Form D · Hedge Fund
Graham Global Discretionary ASP Fund, a series of Alternative Strategies Managed Futures & Commodities Platform, LLC
Charlotte, NC · CIK 0001521634
Offering snapshot reported Apr 6, 2017 · SEC filing
- Reported sold
- $48.1M Indefinite offering
- Investors reported
- 223 Form D · investor count
- Minimum accepted
- $100K Reported outside-investor minimum
- First sale
- Jul 1, 2012 As reported in this filing
Fundraising history
Reported soldDates 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.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Apr 6, 2017 | Amendment | $48,139,425 | $0vs May 12, 2015 | 223 | SEC filing |
| May 12, 2015 | Amendment | $48,139,425 | $34,049,873vs May 27, 2014 | 223 | SEC filing |
| May 27, 2014 | Amendment | $14,089,552 | $2,911,548vs May 23, 2013 | 2 | SEC filing |
| May 23, 2013 | Amendment | $11,178,004 | $795,533vs May 25, 2012 | 2 | SEC filing |
| May 25, 2012 | Amendment | $10,382,471 | No comparison | 2 | SEC filing |
| May 27, 2011 | Initial | Yet to sell | No comparison | 0 | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 06b, 3C, 3C.7
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $76.2K (estimated)
- Finders' fees
- $0 (estimated)
- Form D file number
- 021-160500
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Wells Fargo Advisors, LLC | 19616 |
Source: Form D, filed Apr 6, 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 GLOBAL DISCRETIONARY ASP FUND, A SERIES OF ALTERNATIVE STRATEGIES MANAGED FUTURES & COMMODITIES PLATFORM, LLC
Investment adviser: WELLS FARGO INVESTMENT INSTITUTE, INC.
- Gross asset value
- $8.93M
- Beneficial owners
- 2
- ADV minimum commitment
- $100K
Reported in Form ADV on Dec 15, 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
- 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 1158053 · Dec 15, 2017 · Schedule D 7.B.(1), fund 805-6813010901
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 |
|---|---|
| N/A Alternative Strategies Group, Inc. | Promoter |
| James F. Angelos | Executive |
| Sheepla P. Brown | Executive |
| Rob Coltrin | Executive |
| Doretta Dunegan | Executive |
| Dean A. Junkans | Director |
| Michael H. Koonce | Executive |
| Anil Kumar | Executive |
| Lloyd Lipsett | Executive |
| Yukari Nakano | Director, Executive |
| Sean Nicolosi | Executive |
| Brita Perkio Patterson | Director, Executive |
| Britta Perkio Patterson | Executive |
| Michael Roman | Executive |
| Adam Taback | Executive |
| N/A Wells Fargo Investment Institute Inc | Promoter |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Charlotte, NC, 28202