Form D · Other Investment Fund

Advanced Technology Select Fund III LLC

New York, NY · CIK 0001704126

Offering snapshot reported Mar 14, 2018 · SEC filing

Reported sold
$18M
Offering amount: $50M
Investors reported
99
Form D · investor count
Minimum accepted
$100K
Reported outside-investor minimum
First sale
Apr 5, 2017
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$8.98M$18MApr 19, 2017: $4,288,928.00Apr 19, 2017Jun 23, 2017: $10,687,101.00Jun 23, 2017Mar 14, 2018: $17,956,168.00Mar 14, 2018

Dates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.

What changed?

Latest filing versus its linked predecessor, where available.

  • Reported sold$10,687,101 → $17,956,168
  • Reported investors68 → 99

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Mar 14, 2018Amendment$17,956,168$7,269,067vs Jun 23, 201799SEC filing
Jun 23, 2017Amendment$10,687,101$6,398,173vs Apr 19, 201768SEC filing
Apr 19, 2017Initial$4,288,928No comparison30SEC filing

Offering details

Securities
Pooled investment fund, Other
Exemptions
06b, 3C, 3C.1
Duration over one year
No
Business combination
No
Sales commissions
$1.53M
Finders' fees
$101K
Form D file number
021-285107
Series A, B and C Interests. The minimum amount disclosed in Item 11 may be modified by the Manager in its sole discretion.

Sales compensation recipients

Scroll to see all columns →

RecipientCRDAssociated broker-dealer
PHX Financial, Inc.144403

Source: Form D, filed Mar 14, 2018. 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

ADVANCED TECHNOLOGY SELECT FUND III LLC - SERIES B

Investment adviser: L3 CAPITAL ADVISORS LLC

Gross asset value
$5.26M
Beneficial owners
59
ADV minimum commitment
$100K

Reported in Form ADV on Mar 30, 2020. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Auditor DASZKOWSKI, TOMPKINS, WEG & CARBONELLA, P.C. STATEN ISLAND, New York, United States
Marketer PHX FINANCIAL, INC. NEW YORK, New York, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
No
Administrator other than the adviser
No
External marketing
Yes

DASZKOWSKI, TOMPKINS, WEG & CARBONELLA, P.C.
PCAOB 3978

PHX FINANCIAL, INC.
CRD 144403 · SEC 8-67653

Filing source

Form ADV 1402347 · Mar 30, 2020 · Schedule D 7.B.(1), fund 805-8874808765

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
NameReported role
Richard Cardinale Executive, Promoter
None L3 Capital Advisors Llc Executive, Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
75 Wall Street, Suite 23 R
New York, NY, 10005