The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. The reader should not assume that the information is accurate and complete. |
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM D
Notice of Exempt Offering of Securities
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OMB APPROVAL |
OMB Number: |
3235-0076 |
Estimated average burden |
hours per response: |
4.00 |
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1. Issuer's Identity
CIK (Filer ID Number) |
Previous Names |
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Entity Type |
0001894604 |
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Corporation |
X |
Limited Partnership |
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Limited Liability Company |
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General Partnership |
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Business Trust |
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Other (Specify) |
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Name of Issuer |
Griffin Capital Qualified Opportunity Zone Fund III, L.P. |
Jurisdiction of Incorporation/Organization |
DELAWARE |
Year of Incorporation/Organization |
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Over Five Years Ago |
X |
Within Last Five Years (Specify Year) |
2021 |
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Yet to Be Formed |
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2. Principal Place of Business and Contact Information
Name of Issuer |
Griffin Capital Qualified Opportunity Zone Fund III, L.P. |
Street Address 1 |
Street Address 2 |
GRIFFIN CAPITAL PLAZA |
266 KANSAS STREET |
City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
EL SEGUNDO |
CALIFORNIA |
90245 |
(310) 469-6100 |
3. Related Persons
Last Name |
First Name |
Middle Name |
Shields |
Kevin |
A. |
Street Address 1 |
Street Address 2 |
Griffin Capital Plaza |
266 Kansas Street |
City |
State/Province/Country |
ZIP/PostalCode |
El Segundo |
CALIFORNIA |
90245 |
Relationship: |
X |
Executive Officer |
|
Director |
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Promoter |
Clarification of Response (if Necessary):
Chief Executive Officer of the General Partner of the Issuer
Last Name |
First Name |
Middle Name |
Griffin Capital Company, LLC |
N/A |
Street Address 1 |
Street Address 2 |
Griffin Capital Plaza |
266 Kansas Street |
City |
State/Province/Country |
ZIP/PostalCode |
El Segundo |
CALIFORNIA |
90245 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Sponsor of the Issuer
Last Name |
First Name |
Middle Name |
Griffin Capital QOZ III, LLC |
N/A |
Street Address 1 |
Street Address 2 |
Griffin Capital Plaza |
266 Kansas Street |
City |
State/Province/Country |
ZIP/PostalCode |
El Segundo |
CALIFORNIA |
90245 |
Relationship: |
X |
Executive Officer |
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Director |
|
Promoter |
Clarification of Response (if Necessary):
General Partner of the Issuer
4. Industry Group
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Agriculture |
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Banking & Financial Services |
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Commercial Banking |
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Insurance |
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Investing |
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Investment Banking |
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Pooled Investment Fund |
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Is the issuer registered as an investment company under the Investment Company Act of 1940? |
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Other Banking & Financial Services |
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Business Services |
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Energy |
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Health Care |
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Manufacturing |
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Real Estate |
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Retailing |
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Restaurants |
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Technology |
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Travel |
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Tourism & Travel Services |
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Other |
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5. Issuer Size
Revenue Range |
OR |
Aggregate Net Asset Value Range |
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No Revenues |
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No Aggregate Net Asset Value |
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$1 - $1,000,000 |
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$1 - $5,000,000 |
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$1,000,001 - $5,000,000 |
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$5,000,001 - $25,000,000 |
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$5,000,001 - $25,000,000 |
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$25,000,001 - $50,000,000 |
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$25,000,001 - $100,000,000 |
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$50,000,001 - $100,000,000 |
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Over $100,000,000 |
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Over $100,000,000 |
X |
Decline to Disclose |
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Decline to Disclose |
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Not Applicable |
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Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
| |
Rule 504(b)(1) (not (i), (ii) or (iii)) |
| |
Rule 504 (b)(1)(i) |
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Rule 504 (b)(1)(ii) |
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Rule 504 (b)(1)(iii) |
| X |
Rule 506(b) |
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Rule 506(c) |
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Securities Act Section 4(a)(5) |
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X |
Investment Company Act Section 3(c) |
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Section 3(c)(1) |
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Section 3(c)(9) |
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Section 3(c)(2) |
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Section 3(c)(10) |
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Section 3(c)(3) |
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Section 3(c)(11) |
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Section 3(c)(4) |
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Section 3(c)(12) |
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X |
Section 3(c)(5) |
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Section 3(c)(13) |
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Section 3(c)(6) |
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Section 3(c)(14) |
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7. Type of Filing
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New Notice |
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Date of First Sale |
2021-12-06 |
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First Sale Yet to Occur |
X |
Amendment |
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? |
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9. Type(s) of Securities Offered (select all that apply)
X |
Equity |
X |
Pooled Investment Fund Interests |
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Debt |
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Tenant-in-Common Securities |
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Option, Warrant or Other Right to Acquire Another Security |
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Mineral Property Securities |
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Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
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Other (describe) |
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10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
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Clarification of Response (if Necessary):
11. Minimum Investment
Minimum investment accepted from any outside investor |
$150,000
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USD |
12. Sales Compensation
Recipient |
Recipient CRD Number |
|
None |
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Marc Seeherman |
1131557 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
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None |
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Calton & Associates, Inc. |
20999 |
Street Address 1 |
Street Address 2 |
32 West 40th Street |
7th Floor |
City |
State/Province/Country |
ZIP/Postal Code |
New York |
NEW YORK |
10018 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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FLORIDA |
MICHIGAN |
NEW JERSEY |
|
Recipient |
Recipient CRD Number |
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None |
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Billy Aycock |
4069907 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Center Street Securities Inc. |
26898 |
Street Address 1 |
Street Address 2 |
2 International Plaza |
Suite 301 |
City |
State/Province/Country |
ZIP/Postal Code |
Nashville |
TENNESSEE |
37217 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Betty Friant |
2122446 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
|
None |
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Growth Capital Services, Inc. |
124658 |
Street Address 1 |
Street Address 2 |
1101 Pennsylvania Avenue NW |
Suite 300 |
City |
State/Province/Country |
ZIP/Postal Code |
Washington |
DISTRICT OF COLUMBIA |
20004 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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Recipient |
Recipient CRD Number |
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None |
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Mark Baran |
870541 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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McDermott Investment Services LLC |
154926 |
Street Address 1 |
Street Address 2 |
44 East Broad Street |
2nd Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Bethlehem |
PENNSYLVANIA |
18018 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Colette Frey-Bitzas |
2040840 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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American Portfolios Financial Services, Inc. |
18487 |
Street Address 1 |
Street Address 2 |
4250 Veterans Memorial Highway |
Suite 100E |
City |
State/Province/Country |
ZIP/Postal Code |
Holbrook |
NEW YORK |
11741 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Taher Gilani |
2381502 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Calton & Associates, Inc. |
20999 |
Street Address 1 |
Street Address 2 |
8304 Briarwood Lane |
City |
State/Province/Country |
ZIP/Postal Code |
Austin |
TEXAS |
78757 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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Recipient |
