Form D · Other Banking and Financial Services

SoFi Fund for the Duke University Community, LLC

San Francisco, CA · CIK 0001563263

Offering snapshot reported Dec 6, 2012 · SEC filing

Reported sold: $2.08M
Investors reported: 2
Minimum accepted: $1
First sale: Nov 23, 2012

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
Dec 6, 2012	Initial	$2,075,000	No comparison	2	SEC filing

Offering details

Securities: Equity, Pooled investment fund
Exemptions: 06, 3C, 3C.5
Duration over one year: Yes
Business combination: No

Sales commissions: $50K (estimated)
Finders' fees: $0
Form D file number: 021-187941

Amount reflects sales compensation paid or expected to be paid for the sale of securities over the following 12 month period.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
N/A	None	SoFi Securities LLC · CRD 151717

Source: Form D, filed Dec 6, 2012. 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

SOFI FUND FOR THE DUKE UNIVERSITY COMMUNITY

Investment adviser: SOFI CAPITAL ADVISORS LLC

Gross asset value: $500K
Beneficial owners: 2
ADV minimum commitment: $100K

Reported in Form ADV on Nov 22, 2013. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator ARCHWAY TECHNOLOGY PARTNERS INC. INDIANAPLOIS, Indiana, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor OUM & COMPANY LLP SAN FRANCISCO, California, United States

Custodian FIRST REPUBLIC BANK SAN FRANCISCO, California, 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 768239 · Nov 22, 2013 · Schedule D 7.B.(1), fund 805-6597048734

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
Michael Cagney	Executive
Saturnino Fanlo	Executive
James Finnigan	Executive
Robert Lavet	Executive
N/A So Fi Capital Advisors, Llc	Promoter

Issuer details

Industry: Other Banking and Financial Services (See others in industry)

Address:

1 Letterman Drive, Building C Main Floor, Suite 250
San Francisco, CA, 94129