Form D Raw Data - Electronic Filing Depository

EFDID: 423015EFD: Raw Data

Issuer: Griffin Capital Qualified Opportunity Zone Fund III, L.P. (0001894604) - D/A

Accession: 0001894604-24-000001 () (EDGAR Files) (Form D)

Edgar Posted: Jan. 12, 2024
EFD Posted: Jan. 12, 2024

- < edgarSubmission >

< schemaVersion > X0708 </ schemaVersion >

< submissionType > D/A </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001894604 </ cik >

< entityName > Griffin Capital Qualified Opportunity Zone Fund III, L.P. </ entityName >

- < issuerAddress >

< street1 > GRIFFIN CAPITAL PLAZA </ street1 >

< street2 > 266 KANSAS STREET </ street2 >

< city > EL SEGUNDO </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90245 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > (310) 469-6100 </ issuerPhoneNumber >

< jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Limited Partnership </ entityType >

- < yearOfInc >

< withinFiveYears > true </ withinFiveYears >

< value > 2021 </ value >

</ yearOfInc >

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< firstName > Kevin </ firstName >

< middleName > A. </ middleName >

< lastName > Shields </ lastName >

</ relatedPersonName >

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< street1 > Griffin Capital Plaza </ street1 >

< street2 > 266 Kansas Street </ street2 >

< city > El Segundo </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90245 </ zipCode >

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- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Chief Executive Officer of the General Partner of the Issuer </ relationshipClarification >

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- < relatedPersonInfo >

- < relatedPersonName >

< firstName > N/A </ firstName >

< lastName > Griffin Capital Company, LLC </ lastName >

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< street1 > Griffin Capital Plaza </ street1 >

< street2 > 266 Kansas Street </ street2 >

< city > El Segundo </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90245 </ zipCode >

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< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Sponsor of the Issuer </ relationshipClarification >

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- < relatedPersonName >

< firstName > N/A </ firstName >

< lastName > Griffin Capital QOZ III, LLC </ lastName >

</ relatedPersonName >

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< street1 > Griffin Capital Plaza </ street1 >

< street2 > 266 Kansas Street </ street2 >

< city > El Segundo </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90245 </ zipCode >

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< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > General Partner of the Issuer </ relationshipClarification >

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< industryGroupType > Other Real Estate </ industryGroupType >

</ industryGroup >

- < issuerSize >

< revenueRange > Decline to Disclose </ revenueRange >

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< item > 06b </ item >

< item > 3C </ item >

< item > 3C.5 </ item >

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- < typeOfFiling >

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< isAmendment > true </ isAmendment >

< previousAccessionNumber > 0001894604-23-000013 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2021-12-06 </ value >

</ dateOfFirstSale >

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- < durationOfOffering >

< moreThanOneYear > false </ moreThanOneYear >

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< isEquityType > true </ isEquityType >

< isPooledInvestmentFundType > true </ isPooledInvestmentFundType >

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- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 150000 </ minimumInvestmentAccepted >

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- < recipient >

< recipientName > Marc Seeherman </ recipientName >

< recipientCRDNumber > 1131557 </ recipientCRDNumber >

< associatedBDName > Calton & Associates, Inc. </ associatedBDName >

< associatedBDCRDNumber > 20999 </ associatedBDCRDNumber >

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< street1 > 32 West 40th Street </ street1 >

< street2 > 7th Floor </ street2 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10018 </ zipCode >

</ recipientAddress >

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< state > FL </ state >

< description > FLORIDA </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

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< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Billy Aycock </ recipientName >

< recipientCRDNumber > 4069907 </ recipientCRDNumber >

< associatedBDName > Center Street Securities Inc. </ associatedBDName >

< associatedBDCRDNumber > 26898 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2 International Plaza </ street1 >

< street2 > Suite 301 </ street2 >

< city > Nashville </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37217 </ zipCode >

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< state > TN </ state >

< description > TENNESSEE </ description >

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< foreignSolicitation > false </ foreignSolicitation >

