0001671607-18-000001.txt : 20180316 0001671607-18-000001.hdr.sgml : 20180316 20180316133433 ACCESSION NUMBER: 0001671607-18-000001 CONFORMED SUBMISSION TYPE: D/A PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20180316 DATE AS OF CHANGE: 20180316 EFFECTIVENESS DATE: 20180316 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TEI Diversified Income & Opportunity Fund III, LLC CENTRAL INDEX KEY: 0001671607 IRS NUMBER: 811009402 STATE OF INCORPORATION: DE FISCAL YEAR END: 0116 FILING VALUES: FORM TYPE: D/A SEC ACT: 1933 Act SEC FILE NUMBER: 021-261134 FILM NUMBER: 18695103 BUSINESS ADDRESS: STREET 1: 55 FIFTH AVENUE STREET 2: 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 BUSINESS PHONE: 212-206-6000 MAIL ADDRESS: STREET 1: 55 FIFTH AVENUE STREET 2: 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 D/A 1 primary_doc.xml X0708 D/A LIVE 0001671607 TEI Diversified Income & Opportunity Fund III, LLC 55 FIFTH AVENUE 15TH FLOOR NEW YORK NY NEW YORK 10003 212-206-6000 DELAWARE None None Limited Liability Company true 2016 Robert Kantor 55 Fifth Avenue 15th Floor New York NY NEW YORK 10003 Executive Officer Co-Manager of Manager of Issuer Francis Greenburger 55 Fifth Avenue 15th Floor New York NY NEW YORK 10003 Executive Officer Co-Manager of Manager of Issuer Commercial $25,000,001 - $100,000,000 06b true 0001671607-17-000001 2016-04-12 true true false 25000 Time Equities Securities LLC 114422 None None 55 Fifth Avenue 15th Floor New York NY NEW YORK 10003 CA CALIFORNIA CO COLORADO CT CONNECTICUT FL FLORIDA MA MASSACHUSETTS NV NEVADA NJ NEW JERSEY NY NEW YORK PA PENNSYLVANIA VA VIRGINIA false Arete Wealth Management, LLC 44856 None None 1699 E Woodfield Rd Suite 565 Schaumburg IL ILLINOIS 60173 AL ALABAMA AZ ARIZONA AR ARKANSAS CA CALIFORNIA FL FLORIDA GA GEORGIA IL ILLINOIS IA IOWA KS KANSAS LA LOUISIANA MD MARYLAND MI MICHIGAN MN MINNESOTA MO MISSOURI NE NEBRASKA NV NEVADA NY NEW YORK OH OHIO OK OKLAHOMA OR OREGON SD SOUTH DAKOTA TN TENNESSEE TX TEXAS WA WASHINGTON false Accretive Wealth Management 164341 None None 12657 Alcosta Blvd. Suite 150 San Ramon CA CALIFORNIA 94582 CA CALIFORNIA FL FLORIDA NV NEVADA OH OHIO OR OREGON VA VIRGINIA false Advisory Group Equity Services, Ltd. 15427 None None 444 Washington Street Suite 407 Woburn MA MASSACHUSETTS 01801 MA MASSACHUSETTS NH NEW HAMPSHIRE false AEGIS Capital Corp. 15007 None None 810 7th Ave 18 & 22 floor New York NY NEW YORK 10019 NY NEW YORK true American Portfolios Financial SErvices Inc. 112697 None None 4250 Veterans Memorial Highway 4th Floor East Holbrook NY NEW YORK 11741 AZ ARIZONA CA CALIFORNIA CO COLORADO CT CONNECTICUT FL FLORIDA MN MINNESOTA NJ NEW JERSEY NY NEW YORK ND NORTH DAKOTA SC SOUTH CAROLINA SD SOUTH DAKOTA TX TEXAS UT UTAH VA VIRGINIA false Atomi Financial Advisors 171787 None None 2 Park Plaza Suite 1120 Irvine CA CALIFORNIA 92614 CA CALIFORNIA TX TEXAS false Cabot Lodge Securities 159712 None None 60 Broad Street Suite 3402 New York NY NEW YORK 10004 CA CALIFORNIA KS KANSAS NY NEW YORK false Calton & Associates Inc. 20999 None None 14497 N. Dale Mabry Hwy Suite 215 Tampa FL FLORIDA 33618 TX TEXAS false Cascade Financial Management Inc. 119030 None None 950 17th Street Suite 950 Denver CO COLORADO 80202 AZ ARIZONA CO COLORADO MO MISSOURI TX TEXAS false Center Street Securities 26898 None None 2740 Old Elm Hill Pike Suite 201 Nashville TN TENNESSEE 37214 IN INDIANA false Choice Asset Management LLC 127069 None None 57 Columbus Avvenue Lakewood NJ NEW JERSEY 08701 NJ NEW JERSEY NY NEW YORK false Concorde Investment Services, LLC 151604 None None 1120 East Long Lake Road Suite 100 Troy MI MICHIGAN 48085 CA CALIFORNIA FL FLORIDA MA MASSACHUSETTS NJ NEW JERSEY NY NEW YORK OH OHIO TX TEXAS false Crown Capital Securities, L.P. 6312 None None 725 Town & Country Road Suite 530 Orange CA CALIFORNIA 92868 AZ ARIZONA CA CALIFORNIA CO COLORADO FL FLORIDA KS KANSAS LA LOUISIANA MI MICHIGAN MN MINNESOTA NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA OR OREGON TX TEXAS WI WISCONSIN false D.H. Hill Securities, LLP 41528 None None 1543 Green Oak Place Suite 