Form D · Other Banking and Financial Services
Asset Allocation & Management Company, LLC
Chicago, IL · CIK 0001498383
Offering snapshot reported Apr 1, 2014 · SEC filing
- Reported sold
- $280K Offering amount: $820K
- Investors reported
- 2 Form D · investor count
- Minimum accepted
- $80K Reported outside-investor minimum
- First sale
- Mar 31, 2014 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Apr 1, 2014 | Initial | $280,090 | No comparison | 2 | SEC filing |
| Apr 2, 2013 | Initial | $680,730 | No comparison | 7 | SEC filing |
Offering details
- Securities
- Equity
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-214636
Source: Form D, filed Apr 1, 2014. 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 |
|---|---|
| James Dawson Carey | Promoter |
| Fayez Sami Muhtadie | Director |
| Reed J Nuttall | Director |
| Darlene Hazel Richards | Executive |
| John Larkin Schaefer | Executive |
| John Francis Shettle | Director |
Issuer details
Industry: Other Banking and Financial Services (See others in industry)
Address:
30 W. Monroe Street 3 Rd Floor
Chicago, IL, 60603-2405
Chicago, IL, 60603-2405