Ridgewood Energy A-1 Fund D/A Exempt offering of security (amended)

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM D

Notice of Exempt Offering of Securities

OMB APPROVAL

OMB Number:	3235-0076
Estimated average burden
hours per response:	4.00

1. Issuer's Identity

CIK (Filer ID Number)

Previous Names

X None

Entity Type

0001457919

	Corporation
	Limited Partnership
X	Limited Liability Company
	General Partnership
	Business Trust
	Other (Specify)

Name of Issuer

RIDGEWOOD ENERGY A-1 FUND LLC

Jurisdiction of Incorporation/Organization

DE

Year of Incorporation/Organization

	Over Five Years Ago
X	Within Last Five Years (Specify Year)	2009
	Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
RIDGEWOOD ENERGY A-1 FUND LLC
Street Address 1		Street Address 2
947 LINWOOD AVENUE
City	State/Province/Country	ZIP/PostalCode	Phone Number of Issuer
RIDGEWOOD	NJ	07450	201-447-9000

3. Related Persons

Last Name	First Name	Middle Name
Ridgewood Energy	Corporation
Street Address 1	Street Address 2
947 Linwood Avenue
City	State/Province/Country	ZIP/PostalCode
Ridgewood	NJ	07450

Relationship: Executive Officer Director X Promoter

Clarification of Response (if Necessary):

Last Name	First Name	Middle Name
Swanson	Robert	E.
Street Address 1	Street Address 2
947 Linwood Avenue
City	State/Province/Country	ZIP/PostalCode
Ridgewood	NJ	07450

Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

of Ridgewood Energy Corporation

Last Name	First Name	Middle Name
Gold	Robert	L.
Street Address 1	Street Address 2
947 Linwood Avenue
City	State/Province/Country	ZIP/PostalCode
Ridgewood	NJ	07450

Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

of Ridgewood Energy Corporation

Last Name	First Name	Middle Name
McSherry	Kathleen	H.
Street Address 1	Street Address 2
947 Linwood Avenue
City	State/Province/Country	ZIP/PostalCode
Ridgewood	NJ	07450

Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

of Ridgewood Energy Corporation

Last Name	First Name	Middle Name
Tabor	Greg
Street Address 1	Street Address 2
947 Linwood Avenue
City	State/Province/Country	ZIP/PostalCode
Ridgewood	NJ	07450

Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

of Ridgewood Energy Corporation

Last Name	First Name	Middle Name
Gulino	Daniel	V.
Street Address 1	Street Address 2
947 Linwood Avenue
City	State/Province/Country	ZIP/PostalCode
Ridgewood	NJ	07450

Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

of Ridgewood Energy Corporation

Last Name	First Name	Middle Name
Valdes	Mirna
Street Address 1	Street Address 2
947 Linwood Avenue
City	State/Province/Country	ZIP/PostalCode
Ridgewood	NJ	07450

Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

of Ridgewood Energy Corporation

Last Name	First Name	Middle Name
Swanson	Matthew
Street Address 1	Street Address 2
947 Linwood Avenue
City	State/Province/Country	ZIP/PostalCode
Ridgewood	NJ	07450

Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

of Ridgewood Energy Corporation

Last Name	First Name	Middle Name
Doherty	Adrian
Street Address 1	Street Address 2
947 Linwood Avenue
City	State/Province/Country	ZIP/PostalCode
Ridgewood	NJ	07450

Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

of Ridgewood Energy Corporation

4. Industry Group

Agriculture

Banking & Financial Services

Commercial Banking

Insurance

Investing

Investment Banking

X

Pooled Investment Fund

	Hedge Fund
	Private Equity Fund
	Venture Capital Fund
X	Other Investment Fund

Is the issuer registered as
an investment company under
the Investment Company
Act of 1940?

Yes X No

Other Banking & Financial Services

Business Services

Energy

Coal Mining

Electric Utilities

Energy Conservation

Environmental Services

Oil & Gas

Other Energy

Health Care

Biotechnology

Health Insurance

Hospitals & Physicians

Pharmaceuticals

Other Health Care

Manufacturing

Real Estate

Commercial

Construction

REITS & Finance

Residential

Other Real Estate

Retailing

Restaurants

Technology

Computers

Telecommunications

Other Technology

Travel

Airlines & Airports

Lodging & Conventions

Tourism & Travel Services

Other Travel

Other

5. Issuer Size

Revenue Range		OR	Aggregate Net Asset Value Range
	No Revenues			No Aggregate Net Asset Value
	$1 - $1,000,000			$1 - $5,000,000
	$1,000,001 - $5,000,000			$5,000,001 - $25,000,000
	$5,000,001 - $25,000,000			$25,000,001 - $50,000,000
	$25,000,001 - $100,000,000			$50,000,001 - $100,000,000
	Over $100,000,000			Over $100,000,000
	Decline to Disclose		X	Decline to Disclose
	Not Applicable			Not Applicable

6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)

Rule 504(b)(1) (not (i), (ii) or (iii))		Rule 505
Rule 504 (b)(1)(i)	X	Rule 506
Rule 504 (b)(1)(ii)		Securities Act Section 4(5)
Rule 504 (b)(1)(iii)		Investment Company Act Section 3(c)
	Section 3(c)(1) Section 3(c)(9)   Section 3(c)(2) Section 3(c)(10) Section 3(c)(3) Section 3(c)(11) Section 3(c)(4) Section 3(c)(12) Section 3(c)(5) Section 3(c)(13) Section 3(c)(6) Section 3(c)(14) Section 3(c)(7)

7. Type of Filing

	New Notice	Date of First Sale	2009-03-09	First Sale Yet to Occur
X	Amendment

8. Duration of Offering

Does the Issuer intend this offering to last more than one year? Yes X No

9. Type(s) of Securities Offered (select all that apply)

Equity	X	Pooled Investment Fund Interests
Debt		Tenant-in-Common Securities
Option, Warrant or Other Right to Acquire Another Security		Mineral Property Securities
Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security		Other (describe)

10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? Yes X No

Clarification of Response (if Necessary):

11. Minimum Investment

Minimum investment accepted from any outside investor $50,000 USD

12. Sales Compensation

Recipient	Recipient CRD Number None
David Dyer	2179498
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Alliance Affiliated Equities Corporation	23928
Street Address 1	Street Address 2
One Ward Parkway, Suite 345
City	State/Province/Country	ZIP/Postal Code
Kansas City	MO	64112
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CA MO NY SC WI

Recipient	Recipient CRD Number None
Bette G. Tydings	844203
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
AFA Financial Group	127648
Street Address 1	Street Address 2
22471 Aspan Street, Suite 203
City	State/Province/Country	ZIP/Postal Code
Lake Forest	CA	92630
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AZ CA MA NV NY OR

Recipient	Recipient CRD Number None
Benjamin C. Bishop, Jr.	22050
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Allen C. Ewing & Company	26102
Street Address 1	Street Address 2
50 North Laura Street, Suite 3625
City	State/Province/Country	ZIP/Postal Code
Jacksonville	FL	32202
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
FL

Recipient	Recipient CRD Number None
Jeffrey Rachlin	823547
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Alternative Wealth Strategies, Inc.	130933
Street Address 1	Street Address 2
The Landmark at Eastview	777 Old Saw Mill River Road
City	State/Province/Country	ZIP/Postal Code
Tarrytown	NY	10591
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CT FL HI MD MA NJ NY

Recipient	Recipient CRD Number None
George M. Bellish	2646202
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
American Portfolios Financial Services	18487
Street Address 1	Street Address 2
Capital Business Strategies	8845 East Market Street, Suite 1
City	State/Province/Country	ZIP/Postal Code
Warren	OH	44484
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
IN MO OH PA TX

Recipient	Recipient CRD Number None
Peter B. Cohen	50112
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Ameritas Investment Corp	14869
Street Address 1	Street Address 2
237 Hopmeadow Street, Suite 107
City	State/Province/Country	ZIP/Postal Code
Simsbury	CT	06089
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CT FL MA NY

Recipient	Recipient CRD Number None
Paul Lawless	1417030
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Ameritas Investment Corp.	14869
Street Address 1	Street Address 2
1877 S. Federal Investment Corp	Suite 210
City	State/Province/Country	ZIP/Postal Code
Boca Raton	FL	33432
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CA DE FL GA IL IN MD MI NJ NY NC OH PA SC TX VA WA

Recipient	Recipient CRD Number None
Darcy R. Yocum	4223696
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Ameritas Investment Corp	14869
Street Address 1	Street Address 2
1403 Farnam Street, Suite 216
City	State/Province/Country	ZIP/Postal Code
Omaha	NE	68102
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AR CA CO IA NE TX

