Form D · Venture Capital Fund

AEI Tethys I, LLC

Chicago, IL · CIK 0001523341

Offering snapshot reported Nov 29, 2011 · SEC filing

Reported sold
$1.35M
Indefinite offering
Investors reported
30
Form D · investor count
Minimum accepted
$106K
Reported outside-investor minimum
First sale
Jul 5, 2011
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$676K$1.35MJul 12, 2011: $104,500.00Jul 12, 2011Jul 19, 2011: $209,000.00Jul 26, 2011: $308,500.00Aug 1, 2011: $388,000.00Aug 10, 2011: $467,500.00Sep 26, 2011: $1,152,100.00Sep 30, 2011: $1,152,100.00Nov 29, 2011: $1,352,200.00Nov 29, 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$1,152,100 → $1,352,200
  • Reported investors26 → 30

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Nov 29, 2011Amendment$1,352,200$200,100vs Sep 30, 201130SEC filing
Sep 30, 2011Amendment$1,152,100$0vs Sep 26, 201126SEC filing
Sep 26, 2011Amendment$1,152,100$684,600vs Aug 10, 201126SEC filing
Aug 10, 2011Amendment$467,500$79,500vs Aug 1, 201113SEC filing
Aug 1, 2011Amendment$388,000$79,500vs Jul 26, 201112SEC filing
Jul 26, 2011Amendment$308,500$99,500vs Jul 19, 201110SEC filing
Jul 19, 2011Amendment$209,000$104,500vs Jul 12, 20117SEC filing
Jul 12, 2011Initial$104,500No comparison4SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06
Duration over one year
No
Business combination
No
Sales commissions
$53.9K
Finders' fees
$0
Form D file number
021-162716

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Cooper Cordin3182812Advanced Equities, Inc. · CRD 35545
Joseph Cordi1397664Advanced Equities, Inc. · CRD 35545
Sandino Napolis4048454Advanced Equities, Inc. · CRD 35545
Gordon Fallone1767760Advanced Equities, Inc. · CRD 35545
Peter Fogarty1889799Advanced Equities, Inc. · CRD 35545
William Pedersen2586686Advanced Equities, Inc. · CRD 35545
Louise H Short1751555First Allied Securities, Inc. · CRD 32444
Eric Richardson3182616Advanced Equities, Inc. · CRD 35545
Arthur Coleman847936Advanced Equities, Inc. · CRD 35545
Mario Gonzalez4022309First Allied Securities, Inc. · CRD 32444
Geoff Carfagnini2771125Advanced Equities, Inc. · CRD 35545
Chris Clark1952666Advanced Equities, Inc. · CRD 35545
Chris Harney1417453Advanced Equities, Inc. · CRD 35545
Toby Harris4791779First Allied Securities, Inc. · CRD 32444
Patrick Thurman825773First Allied Securities, Inc. · CRD 32444
James Kozak2237880Advanced Equities, Inc. · CRD 35545

Source: Form D, filed Nov 29, 2011. 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.

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