Form D · Other Investment Fund

Smith & Associates Financial Fund, LLC

Holland, MI · CIK 0000943562

Offering snapshot reported Oct 24, 2016 · SEC filing

Reported sold
$12K
Indefinite offering
Investors reported
1
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Jun 15, 2016
As reported in this filing

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Oct 24, 2016Initial$12,000No comparison1SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06c, 3C, 3C.1, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-273122

Source: Form D, filed Oct 24, 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

SMITH & ASSOCIATES FINANCIAL FUND, LLC

Investment adviser: ALLIANCE INVESTMENT MANAGEMENT, LLC

Gross asset value
$4.15M
Beneficial owners
10
ADV minimum commitment
$100K

Reported in Form ADV on Mar 30, 2026. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Auditor PLANTE & MORAN, PLLC CHICAGO, Illinois, United States
Custodian WINTRUST FINANCIAL GROUP HOLLAND, Michigan, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

PLANTE & MORAN, PLLC
PCAOB 166

Filing source

Form ADV 2071023 · Mar 30, 2026 · Schedule D 7.B.(1), fund 805-8830503908

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
Benjamin A. Smith Iii Director, Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
106 E. 8 Th Street
Holland, MI, 49423