Recipient CRD Number |
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None |
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David Funes |
5467419 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Thornhill Securities, Inc. |
22333 |
Street Address 1 |
Street Address 2 |
400 W. 15th Street |
Suite 700 |
City |
State/Province/Country |
ZIP/Postal Code |
Austin |
TEXAS |
78701 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Amr Tenney |
5506866 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Thornhill Securities, Inc. |
22333 |
Street Address 1 |
Street Address 2 |
400 W. 15th Street |
Suite 700 |
City |
State/Province/Country |
ZIP/Postal Code |
Austin |
TEXAS |
78701 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Eugene Cindrich |
2444041 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Advisory Group Equity Services Ltd |
15427 |
Street Address 1 |
Street Address 2 |
10 Phoenix Row |
City |
State/Province/Country |
ZIP/Postal Code |
Haverhill |
MASSACHUSETTS |
01832 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Michael Petter |
4341091 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Calton & Associates Inc. |
20999 |
Street Address 1 |
Street Address 2 |
62 La Escalera |
City |
State/Province/Country |
ZIP/Postal Code |
San Antonio |
TEXAS |
78261 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Independent Financial Group, LLC |
7717 |
(Associated) Broker or Dealer |
X |
None |
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(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
12671 High Bluff Drive |
Suite 200 |
City |
State/Province/Country |
ZIP/Postal Code |
San Diego |
CALIFORNIA |
92130 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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|
ARIZONA |
CALIFORNIA |
COLORADO |
FLORIDA |
MARYLAND |
MASSACHUSETTS |
MONTANA |
NEVADA |
PENNSYLVANIA |
TEXAS |
UTAH |
VIRGINIA |
WASHINGTON |
WISCONSIN |
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Recipient |
Recipient CRD Number |
|
None |
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Lincoln Financial Advisors Corporation |
3978 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
1301 South Harrison Street |
City |
State/Province/Country |
ZIP/Postal Code |
Fort Wayne |
INDIANA |
46802 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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|
CALIFORNIA |
DISTRICT OF COLUMBIA |
FLORIDA |
GEORGIA |
IDAHO |
MARYLAND |
NEW YORK |
NORTH CAROLINA |
OHIO |
PENNSYLVANIA |
TEXAS |
UTAH |
VIRGINIA |
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Recipient |
Recipient CRD Number |
|
None |
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Ivan West |
4921015 |
(Associated) Broker or Dealer |
|
None |
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(Associated) Broker or Dealer CRD Number |
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None |
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American Trust Investment Services, Inc. |
3001 |
Street Address 1 |
Street Address 2 |
4722 Main Street |
City |
State/Province/Country |
ZIP/Postal Code |
Lisle |
ILLINOIS |
60532 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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|
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Recipient |
Recipient CRD Number |
|
None |
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Elias Pritsoulis |
2568434 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
A.G.P. / Alliance Global Partners |
8361 |
Street Address 1 |
Street Address 2 |
590 Madison Avenue |
28th Floor |
City |
State/Province/Country |
ZIP/Postal Code |
New York |
NEW YORK |
10022 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
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Recipient |
Recipient CRD Number |
|
None |
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Betty Friant |
2122446 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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FNEX Capital, LLC |
166316 |
Street Address 1 |
Street Address 2 |
21515 Hawthorne Boulevard |
Suite 360 |
City |
State/Province/Country |
ZIP/Postal Code |
Torrance |
CALIFORNIA |
90503 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
KANSAS |
MARYLAND |
MISSOURI |
WEST VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
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DFPG Investments, LLC |
155576 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
9017 S. Riverside Drive |
Suite 210 |
City |
State/Province/Country |
ZIP/Postal Code |
Sandy |
UTAH |
84070 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
CALIFORNIA |
COLORADO |
MISSOURI |
PENNSYLVANIA |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Cambridge Investment Research, Inc. |
39543 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
1776 Pleasant Plain Road |
City |
State/Province/Country |
ZIP/Postal Code |
Fairfield |
IOWA |
52556 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
COLORADO |
FLORIDA |
INDIANA |
MASSACHUSETTS |
MICHIGAN |
NEW HAMPSHIRE |
NORTH CAROLINA |
OHIO |
OKLAHOMA |
PENNSYLVANIA |
RHODE ISLAND |
TENNESSEE |
TEXAS |
VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
John A. Doane |
4083486 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Advisory Group Equity Services Ltd. |
15427 |
Street Address 1 |
Street Address 2 |
33 Hilltop Drive |
City |
State/Province/Country |
ZIP/Postal Code |
Wenham |
MASSACHUSETTS |
01984 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Brian Armstrong |
2895592 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Skyway Capital Markets, LLC |
124630 |
Street Address 1 |
Street Address 2 |
100 North Tampa Street |
Suite 3550 |
City |
State/Province/Country |
ZIP/Postal Code |
Tampa |
FLORIDA |
33602 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Mark Herding |
2239357 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Harbour Investments, Inc. |
19258 |
Street Address 1 |
Street Address 2 |
4648 N. 32nd Street |
City |
State/Province/Country |
ZIP/Postal Code |
Phoenix |
ARIZONA |
85016 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Rodney Ibrahim |
4358176 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
A.G.P./Alliance Global Partners |
8361 |
Street Address 1 |
Street Address 2 |
40 Wall Street |
City |
State/Province/Country |
ZIP/Postal Code |
New York |
NEW YORK |
10005 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Alex Ruggieri |
1685884 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
NexTrend Securities, Inc. |
43710 |
Street Address 1 |
Street Address 2 |
1801 Woodfield Drive |
City |
State/Province/Country |
ZIP/Postal Code |
Savoy |
ILLINOIS |
61874 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Andrew Zorovich |
2753501 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
American Portfolios Financial Services, Inc. |
18487 |
Street Address 1 |
Street Address 2 |
200 Clinton Avenue West |
Suite 701 |
City |
State/Province/Country |
ZIP/Postal Code |
Huntsville |
ALABAMA |
35801 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Purshe Kaplan Sterling Investments |
35747 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
80 State Street |
City |
State/Province/Country |
ZIP/Postal Code |
Albany |
NEW YORK |
12207 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
CONNECTICUT |
FLORIDA |
MICHIGAN |
NEVADA |
NEW JERSEY |
NEW YORK |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Joshua P. Jones |
5139521 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
MHL Investments |
2535 |
Street Address 1 |
Street Address 2 |
Everspire Plaza |
6900 S. 900 E., Suite 200 |
City |
State/Province/Country |
ZIP/Postal Code |
Midvale |
UTAH |
84047 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Daniel Goodwin |
5752768 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
AAG Capital, Inc. |
188 |
Street Address 1 |
Street Address 2 |
2211 Ashley Oaks Circle |
City |
State/Province/Country |
ZIP/Postal Code |
Wesley Chapel |
FLORIDA |
33544 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Lewis Baker |
2543651 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Arete Wealth Management, LLC |
44856 |
Street Address 1 |
Street Address 2 |
8607 Cedar Street |
City |
State/Province/Country |
ZIP/Postal Code |
Silver Spring |
MARYLAND |
20910 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Andrew Dorr |
5297867 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Arete Wealth Management, LLC |
44856 |
Street Address 1 |
Street Address 2 |
6600 Westown Parkway |
Suite 190 |
City |
State/Province/Country |
ZIP/Postal Code |
West Des Moines |
IOWA |
50266 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Joseph Michaletz |
1327534 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
DAI Securities, LLC |
36673 |
Street Address 1 |
Street Address 2 |
150 St. Andrews Court |
Suite 210 |
City |
State/Province/Country |
ZIP/Postal Code |
Mankato |
MINNESOTA |
56001 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Michael O'Toole |
6336251 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
DAI Securities, LLC |
36673 |
Street Address 1 |
Street Address 2 |
150 St. Andrews Court |
Suite 210 |
City |
State/Province/Country |
ZIP/Postal Code |
Mankato |
MINNESOTA |
56001 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Emerson Equity LLC |
130032 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
155 Bovet Road |
Suite 725 |
City |
State/Province/Country |
ZIP/Postal Code |
San Mateo |
CALIFORNIA |
94402 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
CALIFORNIA |
DELAWARE |
FLORIDA |
NEW HAMPSHIRE |
|
Recipient |
Recipient CRD Number |
|
None |
|
Concorde Investment Services, LLC |
151604 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
19500 Victor Parkway |
Suite 550 |
City |
State/Province/Country |
ZIP/Postal Code |
Livonia |
MICHIGAN |
48152 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
FLORIDA |
MAINE |
MASSACHUSETTS |
NEVADA |
NORTH DAKOTA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Joel Spolin |
7268801 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
McDermott Investment Services, LLC |
154926 |
Street Address 1 |
Street Address 2 |
44 East Broad Street |
2nd Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Bethlehem |
PENNSYLVANIA |
18018 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Kyle Kadish |
4864706 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Advisory Group Equity Services Ltd |
15427 |
Street Address 1 |
Street Address 2 |
24 Mitchell Pond Road |
City |
State/Province/Country |
ZIP/Postal Code |
Windham |
NEW HAMPSHIRE |
03087 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
FLORIDA |
MASSACHUSETTS |
NEW HAMPSHIRE |
|
Recipient |
Recipient CRD Number |
|
None |
|
James Parry |
1877092 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Arkadios Capital |
282710 |
Street Address 1 |
Street Address 2 |
2591 Dallas Parkway |
#300 |
City |
State/Province/Country |
ZIP/Postal Code |
Frisco |
TEXAS |
75034 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Brittany Slater-Gautreau |
4885737 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
American Trust Investment Services, Inc. |
3001 |
Street Address 1 |
Street Address 2 |
501 N. El Camino Real |
#211 |
City |
State/Province/Country |
ZIP/Postal Code |
San Clemente |
