Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
Valeura Energy Inc. See All Filings	D	2016-11-15 12:48:00 UTC
Amount To Be Raised $963,909 Associated Brokers / Dealers CORMARK SECURITIES INC. CIK Number 0001688318 Filed Document 0001688318-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-11-15 12:48:00 UTC Type of Offering D Industry Oil and Gas Principal Place of Business ALBERTA, CANADA Revenue or Assets $$25,000,001 - $100,000,000 Type of Security Security To Be Acquired
ICONIQ Strategic Partners II Co-Invest, L.P., Series ST See All Filings	D	2016-11-15 12:47:43 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001690039 Filed Document 0001690039-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-11-15 12:47:43 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
CEDAR STREET EMERGING MARKETS VALUE FUND, L.P. See All Filings	D/A	2016-11-15 12:38:21 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001682360 Filed Document 0000913849-16-000672 Exclusions or Exemptions 506b Accepted Date 2016-11-15 12:38:21 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business ILLINOIS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
SPINEOLOGY INC See All Filings	D/A	2016-11-15 12:35:23 UTC
Amount To Be Raised $7,500,000 Associated Brokers / Dealers Thomas P. Niemiec, Randy L. Hines, Jeffrey D. Jacobson, David B. Juran, Wynn R. Juran, Thomas C. Olander, Jeffrey A. Schachtman, Roman Gadaskin, Fredrick J. Olson, James L. Melby, James D. Kallstrom, Ryan C. McEnerney, Scott W. