Form D · Other Investment Fund

Aspen Diversified Fund LLC

Atlanta, GA · CIK 0001330820

Offering snapshot reported May 29, 2013 · SEC filing

Reported sold
$194M
Indefinite offering
Investors reported
2,051
Form D · investor count
Minimum accepted
$10K
Reported outside-investor minimum
First sale
Jul 1, 2005
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$97M$194MJun 13, 2011: $172,292,185.00Jun 13, 2011Jun 6, 2012: $192,424,327.00Jun 6, 2012May 29, 2013: $193,909,418.00May 29, 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.

  • Reported sold$192,424,327 → $193,909,418

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
May 29, 2013Amendment$193,909,418$1,485,091vs Jun 6, 20122,051SEC filing
Jun 6, 2012Amendment$192,424,327$20,132,142vs Jun 13, 20112,051SEC filing
Jun 13, 2011Initial$172,292,185No comparison1,418SEC filing
Dec 29, 2009Amendment$127,837,858$0vs May 6, 20091,014SEC filing
May 6, 2009Initial$127,837,858No comparisonNot reportedSEC filing
Jun 20, 2005PaperNot reportedNo comparisonNot reportedSEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06
Duration over one year
Yes
Business combination
No
Sales commissions
$921K
Finders' fees
$0
Form D file number
021-161192

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
William D. Johnson1029862Thomas McDonald Partners, LLC · CRD 135414
Richard Simkus1269936Thomas McDonald Partners, LLC · CRD 135414
Hollis Lamon862456Lamon & Stern, Inc. · CRD 10839
Timothy Norton726982Thomas McDonald Partners, LLC · CRD 135414
Craig Phillips2066182Cascade Financial Management, Inc. · CRD 119030
Jeff Jones2952292SunTrust Investment Services, Inc. · CRD 17499
Thomas Carter2085078RBC Capital Markets, LLC · CRD 31194
Roger Shaffer2404126SunTrust Investment Services, Inc. · CRD 17499
Beth Thomas1222562SunTrust Investment Services, Inc. · CRD 17499
Richard Miles3083496SunTrust Investment Services, Inc. · CRD 17499
Richard Malmberg2798629SunTrust Investment Services, Inc. · CRD 17499
Madison Mize2390773SunTrust Investment Services, Inc. · CRD 17499
Michael Jones4922202VSR Financial Services, Inc. · CRD 14503
Keith Reagan1825700Prospera Financial Services, Inc. · CRD 10740
Clayton James4565333Prospera Financial Services, Inc. · CRD 10740
Mills Brinson1057985Scott & Stringfellow, LLC · CRD 6255
Dennis Parker2665845SunTrust Investment Services, Inc. · CRD 17499
Phil Pappas2335827Scott & Stringfellow, LLC · CRD 6255
Robert Hutchins254047D.A. Davidson & Co. · CRD 199
George Calvert719186D.A. Davidson & Co. · CRD 199
Allan Lee Wright730913D.A. Davidson & Co. · CRD 199
Joel Johnson1941908Silver Oak Securities, Inc. · CRD 46947
David Stieh4151253Cascade Financial Management, Inc. · CRD 119030
Martin Miller2202839Scott & Stringfellow, LLC · CRD 6255
Matthew Horn4012151Scott & Stringfellow, LLC · CRD 6255
Curt Bennett2556498D.A. Davidson & Co. · CRD 199

Source: Form D, filed May 29, 2013. 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
Kenneth E. Banwart Executive
William Ware Bush Executive, Promoter
Bryan R. Fisher Executive, Promoter
Adam Langley Executive
Paul R. Morin Executive
Jeremy L. Standrod Executive
Deborah H. Terry Executive
George Davis Vick Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
4200 Northside Parkway Building 11 Suite 200
Atlanta, GA, 30327