Form D · Other Investment Fund
UBS Distressed Opportunities Fund III, L.L.C.
New York, NY · CIK 0001480213
Offering snapshot reported Jan 15, 2010 · SEC filing
- Reported sold
- $58.7M Indefinite offering
- Investors reported
- 100 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Nov 2, 2009 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 |
|---|---|---|---|---|---|
| Jan 15, 2010 | Initial | $58,700,000 | No comparison | 100 | SEC filing |
Offering details
- Securities
- Not reported
- Exemptions
- 06, 3C, 3C.1, 3C.7
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $1.17M (estimated)
- Finders' fees
- $0
- Form D file number
- 021-137887
The Placement Fee will be in addition to any Capital Contributions such Member is required to make to the Fund and will not reduce such Member?s Capital Commitment
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| UBS Financial Services Inc. | 8174 | UBS Financial Services Inc. · CRD 8174 |
Source: Form D, filed Jan 15, 2010. 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
ALPHAKEYS DISTRESSED OPPORTUNITIES FUND III, L.L.C.
Investment adviser: ICAPITAL ADVISORS, LLC
- Gross asset value
- $0
- Beneficial owners
- 0
- ADV minimum commitment
- $500K
Reported in Form ADV on Dec 13, 2024. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
Provider details
- Annual audit
- No
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- Yes
UBS FINANCIAL SERVICES INC.
CRD 8174 · SEC 801-7163
Filing source
Form ADV 1920073 · Dec 13, 2024 · Schedule D 7.B.(1), fund 805-7529883716
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 |
|---|---|
| Eric Brotman | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:New York, NY, 10019