Form D · Venture Capital Fund

AEI Serious Materials Investments I, LLC

Chicago, IL · CIK 0001476062

Offering snapshot reported Aug 26, 2010 · SEC filing

Reported sold
$2.39M
Indefinite offering
Investors reported
53
Form D · investor count
Minimum accepted
$106K
Reported outside-investor minimum
First sale
Apr 14, 2010
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$1.19M$2.39MApr 21, 2010: $208,500.00Apr 21, 2010May 3, 2010: $1,546,393.00May 6, 2010: $2,076,393.00May 26, 2010: $2,028,393.00May 26, 2010Aug 26, 2010: $2,388,726.00Aug 26, 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$2,028,393 → $2,388,726
  • Reported investors42 → 53

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Aug 26, 2010Amendment$2,388,726$360,333vs May 26, 201053SEC filing
May 26, 2010Amendment$2,028,393-$48,000vs May 6, 201042SEC filing
May 6, 2010Amendment$2,076,393$530,000vs May 3, 201042SEC filing
May 3, 2010Amendment$1,546,393$1,337,893vs Apr 21, 201040SEC filing
Apr 21, 2010Initial$208,500No comparison2SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06
Duration over one year
No
Business combination
No
Sales commissions
$126K
Finders' fees
$0
Form D file number
021-140925

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Eric Richardson3182616Advanced Equities Inc. · CRD 35545
Curtis Robinson1765195Advanced Equities Inc. · CRD 35545
Arthur Coleman847936Advanced Equities Inc. · CRD 35545
Christopher Capra2691295Advanced Equities Inc. · CRD 35545
Gary Saccaro1806863Advanced Equities Inc. · CRD 35545
Geoff Carfagnini2771125Advanced Equities Inc. · CRD 35545
Gregory Grycan1663960Advanced Equities Inc. · CRD 35545
Jared Carmel4796201Advanced Equities Inc. · CRD 35545
James Piff1991874Advanced Equities Inc. · CRD 35545
John Ferrick2568789Advanced Equities Inc. · CRD 35545
James Kozak2237880Advanced Equities Inc. · CRD 35545
Joseph Cordi1397664Advanced Equities Inc. · CRD 35545
Kevin Barrett5241590Advanced Equities Inc. · CRD 35545
Timothy Touloukian2803832Advanced Equities Inc. · CRD 35545
Wesley Gordon5000607Advanced Equities Inc. · CRD 35545
Chang Soo Han1048237First Allied Securities Inc. · CRD 32444
Dennis Thurman2342398First Allied Securities Inc. · CRD 32444
Mark Chamberlain1655738First Allied Securities Inc. · CRD 32444
Jonathan Chaet4039148Advanced Equities Inc. · CRD 35545
Sandino Napolis4048454Advanced Equities Inc. · CRD 35545
Peter Han4704497First Allied Securities Inc. · CRD 32444
Edward Yoon2408137First Allied Securities Inc. · CRD 32444
William Pederson2586686Advanced Equities Inc. · CRD 35545
Bijal Modi5155401Advanced Equities Inc. · CRD 35545
Tom Tang5518409Advanced Equities Inc. · CRD 35545
Allen Yee1934271First Allied Securities Inc. · CRD 32444
Jack Holland851442First Allied Securities Inc. · CRD 32444
Stephen Dudurich724748First Allied Securities Inc. · CRD 32444

Source: Form D, filed Aug 26, 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 SERMAT INVESTMENTS I, LLC

Investment adviser: SPRUCE INVESTMENT ADVISORS LLC

Gross asset value
$247
Beneficial owners
63
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 805-3218470954

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 Serious Materials Management Corporation Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

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