-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, FTnkMlT4fxQlnVkQ39cJgNYY3MWwvwhqoJ1A+Msh7bJxddaPF6i2C+OdojSZps/B RRLaNIpsgI5WuA2Zq9+gSQ== 0001140361-10-034269.txt : 20100818 0001140361-10-034269.hdr.sgml : 20100818 20100818161803 ACCESSION NUMBER: 0001140361-10-034269 CONFORMED SUBMISSION TYPE: D/A PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: Rule 506 FILED AS OF DATE: 20100818 DATE AS OF CHANGE: 20100818 EFFECTIVENESS DATE: 20100818 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ATEL Growth Capital Fund V, LLC CENTRAL INDEX KEY: 0001451768 IRS NUMBER: 260347905 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D/A SEC ACT: 1933 Act SEC FILE NUMBER: 021-126388 FILM NUMBER: 101025830 BUSINESS ADDRESS: STREET 1: ATEL FINANCIAL SERVICES, LLC STREET 2: 600 CALIFORNIA STREET, 6TH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94108 BUSINESS PHONE: 415-989-8800 MAIL ADDRESS: STREET 1: ATEL FINANCIAL SERVICES, LLC STREET 2: 600 CALIFORNIA STREET, 6TH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94108 D/A 1 primary_doc.xml X0704 D/A LIVE 0001451768 ATEL Growth Capital Fund V, LLC ATEL FINANCIAL SERVICES, LLC 600 CALIFORNIA STREET, 6TH FLOOR SAN FRANCISCO CA CALIFORNIA 94108 415-989-8800 CALIFORNIA None None Limited Liability Company true 2007 NA ATEL Capital Group 600 California St., 6th Floor San Francisco CA CALIFORNIA 94108 Promoter NA ATEL Growth Capital Partners 4, 5 & 6, LLC 600 California St., 6th Floor San Francisco CA CALIFORNIA 94108 Executive Officer Director Promoter Manager of Issuer Dean L Cash 600 California St., 6th Floor San Francisco CA CALIFORNIA 94108 Executive Officer Director Promoter Paritosh K. Choksi 600 California St., 6th Floor San Francisco CA CALIFORNIA 94108 Executive Officer Director Promoter Other Banking and Financial Services Decline to Disclose 06 true 0001011723-09-000003 2009-02-09 true true false 50000 ATEL Securities Corporation 17229 ATEL Securities Corporation 17229 600 California St., 6th Floor San Francisco CA CALIFORNIA 94108 AZ ARIZONA CA CALIFORNIA CO COLORADO ID IDAHO MI MICHIGAN NC NORTH CAROLINA NH NEW HAMPSHIRE OR OREGON UT UTAH WA WASHINGTON false Hillel Katzeff 1657455 Pacific West Securities, Inc. 6390 4330 La Jolla Village Dr., Suite 330 San Diego CA CALIFORNIA 92122 CA CALIFORNIA CO COLORADO NM NEW MEXICO TX TEXAS false Stuart M. McDowell 1844587 Cambridge Investment Research, Inc. 39543 69 Main Street, Suite 6 Andover MA MASSACHUSETTS 01810 LA LOUISIANA MA MASSACHUSETTS MD MARYLAND ME MAINE NC NORTH CAROLINA NH NEW HAMPSHIRE NJ NEW JERSEY VA VIRGINIA VT VERMONT WV WEST VIRGINIA false NFP Securities, Inc. 42046 NFP Securities, Inc. 42046 1250 Capital of Texas Hwy S. 2-125 Austin TX TEXAS 78746 AK ALASKA AL ALABAMA AR ARKANSAS AZ ARIZONA CA CALIFORNIA CO COLORADO CT CONNECTICUT DC DISTRICT OF COLUMBIA DE DELAWARE FL FLORIDA GA GEORGIA HI HAWAII IA IOWA ID IDAHO IL