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- < recipient >

< recipientName > Betty Friant </ recipientName >

< recipientCRDNumber > 2122446 </ recipientCRDNumber >

< associatedBDName > Growth Capital Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 124658 </ associatedBDCRDNumber >

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< street1 > 1101 Pennsylvania Avenue NW </ street1 >

< street2 > Suite 300 </ street2 >

< city > Washington </ city >

< stateOrCountry > DC </ stateOrCountry >

< stateOrCountryDescription > DISTRICT OF COLUMBIA </ stateOrCountryDescription >

< zipCode > 20004 </ zipCode >

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< state > MN </ state >

< description > MINNESOTA </ description >

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< foreignSolicitation > false </ foreignSolicitation >

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< recipientName > Mark Baran </ recipientName >

< recipientCRDNumber > 870541 </ recipientCRDNumber >

< associatedBDName > McDermott Investment Services LLC </ associatedBDName >

< associatedBDCRDNumber > 154926 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 44 East Broad Street </ street1 >

< street2 > 2nd Floor </ street2 >

< city > Bethlehem </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 18018 </ zipCode >

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< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

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< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Colette Frey-Bitzas </ recipientName >

< recipientCRDNumber > 2040840 </ recipientCRDNumber >

< associatedBDName > American Portfolios Financial Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 18487 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4250 Veterans Memorial Highway </ street1 >

< street2 > Suite 100E </ street2 >

< city > Holbrook </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 11741 </ zipCode >

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< state > AZ </ state >

< description > ARIZONA </ description >

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< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Taher Gilani </ recipientName >

< recipientCRDNumber > 2381502 </ recipientCRDNumber >

< associatedBDName > Calton & Associates, Inc. </ associatedBDName >

< associatedBDCRDNumber > 20999 </ associatedBDCRDNumber >

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< street1 > 8304 Briarwood Lane </ street1 >

< city > Austin </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 78757 </ zipCode >

</ recipientAddress >

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< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

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- < recipient >

< recipientName > David Funes </ recipientName >

< recipientCRDNumber > 5467419 </ recipientCRDNumber >

< associatedBDName > Thornhill Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 22333 </ associatedBDCRDNumber >

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< street1 > 400 W. 15th Street </ street1 >

< street2 > Suite 700 </ street2 >

< city > Austin </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 78701 </ zipCode >

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< state > TX </ state >

< description > TEXAS </ description >

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< foreignSolicitation > false </ foreignSolicitation >

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- < recipient >

< recipientName > Amr Tenney </ recipientName >

< recipientCRDNumber > 5506866 </ recipientCRDNumber >

< associatedBDName > Thornhill Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 22333 </ associatedBDCRDNumber >

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< street1 > 400 W. 15th Street </ street1 >

< street2 > Suite 700 </ street2 >

< city > Austin </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 78701 </ zipCode >

</ recipientAddress >

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< state > FL </ state >

< description > FLORIDA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

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- < recipient >

< recipientName > Eugene Cindrich </ recipientName >

< recipientCRDNumber > 2444041 </ recipientCRDNumber >

< associatedBDName > Advisory Group Equity Services Ltd </ associatedBDName >

< associatedBDCRDNumber > 15427 </ associatedBDCRDNumber >

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< street1 > 10 Phoenix Row </ street1 >

< city > Haverhill </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 01832 </ zipCode >

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< state > MA </ state >

< description > MASSACHUSETTS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

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< recipientName > Michael Petter </ recipientName >

< recipientCRDNumber > 4341091 </ recipientCRDNumber >

< associatedBDName > Calton & Associates Inc. </ associatedBDName >

< associatedBDCRDNumber > 20999 </ associatedBDCRDNumber >

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< street1 > 62 La Escalera </ street1 >

< city > San Antonio </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 78261 </ zipCode >

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< state > TX </ state >

< description > TEXAS </ description >

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- < recipient >

< recipientName > Independent Financial Group, LLC </ recipientName >

< recipientCRDNumber > 7717 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

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< street1 > 12671 High Bluff Drive </ street1 >

< street2 > Suite 200 </ street2 >

< city > San Diego </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92130 </ zipCode >

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< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

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< description > COLORADO </ description >

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< description > UTAH </ description >

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< description > VIRGINIA </ description >

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< description > WASHINGTON </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

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- < recipient >

< recipientName > Lincoln Financial Advisors Corporation </ recipientName >

< recipientCRDNumber > 3978 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1301 South Harrison Street </ street1 >

< city > Fort Wayne </ city >

< stateOrCountry > IN </ stateOrCountry >

< stateOrCountryDescription > INDIANA </ stateOrCountryDescription >

< zipCode > 46802 </ zipCode >

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< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > DC </ state >

< description > DISTRICT OF COLUMBIA </ description >

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< state > GA </ state >

< description > GEORGIA </ description >

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< description > IDAHO </ description >

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< description > MARYLAND </ description >

< state > MO </ state >

< description > MISSOURI </ description >

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< description > NEW JERSEY </ description >

< state > NY </ state >

< description > NEW YORK </ description >

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< description > NORTH CAROLINA </ description >

< state > OH </ state >

< description > OHIO </ description >

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< description > PENNSYLVANIA </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

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< foreignSolicitation > false </ foreignSolicitation >

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- < recipient >

< recipientName > Ivan West </ recipientName >

< recipientCRDNumber > 4921015 </ recipientCRDNumber >

< associatedBDName > American Trust Investment Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 3001 </ associatedBDCRDNumber >

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< street1 > 4722 Main Street </ street1 >

< city > Lisle </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60532 </ zipCode >

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< state > MI </ state >

< description > MICHIGAN </ description >

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- < recipient >

< recipientName > Elias Pritsoulis </ recipientName >

< recipientCRDNumber > 2568434 </ recipientCRDNumber >

< associatedBDName > A.G.P. / Alliance Global Partners </ associatedBDName >

< associatedBDCRDNumber > 8361 </ associatedBDCRDNumber >

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< street1 > 590 Madison Avenue </ street1 >

< street2 > 28th Floor </ street2 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10022 </ zipCode >

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< state > NJ </ state >

< description > NEW JERSEY </ description >

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< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Betty Friant </ recipientName >

< recipientCRDNumber > 2122446 </ recipientCRDNumber >

< associatedBDName > FNEX Capital, LLC </ associatedBDName >

< associatedBDCRDNumber > 166316 </ associatedBDCRDNumber >

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< street1 > 21515 Hawthorne Boulevard </ street1 >

< street2 > Suite 360 </ street2 >

< city > Torrance </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90503 </ zipCode >

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< state > KS </ state >

< description > KANSAS </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > WV </ state >

< description > WEST VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > DFPG Investments, LLC </ recipientName >

< recipientCRDNumber > 155576 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 9017 S. Riverside Drive </ street1 >

< street2 > Suite 210 </ street2 >

< city > Sandy </ city >

< stateOrCountry > UT </ stateOrCountry >

< stateOrCountryDescription > UTAH </ stateOrCountryDescription >

< zipCode > 84070 </ zipCode >

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< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

< state > UT </ state >

< description > UTAH </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

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< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Cambridge Investment Research, Inc. </ recipientName >

< recipientCRDNumber > 39543 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1776 Pleasant Plain Road </ street1 >

< city > Fairfield </ city >

< stateOrCountry > IA </ stateOrCountry >

< stateOrCountryDescription > IOWA </ stateOrCountryDescription >

< zipCode > 52556 </ zipCode >

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< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CO </ state >

< description > COLORADO </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > OK </ state >

< description > OKLAHOMA </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > John A. Doane </ recipientName >

< recipientCRDNumber > 4083486 </ recipientCRDNumber >

< associatedBDName > Advisory Group Equity Services Ltd. </ associatedBDName >

< associatedBDCRDNumber > 15427 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 33 Hilltop Drive </ street1 >

