Form D · Other Investment Fund

Upper90 Thrasio III SPV LLC

New York, NY · CIK 0001786957

Offering snapshot reported Dec 23, 2019 · SEC filing

Reported sold: $4.95M
Investors reported: 41
Minimum accepted: $5K
First sale: Dec 13, 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$4,226,000 → $4,951,000
Reported investors36 → 41

Filing history

Scroll to see all columns →

Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Dec 23, 2019	Amendment	$4,951,000	$725,000vs Dec 18, 2019	41	SEC filing
Dec 18, 2019	Initial	$4,226,000	No comparison	36	SEC filing

Offering details

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

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-355753

Source: Form D, filed Dec 23, 2019. 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

UPPER90 THRASIO III SPV LLC

Investment adviser: UPPER90 CAPITAL MANAGEMENT, LP

Gross asset value: $63.5M
Beneficial owners: 40
ADV minimum commitment: $5K

Reported in Form ADV on Mar 28, 2023. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator APEX FUND SERVICES (US) LLC CHARLOTTE, North Carolina, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor RICHEY MAY & CO ENGLEWOOD, Colorado, United States

Custodian SILICON VALLEY BANK SANTA CLARA, California, 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

RICHEY MAY & CO
PCAOB 673

Filing source

Form ADV 1731720 · Mar 28, 2023 · Schedule D 7.B.(1), fund 805-8079321434

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
Llc Assure Fund Management Ii	Executive
Richard Thoms	Executive
Llc Upper90 Partners Equity Spv Gp	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

114 West 26th Street
New York, NY, 10001