Form D · Private Equity Fund
TowerBrook Structured Opportunities Fund III (OS), L.P.
New York, NY · CIK 0001939497
Offering snapshot reported Aug 9, 2023 · SEC filing
- Reported sold
- $209M Indefinite offering
- Investors reported
- 37 Form D · investor count
- Minimum accepted
- $1 Reported outside-investor minimum
- First sale
- Sep 21, 2022 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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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Aug 9, 2023 | Amendment | $209,401,884 | No comparison | 37 | SEC filing |
Offering details
- Securities
- Equity, Pooled investment fund
- Exemptions
- 06b, 3C, 3C.7
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $2.31M (estimated)
- Finders' fees
- $0
- Form D file number
- 021-455392
Total Amount Sold and number of investors in Item 14 apply to the Issuer and certain related entities.
TowerBrook Financial, LP is compensated on a cost-plus basis by an affiliate of the investment man. of the Issuer. Sales comms. represent an estimate to be paid to UBS Securities LLC over time for sales of interests in the Issuer and/or related entities.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| TowerBrook Financial, L.P. | 155535 | |
| UBS Securities LLC | 7654 |
Source: Form D, filed Aug 9, 2023. 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
TOWERBROOK STRUCTURED OPPORTUNITIES FUND III (OS), L.P.
Investment adviser: TOWERBROOK CAPITAL PARTNERS L.P.
- Gross asset value
- $50M
- Beneficial owners
- 1
- ADV minimum commitment
- $10M
Reported in Form ADV on Sep 2, 2024. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- Yes
PRICEWATERHOUSECOOPERS LLP
PCAOB 238
TOWERBROOK FINANCIAL, L.P.
CRD 155535 · SEC 8-68721
Filing source
Form ADV 1895620 · Sep 2, 2024 · Schedule D 7.B.(1), fund 805-7555358845
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 |
|---|---|
| Filippo John Cardini | Promoter |
| Neal Moszkowski | Director, Promoter |
| Ramez Farid Sousou | Director, Promoter |
| Tower Brook Investors, Ltd. | Promoter |
| Tower Brook Tso Iii Gp (Alberta), L.P. | Promoter |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:New York, NY, 10022