Form D · Venture Capital Fund

AEI SERIOUS ENERGY IV, LLC

Chicago, IL · CIK 0001523338

Offering snapshot reported Oct 21, 2011 · SEC filing

Reported sold
$447K
Indefinite offering
Investors reported
10
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$223K$447KJun 30, 2011: $89,500.00Jun 30, 2011Jul 19, 2011: $265,500.00Jul 26, 2011: $421,500.00Jul 26, 2011Oct 21, 2011: $446,500.00Oct 21, 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$421,500 → $446,500
  • Reported investors9 → 10

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Oct 21, 2011Amendment$446,500$25,000vs Jul 26, 201110SEC filing
Jul 26, 2011Amendment$421,500$156,000vs Jul 19, 20119SEC filing
Jul 19, 2011Amendment$265,500$176,000vs Jun 30, 20116SEC filing
Jun 30, 2011Initial$89,500No comparison3SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06
Duration over one year
No
Business combination
No
Sales commissions
$25.3K
Finders' fees
$0
Form D file number
021-162100

Sales compensation recipients

Scroll to see all columns →

RecipientCRDAssociated broker-dealer
Mark Markland1487083First Allied Securities, Inc. · CRD 32444
Cooper Cordin3182812Advanced Equities, Inc. · CRD 35545
Peter McDonnell1374657Advanced Equities, Inc. · CRD 35545
Joseph Cordi1397664Advanced Equities, Inc. · CRD 35545
Christopher Capra2691295Advanced Equities, Inc. · CRD 35545
Caryn Wechsler1523007Advanced Equities, Inc. · CRD 35545
Louise H Short1751555First Allied Securities, Inc. · CRD 32444
Eric Richardson3182616Advanced Equities, Inc. · CRD 35545
Wesley Gordon5000607Advanced Equities, Inc. · CRD 35545
Michael Thiel1108580First Allied Securities, Inc. · CRD 32444
Geoff Carfagnini2771125Advanced Equities, Inc. · CRD 35545
Charles Proulx5384945Advanced Equities, Inc. · CRD 35545
Joseph Langlois4216281First Allied Securities, Inc. · CRD 32444
Gordon Fallone1767760Advanced Equities, Inc. · CRD 35545
Peter Fogarty1889799Advanced Equities, Inc. · CRD 35545
George Wojciechowski4498456Advanced Equities, Inc. · CRD 35545

Source: Form D, filed Oct 21, 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 IV, LLC

Investment adviser: SPRUCE INVESTMENT ADVISORS LLC

Gross asset value
$14.5K
Beneficial owners
10
ADV minimum commitment
$100K

Reported in Form ADV on Oct 7, 2015. 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 950579 · Oct 7, 2015 · Schedule D 7.B.(1), fund 805-7519799450

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, 60606