Form D · Other Investment Fund
AUSAF IV, LLC
New York, NY · CIK 0001532076
Offering snapshot reported Nov 8, 2011 · SEC filing
- Reported sold
- $2.62M Offering amount: $2.62M
- Investors reported
- 36 Form D · investor count
- Minimum accepted
- $15K Reported outside-investor minimum
- First sale
- Oct 1, 2010 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 |
|---|---|---|---|---|---|
| Nov 8, 2011 | Initial | $2,620,000 | No comparison | 36 | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 06, 3C, 3C.1
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-168363
Source: Form D, filed Nov 8, 2011. 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
AUSAF IV
Investment adviser: AURIGA CAPITAL MANAGEMENT, LLC
- Gross asset value
- $1.98M
- Beneficial owners
- 38
- ADV minimum commitment
- $50K
Reported in Form ADV on Mar 19, 2015. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
Provider details
- Annual audit
- No
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- No
- External marketing
- No
Filing source
Form ADV 894467 · Mar 19, 2015 · Schedule D 7.B.(1), fund 805-5973587468
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.
| Name | Reported role |
|---|---|
| Thomas Guba | Executive |
| John Tartaglia | Executive |
| Richard Winter | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:New York, NY, 10036