< city > Wenham </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 01984 </ zipCode >

</ recipientAddress >

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< state > FL </ state >

< description > FLORIDA </ description >

< state > ME </ state >

< description > MAINE </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Brian Armstrong </ recipientName >

< recipientCRDNumber > 2895592 </ recipientCRDNumber >

< associatedBDName > Skyway Capital Markets, LLC </ associatedBDName >

< associatedBDCRDNumber > 124630 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 100 North Tampa Street </ street1 >

< street2 > Suite 3550 </ street2 >

< city > Tampa </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33602 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Mark Herding </ recipientName >

< recipientCRDNumber > 2239357 </ recipientCRDNumber >

< associatedBDName > Harbour Investments, Inc. </ associatedBDName >

< associatedBDCRDNumber > 19258 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4648 N. 32nd Street </ street1 >

< city > Phoenix </ city >

< stateOrCountry > AZ </ stateOrCountry >

< stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >

< zipCode > 85016 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > OR </ state >

< description > OREGON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Rodney Ibrahim </ recipientName >

< recipientCRDNumber > 4358176 </ recipientCRDNumber >

< associatedBDName > A.G.P./Alliance Global Partners </ associatedBDName >

< associatedBDCRDNumber > 8361 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 40 Wall Street </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10005 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Alex Ruggieri </ recipientName >

< recipientCRDNumber > 1685884 </ recipientCRDNumber >

< associatedBDName > NexTrend Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 43710 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1801 Woodfield Drive </ street1 >

< city > Savoy </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 61874 </ zipCode >

</ recipientAddress >

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< state > IL </ state >

< description > ILLINOIS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Andrew Zorovich </ recipientName >

< recipientCRDNumber > 2753501 </ recipientCRDNumber >

< associatedBDName > American Portfolios Financial Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 18487 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 200 Clinton Avenue West </ street1 >

< street2 > Suite 701 </ street2 >

< city > Huntsville </ city >

< stateOrCountry > AL </ stateOrCountry >

< stateOrCountryDescription > ALABAMA </ stateOrCountryDescription >

< zipCode > 35801 </ zipCode >

</ recipientAddress >

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< state > AL </ state >

< description > ALABAMA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Purshe Kaplan Sterling Investments </ recipientName >

< recipientCRDNumber > 35747 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 80 State Street </ street1 >

< city > Albany </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 12207 </ zipCode >

</ recipientAddress >

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< state > CA </ state >

< description > CALIFORNIA </ description >

< state > CT </ state >

< description > CONNECTICUT </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Joshua P. Jones </ recipientName >

< recipientCRDNumber > 5139521 </ recipientCRDNumber >

< associatedBDName > MHL Investments </ associatedBDName >

< associatedBDCRDNumber > 2535 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > Everspire Plaza </ street1 >

< street2 > 6900 S. 900 E., Suite 200 </ street2 >

< city > Midvale </ city >

< stateOrCountry > UT </ stateOrCountry >

< stateOrCountryDescription > UTAH </ stateOrCountryDescription >

< zipCode > 84047 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > ID </ state >

< description > IDAHO </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > UT </ state >

< description > UTAH </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Daniel Goodwin </ recipientName >

< recipientCRDNumber > 5752768 </ recipientCRDNumber >

< associatedBDName > AAG Capital, Inc. </ associatedBDName >

< associatedBDCRDNumber > 188 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2211 Ashley Oaks Circle </ street1 >

< city > Wesley Chapel </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33544 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Lewis Baker </ recipientName >

< recipientCRDNumber > 2543651 </ recipientCRDNumber >

< associatedBDName > Arete Wealth Management, LLC </ associatedBDName >

< associatedBDCRDNumber > 44856 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 8607 Cedar Street </ street1 >

< city > Silver Spring </ city >

< stateOrCountry > MD </ stateOrCountry >

< stateOrCountryDescription > MARYLAND </ stateOrCountryDescription >

< zipCode > 20910 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Andrew Dorr </ recipientName >