Recipient	Recipient CRD Number None
Katherine Kirkpatrick	4530467
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
American Independent Securities Group	135288
Street Address 1	Street Address 2
Mountain View Fiancial Inc.	1036 E. Iron Eagle Drive # 130
City	State/Province/Country	ZIP/Postal Code
Eagle	ID	83616
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CA CO ID IL IN MO OR WA

Recipient	Recipient CRD Number None
Barbara Stone	2202550
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
American Independent Securities Group	135288
Street Address 1	Street Address 2
275 South 5th Avenue, Suite 285
City	State/Province/Country	ZIP/Postal Code
Pocatello	ID	83201
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AZ CA ID MO OR UT WA WY

Recipient	Recipient CRD Number None
Tressa Rockwood	4821421
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
American Independent Securities Group	135288
Street Address 1	Street Address 2
275 South 5th Avenue, Suite 285
City	State/Province/Country	ZIP/Postal Code
Pocatello	ID	83201
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AZ CA ID MT OR UT WA WY

Recipient	Recipient CRD Number None
Thomas L. Kunkel	2510614
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Capital Financial Services Inc.	8408
Street Address 1	Street Address 2
1109 W. MacArthur Avenue,	Suite # 3
City	State/Province/Country	ZIP/Postal Code
Eau Claire	WI	54701
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
MI MN WI

Recipient	Recipient CRD Number None
Brian Weisenberger	4601637
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Capital Solutions Distributors LLC	132315
Street Address 1	Street Address 2
1250 Capital of Texas Hghway South	Building 2- Suite 600
City	State/Province/Country	ZIP/Postal Code
Austin	TX	78746
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AZ CA FL MA MN NV NJ NY TX WI

Recipient	Recipient CRD Number None
William Gammon	1811853
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Centaurus Financial Inc.	30833
Street Address 1	Street Address 2
1122 Kenilworth Drive, Suite 201
City	State/Province/Country	ZIP/Postal Code
Towson	MD	21204
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AK AR CA CT DE DC FL IN KY MD MA NJ NY NC OH PA RI SC TX UT VA WA

Recipient	Recipient CRD Number None
David B. White	1382131
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Centaurus Financial Inc.	30833
Street Address 1	Street Address 2
40900 Woodward Avenue	Suite 270
City	State/Province/Country	ZIP/Postal Code
Bloomfield Hills	MI	48304
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AZ CA CO DC FL ID IL IN KY ME MI MO NV NJ NY NC OH PA TN TX VA WA

Recipient	Recipient CRD Number None
Alexander P. Brown	31944
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Chapin Davis	28116
Street Address 1	Street Address 2
1700 Pennsylvania Avenue, 7th Floor
City	State/Province/Country	ZIP/Postal Code
Washington	DC	20006
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CA CO FL MD NJ NY TX VA

Recipient	Recipient CRD Number X None
Crown Capital Securities, L.P.	None
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Crown Capital Securities, L.P.	6312
Street Address 1	Street Address 2
725 Town & Country Rd.	Suite 530
City	State/Province/Country	ZIP/Postal Code
Orange	CA	92868
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
John Doane	4083486
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Detwiler Fenton & Co.	1794
Street Address 1	Street Address 2
401 Edgewater Place, Suite 120
City	State/Province/Country	ZIP/Postal Code
Wakefield	MA	01880
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AZ CA CT DC FL GA IL ME MA MI MN NH NJ NY OH PA RI TX VT VA WI

Recipient	Recipient CRD Number None
Jack Mara	1646745
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Detwiler Fenton & Co.	1794
Street Address 1	Street Address 2
401 Edgewater Place	Suite 120
City	State/Province/Country	ZIP/Postal Code
Wakefield	MA	01880
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AZ CA CO CT DE DC FL GA IL ME MD MA MI MN NH NJ OR PA RI SC TX VT VA WA WI

Recipient	Recipient CRD Number None
Kirk Dennis	1381273
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Financial West Group	16668
Street Address 1	Street Address 2
1834 Main Street
City	State/Province/Country	ZIP/Postal Code
Baker City	OR	97814
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AK AZ CA CO ID IL NE NY OK OR TX WA

Recipient	Recipient CRD Number None
Janet J. Montgomery	853307
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
First Allied Securities Inc.	32444
Street Address 1	Street Address 2
P.O Box 1115
City	State/Province/Country	ZIP/Postal Code
Brookshire	TX	77423
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AL CA CO FL GA IN KY MI MO NY OR SC TX WA

Recipient	Recipient CRD Number None
Stephen Oliver	2173688
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
First Allied Securities Inc.	32444
Street Address 1	Street Address 2
Manhattan Ridge Advisors	1325 Avenue of the Americas, 27th Floor
City	State/Province/Country	ZIP/Postal Code
New York	NY	10019
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AL AZ CA CO CT DE DC FL GA ID IL IN IA KS KY ME MD MA MI MN MS MO NV NH NJ NM NY NC OH OK OR PA RI TN TX VT VA WA WV WI WY

Recipient	Recipient CRD Number X None
FSC Securities Corporation	None
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
FSC Securities Corporation	7461
Street Address 1	Street Address 2
2300 Windy Ridge Parkway	Suite 1100
City	State/Province/Country	ZIP/Postal Code
Atlanta	GA	30339
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number X None
Geneos Wealth Management	None
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Geneos Wealth Management	120894
Street Address 1	Street Address 2
9055 E. Mineral Circle, Suite 200
City	State/Province/Country	ZIP/Postal Code
Centennial	CO	80112
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Stephanie Hrycyk	1882780
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Gramercy Securities Inc,	8177
Street Address 1	Street Address 2
3000 S.W. 27th Avenue
City	State/Province/Country	ZIP/Postal Code
Amarillo	TX	79109
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AZ CA CO GA MN NM OH OK TX UT

Recipient	Recipient CRD Number None
Gregory Long	2049933
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Gunn Allen Financial	17609
Street Address 1	Street Address 2
2295 S. Hiawassee Road #304
City	State/Province/Country	ZIP/Postal Code
Orlando	FL	32835
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AL AK AZ CA CO CT FL GA HI ID IL IN IA KS LA ME MD MA MI MN MS MO NV NH NJ NM NY NC OH OK OR PA TN TX UT VA WA WI WY

Recipient	Recipient CRD Number None
Jonathan Marcu	2401038
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Gunn Allen Financial	17609
Street Address 1	Street Address 2
7280 W. Palmetto Park Rd.	Suite 106
City	State/Province/Country	ZIP/Postal Code
Boca Raton	FL	33433
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CA CT FL GA IL MA NE NJ NY NC PA TX VA WI

Recipient	Recipient CRD Number X None
Hantz Financial Services Inc.	None
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Hantz Financial Services, Inc.	46047
Street Address 1	Street Address 2
24901 Northwestern Highway	Suite 710
City	State/Province/Country	ZIP/Postal Code
Southfield	MI	48075
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AZ CA CO DC FL GA ID IL IN IA KS KY LA MD MA MI MN MS MO MT NV NH NJ NC OH OR PA SC SD TN TX UT VT VA WA WI

Recipient	Recipient CRD Number None
Sean Elerick	3107856
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Huntington Investment Company	16986
Street Address 1	Street Address 2
154 West Main Street
City	State/Province/Country	ZIP/Postal Code
St. Cliarsville	OH	43950
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AZ FL KY NC OH PA SC WA WV

Recipient	Recipient CRD Number None
Alexander P. Kline	1271785
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Huntington Investment Company	16986
Street Address 1	Street Address 2
650 Smithfield Street, Suite 1000
City	State/Province/Country	ZIP/Postal Code
Pittsburgh	PA	15222
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CA FL GA IN MD MA NJ NY OH PA RI VA WV

Recipient	Recipient CRD Number X None
IMS Securities	None
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
IMS Securities	35567
Street Address 1	Street Address 2
10205 Westheimer Suite 500
City	State/Province/Country	ZIP/Postal Code
Houston	TX	77042
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Joe H. Miller	1172989
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Independent Financial Group	7717
Street Address 1	Street Address 2
12636 High Bluff Drive, Suite 100
City	State/Province/Country	ZIP/Postal Code
San Diego	CA	92130
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AL AK AZ CA CO DC FL GA HI IL IN KS KY LA ME MD MI MN MS MO MT NE NV NJ NM NY NC ND OR PA RI SC SD TN TX UT VA WA WV WI WY

Recipient	Recipient CRD Number None
Roger W. Bowlin	1905652
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Independent Financial Group	7717
Street Address 1	Street Address 2
R.W. Bowlin Investment Solutions, Inc.	9816 234th Place, SW
City	State/Province/Country	ZIP/Postal Code
Edmonds	WA	98020
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ID WA

Recipient	Recipient CRD Number None
Thomas J. Ealy	863042
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Investment Planners, Inc.	18557
Street Address 1	Street Address 2
1802 Fox Drive, Suite C
City	State/Province/Country	ZIP/Postal Code
Champaigne	IL	61820
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AZ CA CO ID IL IN LA MO MT NC OR TX UT VA WI

Recipient	Recipient CRD Number None
Nathan Rewerts	2913269
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Investment Planners, Inc.	18557
Street Address 1	Street Address 2
5950 SW 28th, Suite A
City	State/Province/Country	ZIP/Postal Code
Topeka	KS	66614
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CO DC KS MD MA OK TX

Recipient	Recipient CRD Number X None
Intersecurities, Inc.	None
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Intersecurities, Inc.	16164
Street Address 1	Street Address 2
570 Carillon Parkway
City	State/Province/Country	ZIP/Postal Code
St. Petersburg	FL	33716
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Tim J. Sherer	833618
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
J.P. Turner & Co., LLC	43177
Street Address 1	Street Address 2
The Sherer Group, LLC	1754 Technology Drive, Suite 246
City	State/Province/Country	ZIP/Postal Code
San Jose	CA	95110
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CA CO NY OK TX

Recipient	Recipient CRD Number None
Carl Worden	3130121
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
J.P. Turner & Co., LLC	43177
Street Address 1	Street Address 2
The Sherer Group, LLC	1754 Technology Drive, Suite 246
City	State/Province/Country	ZIP/Postal Code
San Jose	CA	95110
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CA OK TX VA

Recipient	Recipient CRD Number X None
MetLife Securities	None
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
MetLife Securities	14251
Street Address 1	Street Address 2
200 Park Avenue
City	State/Province/Country	ZIP/Postal Code
New York	NY	10166
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number X None
LPL Financial Corporation	None
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
LPL Financial Corporation	6413
Street Address 1	Street Address 2
One Beacon Street
City	State/Province/Country	ZIP/Postal Code
Boston	MA	02108
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number X None
New England Securities	None
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
New England Securities	615
Street Address 1	Street Address 2
485 E. US Highway 1 South	Building E -4th Floor
City	State/Province/Country	ZIP/Postal Code
Iselin	NJ	08830
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number X None
Sagepoint Financial	None
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Sagepoint Financial	133763
Street Address 1	Street Address 2
2800 North Central Avenue	Suite 2100
City	State/Province/Country	ZIP/Postal Code
Phoenix	AZ	85004
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Jay M. Eshbach II	1564093
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
JW Cole Financial Inc.	124583
Street Address 1	Street Address 2
P.O. Box 855
City	State/Province/Country	ZIP/Postal Code
Baytown	TX	77522
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AL CA DC FL GA HI IL LA MD MO NE NC SC TN TX VA WA WI WY

Recipient	Recipient CRD Number None
Thomas L. McCormick	809554
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
American Investors Company	38
Street Address 1	Street Address 2
115 Crane Street
City	State/Province/Country	ZIP/Postal Code
Menlo Park	CA	94025
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CA

Recipient	Recipient CRD Number None
Chad Langhofer	2517445
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Main Street Securities, LLC	47127
Street Address 1	Street Address 2
Langhofer Financial Group	105 S. Andover Road, Suite B
City	State/Province/Country	ZIP/Postal Code
Andover	KS	67002
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AL AZ CO IN KS MO NY OK TX

Recipient	Recipient CRD Number None
Robert H. Trowbridge III	1027815
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Main Street Securities, LLC	47127
Street Address 1	Street Address 2
Dominion Wealth Mangement, Inc.	1801 Robert Fulton Drive, Suite 350
City	State/Province/Country	ZIP/Postal Code
Reston	VA	20191
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AZ CA FL MD NV NH NC TX VA WV

Recipient	Recipient CRD Number None
Gary Flater	1049132
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
MCL FInancial Group Inc.	41180
Street Address 1	Street Address 2
1551 N. Tusin Avenue, Suite 960
City	State/Province/Country	ZIP/Postal Code
Santa Ana	CA	92705
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Terrell Gertge	2956582
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
MCL Financial Group Inc.	41180
Street Address 1	Street Address 2
43442 W. Country Road # 43
City	State/Province/Country	ZIP/Postal Code
Ault	CO	80610
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AZ CA CO KS NE ND WY

