Form D · Other Investment Fund

BroadRiver III, L.P.

New York, NY · CIK 0001722335

Offering snapshot reported Nov 15, 2017 · SEC filing

Reported sold: $125M
Investors reported: 6
Minimum accepted: $10M
First sale: Oct 31, 2017

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Nov 15, 2017	Initial	$125,000,000	No comparison	6	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06b, 3C, 3C.7
Duration over one year: No
Business combination: No

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-298869

Amount to be paid based on percentage of capital raised.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Denning and Company LLC	115971

Source: Form D, filed Nov 15, 2017. 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

BROADRIVER III, L.P.

Investment adviser: BROADRIVER ASSET MANAGEMENT, L.P.

Gross asset value: $778M
Beneficial owners: 44
ADV minimum commitment: $10M

Reported in Form ADV on Mar 27, 2026. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator MAPLES FUND SERVICES BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST AND YOUNG DUBLIN, Ireland

Custodian BANK OF UTAH SALT LAKE CITY, Utah, United States Related to adviser: No

Custodian JPMORGAN CHASE NEW YORK, New York, United States Related to adviser: No

Custodian WELLS FARGO BANK, N.A. MINNEAPOLIS, Minnesota, United States Related to adviser: No

Custodian WILMINGTON SAVINGS FUND SOCIETY, FSB WILMINGTON, Delaware, United States Related to adviser: No

Custodian WILMINGTON TRUST, N.A. WILMINGTON, Delaware, United States Related to adviser: No

Marketer DENNING & COMPANY LLC SAN FRANCISCO, California, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

ERNST AND YOUNG
PCAOB 1411

DENNING & COMPANY LLC
CRD 115971 · SEC 8-53532

Filing source

Form ADV 2085304 · Mar 27, 2026 · Schedule D 7.B.(1), fund 805-3744094259

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
Name	Reported role
Gp Broad River 2017 Lp	Executive
Andrew Plevin	Executive
Philip Siller	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

350 Fifth Avenue Suite 4215
New York, NY, 10118