Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
Segmint Inc. See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised $2,540,000 Associated Brokers / Dealers TriPoint Global Equities, LLC CIK Number 0001527262 Filed Document 0001144204-14-001231 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business OHIO Revenue or Assets Decline to Disclose Type of Security Equity
iDevices, LLC See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Marcum Cronus Partners LLC CIK Number 0001531394 Filed Document 0001531394-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Equity
Onit, Inc. See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised $2,331,999 Associated Brokers / Dealers N/A CIK Number 0001474604 Filed Document 0001474604-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
Green River Mineral Resources Co-Op, Limited Partnership See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001589910 Filed Document 0001589910-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business ARIZONA Revenue or Assets Decline to Disclose Type of Security Equity
Symetra Separate Account VL See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001449482 Filed Document 0001449482-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Other
UberKid Inc. See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised $100 Associated Brokers / Dealers N/A CIK Number 0001595588 Filed Document 0001595588-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets $No Revenues Type of Security Equity
WMP Unconstrained Global Agriculture Partners, L.P. See All Filings	D/A	2014-01-06 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001539526 Filed Document 0000919574-14-000036 Exclusions or Exemptions 506b Accepted Date 2014-01-06 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
ASGI Aurora Opportunities Fund, LLC See All Filings	D/A	2014-01-06 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Alternative Strategies Brokerage Services, Inc. CIK Number 0001508781 Filed Document 0000898432-14-000032 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NORTH CAROLINA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
HIRTLE CALLAGHAN TOTAL RETURN OFFSHORE FUND II LTD See All Filings	D/A	2014-01-06 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001352071 Filed Document 0001352071-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business PENNSYLVANIA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
RM MAG Chestnut LLC See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised $720,000 Associated Brokers / Dealers N/A CIK Number 0001595923 Filed Document 0001595923-14-000001 Exclusions or Exemptions 505 and 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry Commercial Principal Place of Business NEW YORK Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Tandem Parallel Fund III, L.P. See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised $100,000,000 Associated Brokers / Dealers N/A CIK Number 0001595623 Filed Document 0001595623-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 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
Fortress Italian NPL Opportunities Fund (B) LP See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Fortress Capital Formation LLC (the "LLC") CIK Number 0001595395 Filed Document 0000950172-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
HISTOGENICS CORP See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised $20,647,968 Associated Brokers / Dealers N/A CIK Number 0001372299 Filed Document 0001372299-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry Other Health Care Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
TIFF Private Equity Partners 2014, LLC See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001595455 Filed Document 0001595455-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business PENNSYLVANIA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Solid Ventures, LLC See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised $60,000,000 Associated Brokers / Dealers N/A CIK Number 0001595180 Filed Document 0001595180-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry Pharmaceuticals Principal Place of Business MASSACHUSETTS Revenue or Assets $No Revenues Type of Security Equity
Canton Waterfront Restaurant, LLC See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised $1,100,000 Associated Brokers / Dealers N/A CIK Number 0001596905 Filed Document 0001596905-14-000001 Exclusions or Exemptions 505 and 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry Restaurants Principal Place of Business MARYLAND Revenue or Assets $$1,000,001 - $5,000,000 Type of Security Equity
CARDIAC DIMENSIONS INC See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised $367,000 Associated Brokers / Dealers N/A CIK Number 0001285829 Filed Document 0001285829-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry Other Health Care Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Debt
SoFi Professional Loan Program 2013-A LLC See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised $20,000,000 Associated Brokers / Dealers NA CIK Number 0001594758 Filed Document 0001594758-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CALIFORNIA Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Pooled Investment Fund
