# ADVANCED EQUITIES, INC.

ADVANCED EQUITIES, INC. of CHICAGO, IL is an SEC-registered investment adviser.

## Registration

- CRD: 35545
- Type: SEC-registered investment adviser
- SEC file number: 801-67983
- Location: 311 SOUTH WACKER, SUITE 1650, CHICAGO, IL, 60606
- Phone: 312-377-5300
- Latest filing: 2012-10-18
- Regulatory AUM: $867.9M
- Discretionary AUM: $867.9M
- Clients: 51
- Accounts: 209

## Officers, owners & control persons (25)

| Name | Role | Location |
| --- | --- | --- |
| FISHER SCOTT | MUNICIPAL SECURITIES PRINCIPAL; PRESIDENT | — |
| BERLIN JORDAN STUART | BRANCH MANAGER - NY | — |
| BADGER DWIGHT OLIVER | CEO OF AEFC; CEO OF AEFC AND SOLE BOARD MEMBER AEI; OWNER | — |
| DAUBENSPECK KEITH GREGORY | CHAIRMAN AEFC; OWNER | — |
| REYNOLDS MATTHEW MARK | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER- BROKER DEALER/CHIEF OPERATIONS OFFICER; CHIEF COMPLIANCE OFFICER/CHIEF OPERATIONS OFFICER (+3 more) | — |
| BAHULEYAN SAJU | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISOR DIVISION; CHIEF OF COMPLIANCE - REGISTERED INVESTMENT ADVISOR DIVISION; FINOP | — |
| LYNCH THOMAS PATRICK | BRANCH MANAGER | — |
| KOZAK JAMES PATRICK | MUNICIPAL SECURITIES PRINCIPAL; SALES MANAGER - CHICAGO | — |
| COLOMBO DOUGLAS | CHIEF COMPLIANCE OFFICER- BROKER DEALER; FINOP | — |
| MILBURN ROBERT MAURICE | FINOP | — |
| CROWE BYRON KEITH | CHIEF OPERATING OFFICER; PRESIDENT; PRESIDENT AND GENERAL SECURITIES PRINCIPAL | — |
| BECK KEITH ENRIQUE | ASSISTANT CHIEF COMPLIANCE OFFICER; ASSISTANT CHIEF COMPLIANCE OFFICER- BROKER DEALER; ASST. CHIEF OF COMPLIANCE - REGISTERED INVESTMENT ADVISOR DIVISION (+4 more) | — |
| HAUPIN KIMBERLY VICTORIA RIAN | AML OFFICER; ASSISTANT COMPLIANCE OFFICER; BRANCH MANAGER CHICAGO OFFICE (+2 more) | — |
| AULTMANBAZINET DANA LOUISE | COMPLIANCE ADMIN. MANAGER SAN FRANCISCO | — |
| FALLONE GORDON ELLIOT | BRANCH MANAGER-SF | — |
| BENDER BRIAN | MUNICIPAL SECURITIES PRINCIPAL; ROSFP; SROP | — |
| SCHOSSOW TODD LEE | SR. COMPLIANCE OFFICER | — |
| CHRISTAKOS BASIL | COMPLIANCE AND ADMINISTRATIVE MANAGER - NEW YORK; COMPLIANCE AND BRANCH MANAGER - NEW YORK; COMPLIANCE MANAGER - NEW YORK (+1 more) | — |
| PEDERSEN ROBERT FREDERICK | SAN FRANCISCO BRANCH MANAGER | — |
| ROGERS DAVID SHAWN | CHIEF OPERATING OFFICER; NATIONAL SALES DIRECTOR | — |
| PASCAL GERALD PALMER | AML COMPLIANCE OFFICER; BRANCH MANAGER - SAN FRANCISCO; COMPLIANCE AND BRANCH MANAGER- SAN FRANCISCO (+1 more) | — |
| CROCKETT RICHARD HUNT | MANAGING DIRECTOR  NEW YORK OFFICE; SROP | — |
| GARTNER MATTHEW S | COMPLIANCE MANAGER - CHICAGO | — |
| DOCKENDORF MICHAEL EDWARD | PRESIDENT | — |
| MECHAM LEONIDAS CARTER | CHIEF FINANCIAL OFFICER | — |


## Private funds (132)

_Showing 15 of 132 funds by gross asset value._

| Fund | Type | Formed | Owners | GAV | Min investment |
| --- | --- | --- | --- | --- | --- |
| ADVANCED EQUITIES GREENTECH INVESTMENTS IV, LLC | Private Equity Fund | — | 488 | $70.1M | $106K |
| AEI FISKER INVESTMENTS II, LLC | Private Equity Fund | — | 448 | $50.2M | $106K |
| AEI FISKER INVESTMENTS IV, LLC | Private Equity Fund | — | 238 | $38.6M | $106K |
| AEI FISKER VI, LLC | Private Equity Fund | — | 207 | $35.1M | $106K |
| ADVANCED EQUITIES VENTURE PARTNERS II, LP | Private Equity Fund | — | 91 | $30.4M | $106K |
| AEI FISKER VIII, LLC | Private Equity Fund | — | 211 | $24.1M | $106K |
| ADVANCED EQUITIES VENTURE PARTNERS I, LP | Private Equity Fund | — | 81 | $22.0M | $106K |
| AEI SILICON VALLEY FUND III, LLC | Private Equity Fund | — | 6 | $21.4M | $106K |
| ADVANCED EQUITIES SOLFOCUS INVESTMENTS II, LLC | Private Equity Fund | — | 233 | $19.2M | $106K |
| ADVANCED EQUITIES GREENVISION INVESTMENTS II, LLC | Private Equity Fund | — | 140 | $17.5M | $106K |
| AEI SILICON VALLEY FUND I, LLC | Private Equity Fund | — | 7 | $17.1M | $106K |
| AEI 2010 CLEANTECH VENTURES II, LLC | Private Equity Fund | — | 128 | $16.9M | $106K |
| AEI SILICON VALLEY FUND II, LLC | Private Equity Fund | — | 3 | $16.8M | $106K |
| ADVANCED EQUITIES BRIGHTSOURCE INVESTMENTS II, LLC | Private Equity Fund | — | 209 | $16.2M | $106K |
| ADVANCED EQUITIES INVESTMENTS IX, LLC | Private Equity Fund | — | 221 | $16.0M | $106K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/35545/brochure
- Similar advisers: https://search.stillhousedata.com/firm/35545/similar
- Related entities: https://search.stillhousedata.com/firm/35545/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/35545

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.