100 Kingwood TX TEXAS 77339 FL FLORIDA IL ILLINOIS false DFPG Investments, Inc. 155576 None None 406 W. South Jordan Pkwy Suite 240 South Jordan UT UTAH 84095 AL ALABAMA AZ ARIZONA CA CALIFORNIA CO COLORADO CT CONNECTICUT FL FLORIDA GA GEORGIA MO MISSOURI NY NEW YORK TX TEXAS UT UTAH WA WASHINGTON false Emerson Equity 130032 None None 155 Bovet Road Suite 725 San Mateo CA CALIFORNIA 94402 CA CALIFORNIA WA WASHINGTON false Financial West Investment Group, Inc. 16668 None None PO Box 5123 Thousand Oaks CA CALIFORNIA 91359 CO COLORADO VA VIRGINIA false Great Point Capital Advisors 114203 None None 200 West Jackson Blvd Suite 1000 Chicago IL ILLINOIS 60606 CA CALIFORNIA IL ILLINOIS MO MISSOURI NY NEW YORK OH OHIO false Halliday Financial 31741 None None 725 Glen Cove Avenue Glen Head NY NEW YORK 11545 AR ARKANSAS FL FLORIDA NY NEW YORK true IBN Financial Services, Inc. 42360 None None 8035 Oswego Rd Liverpool NY NEW YORK 13090 CA CALIFORNIA FL FLORIDA GA GEORGIA KS KANSAS NJ NEW JERSEY NY NEW YORK PA PENNSYLVANIA SC SOUTH CAROLINA false IMS Securities, Inc. 35567 None None 10205 Westheimer Suite 500 Houston TX TEXAS 77042 NY NEW YORK TX TEXAS false Madison Avenue Securities, Inc. 23224 None None 1505 Avenue of Science Suite 150 San Diego CA CALIFORNIA 92128 CA CALIFORNIA CO COLORADO KS KANSAS MO MISSOURI NJ NEW JERSEY NY NEW YORK NC NORTH CAROLINA OH OHIO PA PENNSYLVANIA TX TEXAS false Moloney Securities 38535 None None 13537 Barrett Parkway Dr. #300 Manchester MO MISSOURI 63021 CA CALIFORNIA IL ILLINOIS NV NEVADA NH NEW HAMPSHIRE NY NEW YORK TX TEXAS WI WISCONSIN false Nationwide Planning Associates, Inc. 31029 None None 115 West Century Road Suite 360 Paramus NJ NEW JERSEY 07652 CA CALIFORNIA NY NEW YORK PA PENNSYLVANIA RI RHODE ISLAND false Newbridge Securities Corporation 104065 None None 5200 Town Center Circle Tower 1 Suite 306 Boca Raton FL FLORIDA 33486 CA CALIFORNIA CT CONNECTICUT NJ NEW JERSEY NY NEW YORK OH OHIO false NHCohen Capital LLC 171914 None None 2 Park Avenue 14th Floor New York NY NEW YORK 10016 AR ARKANSAS CA CALIFORNIA CO COLORADO FL FLORIDA MA MASSACHUSETTS NY NEW YORK NC NORTH CAROLINA OH OHIO false Oak Tree Securities, Inc. 18126 None None 4049 First Street Suite 129 Livermore CA CALIFORNIA 94551-4949 CA CALIFORNIA WA WASHINGTON false Paulson Investment Company LLC 5670 None None 1331 NW Lovejoy Suite 720 Portland OR OREGON 97209-2987 CA CALIFORNIA FL FLORIDA MD MARYLAND MA MASSACHUSETTS NY NEW YORK OK OKLAHOMA OR OREGON TX TEXAS WA WASHINGTON false Primex Prime Electronic Executions, Inc. 29394 None None 45 Knollwood Road 4th Floor Elmsford NY NEW YORK 10523 CA CALIFORNIA FL FLORIDA NY NEW YORK VA VIRGINIA true Sandlapper Securities, LLC 137906 None None 800 E. North Street 2nd Floor Greenville SC SOUTH CAROLINA 29601 CA CALIFORNIA false Sunbelt Securities LLC 42180 None None 5065 Westheimer Suite 600 Houston TX TEXAS 77056 OR OREGON TX TEXAS false Daniel Investment Associates, LLC 157284 None None 923 Saint Vincent Ave Suite B Santa Barbara CA CALIFORNIA 93101c CA CALIFORNIA VA VIRGINIA WA WASHINGTON false Amadeus Wealth Advisors LLC 170408 None None 225 West 34th Street 9th Floor New York NY NEW YORK 10122 CA CALIFORNIA false VFG Securities, Inc. 15121 None None 100 Corporate Pointe Suite 382 Culver City CA CALIFORNIA 90230-7612 MI MICHIGAN TX TEXAS false Western International Securities 39262 None None 70 South Lake Avenue Suite 700 Pasadena CA CALIFORNIA 91101c CA CALIFORNIA false Wilmington Capital Securities 133839 None None 600 Old Country Road Suite 200 Garden City NY NEW YORK 11530 CA CALIFORNIA ID IDAHO NY NEW YORK true 67347213 67347213 0 false 707 6367364 0 Includes Selling Commissions, Placement Fees, Market and Due Diligence Allowance Fees and Wholesaling Fees 0 true Time Equities, Inc., the sole member of Time Equities Securities LLC, will be entitled to acquisition, management and other fees as set forth in the Confidential Private Placement Memorandum for this offering. false TEI Diversified Income & Opportunity Fund III, LLC Robert Kantor Robert Kantor President of Manager of Issuer 2018-03-16