Form D · Hedge Fund

Dougherty Absolute Equity Fund LLC

Minneapolis, MN · CIK 0001500480

Offering snapshot reported Oct 6, 2014 · SEC filing

Reported sold
$5.89M
Indefinite offering
Investors reported
24
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Aug 31, 2010
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$2.94M$5.89MSep 13, 2010: $1,215,000.00Sep 13, 2010Oct 26, 2010: $1,215,000.00Oct 25, 2011: $5,186,951.00Oct 22, 2012: $5,611,951.00Oct 22, 2013: $5,611,951.00Mar 12, 2014: $5,811,951.00Oct 6, 2014: $5,886,951.00Oct 6, 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.

  • Reported sold$5,811,951 → $5,886,951
  • Reported investors22 → 24

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Oct 6, 2014Amendment$5,886,951$75,000vs Mar 12, 201424SEC filing
Mar 12, 2014Amendment$5,811,951$200,000vs Oct 22, 201322SEC filing
Oct 22, 2013Amendment$5,611,951$0vs Oct 22, 201221SEC filing
Oct 22, 2012Amendment$5,611,951$425,000vs Oct 25, 201121SEC filing
Oct 25, 2011Amendment$5,186,951$3,971,951vs Oct 26, 201020SEC filing
Oct 26, 2010Amendment$1,215,000$0vs Sep 13, 20105SEC filing
Sep 13, 2010Initial$1,215,000No comparison5SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06c, 3C, 3C.1
Duration over one year
Yes
Business combination
No
Sales commissions
$25.6K
Finders' fees
$0
Form D file number
021-147627
All commissions paid by managing member

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
John Kirkeby4473959Dougherty & Company LLC · CRD 7477
Charlie Hanish707784Dougherty & Company LLC · CRD 7477
Mark Johnson1433801Dougherty & Company LLC · CRD 7477
Michael Dolan1209079Dougherty & Company LLC · CRD 7477

Source: Form D, filed Oct 6, 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

DOUGHERTY ABSOLUTE EQUITY FUND LLC

Investment adviser: COLLIERS SECURITIES LLC

Gross asset value
$3.98M
Beneficial owners
17
ADV minimum commitment
$500K

Reported in Form ADV on Jul 16, 2015. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator WOODFIELD FUND ADMINISTRATION LLC ROLLING MEADOWS, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor MCGLADREY LLP MINNEAPOLIS, Minnesota, United States
Custodian JEFFERIES LLC NEW YORK, New York, United States Related to adviser: No
Prime broker JEFFERIES LLC NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

JEFFERIES LLC
SEC 8-15074

JEFFERIES LLC
CRD 2347 · SEC 8-15074

Filing source

Form ADV 930584 · Jul 16, 2015 · Schedule D 7.B.(1), fund 805-1332950363

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
N/A N/A Dougherty & Company Llc Executive, Promoter
Vince Flynn Director
Greg Graves Director
Jeffrey D. Jacobson Director, Executive, Promoter
David Juran Director, Executive
Gerald Kraut Director, Executive
Robert L. Schnell Executive, Promoter
Mark Steen Director
Kathryn M. Zenk Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
90 South Seventh Street, Suite 4300
Minneapolis, MN, 55402