Form D · Private Equity Fund

Caltius Equity Partners Executive III, LP

Los Angeles, CA · CIK 0001585509

Offering snapshot reported Jan 30, 2015 · SEC filing

Reported sold
$67.8M
Offering amount: $208M
Investors reported
39
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Nov 19, 2013
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$33.9M$67.8MSep 20, 2013Sep 19, 2014: $67,841,667.00Sep 19, 2014Jan 30, 2015: $67,841,667.00Jan 30, 2015

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.

No comparable changes in the displayed metrics.

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jan 30, 2015Amendment$67,841,667$0vs Sep 19, 201439SEC filing
Sep 19, 2014Amendment$67,841,667No comparison39SEC filing
Sep 20, 2013InitialYet to sellNo comparison0SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06b, 3C, 3C.1
Duration over one year
No
Business combination
No
Sales commissions
$100K (estimated)
Finders' fees
$0
Form D file number
021-203306
Total offering amount and total amount sold includes amounts in respect of affiliated investment fund and excludes GP commitments. The GP of the Issuer reserves the right to offer a greater or lesser amount of limited partner interests.
Agent paid retainer over time and earns fees based on a schedule relating to commitments. All such fees are offset against the management fees payable by Issuer or are paid by the Issuer's GP.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
M2O Private Fund Advisors LLC158741

Source: Form D, filed Jan 30, 2015. 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

CALTIUS PARTNERS EXECUTIVE III, LP

Investment adviser: CALTIUS CAPITAL MANAGEMENT, LP

Gross asset value
$269K
Beneficial owners
20
ADV minimum commitment
$100K

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

Service providers

Auditor KMPG LLP LOS ANGELES, California, United States
Custodian MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED NEW YROK, New York, United States Related to adviser: No
Custodian U.S. BANK NATIONAL ASSOCIATION LOS ANGELES, California, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

KMPG LLP
PCAOB 185

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SEC 8-7221

U.S. BANK NATIONAL ASSOCIATION
LEI 6BYL5QZYBDK8S7L73M02

Filing source

Form ADV 2066584 · Mar 27, 2026 · Schedule D 7.B.(1), fund 805-8602446907

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
Garrick Ahn Executive
Jeffrey Holdsberg Executive
Michael J. Morgan Executive
James B. Upchurch Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
11766 Wilshire Boulevard, Suite 850 C/O Caltius Capital Management
Los Angeles, CA, 90025