Recipient	Recipient CRD Number None
Gene Merle Walter	851987
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
MCL Financial Group Inc.	41180
Street Address 1	Street Address 2
12600 W. Colfax Avenue	Suite C-480
City	State/Province/Country	ZIP/Postal Code
Lakewood	CO	80215
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AZ CA CO FL GA IL IN LA MN MT NE NV NM OK PA SD TN TX VA WA WY

Recipient	Recipient CRD Number None
Yi-Chen (Chris) Yang	4024717
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
MCL Financial Group Inc.	41180
Street Address 1	Street Address 2
12600 W. Colfax Avenue	Suite C-480
City	State/Province/Country	ZIP/Postal Code
Lakewood	CO	80215
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CA CO

Recipient	Recipient CRD Number None
Christopher J. Russo	2744913
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
National Securities Corporation	7569
Street Address 1	Street Address 2
Worldwide Wealth Management	1400 Old Country Rd., Suite 302A
City	State/Province/Country	ZIP/Postal Code
Westbury	NY	11590
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AL AZ AR CA CO CT FL GA ID IL IN KS KY LA ME MD MA MI MN MS MO NE NV NJ NY NC ND OH OK OR PA SC SD TX UT VA WA WV WI WY

Recipient	Recipient CRD Number X None
Next Financial Group	None
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Next Financial Group	46214
Street Address 1	Street Address 2
2500 Wilcrest Drive, Suite 620
City	State/Province/Country	ZIP/Postal Code
Houston	TX	77042
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Clint Blaser	2794696
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
National Planning Corp.	29604
Street Address 1	Street Address 2
6900 E. Camelback Road	Suite 606
City	State/Province/Country	ZIP/Postal Code
Scottsdale	AZ	85251
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AZ CA CO IL IN MI MO NV NY ND WA

Recipient	Recipient CRD Number None
Lawrence Harkavy	2218203
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Oppenheimer & Co.	249
Street Address 1	Street Address 2
Fahnestock & Company Inc.	700 Veterans Memorial HWY, Suite 120
City	State/Province/Country	ZIP/Postal Code
Hauppauge	NY	11788
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CA CO CT FL MD MA NJ NY PA RI TX

Recipient	Recipient CRD Number X None
Pacific West Securities	None
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Pacific West Securities	6390
Street Address 1	Street Address 2
555 S. Renton Village Place	Suite 700
City	State/Province/Country	ZIP/Postal Code
Renton	WA	98055
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Roy C. Lines	1906516
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
ProEquities, Inc.	15708
Street Address 1	Street Address 2
2355 John F. Kennedy Road
City	State/Province/Country	ZIP/Postal Code
Dubuque	IA	52002
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AZ FL IL IA MN MO NE NJ NY SD WI

Recipient	Recipient CRD Number None
Clair Sauder	1312337
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
ProEquities, Inc.	15708
Street Address 1	Street Address 2
2160 Lincoln HWY West
City	State/Province/Country	ZIP/Postal Code
Lancaster	PA	17602
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CT FL IN MD NJ NY OH PA VA

Recipient	Recipient CRD Number None
Thomas Shankland	1779390
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
ProEquities, Inc.	15708
Street Address 1	Street Address 2
24547 Park River Lane
City	State/Province/Country	ZIP/Postal Code
Shorewood	IL	60404
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CA FL GA IL MD MS MO WI

Recipient	Recipient CRD Number None
Ryan C. White	2909144
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
ProEquities, Inc.	15708
Street Address 1	Street Address 2
2974 Brooks Bend Drive
City	State/Province/Country	ZIP/Postal Code
Carmel	IN	46032
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
FL IL IN OH VA

Recipient	Recipient CRD Number X None
Questar Capital Corporation	None
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Questar Capital Corporation	43100
Street Address 1	Street Address 2
5701 Golden Hills Dr
City	State/Province/Country	ZIP/Postal Code
Minneapolis	MN	55416
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Neil S. Fineman	2225170
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Regal Securities	7297
Street Address 1	Street Address 2
11379 Notte Calma Street
City	State/Province/Country	ZIP/Postal Code
Las Vegas	NV	89114
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AZ CA CO CT FL MA MI MO NV NY OH OK

Recipient	Recipient CRD Number None
Robert Swanson	1332429
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Ridgewood Securities Corporation	15453
Street Address 1	Street Address 2
947 Linwood Avenue
City	State/Province/Country	ZIP/Postal Code
Ridgewood	NJ	07450
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AL AZ AR CA CO CT DE DC FL GA ID IL IN IA KS KY LA ME MD MA MI MN MS MO MT NE NV NH NJ NM NY NC OH OK OR PA RI SC SD TN TX UT VT VA WA WI

