Form D · Commercial
HPI Real Estate Opportunity Fund III, LLC
Old Lyme, CT · CIK 0001569017
Offering snapshot reported May 5, 2014 · SEC filing
- Reported sold
- $26.8M Offering amount: $60M
- Investors reported
- 306 Form D · investor count
- Minimum accepted
- $50K Reported outside-investor minimum
- First sale
- Mar 5, 2013 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
- Reported investors0 → 306
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| May 5, 2014 | Amendment | $26,818,858 | No comparison | 306 | SEC filing |
| Feb 20, 2013 | Initial | Yet to sell | No comparison | 0 | SEC filing |
Offering details
- Securities
- Equity
- Exemptions
- 06b
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $4.2M (estimated)
- Finders' fees
- $0
- Form D file number
- 021-192159
The Managing Broker-Dealer will receive sales commissions in an amount up to 7% of the purchase price of units sold, which it will reallow to broker-dealers. The maximum sales commissions possible is $4,200,000 (7% of the total offering price).
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Orchard Securities, LLC | 133378 | |
| ARI Financial Services, Inc. | 137608 | |
| American Independent Securities Group, LLC | 135288 | |
| Berthel, Fisher & Company Financial Services, Inc. | 13609 | |
| Concorde Investment Services, LLC | 151604 | |
| DFPG Investments, Inc. | 155576 | |
| J.P. Turner & Company, L.L.C. | 43177 | |
| Madison Avenue Securities, Inc. | 23224 | |
| PRIMEX | 29394 | |
| Resource Horizons Group LLC | 104368 | |
| Sandlapper Securities, LLC | 137906 | |
| Sunbelt Securities, Inc. | 42180 | |
| Triad Advisors, Inc. | 25803 | |
| VFG Securities, Inc. | 15121 |
Source: Form D, filed May 5, 2014. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
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.
| Name | Reported role |
|---|---|
| Bart D. Giustina | Executive |
| J. David Kelsey | Executive |
| Christopher Melling | Executive |
| Steven Montville | Executive |
| Matthew A. Sharp | Executive |
| Melissa Sheldon | Executive |
Issuer details
Industry: Commercial (See others in industry)
Address:
2 Huntley Road
Old Lyme, CT, 06371
Old Lyme, CT, 06371