CALIFORNIA |
92672 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Mazal Yahezkely |
5253186 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
IDB Capital Corp. |
106032 |
Street Address 1 |
Street Address 2 |
18851 NE 29th Avenue |
Suite 600 |
City |
State/Province/Country |
ZIP/Postal Code |
Aventura |
FLORIDA |
33180 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Nicholas Erwin |
4794584 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
USCA Securities LLC |
103789 |
Street Address 1 |
Street Address 2 |
4444 Westheimer |
Suite G500 |
City |
State/Province/Country |
ZIP/Postal Code |
Houston |
TEXAS |
77027 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Joseph Bench |
1052104 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Aegis Capital Corp. |
15007 |
Street Address 1 |
Street Address 2 |
80000 Maryland Avenue |
Suite 1031 |
City |
State/Province/Country |
ZIP/Postal Code |
Clayton |
MISSOURI |
63105 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Trawnegan Gall |
6266415 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Wealthforge Securities, LLC |
152550 |
Street Address 1 |
Street Address 2 |
130 N. Preston Road |
Suite 238 |
City |
State/Province/Country |
ZIP/Postal Code |
Prosper |
TEXAS |
75078 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
NORTH CAROLINA |
TENNESSEE |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Jonathan Rotz |
4427791 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Arkadios Capital |
282710 |
Street Address 1 |
Street Address 2 |
2591 Dallas Parkway |
#300 |
City |
State/Province/Country |
ZIP/Postal Code |
Frisco |
TEXAS |
75034 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Larry Crosthwaite |
3083003 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Benjamin F. Edwards & Company, Inc. |
146936 |
Street Address 1 |
Street Address 2 |
771 Corporate Drive |
Suite 605 |
City |
State/Province/Country |
ZIP/Postal Code |
Lexington |
KENTUCKY |
40503 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
James Temple |
7084089 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Wealthforge Securities, LLC |
152550 |
Street Address 1 |
Street Address 2 |
738 E. Chapman Avenue |
City |
State/Province/Country |
ZIP/Postal Code |
Orange |
CALIFORNIA |
92866 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jason Pueschel |
2257351 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Patrick Capital Markets, LLC |
16518 |
Street Address 1 |
Street Address 2 |
11152 South Towne Square |
City |
State/Province/Country |
ZIP/Postal Code |
St. Louis |
MISSOURI |
63123 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jeff Lewis |
1744218 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Advisory Group Equity Services Ltd. |
15427 |
Street Address 1 |
Street Address 2 |
10-12 Phoenix Row |
Suite 3 |
City |
State/Province/Country |
ZIP/Postal Code |
Haverhill |
MASSACHUSETTS |
01832 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Salvatore Cocivera |
1942283 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
American Portfolios Financial Services, Inc. |
18487 |
Street Address 1 |
Street Address 2 |
4B Eves Drive |
Suite 100 |
City |
State/Province/Country |
ZIP/Postal Code |
Marlton |
NEW JERSEY |
08053 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
NEW JERSEY |
NEW YORK |
PENNSYLVANIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Bryce Hamilton |
4296113 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Kingswood Capital Partners, LLC |
288898 |
Street Address 1 |
Street Address 2 |
26364 Carmel Rancho Lane |
#200 |
City |
State/Province/Country |
ZIP/Postal Code |
Carmel By The Sea |
CALIFORNIA |
93923 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Carmine Galimi |
3265523 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
FNEX Capital, LLC |
166316 |
Street Address 1 |
Street Address 2 |
One Indiana Square |
Suite 2252 |
City |
State/Province/Country |
ZIP/Postal Code |
Indianapolis |
INDIANA |
46204 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Ryan Tucker |
6138767 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
MHL Investments |
2535 |
Street Address 1 |
Street Address 2 |
Everspire Plaza 6900 S. 900 East |
Suite 200 |
City |
State/Province/Country |
ZIP/Postal Code |
Midvale |
UTAH |
84047 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
David Levinson |
705929 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
American Trust Investment Services, Inc. |
3001 |
Street Address 1 |
Street Address 2 |
4722 Main Street |
City |
State/Province/Country |
ZIP/Postal Code |
Lisle |
ILLINOIS |
60532 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Rhett Grimes |
6283241 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Kingswood Capital Partners, LLC |
288898 |
Street Address 1 |
Street Address 2 |
11440 W. Bernardo Court |
Suite 300 |
City |
State/Province/Country |
ZIP/Postal Code |
San Diego |
CALIFORNIA |
92127 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
James Schrack |
2620270 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Center Street Securities, Inc. |
26898 |
Street Address 1 |
Street Address 2 |
12319 E. Broadway |
City |
State/Province/Country |
ZIP/Postal Code |
Spokane Valley |
WASHINGTON |
99216 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Sudhir Pai |
5928622 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Saxony Securities, Inc. |
115547 |
Street Address 1 |
Street Address 2 |
4512 Legacy Drive |
Suite 100 |
City |
State/Province/Country |
ZIP/Postal Code |
Plano |
TEXAS |
75024 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Richard Chess |
1127716 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Crescent Securities Group, Inc. |
