Form D · Other Investment Fund
ATTAIN SHORT TERM ALPHA FUND, LLC
Chicago, IL · CIK 0001120177
Offering snapshot reported Jul 28, 2016 · SEC filing
- Reported sold
- $38.7M Indefinite offering
- Investors reported
- 186 Form D · investor count
- Minimum accepted
- $50K Reported outside-investor minimum
- First sale
- Aug 1, 2000 As reported in this filing
Fundraising history
Reported soldDates 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$38,549,811 → $38,664,811
- Reported investors183 → 186
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Jul 28, 2016 | Amendment | $38,664,811 | $115,000vs Jul 27, 2015 | 186 | SEC filing |
| Jul 27, 2015 | Amendment | $38,549,811 | $103,539vs May 8, 2014 | 183 | SEC filing |
| May 8, 2014 | Amendment | $38,446,272 | $0vs Apr 16, 2013 | 177 | SEC filing |
| Apr 16, 2013 | Amendment | $38,446,272 | $22,579,612vs Jun 25, 2012 | 177 | SEC filing |
| Jun 25, 2012 | Initial | $15,866,660 | No comparison | 97 | SEC filing |
| Apr 19, 2011 | Amendment | $15,866,660 | $746,660vs Mar 17, 2010 | 97 | SEC filing |
| Mar 17, 2010 | Initial | $15,120,000 | No comparison | 97 | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 06c
- Duration over one year
- Yes
- Business combination
- Yes
- Sales commissions
- $532K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-180220
Fund pays a trail of 3/4 of 4% management fee.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Capital Management Partners Inc. | 21973 | Capital Management Partners Inc. · CRD 21973 |
Source: Form D, filed Jul 28, 2016. 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 |
|---|---|
| Robert Friedl | Executive |
| Walter J. Gallwas | Executive |
| Eco Capital Management Llc | Executive |
| Jeffrey D. Malec | Executive |
| Attain Portfolio Advisors, Llc | Executive |
| Frank Pusateri | Executive |
| Charles Wright | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Chicago, IL, 60605