Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
AccuVein Inc. See All Filings	D	2017-11-13 10:06:38 UTC
Amount To Be Raised $1,400,000 Associated Brokers / Dealers N/A CIK Number 0001526868 Filed Document 0001526868-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-11-13 10:06:38 UTC Type of Offering D Industry Other Health Care Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Debt
Lord Abbett International Small Cap Trust See All Filings	D/A	2017-11-13 09:53:31 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers n/a CIK Number 0001624087 Filed Document 0001624087-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-11-13 09:53:31 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NEW JERSEY Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
MCA Systems, Inc. See All Filings	D	2017-11-13 09:48:32 UTC
Amount To Be Raised $416,430 Associated Brokers / Dealers N/A CIK Number 0001605268 Filed Document 0001605268-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-11-13 09:48:32 UTC Type of Offering D Industry Other Health Care Principal Place of Business VIRGINIA Revenue or Assets Decline to Disclose Type of Security Debt
Momentum Learning, Inc. See All Filings	D	2017-11-13 09:24:24 UTC
Amount To Be Raised $400,000 Associated Brokers / Dealers N/A CIK Number 0001722304 Filed Document 0001722304-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-11-13 09:24:24 UTC Type of Offering D Industry Other Principal Place of Business NORTH CAROLINA Revenue or Assets Decline to Disclose Type of Security Equity
Reno Student Housing, DST See All Filings	D/A	2017-11-13 09:08:16 UTC
Amount To Be Raised $42,471,000 Associated Brokers / Dealers Select Capital Corporation, Intercarolina Financial Services, Inc., Center Street Securities, Inc., Shopoff Securities, Inc., Investacorp, Inc., Dempsey Lord Smith, LLC, Sandlapper Securities, LLC, WestPark Capital, Inc., Crown Capital Securities, L.P., Independent Financial Group, LLC, ProEquities, Inc., Capital Financial Services, Inc., Berthel, Fisher & Company Financial Services, Inc., NPB Financial Group, LLC, Centaurus Financial, Inc., Boustead Securities, LLC, Wealthforge Securities, LLC, Purshe Kaplan Sterling Investments, VFG Securities, Inc., Taylor Capital Management, Inc., Lion Street Financial, LLC, Whitehall-Parker Securities, Inc., McDermott Investment Services, LLC, IBN Financial Services, Inc., Cabot Lodge Securities LLC, Ausdal Financial Partners, Inc., KALOS CAPITAL, INC., Comprehensive Asset Management and Servicing, Inc., D.H. Hill Securities, LLLP, and Cabin Securities, Inc. CIK Number 0001693883 Filed Document 0001693883-17-000017 Exclusions or Exemptions 506b Accepted Date 2017-11-13 09:08:16 UTC Type of Offering D/A Industry Other Real Estate Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Alta Ventures Fund II, L.P. See All Filings	D	2017-11-13 09:06:45 UTC
Amount To Be Raised $150,000,000 Associated Brokers / Dealers N/A CIK Number 0001721342 Filed Document 0001721342-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-11-13 09:06:45 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business UTAH Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
VIIHealth, Inc. See All Filings	D	2017-11-13 09:00:20 UTC
Amount To Be Raised $1,500,000 Associated Brokers / Dealers N/A CIK Number 0001574228 Filed Document 0001574228-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-11-13 09:00:20 UTC Type of Offering D Industry Other Principal Place of Business PENNSYLVANIA Revenue or Assets Decline to Disclose Type of Security Equity
Bedrock Capital I, LP See All Filings	D	2017-11-13 09:00:13 UTC
Amount To Be Raised $118,130,522 Associated Brokers / Dealers N/A CIK Number 0001720754 Filed Document 0001720754-17-000002 Exclusions or Exemptions 506b Accepted Date 2017-11-13 09:00:13 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
JUNO TOPCO, INC. See All Filings	D	2017-11-13 08:39:58 UTC
Amount To Be Raised $561,174,123 Associated Brokers / Dealers N/A CIK Number 0001721947 Filed Document 0001721947-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-11-13 08:39:58 UTC Type of Offering D Industry Other Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Sportwater Beverages LLC See All Filings	D	2017-11-13 08:26:11 UTC
Amount To Be Raised $2,500,000 Associated Brokers / Dealers N/A CIK Number 0001576328 Filed Document 0001576328-17-000003 Exclusions or Exemptions 506b Accepted Date 2017-11-13 08:26:11 UTC Type of Offering D Industry Other Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Equity
