Form D · Hedge Fund

Graham Alternative Investment II ASP Fund, a series of Alternative Strategies Managed Futures & Commodities Platform, LLC

Charlotte, NC · CIK 0001367598

Offering snapshot reported Apr 10, 2017 · SEC filing

Reported sold
$92.8M
Indefinite offering
Investors reported
271
Form D · investor count
Minimum accepted
$100K
Reported outside-investor minimum
First sale
Aug 1, 2006
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$46.4M$92.8MAug 11, 2009: $29,252,717.00Aug 11, 2009Apr 14, 2010: $38,716,364.00Apr 15, 2011: $58,406,051.00Apr 11, 2012: $49,701,267.00Apr 11, 2013: $42,770,170.00Apr 11, 2014: $30,485,423.00Apr 6, 2015: $91,836,638.00Apr 18, 2016: $92,740,138.00Apr 10, 2017: $92,840,138.00Apr 10, 2017

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$92,740,138 → $92,840,138
  • Reported investors270 → 271

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Apr 10, 2017Amendment$92,840,138$100,000vs Apr 18, 2016271SEC filing
Apr 18, 2016Amendment$92,740,138$903,500vs Apr 6, 2015270SEC filing
Apr 6, 2015Amendment$91,836,638$61,351,215vs Apr 11, 2014270SEC filing
Apr 11, 2014Amendment$30,485,423-$12,284,747vs Apr 11, 201392SEC filing
Apr 11, 2013Amendment$42,770,170-$6,931,097vs Apr 11, 2012112SEC filing
Apr 11, 2012Amendment$49,701,267No comparison170SEC filing
Apr 15, 2011Amendment$58,406,051No comparison170SEC filing
Apr 14, 2010Amendment$38,716,364No comparison144SEC filing
Aug 11, 2009Amendment$29,252,717No comparison120SEC filing
Jun 26, 2006PaperNot reportedNo comparisonNot reportedSEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$125K (estimated)
Finders' fees
$0 (estimated)
Form D file number
021-91428

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Wells Fargo Advisors, LLC19616

Source: Form D, filed Apr 10, 2017. 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

GRAHAM ALTERNATIVE INVESTMENT II ASP FUND, A SERIES OF ALTERNATIVE STRATEGIES MANAGED FUTURES & COMMODITIES PLATFORM, LLC

Investment adviser: WELLS FARGO INVESTMENT INSTITUTE, INC.

Gross asset value
$8.88M
Beneficial owners
33
ADV minimum commitment
$100K

Reported in Form ADV on Jan 31, 2019. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator SEI GLOBAL SERVICES, INC. OAKS, Pennsylvania, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG, LLP BOSTON, Massachusetts, United States
Custodian THE BANK OF NEW YORK MELLON CORPORATION NEW YORK, New York, United States Related to adviser: No
Marketer GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC. CHARLOTTE, North Carolina, United States Related to adviser: Yes
Marketer WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC ST LOUIS, Missouri, United States Related to adviser: Yes
Marketer WELLS FARGO CLEARING SERVICES, LLC ST LOUIS, Missouri, United States Related to adviser: Yes
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

KPMG, LLP
PCAOB 185

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
CRD 487 · SEC 8-395

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
CRD 11025 · SEC 801-57434

WELLS FARGO CLEARING SERVICES, LLC
CRD 19616 · SEC 801-37967

Filing source

Form ADV 1268738 · Jan 31, 2019 · Schedule D 7.B.(1), fund 805-3919711047

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 Alternative Strategies Group, Inc. Promoter
James F. Angelos Executive
Phil Bancroft Executive
Sheelpa P. Brown Executive
Lu Chang Executive
Rob Coltrin Executive
Barbara Curry Executive
Jerry De Berry Executive
Doretta Dunegan Executive
Dean A. Junkans Director
Michael H. Koonce Executive
Anil Kumar Executive
Lloyd Lipsett Executive
Aprille M. Mitchell Executive
Matthew C. Moss Executive
W. Douglas Munn Director
Yukari Nakano Executive
Sean Nicolosi Executive
Kevin Ouellette Executive
Britta Perkio Patterson Executive
Michael Roman Executive
Nicolosi Sean Executive
Elizabeth Stallings Executive
James W. Sweetman Executive
Adam Taback Executive
Brian Veverka Executive
N/A Wells Fargo Investment Institute Inc Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
401 S. Tryon St
Charlotte, NC, 28288