Form D · Venture Capital Fund

AEI Suniva Investments IV, LLC

Chicago, IL · CIK 0001517550

Offering snapshot reported Apr 19, 2011 · SEC filing

Reported sold
$4.39M
Offering amount: $4.39M
Investors reported
68
Form D · investor count
Minimum accepted
$106K
Reported outside-investor minimum
First sale
Apr 1, 2011
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$2.2M$4.39MApr 12, 2011: $3,479,149.00Apr 12, 2011Apr 19, 2011: $4,391,876.00Apr 19, 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$3,479,149 → $4,391,876
  • Reported investors49 → 68

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Apr 19, 2011Amendment$4,391,876$912,727vs Apr 12, 201168SEC filing
Apr 12, 2011Initial$3,479,149No comparison49SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06
Duration over one year
No
Business combination
No
Sales commissions
$223K
Finders' fees
$0
Form D file number
021-158255

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Brad Seyffer2498070Advanced Equities Inc. · CRD 35545
Chris Clark1952666Advanced Equities Inc. · CRD 35545
Chris Harney1417453Advanced Equities Inc. · CRD 35545
Cooper Cordin3182812Advanced Equities Inc. · CRD 35545
Peter McDonnell1374657Advanced Equities Inc. · CRD 35545
Eric Richardson3182616Advanced Equities Inc. · CRD 35545
Gary Saccaro1806863Advanced Equities Inc. · CRD 35545
Gordon Fallone1767760Advanced Equities Inc. · CRD 35545
Peter Fogarty1889799Advanced Equities Inc. · CRD 35545
Hayward Roy2842866Advanced Equities Inc. · CRD 35545
James Kozak2237880Advanced Equities Inc. · CRD 35545
Jared Carmel4796201Advanced Equities Inc. · CRD 35545
Jeff Binkert2491492Advanced Equities Inc. · CRD 35545
Chris Gambino4129800Advanced Equities Inc. · CRD 35545
Lisa Julin4327915Advanced Equities Inc. · CRD 35545
John Ferrick2568789Advanced Equities Inc. · CRD 35545
Jordan Berlin821934Advanced Equities Inc. · CRD 35545
Joseph Cordi1397664Advanced Equities Inc. · CRD 35545
Kevin Graetz1935982Advanced Equities Inc. · CRD 35545
Joe Hede2389098Advanced Equities Inc. · CRD 35545
Wesley Gordon5000607Advanced Equities Inc. · CRD 35545
Ryan Metz5609347Advanced Equities Inc. · CRD 35545
William Metz808295Advanced Equities Inc. · CRD 35545
Scott Kyle2703722Advanced Equities Inc. · CRD 35545
Arthur Coleman847936Advanced Equities Inc. · CRD 35545
Brady Clark5876496Advanced Equities Inc. · CRD 35545
Mark Finckle2650476Advanced Equities Inc. · CRD 35545
Mark Miller5742278Advanced Equities Inc. · CRD 35545
William Pedersen2586686Advanced Equities Inc. · CRD 35545

Source: Form D, filed Apr 19, 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 SUNIVA INVESTMENTS IV, LLC

Investment adviser: SPRUCE INVESTMENT ADVISORS LLC

Gross asset value
$1
Beneficial owners
70
ADV minimum commitment
$100K

Reported in Form ADV on Mar 27, 2019. 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 1295734 · Mar 27, 2019 · Schedule D 7.B.(1), fund 805-1098668256

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 Suniva Management Corp. Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

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