inc. Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
311 S Wacker Drive Suite 1650
Chicago, IL, 60614