Form D · Venture Capital Fund

AEI Serious Materials Investments II, LLC

Chicago, IL · CIK 0001476063

Offering snapshot reported May 10, 2010 · SEC filing

Reported sold
$8.52M
Indefinite offering
Investors reported
91
Form D · investor count
Minimum accepted
$106K
Reported outside-investor minimum
First sale
Apr 7, 2010
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$4.26M$8.52MApr 21, 2010: $195,000.00Apr 21, 2010May 3, 2010: $8,043,405.00May 3, 2010May 10, 2010: $8,515,705.00May 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$8,043,405 → $8,515,705
  • Reported investors88 → 91

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
May 10, 2010Amendment$8,515,705$472,300vs May 3, 201091SEC filing
May 3, 2010Amendment$8,043,405$7,848,405vs Apr 21, 201088SEC filing
Apr 21, 2010Initial$195,000No comparison3SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06
Duration over one year
No
Business combination
No
Sales commissions
$425K
Finders' fees
$0
Form D file number
021-140927

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Christopher Capra2691295Advanced Equities Inc. · CRD 35545
Kevin Graetz1935982Advanced Equities Inc. · CRD 35545
Joe Hede2389098Advanced Equities Inc. · CRD 35545
Gary Saccaro1806863Advanced Equities Inc. · CRD 35545
Arthur Coleman847936Advanced Equities Inc. · CRD 35545
Bijal Modi5155401Advanced Equities Inc. · CRD 35545
Brad Seyffer2498070Advanced Equities Inc. · CRD 35545
Cooper Cordin3182812Advanced Equities Inc. · CRD 35545
Eric Richardson3182616Advanced Equities Inc. · CRD 35545
Geoff Carfagnini2771125Advanced Equities Inc. · CRD 35545
Hayward Roy2842866Advanced Equities Inc. · CRD 35545
James Duncan1781313Advanced Equities Inc. · CRD 35545
Charles Mycoff5009562Advanced Equities Inc. · CRD 35545
James Kozak2237880Advanced Equities Inc. · CRD 35545
John Ferrick2568789Advanced Equities Inc. · CRD 35545
Jared Carmel4796201Advanced Equities Inc. · CRD 35545
Jared Slater4476358Advanced Equities Inc. · CRD 35545
Jeff Binkert2491492Advanced Equities Inc. · CRD 35545
Chris Gambino4129800Advanced Equities Inc. · CRD 35545
Lisa Julin4327915Advanced Equities Inc. · CRD 35545
James Piff1991874Advanced Equities Inc. · CRD 35545
Joseph Cordi1397664Advanced Equities Inc. · CRD 35545
Kevin Barrett5241590Advanced Equities Inc. · CRD 35545
Wesley Gordon5000607Advanced Equities Inc. · CRD 35545
Tom Tang5518409Advanced Equities Inc. · CRD 35545
William Pederson2586686Advanced Equities Inc. · CRD 35545
Chang Soo Han1048237First Allied Securities Inc. · CRD 32444
Dennis Thurman2342398First Allied Securities Inc. · CRD 32444
Patrick Thurman825773First Allied Securities Inc. · CRD 32444
Peter Han4704497First Allied Securities Inc. · CRD 32444
Edward Yoon2408137First Allied Securities Inc. · CRD 32444

Source: Form D, filed May 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 SERMAT INVESTMENTS II, LLC

Investment adviser: SPRUCE INVESTMENT ADVISORS LLC

Gross asset value
$283
Beneficial owners
103
ADV minimum commitment
$100K

Reported in Form ADV on Mar 28, 2017. 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 1088126 · Mar 28, 2017 · Schedule D 7.B.(1), fund 805-5481134345

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