114993 |
Street Address 1 |
Street Address 2 |
4975 Preston Park Boulevard |
Suite 820 |
City |
State/Province/Country |
ZIP/Postal Code |
Plano |
TEXAS |
75093 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Lincoln Financial Securities Corporation |
3870 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
1301 South Harrison Street |
City |
State/Province/Country |
ZIP/Postal Code |
Fort Wayne |
INDIANA |
46802 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
FLORIDA |
TEXAS |
VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Michael Lytle |
2471291 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
American Portfolios Financial Services, Inc. |
18487 |
Street Address 1 |
Street Address 2 |
43 North Broad Street |
City |
State/Province/Country |
ZIP/Postal Code |
Canfield |
OHIO |
44406 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
David Rhodes |
2620006 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cetera Advisor Networks LLC |
13572 |
Street Address 1 |
Street Address 2 |
1920 W. Villa Maria |
Suite 307 |
City |
State/Province/Country |
ZIP/Postal Code |
Bryan |
TEXAS |
77807 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Centaurus Financial, Inc. |
30833 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
2300 E. Katella Avenue |
Suite #200 |
City |
State/Province/Country |
ZIP/Postal Code |
Anaheim |
CALIFORNIA |
92806 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALABAMA |
CALIFORNIA |
FLORIDA |
NEW MEXICO |
OREGON |
UTAH |
|
Recipient |
Recipient CRD Number |
|
None |
|
Robert Schmidt |
6920482 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Realized Financial, Inc. |
22333 |
Street Address 1 |
Street Address 2 |
400 W. 15th Street |
Suite 700 |
City |
State/Province/Country |
ZIP/Postal Code |
Austin |
TEXAS |
78701 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Bruce Woodruff |
472315 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cetera Advisor Networks LLC |
13572 |
Street Address 1 |
Street Address 2 |
3101 Maguire Boulevard |
Suite 256 |
City |
State/Province/Country |
ZIP/Postal Code |
Orlando |
FLORIDA |
32803 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
13. Offering and Sales Amounts
Total Offering Amount |
$500,000,000
|
USD |
|
Total Amount Sold |
$382,458,793
|
USD |
Total Remaining to be Sold |
$117,541,207
|
USD |
|
Clarification of Response (if Necessary):
Regarding Item 11, the Issuer may accept smaller investments in the Issuer's sole discretion.14. Investors
|
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering. |
|
|
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: |
|
15. Sales Commissions & Finder's Fees Expenses
Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
Sales Commissions |
$16,250,000
|
USD |
|
Finders' Fees |
$0
|
USD |
|
Clarification of Response (if Necessary):
Sales Commissions include estimates of the maximum amount of Selling Commissions, Dealer Fees and Placement Agent Fees that may be paid.16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
Clarification of Response (if Necessary):
Item 16 is an estimate of acquisition fees, reimbursements for certain acquisition and financing costs, and offering and organizational expenses that may accrue to one or more Related Persons.Signature and Submission
Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.
Terms of Submission
In submitting this notice, each issuer named above is: |
- Notifying the SEC and/or each State in which this notice is filed of the offering of
securities described and undertaking to furnish them, upon written request, in the accordance with applicable
law, the information furnished to offerees.*
- Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator
or other legally designated officer of the State in which the issuer maintains its principal
place of business and any State in which this notice is filed, as its agents for service of
process, and agreeing that these persons may accept service on its behalf, of any notice,
process or pleading, and further agreeing that such service may be made by registered or
certified mail, in any Federal or state action, administrative proceeding, or arbitration
brought against the issuer in any place subject to the jurisdiction of the United States, if the
action, proceeding or arbitration (a) arises out of any activity in connection with the
offering of securities that is the subject of this notice, and (b) is founded, directly or
indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange
Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the
Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii)
the laws of the State in which the issuer maintains its principal place of business or any State
in which this notice is filed.
- Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) or Rule 506(d).
|
Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.
For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.
Issuer |
Signature |
Name of Signer |
Title |
Date |
Griffin Capital Qualified Opportunity Zone Fund III, L.P. |
/s/ Daniel Snell |
Daniel Snell |
Chief Financial Officer of the Sponsor of the Issuer |
2023-06-15 |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
* This undertaking does not affect any limits Section 102(a) of the National Securities Markets
Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to
require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes
of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot
routinely require offering materials under this undertaking or otherwise and can require offering materials only to the
extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.