Form D · Other Banking and Financial Services

ATEL Growth Capital Fund V, LLC

San Francisco, CA · CIK 0001451768

Offering snapshot reported Aug 18, 2010 · SEC filing

Reported sold
$17.1M
Offering amount: $35M
Investors reported
207
Form D · investor count
Minimum accepted
$50K
Reported outside-investor minimum
First sale
Feb 9, 2009
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$9.15M$18.3MJan 28, 2009Aug 6, 2009: $7,775,000.00Aug 6, 2009Jan 21, 2010: $18,292,880.00Jan 21, 2010May 3, 2010: $14,600,000.00May 3, 2010Aug 18, 2010: $17,085,000.00Aug 18, 2010

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

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Aug 18, 2010Amendment$17,085,000No comparison207SEC filing
May 3, 2010Amendment$14,600,000No comparison188SEC filing
Jan 21, 2010Amendment$18,292,880No comparison164SEC filing
Aug 6, 2009Amendment$7,775,000No comparison102SEC filing
May 13, 2009Amendment$4,425,000No comparisonNot reportedSEC filing
Jan 28, 2009InitialYet to sellNo comparisonNot reportedSEC filing

Offering details

Securities
Equity
Exemptions
06
Duration over one year
Yes
Business combination
No
Sales commissions
$2.8M (estimated)
Finders' fees
$0
Form D file number
021-126388

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
ATEL Securities Corporation17229ATEL Securities Corporation · CRD 17229
Hillel Katzeff1657455Pacific West Securities, Inc. · CRD 6390
Stuart M. McDowell1844587Cambridge Investment Research, Inc. · CRD 39543
NFP Securities, Inc.42046NFP Securities, Inc. · CRD 42046
Triad Advisors, Inc.25803Triad Advisors, Inc. · CRD 25803
Robert I. Kully3212528Crown Capital Securities, L.P. · CRD 6312
Robert Cannon2765289Pacific West Securities, Inc. · CRD 6390
Jon W. Anderson5048230American Independent Securities Group, LLC · CRD 135288
Lawrence A. Olson2084501Primesolutions Securities, Inc. · CRD 46017
Tyler L. Olson4956662Primesolutions Securities, Inc. · CRD 46017
Owen J. Fisher3132848Arete Wealth Management, LLC · CRD 44856
Stanley A. Shaw420641Independent Financial Group, LLC · CRD 7717
Joseph C. Roubik2443120Capital Financial Services, Inc. · CRD 8408
Trevor A. Lastoka4315982Berthel, FIsher and Company Financial Services, Inc. · CRD 13609
David C. Singer1470118Berthel, Fisher and Company Financial Services, Inc. · CRD 13609
Securities America, Inc.10205Securities America, Inc. · CRD 10205
Neil E. Vonfeldt2451760MHA Financial Corp. · CRD 7462
Saverio M. Martiradonna1986361Newbridge Securities Corporation · CRD 104065
Craig E. Williams4444520Geneos Wealth Management, Inc. · CRD 120894
Gene L. Fahlsing1285592Capital Financial Services, Inc. · CRD 8408
Jeffrey S. Morrison3200399Lifemark Securities Corp. · CRD 16204
Kala L. Duncan2206046American Independent Securities Group, LLC · CRD 135288
Stephanie A. Hrycyk1882780Gramercy Securities, Inc. · CRD 8177
Donald W. Fairman4196215Sigma Financial Corporation · CRD 14303
Ryan P. Halliday4033864Arete Wealth Management, LLC · CRD 44856
Next Financial Group, Inc.46214Next Financial Group, Inc. · CRD 46214
Charles W. Snyder4577293Sigma Financial Corporation · CRD 14303
Anthony Kubien4356088Sigma Financial Corporation · CRD 14303
Richard J. Shakter2124985Equity Services, Inc. · CRD 265
Ronald G. Saffer408933Geneos Wealth Management, Inc. · CRD 120894
Dilip C. Shah4565670Cambridge Legacy Securities LLC · CRD 103722
Daniel A. Barnard2403593Berthel, Fisher and Company Financial Services, Inc. · CRD 13609
Robert A. McKoy720261Global Brokerage Services, Inc. · CRD 37505
Centaurus Financial, Inc.30833Centaurus Financial, Inc. · CRD 30833
Noel R. Vincent1370987Madison Avenue Securities, Inc. · CRD 23224
Harry T. Couch4073942WFG Investments, Inc. · CRD 22704
Lawrence E. Adamo1344178Geneos Wealth Management, Inc. · CRD 120894
Adam C. Fisher5231886Arete Wealth Management, LLC · CRD 44856
Gary D. Lannen4210328American Portfolio Financial Services, Inc. · CRD 18487
Anthony P. Marino4251811Sammons Securities Company, LLC · CRD 115368
Dimitry Tikhonov5451809Madison Avenue Securities, Inc. · CRD 23224
Robert D'Agosta1903105Berthel, FIsher and Company Financial Services, Inc. · CRD 13609
Douglas R. Filipovits4603657Berthel, Fisher and Company Financial Services, Inc. · CRD 13609
Robert M. Hinz, Jr.1026405VSR Financial Services, Inc. · CRD 14503

Source: Form D, filed Aug 18, 2010. 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
Na Atel Capital Group Promoter
Na Atel Growth Capital Partners 4, 5 & 6, Llc Director, Executive, Promoter
Na Atel Growth Capital Partners 4, 5 And 6, Llc Director, Executive, Promoter
Dean L. Cash Director, Executive, Promoter
Paritosh K. Choksi Director, Executive, Promoter

Issuer details

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

Address:
Atel Financial Services, Llc 600 California Street, 6 Th Floor
San Francisco, CA, 94108