|
|
D |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- $125,000
- Associated Brokers / Dealers
- CHARLES B. HARRISON, PHYLLIS J. BECK, PATRICK J. WHELCHEL, SCOTT HARRISON, and LORI MAYFIELD
- CIK Number
- 0001598228
- Filed Document
- 0001598226-14-000003
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D
- Industry
- REITS and Finance
- Principal Place of Business
- NEW YORK
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- $3,641,507
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001596569
- Filed Document
- 0001596569-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D
- Industry
- Other Technology
- Principal Place of Business
- CALIFORNIA
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- $7,500,000
- Associated Brokers / Dealers
- T.R. Winston & Company, LLC and John Carris Investments LLC
- CIK Number
- 0001437557
- Filed Document
- 0001437557-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D
- Industry
- Oil and Gas
- Principal Place of Business
- COLORADO
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- $1,600,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001598143
- Filed Document
- 0001598143-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D
- Industry
- Other Technology
- Principal Place of Business
- CALIFORNIA
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D/A |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001509402
- Filed Document
- 0000919574-14-000377
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- NEW YORK
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Pooled Investment Fund
|
|
|
D/A |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001399021
- Filed Document
- 0001399021-14-000003
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- SOUTH DAKOTA
- Revenue or Assets
- $$1 - $5,000,000
- Type of Security
- Other
|
|
|
D |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- $125,000
- Associated Brokers / Dealers
- CHARLES B. HARRISON, PHYLLIS J. BECK, PATRICK J. WHELCHEL, SCOTT HARRISON, and LORI MAYFIELD
- CIK Number
- 0001598227
- Filed Document
- 0001598226-14-000004
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D
- Industry
- REITS and Finance
- Principal Place of Business
- NEW YORK
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D/A |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- $200,000,000
- Associated Brokers / Dealers
- FPCG, LLC
- CIK Number
- 0001568004
- Filed Document
- 0001568004-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- NEW YORK
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D/A |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- $59,833,258
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001470099
- Filed Document
- 0001288320-14-000002
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Telecommunications
- Principal Place of Business
- CALIFORNIA
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D/A |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001416526
- Filed Document
- 0001315863-14-000038
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- TEXAS
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Pooled Investment Fund
|
|
|
D/A |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001565913
- Filed Document
- 0001576518-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- NEW YORK
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Pooled Investment Fund
|
|
|
D |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- $1,000,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001596922
- Filed Document
- 0001596922-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D
- Industry
- Other
- Principal Place of Business
- CALIFORNIA
- Revenue or Assets
- $Not Applicable
- Type of Security
- Equity
|
|
|
D |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- $1,010,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001598830
- Filed Document
- 0001598830-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D
- Industry
- Other
- Principal Place of Business
- COLORADO
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D/A |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001538968
- Filed Document
- 0001538968-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- VIRGIN ISLANDS, BRITISH
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D/A |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- NORTHERN TRUST SECURITIES, INC.
- CIK Number
- 0001535585
- Filed Document
- 0001597836-14-000004
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- CONNECTICUT
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D/A |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001532702
- Filed Document
- 0001532702-14-000001
- Exclusions or Exemptions
- 506c
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Other Banking and Financial Services
- Principal Place of Business
- SOUTH CAROLINA
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- $14,999,997
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001516587
- Filed Document
- 0001516587-14-000003
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D
- Industry
- Other Technology
- Principal Place of Business
- CALIFORNIA
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- $45,000,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001597373
- Filed Document
- 0001597373-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D
- Industry
- Pooled Investment Fund
- Principal Place of Business
- CALIFORNIA
- Revenue or Assets
- $Not Applicable
- Type of Security
- Pooled Investment Fund
|
|
|
D/A |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001219173
- Filed Document
- 0001219173-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- NEW YORK
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D/A |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001166072
- Filed Document
- 0001166072-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- ILLINOIS
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Pooled Investment Fund
|
|
|
D/A |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001541655
- Filed Document
- 0001140361-14-003002
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- MASSACHUSETTS
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Pooled Investment Fund
|
|
|
D/A |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001321620
- Filed Document
- 0001448051-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- TEXAS
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D/A |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- $8,085,705
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001414163
- Filed Document
- 0001140361-14-003026
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Biotechnology
- Principal Place of Business
- OKLAHOMA
- Revenue or Assets
- $No Revenues
- Type of Security
- Equity
|
MORGAN STANLEY OPPORTUNISTIC MORTGAGE INCOME FUND (CAYMAN) LP
See All Filings
|
D/A |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001527119
- Filed Document
- 0000945621-14-000020
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- NEW YORK
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Pooled Investment Fund
|
|
|
D |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- $5,000,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001597444
- Filed Document
- 0001597444-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D
- Industry
- Other
- Principal Place of Business
- NEW YORK
- Revenue or Assets
- $$1,000,001 - $5,000,000
- Type of Security
- Other
|
|
|
D |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- $500,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001598063
- Filed Document
- 0001598063-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D
- Industry
- Other Technology
- Principal Place of Business
- MASSACHUSETTS
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Debt
|
|
|
D |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- $682,408
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001452747
- Filed Document
- 0001452747-14-000002
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D
- Industry
- Other Technology
- Principal Place of Business
- OREGON
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Debt
|
|
|
D |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- $40,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001597849
- Filed Document
