Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
Pelangio Exploration Inc See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $202,238 Associated Brokers / Dealers N/A CIK Number 0001590252 Filed Document 0001590252-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business ONTARIO, CANADA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
MV Startup Fund V Series 1 See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $250,000 Associated Brokers / Dealers William Clark, Jaclyn Strife, and Garrett Paul CIK Number 0001590279 Filed Document 0001590279-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets $No Revenues Type of Security Pooled Investment Fund
CDR DB Investors, Inc. See All Filings	D/A	2013-10-29 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001560896 Filed Document 0001181431-13-055449 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D/A Industry Retailing Principal Place of Business PENNSYLVANIA Revenue or Assets Decline to Disclose Type of Security Equity
Affinity Edge, Inc. See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $2,000,000 Associated Brokers / Dealers N/A CIK Number 0001590295 Filed Document 0001590295-13-000001 Exclusions or Exemptions 506c Accepted Date 2013-10-29 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
Ice Cold Empire SLC, LLC See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $3,100,000 Associated Brokers / Dealers N/A CIK Number 0001589978 Filed Document 0000939802-13-000174 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D Industry Commercial Principal Place of Business TEXAS Revenue or Assets $No Revenues Type of Security Equity
Breakthrough Products, Inc. See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $3,123,855 Associated Brokers / Dealers N/A CIK Number 0001488401 Filed Document 0001104659-13-078700 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D Industry Other Health Care Principal Place of Business COLORADO Revenue or Assets Decline to Disclose Type of Security Equity
Tioga Hotel Partners I, LLC See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $4,232,500 Associated Brokers / Dealers N/A CIK Number 0001590155 Filed Document 0001590155-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business CALIFORNIA Revenue or Assets $No Revenues Type of Security Equity
Albemarle Futures Fund, LLC See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $50,000,000 Associated Brokers / Dealers N/A CIK Number 0001590362 Filed Document 0001590362-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D Industry Business Services Principal Place of Business VIRGINIA Revenue or Assets $No Revenues Type of Security Pooled Investment Fund
VR Global Partners, L.P. See All Filings	D/A	2013-10-29 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001508563 Filed Document 0001315863-13-000496 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business UNITED ARAB EMIRATES Revenue or Assets $Over $100,000,000 Type of Security Pooled Investment Fund
SwitchRay Inc. See All Filings	D/A	2013-10-29 00:00:00 UTC
Amount To Be Raised $1,600,000 Associated Brokers / Dealers N/A CIK Number 0001574610 Filed Document 0001574610-13-000002 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D/A Industry Telecommunications Principal Place of Business CALIFORNIA Revenue or Assets $Not Applicable Type of Security Equity
Lodo Software, Inc. See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $3,150,000 Associated Brokers / Dealers N/A CIK Number 0001491691 Filed Document 0001491691-13-000004 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business NEBRASKA Revenue or Assets Decline to Disclose Type of Security Debt
UNIVFY Inc. See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $852,254 Associated Brokers / Dealers N/A CIK Number 0001498630 Filed Document 0001446933-13-000013 Exclusions or Exemptions 506b Accepted Date 2013-10-29 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
Sacramento Republic Football Club, LLC See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $2,940,000 Associated Brokers / Dealers N/A CIK Number 0001590430 Filed Document 0001590430-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business CALIFORNIA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
MV Startup Fund IV Series 3 See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $250,000 Associated Brokers / Dealers William Clark, Jaclyn Strife, and Garrett Paul CIK Number 0001589913 Filed Document 0001589913-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets $No Revenues Type of Security Pooled Investment Fund
STRATEGIC VALUE SPECIAL SITUATIONS FEEDER FUND III-A, LTD. See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001590309 Filed Document 0001590309-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-29 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 Pooled Investment Fund
Newsle, Inc. See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $1,849,997 Associated Brokers / Dealers N/A CIK Number 0001589735 Filed Document 0001589735-13-000002 Exclusions or Exemptions 506b Accepted Date 2013-10-29 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
Prairie Cloudware, Inc. See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $1,800,000 Associated Brokers / Dealers N/A CIK Number 0001568073 Filed Document 0001568073-13-000003 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business NEBRASKA Revenue or Assets $No Revenues Type of Security Equity
Far View Partners, L.P. See All Filings	D/A	2013-10-29 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001530195 Filed Document 0001530195-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-29 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
Increase, Inc. See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001590018 Filed Document 0001590018-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business NEVADA Revenue or Assets Decline to Disclose Type of Security Debt