POLAR CAPITAL FUNDS PUBLIC LTD CO See All Filings	D/A	2017-11-13 08:04:53 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001170710 Filed Document 0000902664-17-004284 Exclusions or Exemptions 506b Accepted Date 2017-11-13 08:04:53 UTC Type of Offering D/A Industry Other Banking and Financial Services Principal Place of Business IRELAND Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
Riverside Credit Solutions Fund I, L.P. See All Filings	D	2017-11-13 07:53:01 UTC
Amount To Be Raised $350,000,000 Associated Brokers / Dealers N/A CIK Number 0001721427 Filed Document 0001721427-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-11-13 07:53:01 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
HODEI TECHNOLOGY, LLC See All Filings	D/A	2017-11-13 07:43:48 UTC
Amount To Be Raised $250,000,000 Associated Brokers / Dealers N/A CIK Number 0001714108 Filed Document 0001140361-17-041928 Exclusions or Exemptions 506b Accepted Date 2017-11-13 07:43:48 UTC Type of Offering D/A Industry Other Technology Principal Place of Business INDIANA Revenue or Assets Decline to Disclose Type of Security Debt
JCP Drawdown Partnership IV, LP See All Filings	D	2017-11-13 07:33:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001722250 Filed Document 0001315863-17-000854 Exclusions or Exemptions 506b Accepted Date 2017-11-13 07:33:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
SETUSERV, INC. See All Filings	D	2017-11-13 07:05:23 UTC
Amount To Be Raised $658,000 Associated Brokers / Dealers NOT APPLICABLE CIK Number 0001603352 Filed Document 0001603352-17-000002 Exclusions or Exemptions 506b Accepted Date 2017-11-13 07:05:23 UTC Type of Offering D Industry Other Technology Principal Place of Business ILLINOIS Revenue or Assets Decline to Disclose Type of Security Other
Totango, Inc. See All Filings	D	2017-11-13 06:57:34 UTC
Amount To Be Raised $9,000,000 Associated Brokers / Dealers N/A CIK Number 0001721920 Filed Document 0001213900-17-011737 Exclusions or Exemptions 506b Accepted Date 2017-11-13 06:57:34 UTC Type of Offering D Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Synergy Aquatic & Land Physical Therapy, LLC See All Filings	D/A	2017-11-13 06:23:52 UTC
Amount To Be Raised $700,000 Associated Brokers / Dealers N/A CIK Number 0001716584 Filed Document 0001140361-17-041904 Exclusions or Exemptions 506b Accepted Date 2017-11-13 06:23:52 UTC Type of Offering D/A Industry Other Health Care Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
Logan Airport Storage LLC See All Filings	D	2017-11-13 06:18:51 UTC
Amount To Be Raised $1,336,652 Associated Brokers / Dealers NONE CIK Number 0001722243 Filed Document 0001493152-17-012759 Exclusions or Exemptions 506b Accepted Date 2017-11-13 06:18:51 UTC Type of Offering D Industry Commercial Principal Place of Business NEVADA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
CYREN Ltd. See All Filings	D	2017-11-13 06:06:12 UTC
Amount To Be Raised $19,601,714 Associated Brokers / Dealers N/A CIK Number 0001084577 Filed Document 0001213900-17-011720 Exclusions or Exemptions 506b Accepted Date 2017-11-13 06:06:12 UTC Type of Offering D Industry Other Technology Principal Place of Business ISRAEL Revenue or Assets $$25,000,001 - $100,000,000 Type of Security Equity
New Mountain Partners V, L.P. See All Filings	D/A	2017-11-09 21:03:08 UTC
Amount To Be Raised $5,850,000,000 Associated Brokers / Dealers Credit Suisse Securities (USA) LLC, Goldman Sachs & Co. LLC, and Ameris Capital S.A. CIK Number 0001707375 Filed Document 0001707375-17-000002 Exclusions or Exemptions 506b Accepted Date 2017-11-09 21:03:08 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
TC CIP II, L.P. See All Filings	D	2017-11-09 20:22:11 UTC
Amount To Be Raised $5,204,308 Associated Brokers / Dealers Roger Saad CIK Number 0001722062 Filed Document 0001144204-17-057873 Exclusions or Exemptions 506b Accepted Date 2017-11-09 20:22:11 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
Nautilus Data Technologies, Inc. See All Filings	D/A	2017-11-09 19:19:33 UTC
Amount To Be Raised $28,278,208 Associated Brokers / Dealers HEALTHIOS CAPITAL MARKETS, LLC CIK Number 0001705705 Filed Document 0001705705-17-000002 Exclusions or Exemptions 506b Accepted Date 2017-11-09 19:19:33 UTC Type of Offering D/A Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Leavitt Equity Partners II, L.P. See All Filings	D	2017-11-09 19:15:29 UTC
Amount To Be Raised $125,000,000 Associated Brokers / Dealers N/A CIK Number 0001720920 Filed Document 0001209191-17-060084 Exclusions or Exemptions 506b Accepted Date 2017-11-09 19:15:29 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business UTAH Revenue or Assets Decline to Disclose Type of Security Equity
Vistria Fund II, LP See All Filings	D/A	2017-11-09 19:10:59 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Morgan Stanley Smith Barney LLC, Lazard Freres & Co. LLC, and Moelis & Company LLC CIK Number 0001692256 Filed Document 0001692256-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-11-09 19:10:59 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
Uptown Apartments San Diego, LP See All Filings	D	2017-11-09 18:36:58 UTC
Amount To Be Raised $925,000 Associated Brokers / Dealers N/A CIK Number 0001722216 Filed Document 0001062993-17-004775 Exclusions or Exemptions 506b Accepted Date 2017-11-09 18:36:58 UTC Type of Offering D Industry Residential Principal Place of Business CALIFORNIA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Westside Apartments San Diego, LP See All Filings	D	2017-11-09 18:35:46 UTC
Amount To Be Raised $2,055,000 Associated Brokers / Dealers N/A CIK Number 0001722215 Filed Document 0001062993-17-004774 Exclusions or Exemptions 506b Accepted Date 2017-11-09 18:35:46 UTC Type of Offering D Industry Residential Principal Place of Business CALIFORNIA Revenue or Assets $$1,000,001 - $5,000,000 Type of Security Equity
KANSAS APARTMENTS SAN DIEGO, LP See All Filings	D	2017-11-09 18:33:29 UTC
Amount To Be Raised $1,100,000 Associated Brokers / Dealers N/A CIK Number 0001722246 Filed Document 0001062993-17-004773 Exclusions or Exemptions 506b Accepted Date 2017-11-09 18:33:29 UTC Type of Offering D Industry Residential Principal Place of Business CALIFORNIA Revenue or Assets $$1,000,001 - $5,000,000 Type of Security Equity
Ranger Energy Partners Fund II, LP See All Filings	D	2017-11-09 18:30:03 UTC
Amount To Be Raised $15,750,000 Associated Brokers / Dealers N/A CIK Number 0001722276 Filed Document 0001722276-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-11-09 18:30:03 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business COLORADO Revenue or Assets Decline to Disclose Type of Security Equity
Trinity Hunt Partners V, L.P. See All Filings	D/A	2017-11-09 17:59:33 UTC
Amount To Be Raised $300,000,000 Associated Brokers / Dealers Credit Suisse Securities (USA) LLC CIK Number 0001708018 Filed Document 0001708018-17-000003 Exclusions or Exemptions 506b Accepted Date 2017-11-09 17:59:33 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
Onda Exchange Co See All Filings	D	2017-11-09 17:46:01 UTC
Amount To Be Raised $750,000 Associated Brokers / Dealers N/A CIK Number 0001721445 Filed Document 0001721445-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-11-09 17:46:01 UTC Type of Offering D Industry Other Technology Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Debt
Elasticsearch Global BV See All Filings	D	2017-11-09 17:45:10 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001707753 Filed Document 0001707753-17-000003 Exclusions or Exemptions 506b Accepted Date 2017-11-09 17:45:10 UTC Type of Offering D Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
130 North Street See All Filings	D/A	2017-11-09 17:29:13 UTC
Amount To Be Raised $252,320 Associated Brokers / Dealers N/A CIK Number 0001718209 Filed Document 0001718209-17-000002 Exclusions or Exemptions 506b Accepted Date 2017-11-09 17:29:13 UTC Type of Offering D/A Industry Residential Principal Place of Business NEW JERSEY Revenue or Assets $No Revenues Type of Security Equity
iCapital-Pantheon Global Infrastructure III Access Fund, L.P. See All Filings	D	2017-11-09 17:22:58 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001721968 Filed Document 0000897069-17-000549 Exclusions or Exemptions 506b Accepted Date 2017-11-09 17:22:58 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
MILL POINT CAPITAL PARTNERS A, L.P. See All Filings	D	2017-11-09 17:22:52 UTC
Amount To Be Raised $375,000,000 Associated Brokers / Dealers ACALYX ADVISORS INC. CIK Number 0001720524 Filed Document 0001720524-17-000002 Exclusions or Exemptions 506b Accepted Date 2017-11-09 17:22:52 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
Retrolux, Inc. See All Filings	D	2017-11-09 17:20:53 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001674939 Filed Document 0001674939-17-000005 Exclusions or Exemptions 506b Accepted Date 2017-11-09 17:20:53 UTC Type of Offering D Industry Other Technology Principal Place of Business IDAHO Revenue or Assets $$1 - $1,000,000 Type of Security Equity
MILL POINT CAPITAL PARTNERS, L.P. See All Filings	D	2017-11-09 17:19:00 UTC
Amount To Be Raised $375,000,000 Associated Brokers / Dealers ACALYX ADVISORS INC. CIK Number 0001720652 Filed Document 0001720524-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-11-09 17:19:00 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
STINA RESOURCES LTD /FI See All Filings	D	2017-11-09 17:18:29 UTC
Amount To Be Raised $311,209 Associated Brokers / Dealers Skanderbeg Capital Advisors CIK Number 0000833987 Filed Document 0000833987-17-000004 Exclusions or Exemptions 506b Accepted Date 2017-11-09 17:18:29 UTC Type of Offering D Industry Other Principal Place of Business BRITISH COLUMBIA, CANADA Revenue or Assets $No Revenues Type of Security Equity
MILL POINT AFFILIATES FUND I, L.P. See All Filings	D	2017-11-09 17:18:07 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers ACALYX ADVISORS INC. CIK Number 0001720901 Filed Document 0001720901-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-11-09 17:18:07 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
Sparva, LLC See All Filings	D	2017-11-09 17:17:25 UTC
Amount To Be Raised $10,000,000 Associated Brokers / Dealers N/A CIK Number 0001722264 Filed Document 0001380389-17-000093 Exclusions or Exemptions 506b Accepted Date 2017-11-09 17:17:25 UTC Type of Offering D Industry Other Energy Principal Place of Business MISSISSIPPI Revenue or Assets $No Revenues Type of Security Equity
747 Stuyvesant Fund VI, L.P. See All Filings	D	2017-11-09 17:17:18 UTC
Amount To Be Raised $100,000,000 Associated Brokers / Dealers N/A CIK Number 0001721573 Filed Document 0001721573-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-11-09 17:17:18 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
Relode, LLC See All Filings	D	2017-11-09 17:14:57 UTC
Amount To Be Raised $10,217,993 Associated Brokers / Dealers N/A CIK Number 0001640100 Filed Document 0001640100-17-000003 Exclusions or Exemptions 506b Accepted Date 2017-11-09 17:14:57 UTC Type of Offering D Industry Business Services Principal Place of Business TENNESSEE Revenue or Assets Decline to Disclose Type of Security Equity
1526 South Good Latimer Partners, LLC See All Filings	D	2017-11-09 17:11:35 UTC
Amount To Be Raised $676,000 Associated Brokers / Dealers N/A CIK Number 0001722305 Filed Document 0001722305-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-11-09 17:11:35 UTC Type of Offering D Industry Commercial Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
Hillo Fund, LP See All Filings	D	2017-11-09 17:09:12 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001719065 Filed Document 0001719065-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-11-09 17:09:12 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business NEW JERSEY Revenue or Assets Decline to Disclose Type of Security Equity
Willis Towers Watson Protected Equity Fund L.P. See All Filings	D/A	2017-11-09 17:05:43 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Foreside Fund Services, LLC CIK Number 0001689449 Filed Document 0000935836-17-000525 Exclusions or Exemptions 506b Accepted Date 2017-11-09 17:05:43 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business FLORIDA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
TurnCare, Inc. See All Filings	D	2017-11-09 16:58:42 UTC
Amount To Be Raised $5,839,907 Associated Brokers / Dealers N/A CIK Number 0001722136 Filed Document 0001722136-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-11-09 16:58:42 UTC Type of Offering D Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
iCapital-Clearlake Capital Partners V Access Fund, L.P. See All Filings	D	2017-11-09 16:58:33 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001722220 Filed Document 0000897069-17-000548 Exclusions or Exemptions 506b Accepted Date 2017-11-09 16:58:33 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
Melody Special Situations Offshore Credit Fund, L.P. See All Filings	D/A	2017-11-09 16:54:27 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001587956 Filed Document 0000950142-17-001990 Exclusions or Exemptions 506b Accepted Date 2017-11-09 16:54:27 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
PWP EIV LLC (Series A & B) See All Filings	D/A	2017-11-09 16:51:31 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001589721 Filed Document 0000902664-17-004267 Exclusions or Exemptions 506b Accepted Date 2017-11-09 16:51:31 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
Temnein Ventures II (Cayman), L.P. See All Filings	D/A	2017-11-09 16:45:27 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001689687 Filed Document 0001689687-17-000002 Exclusions or Exemptions 506b Accepted Date 2017-11-09 16:45:27 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
Brookfield Premier Real Estate Partners L.P. See All Filings	D/A	2017-11-09 16:45:25 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers BROOKFIELD PRIVATE ADVISORS LLC and KB INVESTMENT & SECURITIES CO. LTD. CIK Number 0001688576 Filed Document 0001718125-17-000022 Exclusions or Exemptions 506b Accepted Date 2017-11-09 16:45:25 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