Recipient	Recipient CRD Number X None
Royal Alliance & Associates, Inc.	None
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Royal Alliance & Associates, Inc.	23131
Street Address 1	Street Address 2
One World Financial Center	14th Floor
City	State/Province/Country	ZIP/Postal Code
New York	NY	10281
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Christopher Hass	2657637
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Sammons Securities Company	115368
Street Address 1	Street Address 2
11420 Bluegrass Pkwy
City	State/Province/Country	ZIP/Postal Code
Lousiville	KY	40299
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AL AZ CO CT FL GA IL IN KY MI MS OH WA

Recipient	Recipient CRD Number None
John L. Jenkins	1163851
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Securities America, Inc.	10205
Street Address 1	Street Address 2
3636 Nobel Drive #440
City	State/Province/Country	ZIP/Postal Code
San Diego	CA	92122
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AZ CA CO FL ID KS OR TX VA WA

Recipient	Recipient CRD Number None
Janice Thompson	3034523
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Securities America, Inc.	10205
Street Address 1	Street Address 2
7676 Hazard Center Drive,	Suite 1150
City	State/Province/Country	ZIP/Postal Code
San Diego	CA	92108
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AZ CA FL ID IN MO NJ NM NC UT VA WA

Recipient	Recipient CRD Number None
Ken Wlosek	1271626
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Seward Groves Richard & Wells	17963
Street Address 1	Street Address 2
16 Sterling Lake Road
City	State/Province/Country	ZIP/Postal Code
Tuxedo Park	NY	10987
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CO FL IL MD NJ NY TX

Recipient	Recipient CRD Number None
Thomas Kieffer	1531908
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Sigma Financial Corporation	14303
Street Address 1	Street Address 2
P.O. Box 6987
City	State/Province/Country	ZIP/Postal Code
Lakeland	FL	33807
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
FL IN MD MS TN VT VA

Recipient	Recipient CRD Number None
Kevin McBarron	1282026
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
S.I.I. Investments	2225
Street Address 1	Street Address 2
3091 E. 98th Street, Suite 180
City	State/Province/Country	ZIP/Postal Code
Indianapolis	IN	46280
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AZ CA CT FL HI ID IL IN MD MI NV NH NJ NY OH OR PA SC VA WA WV

Recipient	Recipient CRD Number None
Steven L. Nielsen	4184826
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
S.I.I. Investments	2225
Street Address 1	Street Address 2
2444 E. Southern Avenue #106
City	State/Province/Country	ZIP/Postal Code
Mesa	AZ	85204
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AZ CA CO IL NE OR TX WA WI

Recipient	Recipient CRD Number None
Joel Johnson	1941908
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Silver Oak Securities, Inc.	46947
Street Address 1	Street Address 2
100 Great Meadows Road	Suite 502
City	State/Province/Country	ZIP/Postal Code
Wethersfield	CT	06109
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CT NY

Recipient	Recipient CRD Number None
Charles Shafe	1277113
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
TransAm Securities Inc.	18923
Street Address 1	Street Address 2
C/O Shafe Group Inc.	531 Versailles Drive, Suite 201
City	State/Province/Country	ZIP/Postal Code
Maitland	FL	32751
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AL AZ CA CO CT GA IL IN KS MD MA MI NJ NY NC ND OH SC TN TX VA

Recipient	Recipient CRD Number None
Martin Chiu	1806333
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
United Planners Financial Services	20804
Street Address 1	Street Address 2
10535 Chestnut Street
City	State/Province/Country	ZIP/Postal Code
Los Alamitos	CA	90720
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AZ CA FL MA MO NV NY OK OR VA WA

Recipient	Recipient CRD Number None
Aaron P. Sevigny	4314368
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
United Planners Financial Serivces	20804
Street Address 1	Street Address 2
24850 Burnt Pine Drive, Suite 4-5
City	State/Province/Country	ZIP/Postal Code
Bonita Springs	FL	34134
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CA DE FL IL IN KY ME MA MI NH NJ NY NC OH PA VA WI

Recipient	Recipient CRD Number None
Kirk A. Walters	1066393
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
United Planners Financial Services	20804
Street Address 1	Street Address 2
1604 Church Street
City	State/Province/Country	ZIP/Postal Code
Layton	UT	84041
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AZ CA ID MT NV UT WA

