Form D · Venture Capital Fund

Ulu Ventures Fund III, L.P.

Palo Alto, CA · CIK 0001793984

Offering snapshot reported Jan 26, 2021 · SEC filing

Reported sold: $122M
Investors reported: 55
Minimum accepted: $0
First sale: Nov 14, 2019

Fundraising history

Reported sold

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$80,780,000 → $122,255,222
Reported investors42 → 55

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Jan 26, 2021	Amendment	$122,255,222	$41,475,222vs Nov 17, 2020	55	SEC filing
Nov 17, 2020	Amendment	$80,780,000	No comparison	42	SEC filing
Nov 13, 2019	Initial	Yet to sell	No comparison	0	SEC filing

Offering details

Securities: Equity, Pooled investment fund
Exemptions: 06b, 3C, 3C.1
Duration over one year: Yes
Business combination: No

Sales commissions: $340K (estimated)
Finders' fees: $0
Form D file number: 021-353298

The responses in this Item 13 include the capital commitment of the General Partner of the Issuer.

Troy Investment Advisors LLC ("Agent") is entitled to a cash fee equal to a percentage of the capital commitments made to the Issuer by investors introduced by Agent.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Troy Investment Advisors LLC	None	Innovation Partners LLC · CRD 146344

Source: Form D, filed Jan 26, 2021. 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

ULU VENTURES FUND III, L.P.

Investment adviser: ULU VENTURES MANAGEMENT COMPANY, LLC

Gross asset value: $85.8M
Beneficial owners: 81
ADV minimum commitment: $0

Reported in Form ADV on Jun 1, 2026. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator SS&C TECHNOLOGIES, INC. SAN FRANCISCO, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor FRANK, RIMERMAN & CO. LLP SAN FRANCISCO, California, United States

Custodian BANK OF AMERICA NATIONAL ASSOCIATION SAN JOSE, California, United States Related to adviser: No

Custodian FIRST-CITIZENS BANK & TRUST COMPANY PALO ALTO, California, United States Related to adviser: No

Custodian JPMORGAN CHASE BANK, NATIONAL ASSOCIATION NEW YORK, New York, United States Related to adviser: No

Custodian J.P. MORGAN SECURITIES LLC 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: No

FRANK, RIMERMAN & CO. LLP
PCAOB 1596

BANK OF AMERICA NATIONAL ASSOCIATION
LEI 254900UJSGYIL5JU7B49

FIRST-CITIZENS BANK & TRUST COMPANY
LEI L9VVX1KT5TFTKS0MLF66

JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
LEI 7H6GLXDRUGQFU57RNE97

J.P. MORGAN SECURITIES LLC
SEC 8-35008

Filing source

Form ADV 2108618 · Jun 1, 2026 · Schedule D 7.B.(1), fund 805-4191837142

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
Name	Reported role
Clint Korver	Director
Miriam Rivera	Director
N/A Ulu Ventures Fund Iii Gp, Llc	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

115 Everett Avenue, Suite 3
Palo Alto, CA, 94301