< recipientCRDNumber > 5297867 </ recipientCRDNumber >

< associatedBDName > Arete Wealth Management, LLC </ associatedBDName >

< associatedBDCRDNumber > 44856 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6600 Westown Parkway </ street1 >

< street2 > Suite 190 </ street2 >

< city > West Des Moines </ city >

< stateOrCountry > IA </ stateOrCountry >

< stateOrCountryDescription > IOWA </ stateOrCountryDescription >

< zipCode > 50266 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Joseph Michaletz </ recipientName >

< recipientCRDNumber > 1327534 </ recipientCRDNumber >

< associatedBDName > DAI Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 36673 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 150 St. Andrews Court </ street1 >

< street2 > Suite 210 </ street2 >

< city > Mankato </ city >

< stateOrCountry > MN </ stateOrCountry >

< stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >

< zipCode > 56001 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Michael O'Toole </ recipientName >

< recipientCRDNumber > 6336251 </ recipientCRDNumber >

< associatedBDName > DAI Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 36673 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 150 St. Andrews Court </ street1 >

< street2 > Suite 210 </ street2 >

< city > Mankato </ city >

< stateOrCountry > MN </ stateOrCountry >

< stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >

< zipCode > 56001 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Emerson Equity LLC </ recipientName >

< recipientCRDNumber > 130032 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 155 Bovet Road </ street1 >

< street2 > Suite 725 </ street2 >

< city > San Mateo </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94402 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > DE </ state >

< description > DELAWARE </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Concorde Investment Services, LLC </ recipientName >

< recipientCRDNumber > 151604 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 19500 Victor Parkway </ street1 >

< street2 > Suite 550 </ street2 >

< city > Livonia </ city >

< stateOrCountry > MI </ stateOrCountry >

< stateOrCountryDescription > MICHIGAN </ stateOrCountryDescription >

< zipCode > 48152 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > ME </ state >

< description > MAINE </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > ND </ state >

< description > NORTH DAKOTA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Joel Spolin </ recipientName >

< recipientCRDNumber > 7268801 </ recipientCRDNumber >

< associatedBDName > McDermott Investment Services, LLC </ associatedBDName >

< associatedBDCRDNumber > 154926 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 44 East Broad Street </ street1 >

< street2 > 2nd Floor </ street2 >

< city > Bethlehem </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 18018 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > OH </ state >

< description > OHIO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Kyle Kadish </ recipientName >

< recipientCRDNumber > 4864706 </ recipientCRDNumber >

< associatedBDName > Advisory Group Equity Services Ltd </ associatedBDName >

< associatedBDCRDNumber > 15427 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 24 Mitchell Pond Road </ street1 >

< city > Windham </ city >

< stateOrCountry > NH </ stateOrCountry >

< stateOrCountryDescription > NEW HAMPSHIRE </ stateOrCountryDescription >

< zipCode > 03087 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

< state > NH </ state >

< description > NEW HAMPSHIRE </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > James Parry </ recipientName >

< recipientCRDNumber > 1877092 </ recipientCRDNumber >

< associatedBDName > Arkadios Capital </ associatedBDName >

< associatedBDCRDNumber > 282710 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2591 Dallas Parkway </ street1 >

< street2 > #300 </ street2 >

< city > Frisco </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75034 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Brittany Slater-Gautreau </ recipientName >

< recipientCRDNumber > 4885737 </ recipientCRDNumber >

< associatedBDName > American Trust Investment Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 3001 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 501 N. El Camino Real </ street1 >

< street2 > #211 </ street2 >

< city > San Clemente </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92672 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Mazal Yahezkely </ recipientName >

< recipientCRDNumber > 5253186 </ recipientCRDNumber >

< associatedBDName > IDB Capital Corp. </ associatedBDName >

< associatedBDCRDNumber > 106032 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 18851 NE 29th Avenue </ street1 >

< street2 > Suite 600 </ street2 >

< city > Aventura </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33180 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Nicholas Erwin </ recipientName >

