Form D · Hedge Fund

Aurora Diversified ASP Fund, a series of Alternative Strategies Platform, LLC

Charlotte, NC · CIK 0001483006

Offering snapshot reported Feb 22, 2016 · SEC filing

Reported sold: $83M
Investors reported: 332
Minimum accepted: $100K
First sale: Apr 1, 2010

Fundraising history

Reported sold

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$82,886,886 → $82,966,886
Reported investors329 → 332

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Feb 22, 2016	Amendment	$82,966,886	$80,000vs Feb 17, 2015	332	SEC filing
Feb 17, 2015	Amendment	$82,886,886	$17,846,479vs Feb 1, 2013	329	SEC filing
Jan 31, 2014	Amendment	$59,447,060	-$5,593,347vs Feb 1, 2013	222	SEC filing
Feb 1, 2013	Amendment	$65,040,407	No comparison	254	SEC filing
Feb 2, 2012	Amendment	$50,549,017	No comparison	223	SEC filing
Feb 2, 2011	Amendment	$31,751,670	No comparison	105	SEC filing
Feb 3, 2010	Initial	Yet to sell	No comparison	0	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06b, 3C, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $79.1K (estimated)
Finders' fees: $0 (estimated)
Form D file number: 021-138398

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Wells Fargo Advisors, LLC	19616

Source: Form D, filed Feb 22, 2016. Minimum accepted may differ from a standard advertised minimum.

Fund connections

The linked fund shows its most recently reported ADV details.

Matched by reported Form D file number

BLACKROCK TRANSITION ASP FUND

Investment adviser: WELLS FARGO INVESTMENT INSTITUTE, INC.

Gross asset value: $11.6M
Beneficial owners: 0
ADV minimum commitment: $100K

Reported in Form ADV on Jan 8, 2021. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator SEI GLOBAL SERVICES, INC. OAKS, Pennsylvania, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG, LLP BOSTON, Massachusetts, United States

Custodian THE BANK OF NEW YORK MELLON CORPORATION NEW YORK, New York, United States Related to adviser: No

Marketer WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC ST. LOUIS, Missouri, United States Related to adviser: Yes

Marketer WELLS FARGO CLEARING SERVICES, LLC ST. LOUIS, Missouri, United States Related to adviser: Yes

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

KPMG, LLP
PCAOB 185

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
CRD 11025 · SEC 801-57434

WELLS FARGO CLEARING SERVICES, LLC
CRD 19616 · SEC 801-37967

Filing source

Form ADV 1470994 · Jan 8, 2021 · Schedule D 7.B.(1), fund 805-6237292873

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

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
Name	Reported role
N/A Alternative Strategies Group, Inc.	Promoter
James F. Angelos	Executive
Phil Bancroft	Director, Executive
Sheelpa P. Brown	Executive
Rob Coltrin	Executive
Doretta Dunegan	Executive
Dean A. Junkans	Director
Michael H. Koonce	Executive
Anil Kumar	Executive
Lloyd Lipsett	Executive
Yukari Nakano	Director, Executive
Sean Nicolosi	Executive
Britta Perkio Patterson	Executive
Michael Roman	Executive
Adam Taback	Executive
N/A Wells Fargo Investment Institute Inc	Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

C/O Wells Fargo Investment Institute Inc 401 S. Tryon Street, Th3
Charlotte, NC, 28288-1157