Form D · Venture Capital Fund

Sozo Ventures III, L.P.

Redwood City, CA · CIK 0001841542

Offering snapshot reported Jan 10, 2022 · SEC filing

Reported sold
$592M
Offering amount: $800M
Investors reported
23
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Apr 7, 2021
As reported in this filing

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 10, 2022Amendment$592,415,615No comparison23SEC filing
Aug 11, 2021Amendment$164,121,953No comparisonNot reportedSEC filing
Apr 6, 2021InitialYet to sellNo comparisonNot reportedSEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
No
Business combination
No
Sales commissions
$4.12M
Finders' fees
$0
Form D file number
021-394827
Paid a success fee based on percetange of committed capital of investors introduced by the selling agent.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
NOMURA SECURITIES INTERNATIONAL, INC.4297

Source: Form D, filed Jan 10, 2022. 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

SOZO VENTURES III, L.P.

Investment adviser: SOZO VENTURES LLC

Gross asset value
$571M
Beneficial owners
32
ADV minimum commitment
$1M

Reported in Form ADV on Mar 24, 2026. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator ADURO ADVISORS, LLC DENVER, Colorado, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor FRANK, RIMERMAN + CO. LLP SAN FRANCISCO, California, United States
Custodian ANCHORAGE DIGITAL BANK SIOUX FALLS, South Dakota, United States Related to adviser: No
Custodian FIRST-CITIZENS BANK & TRUST COMPANY PALO ALTO, California, United States Related to adviser: No
Custodian MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED BOSTON, Massachusetts, United States Related to adviser: No
Marketer NOMURA SECURITIES INTERNATIONAL, INC. NEW YORK, New York, 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

FRANK, RIMERMAN + CO. LLP
PCAOB 1596

FIRST-CITIZENS BANK & TRUST COMPANY
LEI L9VVX1KT5TFTKS0MLF66

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

NOMURA SECURITIES INTERNATIONAL, INC.
CRD 4297 · SEC 801-72991

Filing source

Form ADV 2068166 · Mar 24, 2026 · Schedule D 7.B.(1), fund 805-9335320675

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
Koichiro Nakamura Executive
Phillip Gerald Wickham Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
900 Veterans Blvd., Suite 330
Redwood City, CA, 94063