< recipientCRDNumber > 4794584 </ recipientCRDNumber >

< associatedBDName > USCA Securities LLC </ associatedBDName >

< associatedBDCRDNumber > 103789 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4444 Westheimer </ street1 >

< street2 > Suite G500 </ street2 >

< city > Houston </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 77027 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Joseph Bench </ recipientName >

< recipientCRDNumber > 1052104 </ recipientCRDNumber >

< associatedBDName > Aegis Capital Corp. </ associatedBDName >

< associatedBDCRDNumber > 15007 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 80000 Maryland Avenue </ street1 >

< street2 > Suite 1031 </ street2 >

< city > Clayton </ city >

< stateOrCountry > MO </ stateOrCountry >

< stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >

< zipCode > 63105 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NJ </ state >

< description > NEW JERSEY </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Trawnegan Gall </ recipientName >

< recipientCRDNumber > 6266415 </ recipientCRDNumber >

< associatedBDName > Wealthforge Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 152550 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 130 N. Preston Road </ street1 >

< street2 > Suite 238 </ street2 >

< city > Prosper </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75078 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > TN </ state >

< description > TENNESSEE </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jonathan Rotz </ recipientName >

< recipientCRDNumber > 4427791 </ recipientCRDNumber >

< associatedBDName > Arkadios Capital </ associatedBDName >

< associatedBDCRDNumber > 282710 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2591 Dallas Parkway </ street1 >

< street2 > #300 </ street2 >

< city > Frisco </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75034 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Larry Crosthwaite </ recipientName >

< recipientCRDNumber > 3083003 </ recipientCRDNumber >

< associatedBDName > Benjamin F. Edwards & Company, Inc. </ associatedBDName >

< associatedBDCRDNumber > 146936 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 771 Corporate Drive </ street1 >

< street2 > Suite 605 </ street2 >

< city > Lexington </ city >

< stateOrCountry > KY </ stateOrCountry >

< stateOrCountryDescription > KENTUCKY </ stateOrCountryDescription >

< zipCode > 40503 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > KY </ state >

< description > KENTUCKY </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > James Temple </ recipientName >

< recipientCRDNumber > 7084089 </ recipientCRDNumber >

< associatedBDName > Wealthforge Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 152550 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 738 E. Chapman Avenue </ street1 >

< city > Orange </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92866 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > SD </ state >

< description > SOUTH DAKOTA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jason Pueschel </ recipientName >

< recipientCRDNumber > 2257351 </ recipientCRDNumber >

< associatedBDName > Patrick Capital Markets, LLC </ associatedBDName >

< associatedBDCRDNumber > 16518 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 11152 South Towne Square </ street1 >

< city > St. Louis </ city >

< stateOrCountry > MO </ stateOrCountry >

< stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >

< zipCode > 63123 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jeff Lewis </ recipientName >

< recipientCRDNumber > 1744218 </ recipientCRDNumber >

< associatedBDName > Advisory Group Equity Services Ltd. </ associatedBDName >

< associatedBDCRDNumber > 15427 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 10-12 Phoenix Row </ street1 >

< street2 > Suite 3 </ street2 >

< city > Haverhill </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 01832 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Salvatore Cocivera </ recipientName >

< recipientCRDNumber > 1942283 </ recipientCRDNumber >

< associatedBDName > American Portfolios Financial Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 18487 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4B Eves Drive </ street1 >

< street2 > Suite 100 </ street2 >

< city > Marlton </ city >

< stateOrCountry > NJ </ stateOrCountry >

< stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >

< zipCode > 08053 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Bryce Hamilton </ recipientName >

< recipientCRDNumber > 4296113 </ recipientCRDNumber >

< associatedBDName > Kingswood Capital Partners, LLC </ associatedBDName >

< associatedBDCRDNumber > 288898 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 26364 Carmel Rancho Lane </ street1 >

< street2 > #200 </ street2 >

< city > Carmel By The Sea </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93923 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Carmine Galimi </ recipientName >