Recipient	Recipient CRD Number None
David C. McKnight	3026936
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Valmark Securities Inc.	31243
Street Address 1	Street Address 2
W67 N222 Evergreen Blvd.	Suite 202
City	State/Province/Country	ZIP/Postal Code
Cedarburg	WI	53012
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AZ CA CO PA TX UT WI

Recipient	Recipient CRD Number None
Barney Guttman	832428
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Walnut Street Securities	15840
Street Address 1	Street Address 2
1022 Frick Building,	437 Grant Street
City	State/Province/Country	ZIP/Postal Code
Pittsburgh	PA	15219
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CA DC FL IL LA MD MA NJ NM NY OH PA

Recipient	Recipient CRD Number None
Robert A. Pierce	363323
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Walnut Street Securities	15840
Street Address 1	Street Address 2
Winning Money Strategies	P.O. Box 87009
City	State/Province/Country	ZIP/Postal Code
Vancouver	WA	98687
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AZ CA CO FL ID MA MT NV NM NY OR TX UT VA WA

Recipient	Recipient CRD Number X None
Waterstone Financial Group	None
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Waterstone Financial Group	10078
Street Address 1	Street Address 2
500 Park Blvd	Suite 800
City	State/Province/Country	ZIP/Postal Code
Itasca	IL	60134
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Michael J. Bernier	2250502
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Western International Securities	39262
Street Address 1	Street Address 2
675 North 1st Street, Suite 150
City	State/Province/Country	ZIP/Postal Code
San Jose	CA	95112
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
CA CT IN UT VT VA WA WI

Recipient	Recipient CRD Number None
Cesar Garcia	4389804
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Western International Securities	39262
Street Address 1	Street Address 2
Financial West Group	4510 E. Thousand Oaks Blvd
City	State/Province/Country	ZIP/Postal Code
Westlake Village	CA	91362
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AZ CA WA

Recipient	Recipient CRD Number None
William V. Harris	4348386
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
WFG Investments Inc.	22704
Street Address 1	Street Address 2
Williams Financial Group	750 East Britton Road, Suite 100
City	State/Province/Country	ZIP/Postal Code
Oklahoma City	OK	73703
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AZ CT NV OK TX VA

Recipient	Recipient CRD Number None
Leslie V. Anderton	873403
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Wilson Davis & Company	3777
Street Address 1	Street Address 2
4866 Viewmont Street
City	State/Province/Country	ZIP/Postal Code
Holladay	UT	84117
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AZ CA CO FL ID KS KY MD MA NY OR TX UT WA WY

Recipient	Recipient CRD Number None
James Lockhart	4415115
(Associated) Broker or Dealer None	(Associated) Broker or Dealer CRD Number None
Woodbury Financial Services Inc.	421
Street Address 1	Street Address 2
29 Plantation Park Drive,	Suite 803
City	State/Province/Country	ZIP/Postal Code
Bluffton	SC	29910
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
AR FL GA IL KY LA MI NJ NY OH PA SC

13. Offering and Sales Amounts

Total Offering Amount	$50,000,000	USD	or Indefinite
Total Amount Sold	$2,954,000	USD
Total Remaining to be Sold	$47,046,000	USD	or Indefinite

Clarification of Response (if Necessary):

May be increased to $80,000,000 or more.

14. Investors

Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering.

Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering:

13

15. Sales Commissions & Finder's Fees Expenses

Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.

Sales Commissions	$16,000	USD	Estimate
Finders' Fees	$0	USD	Estimate

Clarification of Response (if Necessary):

Additional sales commission to be paid upon future sales

16. Use of Proceeds

Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.

$0

USD

Estimate

Clarification of Response (if Necessary):

Signature and Submission

Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.

Terms of Submission

In submitting this notice, each issuer named above is:

• Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, in the accordance with applicable law, the information furnished to offerees.*

• Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against the issuer in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of:  (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.

• Certifying that, if the issuer is claiming a Rule 505 exemption, the issuer is not disqualified from relying on Rule 505 for one of the reasons stated in Rule 505(b)(2)(iii).

Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.

For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.

Issuer	Signature	Name of Signer	Title	Date
RIDGEWOOD ENERGY A-1 FUND LLC	Mirna Valdes	Mirna Valdes	Vice President of the Manager	2009-04-06

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.

* This undertaking does not affect any limits Section 102(a) of the National Securities Markets Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot routinely require offering materials under this undertaking or otherwise and can require offering materials only to the extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.