Form D · Hedge Fund

MESIROW ALTERNATIVE STRATEGIES ASP FUND, A SERIES OF ALTERNATIVE STRATEGIES PLATFORM, LLC

Charlotte, NC · CIK 0001355380

Offering snapshot reported Apr 18, 2016 · SEC filing

Reported sold
$58.2M
Indefinite offering
Investors reported
187
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$29.1M$58.2MFeb 24, 2006Aug 10, 2009: $14,823,200.00Apr 9, 2010: $18,572,200.00Apr 14, 2011: $34,266,319.00Apr 11, 2012: $38,036,944.00Apr 11, 2013: $30,485,660.00Apr 11, 2014: $28,303,235.00Apr 9, 2015: $52,122,183.00Apr 18, 2016: $58,222,183.00Apr 18, 2016

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$52,122,183 → $58,222,183

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Apr 18, 2016Amendment$58,222,183$6,100,000vs Apr 9, 2015187SEC filing
Apr 9, 2015Amendment$52,122,183$23,818,948vs Apr 11, 2014187SEC filing
Apr 11, 2014Amendment$28,303,235-$2,182,425vs Apr 11, 201396SEC filing
Apr 11, 2013Amendment$30,485,660-$7,551,284vs Apr 11, 2012109SEC filing
Apr 11, 2012Amendment$38,036,944No comparison158SEC filing
Apr 14, 2011Amendment$34,266,319No comparison164SEC filing
Apr 9, 2010Amendment$18,572,200No comparison138SEC filing
Aug 10, 2009Amendment$14,823,200No comparison117SEC filing
Feb 24, 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
$44.7K (estimated)
Finders' fees
$0 (estimated)
Form D file number
021-86921

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
WELLS FARGO ADVISORS, LLC19616

Source: Form D, filed Apr 18, 2016. 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

MESIROW ALTERNATIVE STRATEGIES ASP FUND, A SERIES OF ALTERNATIVE STRATEGIES PLATFORM, LLC

Investment adviser: WELLS FARGO INVESTMENT INSTITUTE, INC.

Gross asset value
$19.2M
Beneficial owners
0
ADV minimum commitment
$100K

Reported in Form ADV on Oct 31, 2016. 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
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No
Filing source

Form ADV 1045659 · Oct 31, 2016 · Schedule D 7.B.(1), fund 805-6506429124

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
N/A C/O Wells Fargo Investment Institute Inc Promoter
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 Director, Executive
Sean Nicolosi Executive
Kevin Ouellette Executive
Britta Perkio Patterson Executive
Michael Roman Executive
Elizabeth Stallings Executive
James W. Sweetman Executive
Adam Taback Executive
Brian Veverka Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
401 S Tryon St Th3
Charlotte, NC, 28202