KC Alpha Fund I, LP See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001591934 Filed Document 0001591934-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
Rival IQ Corp See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001595773 Filed Document 0001595773-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Debt
ArthroMeda, Inc. See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised $2,000,000 Associated Brokers / Dealers N/A CIK Number 0001566819 Filed Document 0001566819-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry Other Health Care Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
TISHMAN SPEYER 407 N. Maple VI, L.L.C. See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised $125,000 Associated Brokers / Dealers Charles Harrison, Phyllis Beck, Patrick Whelchel, Scott Harrison, and Lori Mayfield CIK Number 0001595756 Filed Document 0001595756-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 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
ECI Four REIT, LLC See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised $125,000 Associated Brokers / Dealers Charles Harrison, Phyllis Beck, Patrick Whelchel, Scott Harrison, and Lori Mayfield CIK Number 0001575474 Filed Document 0001575474-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry REITS and Finance Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
WCM Mezzanine LLC See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised $2,500,000 Associated Brokers / Dealers N/A CIK Number 0001595553 Filed Document 0001595553-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business PENNSYLVANIA Revenue or Assets $Not Applicable Type of Security Equity
Raisson Capital, L.P. See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001595685 Filed Document 0001595685-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CAYMAN ISLANDS Revenue or Assets Decline to Disclose Type of Security Equity
BioMedomics, Inc. See All Filings	D/A	2014-01-06 00:00:00 UTC
Amount To Be Raised $3,000,000 Associated Brokers / Dealers N/A CIK Number 0001595601 Filed Document 0001140361-14-000844 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D/A Industry Biotechnology Principal Place of Business NORTH CAROLINA Revenue or Assets Decline to Disclose Type of Security Equity
AngelList Techstars Seattle 2013 Fund, LLC See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised $194,000 Associated Brokers / Dealers N/A CIK Number 0001595828 Filed Document 0001595826-14-000002 Exclusions or Exemptions 506c Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business UTAH Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
Atheer, Inc. See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised $6,102,457 Associated Brokers / Dealers N/A CIK Number 0001595879 Filed Document 0001595879-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 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
Passco Autumn Breeze DST See All Filings	D/A	2014-01-06 00:00:00 UTC
Amount To Be Raised $20,300,000 Associated Brokers / Dealers Passco Capital, Inc. CIK Number 0001578849 Filed Document 0001578849-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D/A Industry Residential Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Cottonwood Residential O.P., LP See All Filings	D/A	2014-01-06 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Orchard Securities, LLC, Allied Beacon Partners, Inc., American Investors Company, Berthel, Fisher & Company Financial Services, Inc., CapWest Securities, Inc., Centaurus Financial, Inc., Concorde Investment Services, LLC, Courtlandt Securities Corporation, Girard Securities, Inc., Independent Financial Group, LLC, Investment Security Corporation, Multi-Financial Securities Corporation, NelsonReid, Inc., Omni Brokerage, Inc., Pacific West Securities, Inc., Phalanx Trading, LLC, Primex, Regent Capital Group, Inc., Resourcive Capital, LLC, Sandlapper Securities, LLC, Select Capital Corporation, Steven L. Falk & Associates, Inc., Triad Advisors, Inc., VFG Securities, Inc., Welton Street Investments LLC, Western International Securities, Inc., Whitehall-Parker Securities, Inc., and Winslow, Evans & Crocker, Inc. CIK Number 0001480126 Filed Document 0001594464-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D/A Industry Residential Principal Place of Business UTAH Revenue or Assets Decline to Disclose Type of Security Equity
Falcon View Apartments LLC See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised $2,250,000 Associated Brokers / Dealers none CIK Number 0001595681 Filed Document 0001512926-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry Residential Principal Place of Business CONNECTICUT Revenue or Assets $$1,000,001 - $5,000,000 Type of Security Equity
Spredfast, Inc. See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised $32,500,000 Associated Brokers / Dealers N/A CIK Number 0001519482 Filed Document 0001519482-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
MoBeam, Inc. See All Filings	D/A	2014-01-06 00:00:00 UTC
Amount To Be Raised $6,000,000 Associated Brokers / Dealers N/A CIK Number 0001490510 Filed Document 0001490510-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D/A Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Option To Acquire
Kerdea Technologies, Inc. See All Filings	D/A	2014-01-06 00:00:00 UTC
