Form D · Hedge Fund

K2 LONG SHORT ASP FUND, A SERIES OF ALTERNATIVE STRATEGIES PLATFORM, LLC

Charlotte, NC · CIK 0001356021

Offering snapshot reported Apr 13, 2011 · SEC filing

Reported sold: $15.8M
Investors reported: 71
Minimum accepted: $100K
First sale: May 1, 2006

Fundraising history

Reported sold

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.

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 13, 2011	Amendment	$15,798,155	No comparison	71	SEC filing
Apr 8, 2010	Amendment	$14,157,000	No comparison	67	SEC filing
Aug 7, 2009	Amendment	$12,923,500	No comparison	53	SEC filing
Feb 24, 2006	Paper	Not reported	No comparison	Not reported	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06, 3C, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $1.5M (estimated)
Finders' fees: $0 (estimated)
Form D file number: 021-87106

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
N/A	None	Wells Fargo Advisors, LLC · CRD 19616

Source: Form D, filed Apr 13, 2011. 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

K2 LONG SHORT ASP FUND, A SERIES OF ALTERNATIVE STRATEGIES PLATFORM, LLC

Investment adviser: WELLS FARGO INVESTMENT INSTITUTE, INC.

Gross asset value: $14.1M
Beneficial owners: 49
ADV minimum commitment: $100K

Reported in Form ADV on Oct 3, 2012. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator SS&C TECHNOLOGIES, INC. WINDSOR, Connecticut, 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 NEW YORK, New York, United States Related to adviser: No

Marketer ALTERNATIVE STRATEGIES BROKERAGE SERVICES, INC. CHARLOTTE, North Carolina, 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

ALTERNATIVE STRATEGIES BROKERAGE SERVICES, INC.
CRD 487 · SEC 8-395

Filing source

Form ADV 651236 · Oct 3, 2012 · Schedule D 7.B.(1), fund 805-1529951342

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
Name	Reported role
N/A Alternative Strategies Group, Inc.	Promoter
Phil Bancroft	Executive
Sheelpa P. Brown	Executive
Lu Chang	Executive
Rob Coltrin	Executive
Barbara Curry	Executive
Jerry De Berry	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	Director, Executive
Michael Roman	Executive
Elizabeth Stallings	Executive
James W. Sweetman	Executive
Adam I. Taback	Director, Executive
Brian Veverka	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

C/O Alternative Strategies Group, Inc. 401 S. Tryon Street, Th3
Charlotte, NC, 28288-1157