Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
CLIFTON INTERNATIONAL INFLATION-LINKED BOND FUND LTD. See All Filings	D/A	2014-04-17 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001545358 Filed Document 0001545358-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-04-17 00:00:00 UTC Type of Offering D/A Industry Investing Principal Place of Business MINNESOTA Revenue or Assets Decline to Disclose Type of Security Equity
CLIFTON U.S. INFLATION-LINKED BOND FUND LTD. See All Filings	D/A	2014-04-17 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001545366 Filed Document 0001545366-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-04-17 00:00:00 UTC Type of Offering D/A Industry Investing Principal Place of Business MINNESOTA Revenue or Assets Decline to Disclose Type of Security Equity
Axiom Investors Trust II - Axiom International Equity Fund II See All Filings	D/A	2014-04-17 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001415637 Filed Document 0001415637-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-04-17 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 Pooled Investment Fund
StudioNow, Inc. See All Filings	D	2014-04-17 00:00:00 UTC
Amount To Be Raised $4,000,000 Associated Brokers / Dealers N/A CIK Number 0001568114 Filed Document 0001568114-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-04-17 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business TENNESSEE Revenue or Assets Decline to Disclose Type of Security Equity
Cynapsus Therapeutics Inc. See All Filings	D	2014-04-17 00:00:00 UTC
Amount To Be Raised $42,916,967 Associated Brokers / Dealers Noble Financial Capital Markets and Maddie King III CIK Number 0001532079 Filed Document 0001532079-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-04-17 00:00:00 UTC Type of Offering D Industry Pharmaceuticals Principal Place of Business ONTARIO, CANADA Revenue or Assets $No Revenues Type of Security Equity
CariCord, Inc. See All Filings	D/A	2014-04-17 00:00:00 UTC
Amount To Be Raised $500,000 Associated Brokers / Dealers N/A CIK Number 0001595518 Filed Document 0001019687-14-001459 Exclusions or Exemptions 506b Accepted Date 2014-04-17 00:00:00 UTC Type of Offering D/A Industry Other Health Care Principal Place of Business CALIFORNIA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Dandelion Chocolate, Inc. See All Filings	D	2014-04-17 00:00:00 UTC
Amount To Be Raised $5,000,000 Associated Brokers / Dealers N/A CIK Number 0001558079 Filed Document 0001558079-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-04-17 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
Makuria Credit Fund LP See All Filings	D/A	2014-04-17 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001574423 Filed Document 0000902664-14-002166 Exclusions or Exemptions 506b Accepted Date 2014-04-17 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
Ultra Testing LLC See All Filings	D	2014-04-17 00:00:00 UTC
Amount To Be Raised $500,000 Associated Brokers / Dealers N/A CIK Number 0001602229 Filed Document 0001602229-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-04-17 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 Debt
BC XI Private Investors, L.P. See All Filings	D/A	2014-04-17 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001568944 Filed Document 0001605447-14-000017 Exclusions or Exemptions 506b Accepted Date 2014-04-17 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
Mercury Media Science B Ltd See All Filings	D	2014-04-17 00:00:00 UTC
Amount To Be Raised $829,737 Associated Brokers / Dealers N/A CIK Number 0001605644 Filed Document 0001605638-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-04-17 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business JERSEY Revenue or Assets Decline to Disclose Type of Security Debt
CR Kenilworth, LLC See All Filings	D/A	2014-04-17 00:00:00 UTC
Amount To Be Raised $7,098,000 Associated Brokers / Dealers N/A CIK Number 0001605716 Filed Document 0001605716-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-04-17 00:00:00 UTC Type of Offering D/A Industry Other Real Estate Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Equity
X2 Biosystems, Inc. See All Filings	D	2014-04-17 00:00:00 UTC
Amount To Be Raised $9,000,000 Associated Brokers / Dealers J.P. Turner & Company, L.L.C. CIK Number 0001495809 Filed Document 0001495809-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-04-17 00:00:00 UTC Type of Offering D Industry Biotechnology Principal Place of Business WASHINGTON Revenue or Assets $$1,000,001 - $5,000,000 Type of Security Debt
