Form D · Hedge Fund
Multi-Strategy Legends ASP Fund, a series of Alternative Strategies Platform, LLC
Charlotte, NC · CIK 0001569808
Offering snapshot reported Jan 26, 2018 · SEC filing
- Reported sold
- $33M Indefinite offering
- Investors reported
- 138 Form D · investor count
- Minimum accepted
- $100K Reported outside-investor minimum
- First sale
- Mar 1, 2013 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.
- Reported sold$32,802,000 → $32,962,000
- Reported investors131 → 138
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Jan 26, 2018 | Amendment | $32,962,000 | $160,000vs Jan 27, 2017 | 138 | SEC filing |
| Jan 27, 2017 | Amendment | $32,802,000 | $720,000vs Feb 23, 2016 | 131 | SEC filing |
| Feb 23, 2016 | Amendment | $32,082,000 | $5,820,000vs Feb 20, 2015 | 130 | SEC filing |
| Feb 20, 2015 | Amendment | $26,262,000 | $7,664,163vs Feb 20, 2014 | 110 | SEC filing |
| Feb 20, 2014 | Amendment | $18,597,837 | No comparison | 69 | SEC filing |
| Feb 20, 2013 | 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
- $31K (estimated)
- Finders' fees
- $0 (estimated)
- Form D file number
- 021-192139
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Wells Fargo Advisors, LLC | 19616 |
Source: Form D, filed Jan 26, 2018. 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
MULTI-STRATEGY LEGENDS ASP FUND, A SERIES OF ALTERNATIVE STRATEGIES PLATFORM, LLC
Investment adviser: WELLS FARGO INVESTMENT INSTITUTE, INC.
- Gross asset value
- $11.1M
- Beneficial owners
- 54
- 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
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 805-7213224545
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 |
| Rob Coltrin | Executive |
| Doretta Dunegan | Executive |
| Daniel J. Mavico | Executive |
| Yukari Nakano | Director, Executive |
| Sean Nicolosi | 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