Form D · Investing

Brookline Pope Asset Fund I, LLC

Birmingham, AL · CIK 0001440543

Offering snapshot reported Feb 19, 2014 · SEC filing

Reported sold
$10.6M
Indefinite offering
Investors reported
39
Form D · investor count
Minimum accepted
$1
Reported outside-investor minimum
First sale
Jun 30, 2008
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$5.28M$10.6MJul 16, 2008Nov 24, 2009: $9,725,000.00Nov 24, 2009Feb 11, 2011: $10,555,000.00Feb 11, 2011Feb 19, 2014: $10,555,000.00Feb 19, 2014

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.

  • Minimum accepted$25,000 → $1

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Feb 19, 2014Amendment$10,555,000$0vs Feb 11, 201139SEC filing
Feb 11, 2011Amendment$10,555,000$830,000vs Nov 24, 200939SEC filing
Feb 3, 2011InitialYet to sellNo comparison0SEC filing
Nov 24, 2009Amendment$9,725,000No comparison34SEC filing
Jul 16, 2008PaperNot reportedNo comparisonNot reportedSEC filing

Offering details

Securities
Equity
Exemptions
06b
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-120560

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
N/ANone

Source: Form D, filed Feb 19, 2014. 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

BROOKLINE POPE ASSET FUND I, LLC

Investment adviser: BROOKLINE INVESTMENTS, INC.

Gross asset value
$0
Beneficial owners
16
ADV minimum commitment
$25K

Reported in Form ADV on Dec 3, 2018. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Auditor DIPIAZZA LAROCCA HEETER & CO., LLC MOUNTAIN BROOK, Alabama, United States
Custodian SERVISFIRST BANK BIRMINGHAM, Alabama, United States Related to adviser: No
Custodian U.S. BANCORP INVESTMENTS, INC. ST. PAUL, Minnesota, United States Related to adviser: No
Marketer BROOKLINE GROUP, LLC BIRMINGHAM, Alabama, United States Related to adviser: Yes
Prime broker U.S. BANCORP INVESTMENTS, INC. ST. PAUL, Minnesota, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
No
External marketing
Yes

DIPIAZZA LAROCCA HEETER & CO., LLC
PCAOB 5903

U.S. BANCORP INVESTMENTS, INC.
SEC 8-35359

BROOKLINE GROUP, LLC
CRD 153587 · SEC 8-68555

U.S. BANCORP INVESTMENTS, INC.
CRD 17868 · SEC 8-35359

Filing source

Form ADV 1255596 · Dec 3, 2018 · Schedule D 7.B.(1), fund 805-1521841654

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
NameReported role
Hollis N. Gieger Executive
Madding King Iii Executive
J. Rainer Twiford Executive

Issuer details

Industry: Investing (See others in industry)

Address:
2501 Twentieth Place South Suite 275
Birmingham, AL, 35223