Form D · Other Banking and Financial Services

ATEL Growth Capital Fund 9, LLC

San Francisco, CA · CIK 0001616112

Offering snapshot reported Oct 28, 2015 · SEC filing

Reported sold
$2.19M
Offering amount: $35M
Investors reported
32
Form D · investor count
Minimum accepted
$25K
Reported outside-investor minimum
First sale
Jan 30, 2015
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$1.09M$2.19MOct 28, 2014Jun 26, 2015: $1,077,032.00Jun 26, 2015Oct 28, 2015: $2,187,533.00Oct 28, 2015

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 investors0 → 32

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Oct 28, 2015Amendment$2,187,533No comparison32SEC filing
Jun 26, 2015Amendment$1,077,032No comparison21SEC filing
Oct 28, 2014InitialYet to sellNo comparison0SEC filing

Offering details

Securities
Equity
Exemptions
06b
Duration over one year
Yes
Business combination
No
Sales commissions
$3.15M (estimated)
Finders' fees
$0
Form D file number
021-227180

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
ATEL Securities Corporation17229ATEL Securities Corporation · CRD 17229
Calvin Todd Halterman3147472Centaurus Financial, Inc. · CRD 30833
Charles L. Orley1462136Centaurus Financial, Inc. · CRD 30833
Darrell E. Stoner1045328Crown Capital Securities, L.P. · CRD 6312
Michelle L. Wagner2403647Crown Capital Securities, L.P. · CRD 6312
Wendy E. Fleischmann5561064Crown Capital Securities, L.P. · CRD 6312
United Planners Financial Services of America a Limited Partner20804United Planners Financial Services of America a Limited Partner · CRD 20804
Gregory J. Richards1339012Centaurus Financial, Inc. · CRD 20804
John M. Sims424983Centaurus Financial, Inc. · CRD 30833
Kenneth W. Finnell1184110Centaurus Financial, Inc. · CRD 30833

Source: Form D, filed Oct 28, 2015. 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 Agc Managing Member, Llc Director, Executive, Promoter
N/A Atel Capital Group Director, Executive, Promoter
N/A Atel Management Services, Llc Director, Executive, Promoter
Dean L. Cash Director, Executive, Promoter
Paritosh K. Choksi Director, Executive, Promoter
K. Choksi Paritosh Director, Executive, Promoter

Issuer details

Industry: Other Banking and Financial Services (See others in industry)

Address:
Atel Financial Services, Llc 600 Montgomery Street, 9 Th Floor
San Francisco, CA, 94111