Form D · Private Equity Fund
RiverRock Investment Fund III, LP
Houston, TX · CIK 0001524875
Offering snapshot reported Apr 24, 2012 · SEC filing
- Reported sold
- $5.45M Offering amount: $150M
- Investors reported
- 34 Form D · investor count
- Minimum accepted
- $100K Reported outside-investor minimum
- First sale
- Jul 1, 2011 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$5,216,260 → $5,446,260
- Reported investors28 → 34
- Minimum accepted$25,000 → $100,000
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Apr 24, 2012 | Amendment | $5,446,260 | $230,000vs Mar 2, 2012 | 34 | SEC filing |
| Mar 2, 2012 | Amendment | $5,216,260 | $3,160,000vs Jul 5, 2011 | 28 | SEC filing |
| Jul 5, 2011 | Initial | $2,056,260 | No comparison | 4 | SEC filing |
Offering details
- Securities
- Equity, Pooled investment fund
- Exemptions
- 06, 3C, 3C.1
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $16.3K (estimated)
- Finders' fees
- $0 (estimated)
- Form D file number
- 021-162291
Minimum Investment in Item 11 may be reduced at the discretion of the General Partner.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Charles Bingham | 4877997 | Sunbelt Securities, Inc. · CRD 42180 |
| William Howard | 5578891 | Sunbelt Securities, Inc. · CRD 42180 |
| James Reddish | 5184697 | Sunbelt Securities, Inc. · CRD 42180 |
| Raymond Miller | 856248 | Sunbelt Securities, Inc. · CRD 42180 |
| Sunbelt Securities, Inc. | 42180 | Sunbelt Securities, Inc. · CRD 42180 |
Source: Form D, filed Apr 24, 2012. 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 |
|---|---|
| James T. Hickey | Promoter |
| Jon N/A Osborne | Promoter |
| N/A N/A River Rock Investment Management Iii, Llc | Director, Executive |
| N/A N/A River Rock Trust, Llc | Promoter |
| Gabe N/A Siegel | Promoter |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Houston, TX, 77027