Form D · Hedge Fund
III Futures Neural Network L.P.
Manakin Sabot, VA · CIK 0001478325
Offering snapshot reported Mar 6, 2012 · SEC filing
- Reported sold
- $6.18M Indefinite offering
- Investors reported
- 9 Form D · investor count
- Minimum accepted
- $100K Reported outside-investor minimum
- First sale
- Nov 1, 2009 As reported in this filing
Fundraising history
Reported soldDates 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$5,905,457 → $6,183,457
- Reported investors8 → 9
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Mar 6, 2012 | Amendment | $6,183,457 | $278,000vs Apr 20, 2011 | 9 | SEC filing |
| Apr 20, 2011 | Amendment | $5,905,457 | $626,000vs Dec 11, 2009 | 8 | SEC filing |
| Dec 11, 2009 | Initial | $5,279,457 | No comparison | 4 | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 06, 3C, 3C.7
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-136857
The General Partner may compensate any registered broker-dealer by payment of a portion of their management fee / or profit share.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| AVM, L.P. | 16710 | |
| James River Securities Corp. | 38477 |
Source: Form D, filed Mar 6, 2012. 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
III FUTURES NEURAL NETWORK L.P.
Investment adviser: III CAPITAL MANAGEMENT
- Gross asset value
- Not reported
- Beneficial owners
- Not reported
- ADV minimum commitment
- Not reported
Reported in Form ADV on Mar 30, 2012. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
No provider names available in this fund's imported disclosure.
Provider details
- Annual audit
- Not reported
- Prime brokers
- Not reported
- Custodians
- Not reported
- Administrator other than the adviser
- Not reported
- External marketing
- Not reported
Filing source
Form ADV 635536 · Mar 30, 2012 · Schedule D 7.B.(1), fund 805-6360341063
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.
| Name | Reported role |
|---|---|
| Kevin M. Brandt | Director |
| John Cieslowski | Executive |
| Lester Coyle | Executive |
| Francis Feeney | Executive |
| Garth Friesen | Executive |
| Robert Hart | Executive |
| N/A Iii Associates | Promoter |
| N/A James River Capital Corp. | Promoter |
| N/A James River Financial Corp. | Promoter |
| William P Mc Cauley | Executive |
| Bill Mc Cauley | Executive |
| Laura Mc Grath | Director, Executive |
| Warren B Mosler | Executive |
| Robert Printz | Executive |
| Michael Reger | Executive |
| Paul Saunders | Director, Executive |
| Sanjiv Sharma | Executive |
| Clifford Viner | Executive |
| Scott Wyler | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Manakin Sabot, VA, 23103