CarNinja, Inc. See All Filings	D	2014-04-17 00:00:00 UTC
Amount To Be Raised $2,250,000 Associated Brokers / Dealers N/A CIK Number 0001605973 Filed Document 0001605973-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-04-17 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
BioSig Technologies, Inc. See All Filings	D	2014-04-17 00:00:00 UTC
Amount To Be Raised $5,000,000 Associated Brokers / Dealers Laidlaw & Company (UK) Ltd. CIK Number 0001530766 Filed Document 0001530766-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-04-17 00:00:00 UTC Type of Offering D Industry Biotechnology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
FRENTESS COUNTY PROSPECT #2 See All Filings	D	2014-04-17 00:00:00 UTC
Amount To Be Raised $350,000 Associated Brokers / Dealers N/A CIK Number 0001605833 Filed Document 0001605833-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-04-17 00:00:00 UTC Type of Offering D Industry Oil and Gas Principal Place of Business TENNESSEE Revenue or Assets $Not Applicable Type of Security Other
NPS Holdings, LLC See All Filings	D	2014-04-17 00:00:00 UTC
Amount To Be Raised $3,200,000 Associated Brokers / Dealers N/A CIK Number 0001605657 Filed Document 0001605657-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-04-17 00:00:00 UTC Type of Offering D Industry Investing Principal Place of Business TENNESSEE Revenue or Assets $Not Applicable Type of Security Equity
ENERGY ASSOCIATES INC See All Filings	D	2014-04-17 00:00:00 UTC
Amount To Be Raised $1,248,000 Associated Brokers / Dealers n/a CIK Number 0001211470 Filed Document 0001211470-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-04-17 00:00:00 UTC Type of Offering D Industry Oil and Gas Principal Place of Business KENTUCKY Revenue or Assets $No Revenues Type of Security Other
88 Tactical Building Group, LLC See All Filings	D	2014-04-17 00:00:00 UTC
Amount To Be Raised $2,000,000 Associated Brokers / Dealers N/A CIK Number 0001605877 Filed Document 0001605877-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-04-17 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business NEBRASKA Revenue or Assets Decline to Disclose Type of Security Equity
Zymeworks Inc. See All Filings	D/A	2014-04-17 00:00:00 UTC
Amount To Be Raised $1,025,752 Associated Brokers / Dealers N/A CIK Number 0001403752 Filed Document 0001403752-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-04-17 00:00:00 UTC Type of Offering D/A Industry Biotechnology Principal Place of Business BRITISH COLUMBIA, CANADA Revenue or Assets Decline to Disclose Type of Security Equity
Crowdability, Inc. See All Filings	D	2014-04-17 00:00:00 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001600813 Filed Document 0001600813-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-04-17 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 Debt
Naya 1740 Fund Ltd See All Filings	D/A	2014-04-16 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001573847 Filed Document 0000902664-14-002146 Exclusions or Exemptions 506b Accepted Date 2014-04-16 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
SE WEST LOOP INVESTORS, LLC See All Filings	D	2014-04-16 00:00:00 UTC
Amount To Be Raised $6,605,000 Associated Brokers / Dealers N/A CIK Number 0001605566 Filed Document 0001605566-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-04-16 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business ILLINOIS Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Equity
JVM MULTI-FAMILY PREMIER FUND, LLC See All Filings	D	2014-04-16 00:00:00 UTC
Amount To Be Raised $50,000,000 Associated Brokers / Dealers N/A CIK Number 0001602500 Filed Document 0001602500-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-04-16 00:00:00 UTC Type of Offering D Industry Residential Principal Place of Business ILLINOIS Revenue or Assets Decline to Disclose Type of Security Equity
Press4Kids Inc. See All Filings	D	2014-04-16 00:00:00 UTC
Amount To Be Raised $450,000 Associated Brokers / Dealers N/A CIK Number 0001605772 Filed Document 0001140361-14-016885 Exclusions or Exemptions 506b Accepted Date 2014-04-16 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business NEW YORK Revenue or Assets $Not Applicable Type of Security Equity
HIPEP VII Partnership Feeder Fund L.P. See All Filings	D	2014-04-16 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001605475 Filed Document 0001181431-14-016297 Exclusions or Exemptions 506b Accepted Date 2014-04-16 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
Garrison Opportunity Fund IV A LLC See All Filings	D	2014-04-16 00:00:00 UTC
Amount To Be Raised $500,000,000 Associated Brokers / Dealers N/A CIK Number 0001605646 Filed Document 0001605646-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-04-16 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 Pooled Investment Fund
DartPoints, LLC See All Filings	D	2014-04-16 00:00:00 UTC
Amount To Be Raised $5,000,000 Associated Brokers / Dealers N/A CIK Number 0001573836 Filed Document 0001162677-14-000034 Exclusions or Exemptions 506b Accepted Date 2014-04-16 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
Salient MLP Total Return Fund, L.P. See All Filings	D/A	2014-04-16 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Craig C. Dawson, Kevin B. Davis, Matthew H. Moncrief, EDI Financial, Inc., J. Matthew Newtown, Andrew B. Linbeck, David E. Hicks, William W. Cathriner, Matthew P. Summers, Stephen D. Strake, Timothy M. Conway III, James R. Moffett, Jr., Fred L. Williams, Jr., and Jill T. Cohen CIK Number 0001589065 Filed Document 0001589065-14-000006 Exclusions or Exemptions 506b Accepted Date 2014-04-16 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
ARC Property Trust, Inc. See All Filings	D	2014-04-16 00:00:00 UTC
Amount To Be Raised $30,000,000 Associated Brokers / Dealers More Than 5 Persons, More Than 5 Persons, More Than 5 Persons, More Than 5 Persons, More Than 5 Persons, More Than 5 Persons, More Than 5 Persons, More Than 5 Persons, More Than 5 Persons, and More than 5 Persons CIK Number 0001480970 Filed Document 0001480970-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-04-16 00:00:00 UTC Type of Offering D Industry REITS and Finance Principal Place of Business NEW JERSEY Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Equity
SE Michigan Holdings, Inc. See All Filings	D/A	2014-04-16 00:00:00 UTC
Amount To Be Raised $4,500,000 Associated Brokers / Dealers N/A CIK Number 0001599295 Filed Document 0001599295-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-04-16 00:00:00 UTC Type of Offering D/A Industry Other Real Estate Principal Place of Business FLORIDA Revenue or Assets $No Revenues Type of Security Equity
DubLabs Holdings Corp. See All Filings	D	2014-04-16 00:00:00 UTC
Amount To Be Raised $55,000 Associated Brokers / Dealers N/A CIK Number 0001605712 Filed Document 0001605712-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-04-16 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business DISTRICT OF COLUMBIA Revenue or Assets Decline to Disclose Type of Security Debt
HIPEP VII Emerging Markets Fund L.P. See All Filings	D	2014-04-16 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001605468 Filed Document 0001181431-14-016292 Exclusions or Exemptions 506b Accepted Date 2014-04-16 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
Qiming Managing Directors Fund IV, L.P. See All Filings	D	2014-04-16 00:00:00 UTC
Amount To Be Raised $25,000,000 Associated Brokers / Dealers N/A CIK Number 0001605610 Filed Document 0001605610-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-04-16 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
Danimer Scientific, L.L.C. See All Filings	D	2014-04-16 00:00:00 UTC
Amount To Be Raised $2,588,436 Associated Brokers / Dealers N/A CIK Number 0001582841 Filed Document 0001582841-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-04-16 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business GEORGIA Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Equity
J.P. Morgan-BlackRock Opportunistic RMBS Ltd. See All Filings	D/A	2014-04-16 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers J.P. Morgan Securities LLC CIK Number 0001473668 Filed Document 0000950103-14-002705 Exclusions or Exemptions 506b Accepted Date 2014-04-16 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
Proxima Capital Offshore, Ltd. See All Filings	D/A	2014-04-16 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Centara Capital Securities, Inc. CIK Number 0001488920 Filed Document 0000919574-14-002653 Exclusions or Exemptions 506b Accepted Date 2014-04-16 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
CONVALO HEALTH INTERNATIONAL, CORP. See All Filings	D	2014-04-16 00:00:00 UTC
Amount To Be Raised $465,626 Associated Brokers / Dealers N/A CIK Number 0001592022 Filed Document 0001183740-14-000135 Exclusions or Exemptions 506b Accepted Date 2014-04-16 00:00:00 UTC Type of Offering D Industry Other Health Care Principal Place of Business BRITISH COLUMBIA, CANADA Revenue or Assets Decline to Disclose Type of Security Equity
NexSteppe Inc. See All Filings	D	2014-04-16 00:00:00 UTC
Amount To Be Raised $25,000,000 Associated Brokers / Dealers N/A CIK Number 0001505088 Filed Document 0001505088-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-04-16 00:00:00 UTC Type of Offering D Industry Agriculture Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Axial Exchange, Inc. See All Filings	D	2014-04-16 00:00:00 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001513081 Filed Document 0001513081-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-04-16 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business NORTH CAROLINA Revenue or Assets Decline to Disclose Type of Security Debt
Ashmore SICAV in respect of Ashmore SICAV Indian Small-Cap Equity Fund See All Filings	D	2014-04-16 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION CIK Number 0001603131 Filed Document 0001605447-14-000013 Exclusions or Exemptions 506b Accepted Date 2014-04-16 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business LUXEMBOURG Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Active Owners Fund II See All Filings	D	2014-04-16 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001605777 Filed Document 0001605777-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-04-16 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
Wellscripts, Inc. See All Filings	D	2014-04-16 00:00:00 UTC
Amount To Be Raised $500,000 Associated Brokers / Dealers No Sales Compensation CIK Number 0001605802 Filed Document 0001605802-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-04-16 00:00:00 UTC Type of Offering D Industry Pharmaceuticals Principal Place of Business ALABAMA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Approved Colleges, LLC See All Filings	D/A	2014-04-16 00:00:00 UTC
Amount To Be Raised $500,000 Associated Brokers / Dealers N/A CIK Number 0001561428 Filed Document 0001561428-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-04-16 00:00:00 UTC Type of Offering D/A Industry Other Principal Place of Business VIRGINIA Revenue or Assets Decline to Disclose Type of Security Equity
Ziel Innovations, LLC See All Filings	D	2014-04-16 00:00:00 UTC
Amount To Be Raised $750,000 Associated Brokers / Dealers N/A CIK Number 0001605812 Filed Document 0001605812-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-04-16 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
Rochester Mills Production Brewery, LLC See All Filings	D	2014-04-16 00:00:00 UTC
Amount To Be Raised $3,000,000 Associated Brokers / Dealers N/A CIK Number 0001605026 Filed Document 0001605026-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-04-16 00:00:00 UTC Type of Offering D Industry Manufacturing Principal Place of Business MICHIGAN Revenue or Assets Decline to Disclose Type of Security Equity
O'CONNOR GLOBAL MULTI-STRATEGY ALPHA LTD See All Filings	D/A	2014-04-16 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers UBS Global Asset Management (Americas) Inc., UBS Financial Services Inc., UBS Global Asset Management (Japan) Ltd., UBS AG London Branch, UBS AG Jersey Branch, AIM Capital Oy, Stelinvest SA, UBS Global Asset Management (Canada) Inc., Agenda Invest AG, and UBS Global Asset Management (US) Inc. CIK Number 0001403975 Filed Document 0000902664-14-002164 Exclusions or Exemptions 506b Accepted Date 2014-04-16 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
NATIONWIDE PRIVATE PLACEMENT VARIABLE ACCOUNT See All Filings	D/A	2014-04-16 00:00:00 UTC
Amount To Be Raised $112,666,283 Associated Brokers / Dealers Patrick Sullivan, Dave Buckalew, and Andrew McGinnis CIK Number 0001135856 Filed Document 0001135856-14-000162 Exclusions or Exemptions 506b Accepted Date 2014-04-16 00:00:00 UTC Type of Offering D/A Industry Insurance Principal Place of Business OHIO Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
CARITAS ROYALTY FUND LLC See All Filings	D/A	2014-04-16 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001445901 Filed Document 0001445901-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-04-16 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
Little Passports, Inc. See All Filings	D	2014-04-16 00:00:00 UTC
Amount To Be Raised $1,500,000 Associated Brokers / Dealers N/A CIK Number 0001605344 Filed Document 0001605344-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-04-16 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