Amount To Be Raised $1,720,000 Associated Brokers / Dealers N/A CIK Number 0001561412 Filed Document 0001561412-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D/A Industry Manufacturing Principal Place of Business NORTH CAROLINA Revenue or Assets Decline to Disclose Type of Security Equity
Peach Underneath, Inc. See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised $3,000,001 Associated Brokers / Dealers N/A CIK Number 0001505145 Filed Document 0001505145-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry Retailing Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
Legion Partners, L.P. I See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001595909 Filed Document 0001595909-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 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 Equity
Pagosa Investors (Cayman), Ltd. See All Filings	D/A	2014-01-06 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001566700 Filed Document 0000919574-14-000035 Exclusions or Exemptions 506b Accepted Date 2014-01-06 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
TACKLE GRAB LLC See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised $2,500,000 Associated Brokers / Dealers N/A CIK Number 0001555334 Filed Document 0001555334-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business MASSACHUSETTS Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Shuttersong Inc See All Filings	D/A	2014-01-06 00:00:00 UTC
Amount To Be Raised $1,381,555 Associated Brokers / Dealers N/A CIK Number 0001563301 Filed Document 0001563301-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D/A Industry Other Technology Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
Heitman Value Partners III Mezz Investment LLC See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised $125,000 Associated Brokers / Dealers WILLIAM MCGUGIN CIK Number 0001594619 Filed Document 0001594619-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry REITS and Finance Principal Place of Business ILLINOIS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
GCD ManageCo, LLC See All Filings	D/A	2014-01-06 00:00:00 UTC
Amount To Be Raised $58,241,600 Associated Brokers / Dealers N/A CIK Number 0001583780 Filed Document 0000897069-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D/A Industry Other Health Care Principal Place of Business ILLINOIS Revenue or Assets Decline to Disclose Type of Security Equity
Premium Exploration Inc See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised $972,714 Associated Brokers / Dealers N/A CIK Number 0001347521 Filed Document 0001183740-14-000005 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business BRITISH COLUMBIA, CANADA Revenue or Assets Decline to Disclose Type of Security Equity
Health Recovery Solutions, Inc. See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised $500,000 Associated Brokers / Dealers N/A CIK Number 0001562357 Filed Document 0001562357-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
Fortress Italian NPL Opportunities Fund (C) L.P. See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Fortress Capital Formation LLC (the "LLC") CIK Number 0001595396 Filed Document 0000950172-14-000004 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
TIFF Realty & Resources IV, LLC See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001595454 Filed Document 0001595454-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business PENNSYLVANIA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
TF Complex LP See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised $808,000 Associated Brokers / Dealers N/A CIK Number 0001595039 Filed Document 0001595039-14-000002 Exclusions or Exemptions 506c Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry Commercial Principal Place of Business TEXAS Revenue or Assets $No Revenues Type of Security Equity
BioNano Genomics, Inc See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised $15,000 Associated Brokers / Dealers N/A CIK Number 0001411690 Filed Document 0001411690-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry Pharmaceuticals Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Option To Acquire
OrthoArizona Southwest Valley Co-Management Group, LLC See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised $24,000 Associated Brokers / Dealers N/A CIK Number 0001590986 Filed Document 0001590986-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-01-06 00:00:00 UTC Type of Offering D Industry Other Health Care Principal Place of Business ARIZONA Revenue or Assets Decline to Disclose Type of Security Equity
Wimbledon REIT Inc. See All Filings	D	2014-01-06 00:00:00 UTC
Amount To Be Raised $125,000 Associated Brokers / Dealers Charles Harrison, Phyllis Beck, Patrick Whelchel, Scott Harrison, and Lori Mayfield CIK Number 0001595631 Filed Document 0001595631-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-01-06 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
RiverRock Investment Fund IV, LP See All Filings	D/A	2014-01-06 00:00:00 UTC
Amount To Be Raised $100,000,000 Associated Brokers / Dealers Frank J. Marrone, Sunbelt Securities, Inc., Matthew C. Knauss, Charles W. Bingham, Catherine L. Hicks, Carolina Financial Securities, LLC, and RiverRock Securities, LLC CIK Number 0001561747 Filed Document 0001561747-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-01-06 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