Form D · Other Investment Fund
Capital Alliance, LLC
San Rafael, CA · CIK 0001481639
Offering snapshot reported Feb 21, 2020 · SEC filing
- Reported sold
- $210K Offering amount: $10M
- Investors reported
- 2 Form D · investor count
- Minimum accepted
- $25K Reported outside-investor minimum
- First sale
- Dec 13, 2019 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
Scroll to see all columns →
| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Feb 21, 2020 | Initial | $210,000 | No comparison | 2 | SEC filing |
| Oct 12, 2018 | Initial | $80,000 | No comparison | 1 | SEC filing |
| Nov 1, 2016 | Initial | $25,000 | No comparison | 1 | SEC filing |
| May 15, 2014 | Amendment | $1,050,000 | $240,000vs May 13, 2013 | 18 | SEC filing |
| May 13, 2013 | Amendment | $810,000 | $720,000vs Jun 13, 2012 | 16 | SEC filing |
| Jun 13, 2012 | Amendment | $90,000 | $40,000vs Jun 13, 2011 | 3 | SEC filing |
| Jun 13, 2011 | Initial | $50,000 | No comparison | 1 | SEC filing |
| Dec 9, 2010 | Initial | $50,000 | No comparison | 1 | SEC filing |
| Feb 3, 2010 | Initial | $7,747,314 | No comparison | 79 | SEC filing |
Offering details
- Securities
- Equity
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $1M (estimated)
- Finders' fees
- $0
- Form D file number
- 021-361081
Sales compensation recipients
Scroll to see all columns →
| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Whitehall-Parker Securities | 10608 | Whitehall-Parker Securities · CRD 10608 |
Source: Form D, filed Feb 21, 2020. 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
CALLIANCE REALTY FUND, LLC
Investment adviser: CAPITAL ALLIANCE ADVISORS, INC.
- Gross asset value
- $15M
- Beneficial owners
- 100
- ADV minimum commitment
- $25K
Reported in Form ADV on Jan 4, 2017. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- No
- Administrator other than the adviser
- No
- External marketing
- No
Filing source
Form ADV 1060147 · Jan 4, 2017 · Schedule D 7.B.(1), fund 805-4816877390
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 |
|---|---|
| William W. Aubrey | Executive |
| Attn: Dennis Konczal Capital Alliance Advisors, Inc. | Director |
| Attn: Dennis Konczal Capital Alliance Advisors, Inc., A Ca Corp. | Director |
| Attn: Dennis Konczal Capital Alliance Advisors, Inc., A California Corporation | Director |
| Dennis R. Konczal | Executive, Promoter |
| J.R. Sandell | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:San Rafael, CA, 94901