Form D · Commercial

TEI Diversified Income & Opportunity Fund III, LLC

New York, NY · CIK 0001671607

Offering snapshot reported Mar 16, 2018 · SEC filing

Reported sold
$67.3M
Offering amount: $67.3M
Investors reported
707
Form D · investor count
Minimum accepted
$25K
Reported outside-investor minimum
First sale
Apr 12, 2016
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$33.7M$67.3MApr 12, 2016: $2,000,000.00Apr 12, 2016Nov 30, 2017: $2,000,000.00Mar 16, 2018: $67,347,213.00Mar 16, 2018

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.

  • Reported sold$2,000,000 → $67,347,213
  • Reported investors4 → 707

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Mar 16, 2018Amendment$67,347,213$65,347,213vs Nov 30, 2017707SEC filing
Nov 30, 2017Amendment$2,000,000$0vs Apr 12, 20164SEC filing
Apr 12, 2016Initial$2,000,000No comparison4SEC filing

Offering details

Securities
Equity
Exemptions
06b
Duration over one year
Yes
Business combination
No
Sales commissions
$6.37M
Finders' fees
$0
Form D file number
021-261134
Includes Selling Commissions, Placement Fees, Market and Due Diligence Allowance Fees and Wholesaling Fees

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Time Equities Securities LLC114422
Arete Wealth Management, LLC44856
Accretive Wealth Management164341
Advisory Group Equity Services, Ltd.15427
AEGIS Capital Corp.15007
American Portfolios Financial SErvices Inc.112697
Atomi Financial Advisors171787
Cabot Lodge Securities159712
Calton & Associates Inc.20999
Cascade Financial Management Inc.119030
Center Street Securities26898
Choice Asset Management LLC127069
Concorde Investment Services, LLC151604
Crown Capital Securities, L.P.6312
D.H. Hill Securities, LLP41528
DFPG Investments, Inc.155576
Emerson Equity130032
Financial West Investment Group, Inc.16668
Great Point Capital Advisors114203
Halliday Financial31741
IBN Financial Services, Inc.42360
IMS Securities, Inc.35567
Madison Avenue Securities, Inc.23224
Moloney Securities38535
Nationwide Planning Associates, Inc.31029
Newbridge Securities Corporation104065
NHCohen Capital LLC171914
Oak Tree Securities, Inc.18126
Paulson Investment Company LLC5670
Primex Prime Electronic Executions, Inc.29394
Sandlapper Securities, LLC137906
Sunbelt Securities LLC42180
Daniel Investment Associates, LLC157284
Amadeus Wealth Advisors LLC170408
VFG Securities, Inc.15121
Western International Securities39262
Wilmington Capital Securities133839

Source: Form D, filed Mar 16, 2018. 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.

People and organizations reported in Form D filings
NameReported role
Francis Greenburger Executive
Robert Kantor Executive

Issuer details

Industry: Commercial (See others in industry)

Address:
55 Fifth Avenue 15 Th Floor
New York, NY, 10003