Form D · Hedge Fund

SecondMarket Spotflux Fund, LLC

New York, NY · CIK 0001569478

Offering snapshot reported Apr 8, 2013 · SEC filing

Reported sold: $103K
Investors reported: 17
Minimum accepted: $1K
First sale: Apr 5, 2013

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 8, 2013	Initial	$102,503	No comparison	17	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06, 3C, 3C.1
Duration over one year: No
Business combination: No

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-194659

Source: Form D, filed Apr 8, 2013. 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

AL-SPOTFLUX-FUND, LLC

Investment adviser: PLATFORM ADVISOR, LLC

Gross asset value: $9.94K
Beneficial owners: 18
ADV minimum commitment: $1K

Reported in Form ADV on Jan 15, 2020. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator ASSURE SM MANAGEMENT, LLC SALT LAKE CITY, Utah, United States Investor statements: No (provided to no investors) Related to adviser: No

Custodian CARTA SECURITIES, LLC SAN FRANCISCO, California, United States Related to adviser: No

Marketer AL BRAND, INC. SAN FRANCISCO, California, United States Related to adviser: Yes

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

CARTA SECURITIES, LLC
SEC 8-69701

Filing source

Form ADV 1369215 · Jan 15, 2020 · Schedule D 7.B.(1), fund 805-1149939506

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
William Siegel	Executive
Jeremy Smith	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

636 Avenue Of The Americas 6 Th Floor
New York, NY, 10011