< recipientCRDNumber > 3265523 </ recipientCRDNumber >

< associatedBDName > FNEX Capital, LLC </ associatedBDName >

< associatedBDCRDNumber > 166316 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > One Indiana Square </ street1 >

< street2 > Suite 2252 </ street2 >

< city > Indianapolis </ city >

< stateOrCountry > IN </ stateOrCountry >

< stateOrCountryDescription > INDIANA </ stateOrCountryDescription >

< zipCode > 46204 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Ryan Tucker </ recipientName >

< recipientCRDNumber > 6138767 </ recipientCRDNumber >

< associatedBDName > MHL Investments </ associatedBDName >

< associatedBDCRDNumber > 2535 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > Everspire Plaza 6900 S. 900 East </ street1 >

< street2 > Suite 200 </ street2 >

< city > Midvale </ city >

< stateOrCountry > UT </ stateOrCountry >

< stateOrCountryDescription > UTAH </ stateOrCountryDescription >

< zipCode > 84047 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NV </ state >

< description > NEVADA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > David Levinson </ recipientName >

< recipientCRDNumber > 705929 </ recipientCRDNumber >

< associatedBDName > American Trust Investment Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 3001 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4722 Main Street </ street1 >

< city > Lisle </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60532 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

< state > FL </ state >

< description > FLORIDA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Rhett Grimes </ recipientName >

< recipientCRDNumber > 6283241 </ recipientCRDNumber >

< associatedBDName > Kingswood Capital Partners, LLC </ associatedBDName >

< associatedBDCRDNumber > 288898 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 11440 W. Bernardo Court </ street1 >

< street2 > Suite 300 </ street2 >

< city > San Diego </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92127 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > James Schrack </ recipientName >

< recipientCRDNumber > 2620270 </ recipientCRDNumber >

< associatedBDName > Center Street Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 26898 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12319 E. Broadway </ street1 >

< city > Spokane Valley </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 99216 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > ID </ state >

< description > IDAHO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Sudhir Pai </ recipientName >

< recipientCRDNumber > 5928622 </ recipientCRDNumber >

< associatedBDName > Saxony Securities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 115547 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4512 Legacy Drive </ street1 >

< street2 > Suite 100 </ street2 >

< city > Plano </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75024 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Richard Chess </ recipientName >

< recipientCRDNumber > 1127716 </ recipientCRDNumber >

< associatedBDName > Crescent Securities Group, Inc. </ associatedBDName >

< associatedBDCRDNumber > 114993 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4975 Preston Park Boulevard </ street1 >

< street2 > Suite 820 </ street2 >

< city > Plano </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75093 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Lincoln Financial Securities Corporation </ recipientName >

< recipientCRDNumber > 3870 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1301 South Harrison Street </ street1 >

< city > Fort Wayne </ city >

< stateOrCountry > IN </ stateOrCountry >

< stateOrCountryDescription > INDIANA </ stateOrCountryDescription >

< zipCode > 46802 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Michael Lytle </ recipientName >

< recipientCRDNumber > 2471291 </ recipientCRDNumber >

< associatedBDName > American Portfolios Financial Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 18487 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 43 North Broad Street </ street1 >

< city > Canfield </ city >

< stateOrCountry > OH </ stateOrCountry >

< stateOrCountryDescription > OHIO </ stateOrCountryDescription >

< zipCode > 44406 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > OH </ state >

< description > OHIO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Centaurus Financial, Inc. </ recipientName >

< recipientCRDNumber > 30833 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2300 E. Katella Avenue </ street1 >

< street2 > Suite #200 </ street2 >

< city > Anaheim </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92806 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > UT </ state >

< description > UTAH </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Robert Schmidt </ recipientName >

< recipientCRDNumber > 6920482 </ recipientCRDNumber >

< associatedBDName > Realized Financial, Inc. </ associatedBDName >

< associatedBDCRDNumber > 22333 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 400 W. 15th Street </ street1 >

