Form D · Other Investment Fund

GAI Aurora Opportunities Fund, LLC

Charlotte, NC · CIK 0001508781

Offering snapshot reported Dec 23, 2014 · SEC filing

Reported sold
$134M
Indefinite offering
Investors reported
556
Form D · investor count
Minimum accepted
$50K
Reported outside-investor minimum
First sale
Jan 1, 2011
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$66.8M$134MJan 7, 2011: $25,001,000.00Jan 7, 2011Jan 11, 2012: $56,534,000.00Jan 11, 2012Jan 11, 2013: $70,734,978.00Jan 11, 2013Jan 10, 2014: $75,270,131.00Jan 10, 2014Dec 23, 2014: $133,595,551.00Dec 23, 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$75,270,131 → $133,595,551
  • Reported investors394 → 556

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Dec 23, 2014Amendment$133,595,551$58,325,420vs Jan 10, 2014556SEC filing
Jan 10, 2014Amendment$75,270,131$4,535,153vs Jan 11, 2013394SEC filing
Jan 11, 2013Amendment$70,734,978$45,733,978vs Jan 7, 2011255SEC filing
Jan 11, 2012Amendment$56,534,000$31,533,000vs Jan 7, 2011212SEC filing
Jan 7, 2011Initial$25,001,000No comparison2SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b
Duration over one year
Yes
Business combination
No
Sales commissions
$73.2K (estimated)
Finders' fees
$0 (estimated)
Form D file number
021-153275

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Wells Fargo Advisors, LLC19616

Source: Form D, filed Dec 23, 2014. Minimum accepted may differ from a standard advertised minimum.

Fund connections

No confirmed ADV fund connection is available for this issuer.

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 Alternative Strategies Group, Inc. Promoter
James F. Angelos Executive
Sheelpa P. Brown Executive
James Dean Director
Doretta Dunegan Executive
James Dunn Director
Stephen I. Golding Director
James Hille Director
Jonathan Hook Director
Lloyd Lipsett Executive
Yukari Nakano Director, Executive
Sean Nicolosi Director, Executive
Ankit Patel Executive
Britta Perkio Patterson Director, Executive
Michael Roman Executive
Dennis Schmal Director
Adam I. Taback Director, Executive
N/A Wells Fargo Investment Institute, Inc. Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
C/O Wells Fargo Investment Institute Inc 401 S. Tryon Street
Charlotte, NC, 28202