Lily&Strum, Inc. See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $750,000 Associated Brokers / Dealers N/A CIK Number 0001590298 Filed Document 0001590298-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business PENNSYLVANIA Revenue or Assets Decline to Disclose Type of Security Equity
TELEPRO-DIRECT, INC. See All Filings	D/A	2013-10-29 00:00:00 UTC
Amount To Be Raised $3,000,000 Associated Brokers / Dealers Steven A. Segal CIK Number 0001563730 Filed Document 0001563730-13-000005 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D/A Industry Retailing Principal Place of Business NEW JERSEY Revenue or Assets $No Revenues Type of Security Debt
Instream Energy Systems Corp. See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $1,095,388 Associated Brokers / Dealers N/A CIK Number 0001511707 Filed Document 0001511707-13-000002 Exclusions or Exemptions 504 and 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D Industry Other Energy Principal Place of Business BRITISH COLUMBIA, CANADA Revenue or Assets $No Revenues Type of Security Equity
Reigning Champs LLC See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $1,500,000 Associated Brokers / Dealers N/A CIK Number 0001590422 Filed Document 0001590422-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
Kurobase, Inc. See All Filings	D/A	2013-10-29 00:00:00 UTC
Amount To Be Raised $500,000 Associated Brokers / Dealers N/A CIK Number 0001584271 Filed Document 0001584271-13-000003 Exclusions or Exemptions 506b Accepted Date 2013-10-29 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 Equity
Creekside SPE, LLC See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $6,000,000 Associated Brokers / Dealers N/A CIK Number 0001588780 Filed Document 0001588780-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D Industry Other Real Estate Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Other
Xero Ltd See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $97,909,226 Associated Brokers / Dealers N/A CIK Number 0001589572 Filed Document 0001181431-13-055438 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business NEW ZEALAND Revenue or Assets Decline to Disclose Type of Security Equity
Ablative Solutions, Inc. See All Filings	D/A	2013-10-29 00:00:00 UTC
Amount To Be Raised $7,000,000 Associated Brokers / Dealers N/A CIK Number 0001535723 Filed Document 0001535723-13-000004 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D/A Industry Other Health Care Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Debt
MV Startup Fund VI Series 1 See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $1,200,000 Associated Brokers / Dealers William Clark, Jaclyn Strife, and Garrett Paul CIK Number 0001590377 Filed Document 0001590377-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets $No Revenues Type of Security Pooled Investment Fund
AG Securitized Asset Recovery Fund, L.P. See All Filings	D/A	2013-10-29 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001550741 Filed Document 0001550741-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-29 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
Cygnus RMO III, LLC See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001590413 Filed Document 0001590413-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business NORTH CAROLINA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
DGFDPO, LLC See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $750,000 Associated Brokers / Dealers Fourth Dimension Real Estate, Inc CIK Number 0001590335 Filed Document 0001590335-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D Industry Commercial Principal Place of Business CALIFORNIA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Cherry CBP Assets, LLC See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $1,500,000 Associated Brokers / Dealers N/A CIK Number 0001590238 Filed Document 0001590238-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D Industry Oil and Gas Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
en-Gauge, Inc See All Filings	D/A	2013-10-29 00:00:00 UTC
Amount To Be Raised $2,449,616 Associated Brokers / Dealers N/A CIK Number 0001449048 Filed Document 0001449048-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D/A Industry Other Technology Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
NOLIMITS ENTERPRISES INC. See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $450,000 Associated Brokers / Dealers N/A CIK Number 0001590484 Filed Document 0001590484-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D Industry Retailing Principal Place of Business OHIO Revenue or Assets $$1 - $1,000,000 Type of Security Equity
BLUE SEA CAPITAL FUND I LP See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $270,000,000 Associated Brokers / Dealers LAZARD FRERES & CO. LLC and LAZARD & CO., LIMITED CIK Number 0001589921 Filed Document 0001589921-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business FLORIDA Revenue or Assets Decline to Disclose Type of Security Equity
OrthoFi, Inc. See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $425,000 Associated Brokers / Dealers N/A CIK Number 0001574312 Filed Document 0001574312-13-000002 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D Industry Other Banking and Financial Services Principal Place of Business COLORADO Revenue or Assets $No Revenues Type of Security Equity
venBio Global Strategic Fund, L.P. See All Filings	D/A	2013-10-29 00:00:00 UTC
Amount To Be Raised $237,000,000 Associated Brokers / Dealers N/A CIK Number 0001504130 Filed Document 0001504130-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-29 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 Pooled Investment Fund
VR Global Offshore Fund Ltd See All Filings	D/A	2013-10-29 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001516231 Filed Document 0001315863-13-000495 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business UNITED ARAB EMIRATES Revenue or Assets $Over $100,000,000 Type of Security Pooled Investment Fund
Koronis Pharma, Inc. See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $300,000 Associated Brokers / Dealers N/A CIK Number 0001539008 Filed Document 0001539008-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D Industry Biotechnology Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Equity
Nextly, Inc. See All Filings	D/A	2013-10-29 00:00:00 UTC
Amount To Be Raised $1,199,997 Associated Brokers / Dealers N/A CIK Number 0001495214 Filed Document 0001495214-13-000003 Exclusions or Exemptions 506b Accepted Date 2013-10-29 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
US-MBS LLC See All Filings	D/A	2013-10-29 00:00:00 UTC
Amount To Be Raised $500,000 Associated Brokers / Dealers Colony Park Financial Services LLC CIK Number 0001590202 Filed Document 0001590202-13-000002 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D/A Industry Other Banking and Financial Services Principal Place of Business NEW YORK Revenue or Assets $$1 - $1,000,000 Type of Security Other
RIWI CORP See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $854,656 Associated Brokers / Dealers N/A CIK Number 0001564339 Filed Document 0001183740-13-000401 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business ONTARIO, CANADA Revenue or Assets Decline to Disclose Type of Security Equity
Kela Fund USA Inc. See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $20,000,000 Associated Brokers / Dealers N/A CIK Number 0001589719 Filed Document 0001589719-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D Industry Other Banking and Financial Services Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Debt
CW Gas Partners II, L.P. See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $833,334 Associated Brokers / Dealers N/A CIK Number 0001536891 Filed Document 0001536891-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business OREGON Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
LOTTOPALS INC See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001590539 Filed Document 0001078782-13-002138 Exclusions or Exemptions 506c Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D Industry Computers Principal Place of Business CALIFORNIA Revenue or Assets $No Revenues Type of Security Equity
Energy Opportunity Fund L.P. See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001589665 Filed Document 0001589665-13-000001 Exclusions or Exemptions 506b Accepted Date 2013-10-29 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
GLG European Long-Short Fund LP See All Filings	D/A	2013-10-29 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 0001551784 Filed Document 0000902664-13-003529 Exclusions or Exemptions 506b Accepted Date 2013-10-29 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
Instream Energy Systems Corp. See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $522,921 Associated Brokers / Dealers N/A CIK Number 0001511707 Filed Document 0001511707-13-000003 Exclusions or Exemptions 504 and 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D Industry Other Energy Principal Place of Business BRITISH COLUMBIA, CANADA Revenue or Assets $No Revenues Type of Security Equity
TruSox LLC See All Filings	D	2013-10-29 00:00:00 UTC
Amount To Be Raised $1,500,000 Associated Brokers / Dealers Anthony Cantalupo, Jr. CIK Number 0001590492 Filed Document 0001590492-13-000001 Exclusions or Exemptions 506c Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D Industry Manufacturing Principal Place of Business MARYLAND Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Atlas Resources Series 33-2013 L.P. See All Filings	D/A	2013-10-29 00:00:00 UTC
Amount To Be Raised $200,000,000 Associated Brokers / Dealers Alliance Affiliated Equities Corporation, AXA Advisors, LLC, Berthel, Fisher & Company Financial Services, Inc., Bryan Funding, Inc., Cadaret, Grant & Co., Inc., Calton & Associates, Inc., Cambridge Investment Research, Inc., Centaurus Financial, Inc., Center Street Securities, Inc., Crown Capital Securities, L.P., Dempsey Lord Smith, LLC, First Tennessee Brokerage Inc., FSC Securities Corporation, Girard Securities, Inc., H. Beck, Inc., Hagen Securities, Inc., Heim, Young & Associates, Inc., Integrated Trading and Investments, Inc., Investment Planners, Inc., J.W. Cole Financial, Inc., Lincoln Financial Advisors Corporation, Lincoln Financial Securities Corporation, LPL Financial LLC, Maitland Securities, Inc., May Capital Group, LLC, McLaughlin Ryder Investments, Inc., Merrimac Corporate Securities, Inc., MetLife Securities Inc., Neidiger, Tucker, Bruner, Inc., New England Securities, Newport Coast Securities, Inc., NFP Securities, Inc., Ni Advisors, The O.N. Equity Sales Company, ProEquities, Inc., Prospera Financial Services, Inc., Purshe Kaplan Sterling Investments, Resource Horizon Group LLC, Royal Alliance Associates, Inc., Sagepoint Financial, Inc., Spire Securities, LLC, Summit Brokerage Services, Inc., Tower Square Securities, Inc., Trade-PMR Inc., TransAm Securities, INc., TransAmerica Financial Advisors, Inc., Triad Advisors, Inc., United Planners' Financial Services of America, Walnut Street Securities, Inc., Willbanks Securities, Inc., Woodbury Financial Services, Inc., World Equity Group, Inc., The Strategic Financial Alliance, Inc., Independence Captial Co., Inc., Coastal Equities, Inc., MHA Financial Corp, Money Concepts Capital Corporation, Infinity Financial Services, International Assets Advisory, LLC, McNally Financial Services Corporation, Whitehall-Parker Securities, Inc., Kovack Securities, Inc., First Financial Equity Corporation, and Financial West Group CIK Number 0001570597 Filed Document 0001570597-13-000003 Exclusions or Exemptions 506b Accepted Date 2013-10-29 00:00:00 UTC Type of Offering D/A Industry Oil and Gas Principal Place of Business PENNSYLVANIA Revenue or Assets Decline to Disclose Type of Security Equity