Form D · Private Equity Fund

Aequitas ETC Founders Fund, LLC

Lake Oswego, OR · CIK 0001534219

Offering snapshot reported Apr 12, 2013 · SEC filing

Reported sold
$6.68M
Offering amount: $15M
Investors reported
28
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Nov 1, 2011
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$3.34M$6.68MNov 10, 2011: $1,000,000.00Nov 10, 2011Mar 30, 2012: $6,680,000.00Mar 30, 2012Apr 12, 2013: $6,680,000.00Apr 12, 2013

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.

No comparable changes in the displayed metrics.

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Apr 12, 2013Amendment$6,680,000$0vs Mar 30, 201228SEC filing
Mar 30, 2012Amendment$6,680,000$5,680,000vs Nov 10, 201128SEC filing
Nov 10, 2011Initial$1,000,000No comparison1SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06, 3C, 3C.1
Duration over one year
No
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-168565
The minimum investment may be waived by the Manager in its sole discretion.
Figures shown do not include amounts paid to employees as part of their compensation package.

Source: Form D, filed Apr 12, 2013. 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

AEQUITAS ETC FOUNDERS FUND, LLC

Investment adviser: AEQUITAS INVESTMENT MANAGEMENT, LLC

Gross asset value
$21M
Beneficial owners
33
ADV minimum commitment
$250K

Reported in Form ADV on Jul 13, 2015. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Auditor DELOITTE & TOUCHE LLP PORTLAND, Oregon, United States
Custodian BANK OF AMERICA PORTLAND, Oregon, United States Related to adviser: No
Custodian INTEGRITY BANK & TRUST COLORADO SPRINGS, Colorado, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
No
Filing source

Form ADV 934059 · Jul 13, 2015 · Schedule D 7.B.(1), fund 805-3560457941

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
Aequitas Investment Management, Llc Aequitas Investment Management, Llc Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
5300 Meadows Road Suite 400
Lake Oswego, OR, 97035