< street2 > Suite 700 </ street2 >

< city > Austin </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 78701 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Nathaniel Kuhn </ recipientName >

< recipientCRDNumber > 4624143 </ recipientCRDNumber >

< associatedBDName > DAI Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 36673 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1827 Walden Office Square </ street1 >

< street2 > Suite 500 </ street2 >

< city > Schaumburg </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60173 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MN </ state >

< description > MINNESOTA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > John Helms </ recipientName >

< recipientCRDNumber > 2596654 </ recipientCRDNumber >

< associatedBDName > San Blas Securities LLC </ associatedBDName >

< associatedBDCRDNumber > 290605 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3424 Peachtree Road NE </ street1 >

< street2 > Suite 2200 </ street2 >

< city > Atlanta </ city >

< stateOrCountry > GA </ stateOrCountry >

< stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >

< zipCode > 30326 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Joseph Bench </ recipientName >

< recipientCRDNumber > 1052104 </ recipientCRDNumber >

< associatedBDName > Coastal Equities, Inc. </ associatedBDName >

< associatedBDCRDNumber > 23769 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 40 Wall Street </ street1 >

< street2 > 27th Floor Suite 2704-A </ street2 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10005 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NJ </ state >

< description > NEW JERSEY </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Todd Rustman </ recipientName >

< recipientCRDNumber > 2453708 </ recipientCRDNumber >

< associatedBDName > American Trust Investment Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 3001 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 501 N. El Camino Real </ street1 >

< street2 > #211 </ street2 >

< city > San Clemente </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92672 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > MML Investors Services, LLC </ recipientName >

< recipientCRDNumber > 10409 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1295 State Street </ street1 >

< city > Springfield </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 01111 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AL </ state >

< description > ALABAMA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > MS </ state >

< description > MISSISSIPPI </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > OR </ state >

< description > OREGON </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Scott Aitken </ recipientName >

< recipientCRDNumber > 5956581 </ recipientCRDNumber >

< associatedBDName > Cetera Advisors LLC </ associatedBDName >

< associatedBDCRDNumber > 10299 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 950 West Elliot Road </ street1 >

< street2 > Suite 126 </ street2 >

< city > Tempe </ city >

< stateOrCountry > AZ </ stateOrCountry >

< stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >

< zipCode > 85284 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jason Stone </ recipientName >

< recipientCRDNumber > 5455271 </ recipientCRDNumber >

< associatedBDName > Crown Capital Securities, L.P. </ associatedBDName >

< associatedBDCRDNumber > 6312 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 333 City Boulevard West </ street1 >

< street2 > Suite 2050 </ street2 >

< city > Orange </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92868 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Cetera Advisor Networks LLC </ recipientName >

< recipientCRDNumber > 13572 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2301 Rosecrans Avenue </ street1 >

< street2 > #5100 </ street2 >

< city > El Segundo </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90245 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > OH </ state >

< description > OHIO </ description >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 522109028 </ totalOfferingAmount >

< totalAmountSold > 522109028 </ totalAmountSold >

< totalRemaining > 0 </ totalRemaining >

< clarificationOfResponse > Regarding Item 11, the Issuer may accept smaller investments in the Issuer's sole discretion. </ clarificationOfResponse >

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 879 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 16250000 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ findersFees >

< clarificationOfResponse > Sales Commissions include estimates of the maximum amount of Selling Commissions, Dealer Fees and Placement Agent Fees that may be paid. </ clarificationOfResponse >

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 1875000 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ grossProceedsUsed >

< clarificationOfResponse > 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. </ clarificationOfResponse >

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > Griffin Capital Qualified Opportunity Zone Fund III, L.P. </ issuerName >

< signatureName > /s/ Daniel Snell </ signatureName >

< nameOfSigner > Daniel Snell </ nameOfSigner >

< signatureTitle > Chief Financial Officer of the Sponsor of the Issuer </ signatureTitle >

< signatureDate > 2024-01-12 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >