Form D Raw Data - Electronic Filing Depository

EFDID: 334280EFD: Raw Data

Issuer: Capital Alliance, LLC (0001481639) - D

Accession: 0001481639-20-000001 () (EDGAR Files) (Form D)

Edgar Posted: Feb. 20, 2020
EFD Posted: Feb. 21, 2020

- < edgarSubmission >

< schemaVersion > X0708 </ schemaVersion >

< submissionType > D </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001481639 </ cik >

< entityName > Capital Alliance, LLC </ entityName >

- < issuerAddress >

< street1 > 1108 FIFTH AVE., SUITE 202 </ street1 >

< city > SAN RAFAEL </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94901 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > (415) 288-9575 </ issuerPhoneNumber >

< jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >

- < edgarPreviousNameList >

< previousName > Calliance Realty Fund, LLC </ previousName >

< previousName > Calliance Realty Fund, LLC - Advisors Mortgage Division </ previousName >

</ edgarPreviousNameList >

< entityType > Limited Liability Company </ entityType >

- < yearOfInc >

< overFiveYears > true </ overFiveYears >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Dennis </ firstName >

< middleName > R. </ middleName >

< lastName > Konczal </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 1108 Fifth Ave., Suite 202 </ street1 >

< city > San Rafael </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94901 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Promoter </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > President of Capital Alliance Advisors, Inc., Manager of Issuer. </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > J.R. </ firstName >

< lastName > Sandell </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 1108 Fifth Ave., Suite 202 </ street1 >

< city > San Rafael </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94901 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Sr. Vice President and CFO of Manager of Issuer. </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > William </ firstName >

< middleName > W. </ middleName >

< lastName > Aubrey </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 1108 Fifth Ave., Suite 202 </ street1 >

< city > San Rafael </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94901 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Sr. Vice President and Chief Investment Officer of Manager of Issuer. </ relationshipClarification >

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Pooled Investment Fund </ industryGroupType >

- < investmentFundInfo >

< investmentFundType > Other Investment Fund </ investmentFundType >

< is40Act > false </ is40Act >

</ investmentFundInfo >

</ industryGroup >

- < issuerSize >

< aggregateNetAssetValueRange > Decline to Disclose </ aggregateNetAssetValueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06b </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > false </ isAmendment >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2019-12-13 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > false </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isEquityType > true </ isEquityType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 25000 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > Whitehall-Parker Securities </ recipientName >

< recipientCRDNumber > 10608 </ recipientCRDNumber >

< associatedBDName > Whitehall-Parker Securities </ associatedBDName >

< associatedBDCRDNumber > 10608 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 477 Pacific Ave., 2nd Floor </ street1 >

< city > San Francisco </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94133 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 10000000 </ totalOfferingAmount >

< totalAmountSold > 210000 </ totalAmountSold >

< totalRemaining > 9790000 </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > true </ hasNonAccreditedInvestors >

< numberNonAccreditedInvestors > 0 </ numberNonAccreditedInvestors >

< totalNumberAlreadyInvested > 2 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 1000000 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse />

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

</ grossProceedsUsed >

< clarificationOfResponse />

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > Capital Alliance, LLC </ issuerName >

< signatureName > Dennis R. Konczal </ signatureName >

< nameOfSigner > Dennis R. Konczal </ nameOfSigner >

< signatureTitle > Pres. of Capital Allliance Advisors, Inc., Mgr of Issuer </ signatureTitle >

< signatureDate > 2020-02-20 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >