Form D · Hedge Fund

MESIROW INSTITUTIONAL MULTI-STRATEGY ASP FUND, A SERIES OF ALTERNATIVE STRATEGIES PLATFORM, LLC

Charlotte, NC · CIK 0001355381

Offering snapshot reported Apr 18, 2016 · SEC filing

Reported sold: $37.9M
Investors reported: 79
Minimum accepted: $100K
First sale: Sep 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.

Reported sold$32,947,316 → $37,915,316

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Apr 18, 2016	Amendment	$37,915,316	$4,968,000vs Apr 9, 2015	79	SEC filing
Apr 9, 2015	Amendment	$32,947,316	$8,575,743vs Apr 11, 2014	79	SEC filing
Apr 11, 2014	Amendment	$24,371,573	$2,109,806vs Apr 11, 2013	48	SEC filing
Apr 11, 2013	Amendment	$22,261,767	-$8,342,715vs Apr 11, 2012	49	SEC filing
Apr 11, 2012	Amendment	$30,604,482	No comparison	71	SEC filing
Apr 14, 2011	Amendment	$26,436,613	No comparison	72	SEC filing
Apr 9, 2010	Amendment	$16,839,291	No comparison	66	SEC filing
Aug 10, 2009	Amendment	$18,485,786	No comparison	56	SEC filing
Feb 24, 2006	Paper	Not reported	No comparison	Not reported	SEC filing

Offering details

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

Sales commissions: $17.2K (estimated)
Finders' fees: $0 (estimated)
Form D file number: 021-86920

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
WELLS FARGO ADVISORS, LLC	19616

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 INSTITUTIONAL MULTI-STRATEGY ASP FUND, A SERIES OF ALTERNATIVE STRATEGIES PLATFORM, LLC

Investment adviser: WELLS FARGO INVESTMENT INSTITUTE, INC.

Gross asset value: $19.6M
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 805-8210602363

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
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
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 Th3
Charlotte, NC, 28202