Form D · Other Investment Fund

Battery Alternative Income Fund, LLC

Boston, MA · CIK 0001463349

Offering snapshot reported Mar 15, 2019 · SEC filing

Reported sold: $416M
Investors reported: 153
Minimum accepted: $0
First sale: May 1, 2009

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$398,330,538 → $415,736,094
Reported investors150 → 153

Filing history

Scroll to see all columns →

Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Mar 15, 2019	Amendment	$415,736,094	$17,405,556vs Mar 16, 2018	153	SEC filing
Mar 16, 2018	Amendment	$398,330,538	$39,296,470vs Mar 20, 2017	150	SEC filing
Mar 20, 2017	Amendment	$359,034,068	$43,290,331vs Mar 22, 2016	134	SEC filing
Mar 22, 2016	Amendment	$315,743,737	$19,610,055vs Mar 27, 2015	129	SEC filing
Mar 27, 2015	Amendment	$296,133,682	$45,311,469vs Apr 2, 2014	125	SEC filing
Apr 2, 2014	Amendment	$250,822,213	$16,712,311vs Apr 8, 2013	110	SEC filing
Apr 8, 2013	Amendment	$234,109,902	$103,731,441vs Apr 9, 2012	90	SEC filing
Apr 9, 2012	Amendment	$130,378,461	$52,723,268vs Apr 18, 2011	57	SEC filing
Apr 18, 2011	Amendment	$77,655,193	$26,486,303vs Apr 30, 2010	46	SEC filing
Apr 30, 2010	Amendment	$51,168,890	$32,268,890vs May 5, 2009	22	SEC filing
May 5, 2009	Initial	$18,900,000	No comparison	Not reported	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06b, 3C, 3C.1
Duration over one year: Yes
Business combination: No

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-130685

Ongoing offering, no cap, therefore "indefinite" amount. "Total Amount Sold" is initial amounts contributed & does not reflect redemptions or performance. "Total Amount Sold" excludes contributions by Battery Alternative Income Fund Ltd. (CIK 0001637016).

Source: Form D, filed Mar 15, 2019. 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

BATTERY ALTERNATIVE INCOME FUND LLC

Investment adviser: BATTERY GLOBAL ADVISORS, LLC

Gross asset value: $900K
Beneficial owners: 48
ADV minimum commitment: $0

Reported in Form ADV on Nov 4, 2021. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator NAV CONSULTING, INC. OAKBROOK TERRACE, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG, LLP BOSTON, Massachusetts, United States

Custodian FIRST REPUBLIC BANK NEW YORK, New York, United States Related to adviser: No

Custodian NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States Related to adviser: No

Prime broker FIDELITY BROKERAGE SERVICES LLC BOSTON, Massachusetts, United States

Provider details

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

KPMG, LLP
PCAOB 185

NATIONAL FINANCIAL SERVICES LLC
SEC 8-26740

FIDELITY BROKERAGE SERVICES LLC
CRD 7784 · SEC 8-23292

Filing source

Form ADV 1575740 · Nov 4, 2021 · Schedule D 7.B.(1), fund 805-6339246816

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 Battery Global Advisors, Llc	Executive
Richard Frisbie	Director
Christopher Hanson	Executive
John O'connor	Director, Executive
Bullen Philip	Director
Christopher Schiavo	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

1 Marina Park Dr Suite 1150
Boston, MA, 02210