- 0001597849-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D
- Industry
- Other Health Care
- Principal Place of Business
- TEXAS
- Revenue or Assets
- $$1 - $1,000,000
- Type of Security
- Equity
|
|
|
D |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001597291
- Filed Document
- 0001597291-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D
- Industry
- Pooled Investment Fund
- Principal Place of Business
- CALIFORNIA
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Pooled Investment Fund
|
|
|
D/A |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001460640
- Filed Document
- 0001448051-14-000002
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- TEXAS
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D/A |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- Piper Jaffray & Co
- CIK Number
- 0001322311
- Filed Document
- 0001322311-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- ILLINOIS
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Pooled Investment Fund
|
|
|
D/A |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- $200,000,000
- Associated Brokers / Dealers
- FPCG, LLC
- CIK Number
- 0001568003
- Filed Document
- 0001568003-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- NEW YORK
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D/A |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001387581
- Filed Document
- 0000819176-14-000007
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- NEW YORK
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Pooled Investment Fund
|
|
|
D |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- $45,000,000
- Associated Brokers / Dealers
- n/a
- CIK Number
- 0001597696
- Filed Document
- 0001597696-14-000002
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D
- Industry
- Other
- Principal Place of Business
- ILLINOIS
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Debt
|
|
|
D/A |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001565889
- Filed Document
- 0001576518-14-000002
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- CAYMAN ISLANDS
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Pooled Investment Fund
|
|
|
D |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- $5,000,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001467805
- Filed Document
- 0001467805-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D
- Industry
- Manufacturing
- Principal Place of Business
- TEXAS
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D/A |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- $19,830
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001590551
- Filed Document
- 0001590551-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Other Technology
- Principal Place of Business
- CALIFORNIA
- Revenue or Assets
- $No Revenues
- Type of Security
- Equity
|
|
|
D |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- $125,000
- Associated Brokers / Dealers
- CHARLES B. HARRISON, PHYLLIS J. BECK, PATRICK J. WHELCHEL, SCOTT HARRISON, and LORI MAYFIELD
- CIK Number
- 0001598231
- Filed Document
- 0001598226-14-000005
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D
- Industry
- REITS and Finance
- Principal Place of Business
- NEW YORK
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D/A |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001462866
- Filed Document
- 0001462866-14-000003
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- GEORGIA
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Pooled Investment Fund
|
|
|
D/A |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001430733
- Filed Document
- 0001430733-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- CALIFORNIA
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- $1,000,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001597771
- Filed Document
- 0001597771-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D
- Industry
- Other Technology
- Principal Place of Business
- NEW JERSEY
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Other
|
|
|
D/A |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001565334
- Filed Document
- 0001565334-14-000002
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- NEW YORK
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Pooled Investment Fund
|
|
|
D/A |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001172150
- Filed Document
- 0000919574-14-000376
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- NEW YORK
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Pooled Investment Fund
|
|
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D |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- $1,000,000,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001540252
- Filed Document
- 0001540252-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D
- Industry
- Other Banking and Financial Services
- Principal Place of Business
- MICHIGAN
- Revenue or Assets
- $Over $100,000,000
- Type of Security
- Debt
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D/A |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- $34,500,000
- Associated Brokers / Dealers
- ARI Financial Services, Inc., 1st Global Capital Corp, Ameritas Investment Corp, Arete Wealth Management, LLC, Centaurus Financial, Inc., Independent Financial Group, LLC, Investors Capital Corp., Kalos Capital, Inc., VSR Financial Services, Inc., David Dyer, Marshall Dean III, Thomas Cameron, Dean Moberg, Edward T. Moore, Phillip D. King, William A. Stetson, Wendy Ellen Fleischmann, Tim Szymanski, James Sinclair, James Lockhart, Jennifer Steele, Steven M. Knowlton, Thomas Hille, Dimitry Tikhonov, Douglas J. McCauley, Guy Schoenborn, Jr., Jeffrey R. Dixson, Robert S. Fagan, William D. Perryman, Roger Shake, Steven Wachs, Glenn F. Wilkinson, Richard Sanford, Scott H. Levy, Warren Prehmus, Howard Zwillinger, Thomas M. Nixon, Christopher Dukes, Jason Vanclef, Mark Trewitt, John Brady, Berthel Fisher & Co Fin Srvcs, JP Turner & Co, LLC, and Nick Garry
- CIK Number
- 0001582953
- Filed Document
- 0001582953-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Oil and Gas
- Principal Place of Business
- NEW YORK
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
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D/A |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001566081
- Filed Document
- 0001566081-14-000002
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- PENNSYLVANIA
- Revenue or Assets
- $Not Applicable
- Type of Security
- Pooled Investment Fund
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|
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D/A |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- $50,000,000
- Associated Brokers / Dealers
- GABALL II LLC
- CIK Number
- 0001481219
- Filed Document
- 0001481219-14-000002
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Investing
- Principal Place of Business
- OHIO
- Revenue or Assets
- $No Revenues
- Type of Security
- Equity
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|
|
D |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- $20,000,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001597877
- Filed Document
- 0001597877-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D
- Industry
- Pooled Investment Fund
- Principal Place of Business
- INDIANA
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
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D |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- $74,815,447
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001565050
- Filed Document
- 0001565050-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D
- Industry
- Other
- Principal Place of Business
- CALIFORNIA
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
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|
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D/A |
2014-01-23 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- Man Investments Inc., Barclays Capital Inc., CAIS Capital LLC, J.P. Morgan Securities LLC, and Merrill Lynch, Pierce, Fenner & Smith Incorporated
- CIK Number
- 0001520116
- Filed Document
- 0000902664-14-000357
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-01-23 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- CAYMAN ISLANDS
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
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