ILLINOIS IN INDIANA KS KANSAS KY KENTUCKY LA LOUISIANA MA MASSACHUSETTS MD MARYLAND ME MAINE MI MICHIGAN MN MINNESOTA MO MISSOURI MS MISSISSIPPI MT MONTANA NC NORTH CAROLINA ND NORTH DAKOTA NE NEBRASKA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NV NEVADA NY NEW YORK OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VA VIRGINIA VT VERMONT WA WASHINGTON WI WISCONSIN WV WEST VIRGINIA WY WYOMING false Triad Advisors, Inc. 25803 Triad Advisors, Inc. 25803 5185 Peachtree Parkway, Suite 280 Norcross GA GEORGIA 30092 AK ALASKA AL ALABAMA AR ARKANSAS AZ ARIZONA CA CALIFORNIA CO COLORADO CT CONNECTICUT DC DISTRICT OF COLUMBIA DE DELAWARE FL FLORIDA GA GEORGIA HI HAWAII IA IOWA ID IDAHO IL ILLINOIS IN INDIANA KS KANSAS KY KENTUCKY LA LOUISIANA MA MASSACHUSETTS MD MARYLAND ME MAINE MI MICHIGAN MN MINNESOTA MO MISSOURI MS MISSISSIPPI MT MONTANA NC NORTH CAROLINA ND NORTH DAKOTA NE NEBRASKA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NV NEVADA NY NEW YORK OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VA VIRGINIA VT VERMONT WA WASHINGTON WI WISCONSIN WV WEST VIRGINIA WY WYOMING false Robert I. Kully 3212528 Crown Capital Securities, L.P. 6312 725 Town and Country Road, Suite 530 Orange CA CALIFORNIA 92868 AZ ARIZONA CO COLORADO CT CONNECTICUT DC DISTRICT OF COLUMBIA MD MARYLAND NE NEBRASKA WA WASHINGTON false Robert Cannon 2765289 Pacific West Securities, Inc. 6390 371 NE Gilman Blvd., Ste. 310 Issaquah WA WASHINGTON 98027 AK ALASKA AL ALABAMA AR ARKANSAS AZ ARIZONA CA CALIFORNIA CO COLORADO CT CONNECTICUT DC DISTRICT OF COLUMBIA DE DELAWARE FL FLORIDA GA GEORGIA HI HAWAII IA IOWA ID IDAHO IL ILLINOIS IN INDIANA KS KANSAS KY KENTUCKY LA LOUISIANA MA MASSACHUSETTS MD MARYLAND ME MAINE MI MICHIGAN MN MINNESOTA MO MISSOURI MS MISSISSIPPI MT MONTANA NC NORTH CAROLINA ND NORTH DAKOTA NE NEBRASKA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NV NEVADA NY NEW YORK OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TX TEXAS UT UTAH VA VIRGINIA VT VERMONT WA WASHINGTON WI WISCONSIN WV WEST VIRGINIA WY WYOMING false Jon W. Anderson 5048230 American Independent Securities Group, LLC 135288 1159 E. Iron Eagle Dr., Suite 120 Eagle ID IDAHO 83616 CA CALIFORNIA ID IDAHO WA WASHINGTON false Lawrence A. Olson 2084501 Primesolutions Securities, Inc. 46017 2551 Glenlord Road Stevensville MI MICHIGAN 49127 CO COLORADO ID IDAHO IL ILLINOIS KY KENTUCKY MI MICHIGAN OH OHIO WI WISCONSIN false Tyler L. Olson 4956662 Primesolutions Securities, Inc. 46017 2551 Glenlord Road Stevensville MI MICHIGAN 49127 AR ARKANSAS FL FLORIDA IN INDIANA MI MICHIGAN TN TENNESSEE VA VIRGINIA false Owen J. Fisher 3132848 Arete Wealth Management, LLC 44856 500 North Market Place Drive, Suite 101 Centerville UT UTAH 84014 UT UTAH WA WASHINGTON WY WYOMING false Stanley A. Shaw 420641 Independent Financial Group, LLC 7717 1105 Parkview Drive Oceanside CA CALIFORNIA 92057 AZ ARIZONA CA CALIFORNIA NM NEW MEXICO WA WASHINGTON false Joseph C. Roubik 2443120 Capital Financial Services, Inc. 8408 4402 S. 68th Street, Suite 102 Greenfield WI WISCONSIN 53220 CA CALIFORNIA CO COLORADO IA IOWA IL ILLINOIS NV NEVADA WI WISCONSIN false Trevor A. Lastoka 4315982 Berthel, FIsher and Company Financial Services, Inc. 13609 542 S. Snelling Avenue, Suite 102 St. Paul MN MINNESOTA 55116 MN MINNESOTA NE NEBRASKA WI WISCONSIN false David C. Singer 1470118 Berthel, Fisher and Company Financial Services, Inc. 13609 2601 75th Street Kenosha WI WISCONSIN 53143 AR ARKANSAS CA CALIFORNIA FL FLORIDA IL ILLINOIS NM NEW MEXICO WI WISCONSIN false Securities America, Inc. 10205 Securities America, Inc. 10205 12325 Port Grace Blvd. Lavista NE NEBRASKA 68128 AK ALASKA AL ALABAMA AR ARKANSAS AZ ARIZONA CA CALIFORNIA CO COLORADO CT CONNECTICUT DC DISTRICT OF COLUMBIA DE DELAWARE FL FLORIDA GA GEORGIA HI HAWAII IA IOWA ID IDAHO IL ILLINOIS IN INDIANA KS KANSAS KY KENTUCKY LA LOUISIANA MA MASSACHUSETTS MD MARYLAND ME MAINE MI MICHIGAN MN MINNESOTA MO MISSOURI MS MISSISSIPPI MT MONTANA NC NORTH CAROLINA ND NORTH DAKOTA NE NEBRASKA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NV NEVADA NY NEW YORK OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VA VIRGINIA VT VERMONT WA WASHINGTON WI WISCONSIN WV WEST VIRGINIA WY WYOMING false Neil E. Vonfeldt 2451760 MHA Financial Corp. 7462 1703 PGA Blvd. Melbourne FL FLORIDA 32935 FL FLORIDA false Saverio M. Martiradonna 1986361 Newbridge Securities Corporation 104065 1451 Cypress Creek Road, Suite 204 Ft. Lauderdale FL FLORIDA 33309 AZ ARIZONA IL ILLINOIS IN INDIANA false Craig E. Williams 4444520 Geneos Wealth Management, Inc. 120894 7665 East Winford Street Parker CO COLORADO 80134 AZ ARIZONA CA CALIFORNIA CO COLORADO CT CONNECTICUT GA GEORGIA NH NEW HAMPSHIRE NJ NEW JERSEY NY NEW YORK OR OREGON false Gene L. Fahlsing 1285592 Capital Financial Services, Inc. 8408 20410 Brookmont Rd. Morrison CO COLORADO 80465 CA CALIFORNIA CO COLORADO false Jeffrey S. Morrison 3200399 Lifemark Securities Corp. 16204 10 Chadwick Road Livingston NJ NEW JERSEY 07039 FL FLORIDA NJ NEW JERSEY NY NEW YORK VA VIRGINIA false Kala L. Duncan 2206046 American Independent Securities Group, LLC 135288 1159 E. Iron Eagle Dr., Suite 120 Eagle ID IDAHO 83616 AZ ARIZONA CA CALIFORNIA ID IDAHO false Stephanie A. Hrycyk 1882780 Gramercy Securities, Inc. 8177 3000 Southwest 27th Avenue Amarillo TX TEXAS 79109 AZ ARIZONA CA CALIFORNIA CO COLORADO GA GEORGIA MT MONTANA NM NEW MEXICO OH OHIO OK OKLAHOMA TX TEXAS UT UTAH WA WASHINGTON false Donald W. Fairman 4196215 Sigma Financial Corporation 14303 2369 Franklin Road Bloomfield Hills MI MICHIGAN 48302 AR ARKANSAS CA CALIFORNIA GA GEORGIA IL ILLINOIS IN INDIANA KS KANSAS MI MICHIGAN MO MISSOURI NC NORTH CAROLINA NJ NEW JERSEY NM NEW MEXICO OH OHIO PA PENNSYLVANIA TN TENNESSEE WA WASHINGTON false Ryan P. Halliday 4033864 Arete Wealth Management, LLC 44856 500 North Market Place Drive, Suite 101 Centerville UT UTAH 84014 AZ ARIZONA CA CALIFORNIA GA GEORGIA ME MAINE OK OKLAHOMA UT UTAH WA WASHINGTON WI WISCONSIN false Next Financial Group, Inc. 46214 Next Financial Group, Inc. 46214 2500 Wilcrest Drive, Suite 620 Houston TX TEXAS 77042 AK ALASKA AL ALABAMA AR ARKANSAS AZ ARIZONA CA CALIFORNIA CO COLORADO CT CONNECTICUT DC DISTRICT OF COLUMBIA DE DELAWARE FL FLORIDA GA GEORGIA HI HAWAII IA IOWA ID IDAHO IL ILLINOIS IN INDIANA KS KANSAS KY KENTUCKY LA LOUISIANA MA MASSACHUSETTS MD MARYLAND ME MAINE MI MICHIGAN MN MINNESOTA MO MISSOURI MS MISSISSIPPI MT MONTANA NC NORTH CAROLINA ND NORTH DAKOTA NE NEBRASKA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NV NEVADA NY NEW YORK OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VA VIRGINIA VT VERMONT WA WASHINGTON WI WISCONSIN WV WEST VIRGINIA WY WYOMING false Charles W. Snyder 4577293 Sigma Financial Corporation 14303 400 Water Street, Suite 250 Rochester MI MICHIGAN 48307 MI MICHIGAN OH OHIO false Anthony Kubien 4356088 Sigma Financial Corporation 14303 2201 Auburn Road, Suite B Auburn Hills MI MICHIGAN 48326 AZ ARIZONA CA CALIFORNIA IL ILLINOIS MI MICHIGAN NJ NEW JERSEY PA PENNSYLVANIA false Richard J. Shakter 2124985 Equity Services, Inc. 265 Two Newton Executive Park, Suite 200 Newton MA MASSACHUSETTS 02462 AZ ARIZONA CA CALIFORNIA CT CONNECTICUT DE DELAWARE FL FLORIDA KY KENTUCKY MA MASSACHUSETTS ME MAINE MI MICHIGAN MN MINNESOTA NC NORTH CAROLINA NH NEW HAMPSHIRE NJ NEW JERSEY NY NEW YORK PA PENNSYLVANIA RI RHODE ISLAND SC SOUTH CAROLINA TX TEXAS false Ronald G. Saffer 408933 Geneos Wealth Management, Inc. 120894 531 E. Osborn Rd. Phoenix AZ ARIZONA 85012 AZ ARIZONA CA CALIFORNIA NV NEVADA OH OHIO SC SOUTH CAROLINA WA WASHINGTON WI WISCONSIN false Dilip C. Shah 4565670 Cambridge Legacy Securities LLC 103722 535 West Purnell, Suite 120 Lewisville TX TEXAS 75057 TX TEXAS false Daniel A. Barnard 2403593 Berthel, Fisher and Company Financial Services, Inc. 13609 8563 E. San Alterto Drive, Suite 140 Scottsdale AZ ARIZONA 85258 AZ ARIZONA CA CALIFORNIA CO COLORADO FL FLORIDA IA IOWA IL ILLINOIS IN INDIANA NE NEBRASKA NV NEVADA TX TEXAS VA VIRGINIA false Robert A. McKoy 720261 Global Brokerage Services, Inc. 37505 1210 E 1550 N North Logan UT UTAH 84341 AZ ARIZONA CA CALIFORNIA FL FLORIDA GA GEORGIA LA LOUISIANA MA MASSACHUSETTS MD MARYLAND NC NORTH CAROLINA NV NEVADA OH OHIO OR OREGON TX TEXAS UT UTAH VA VIRGINIA WA WASHINGTON false Centaurus Financial, Inc. 30833 Centaurus Financial, Inc. 30833 2300 E. Katella Ave., Suite 200 Anaheim CA CALIFORNIA 92806 AK ALASKA AL ALABAMA AR ARKANSAS AZ ARIZONA CA CALIFORNIA CO COLORADO CT CONNECTICUT DC DISTRICT OF COLUMBIA DE DELAWARE FL FLORIDA GA GEORGIA HI HAWAII IA IOWA ID IDAHO IL ILLINOIS IN INDIANA KS KANSAS KY KENTUCKY LA LOUISIANA MA MASSACHUSETTS MD MARYLAND ME MAINE MI MICHIGAN MN MINNESOTA MO MISSOURI MS MISSISSIPPI MT MONTANA NC NORTH CAROLINA ND NORTH DAKOTA NE NEBRASKA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NV NEVADA NY NEW YORK OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VA VIRGINIA VT VERMONT WA WASHINGTON WI WISCONSIN WV WEST VIRGINIA WY WYOMING false Noel R. Vincent 1370987 Madison Avenue Securities, Inc. 23224 13231 Champion Forest Dr., Suite 200 Houston TX TEXAS 77069 CA CALIFORNIA IN INDIANA KY KENTUCKY NM NEW MEXICO TX TEXAS UT UTAH false Harry T. Couch 4073942 WFG Investments, Inc. 22704 900 Old Dawson Village Rd., Ste.110 Dawsonville GA GEORGIA 30534 CA CALIFORNIA FL FLORIDA GA GEORGIA IL ILLINOIS IN INDIANA LA LOUISIANA PA PENNSYLVANIA SC SOUTH CAROLINA TX TEXAS VA VIRGINIA false Lawrence E. Adamo 1344178 Geneos Wealth Management, Inc. 120894 19 Hutton Ave., Suite 200 West Orange NJ NEW JERSEY 07052 AZ ARIZONA CA CALIFORNIA CT CONNECTICUT DE DELAWARE FL FLORIDA MD MARYLAND NC NORTH CAROLINA NJ NEW JERSEY NM NEW MEXICO NY NEW YORK PA PENNSYLVANIA SC SOUTH CAROLINA TX TEXAS false Adam C. Fisher 5231886 Arete Wealth Management, LLC 44856 500 North Market Place Dr., Suite 101 Centerville UT UTAH 84014 AZ ARIZONA UT UTAH false Gary D. Lannen 4210328 American Portfolio Financial Services, Inc. 18487 33 Bloomfield Hills Parkway, Suite 100 Bloomfield Hills MI MICHIGAN 48304 CA CALIFORNIA FL FLORIDA MI MICHIGAN MN MINNESOTA NY NEW YORK OH OHIO SC SOUTH CAROLINA false Anthony P. Marino 4251811 Sammons Securities Company, LLC 115368 8409 N. Military Trail, Suite 115 Palm Beach Gardens FL FLORIDA 33410 FL FLORIDA NY NEW YORK PA PENNSYLVANIA false Dimitry Tikhonov 5451809 Madison Avenue Securities, Inc. 23224 3655 Torrance Blvd., Suite 333 Torrance CA CALIFORNIA 90503 AZ ARIZONA CA CALIFORNIA CO COLORADO GA GEORGIA MA MASSACHUSETTS NV NEVADA VA VIRGINIA false Robert D'Agosta 1903105 Berthel, FIsher and Company Financial Services, Inc. 13609 2821 Spring Haven Place Macungie PA PENNSYLVANIA 18062 AZ ARIZONA CA CALIFORNIA FL FLORIDA GA GEORGIA IL ILLINOIS MA MASSACHUSETTS MD MARYLAND MI MICHIGAN MN MINNESOTA NJ NEW JERSEY NV NEVADA NY NEW YORK OH OHIO OK OKLAHOMA PA PENNSYLVANIA SC SOUTH CAROLINA TX TEXAS VA VIRGINIA VT VERMONT WI WISCONSIN false Douglas R. Filipovits 4603657 Berthel, Fisher and Company Financial Services, Inc. 13609 640 E. 71st Terrace Kansas City MO MISSOURI 64131 KS KANSAS MO MISSOURI NJ NEW JERSEY NY NEW YORK WI WISCONSIN false Robert M. Hinz, Jr. 1026405 VSR Financial Services, Inc. 14503 600 Stewart Street, Suite 602 Seattle WA WASHINGTON 98101 AZ ARIZONA CA CALIFORNIA HI HAWAII KS KANSAS NV NEVADA NY NEW YORK VA VIRGINIA WA WASHINGTON false 35000000 17085000 17915000 true 0 207 2800000 true 0 700000 true false ATEL Growth Capital Fund V, LLC /s/ Vasco H. Morais Vasco H. Morais Executive Vice President of Manager 2010-08-18 -----END PRIVACY-ENHANCED MESSAGE-----