Form D · Venture Capital Fund
AEI Sezmi Investments III, LLC
Chicago, IL · CIK 0001488777
Offering snapshot reported Sep 13, 2010 · SEC filing
- Reported sold
- $554K Indefinite offering
- Investors reported
- 16 Form D · investor count
- Minimum accepted
- $106K Reported outside-investor minimum
- First sale
- Mar 25, 2010 As reported in this filing
Fundraising history
Reported soldDates 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$447,783 → $553,733
- Reported investors12 → 16
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Sep 13, 2010 | Amendment | $553,733 | $105,950vs Aug 10, 2010 | 16 | SEC filing |
| Aug 10, 2010 | Amendment | $447,783 | $30,000vs Aug 9, 2010 | 12 | SEC filing |
| Aug 9, 2010 | Amendment | $417,783 | $112,833vs Jul 22, 2010 | 11 | SEC filing |
| Jul 22, 2010 | Amendment | $304,950 | $251,750vs Apr 9, 2010 | 7 | SEC filing |
| Apr 9, 2010 | Initial | $53,200 | No comparison | 1 | SEC filing |
Offering details
- Securities
- Equity, Pooled investment fund
- Exemptions
- 06
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $29.9K
- Finders' fees
- $0
- Form D file number
- 021-140352
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Eric Richardson | 3182616 | Advanced Equities Inc. · CRD 35545 |
| Sandino Napolis | 4048454 | Advanced Equities Inc. · CRD 35545 |
| Arthur Coleman | 847936 | Advanced Equities Inc. · CRD 35545 |
| William Pedersen | 2586686 | Advanced Equities Inc. · CRD 35545 |
| William Metz | 808295 | Advanced Equities Inc. · CRD 35545 |
| Ryan Metz | 5609347 | Advanced Equities Inc. · CRD 35545 |
| Dudley Probert | 1466335 | First Allied Securities Inc. · CRD 32444 |
| Jeff Snyder | 2911802 | First Allied Securities Inc. · CRD 32444 |
| Eric Meushaw | 4355343 | First Allied Securities Inc. · CRD 32444 |
| Dennis Thurman | 2342398 | First Allied Securities Inc. · CRD 32444 |
| Gordon Fallone | 1767760 | Advanced Equities Inc. · CRD 35545 |
| Peter Fogarty | 1889799 | Advanced Equities Inc. · CRD 35545 |
| Michael Anton | 5520781 | Advanced Equities Inc. · CRD 35545 |
Source: Form D, filed Sep 13, 2010. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
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.
| Name | Reported role |
|---|---|
| N/A Advanced Equities Sezmi Management Corp. | Director |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Chicago, IL, 60606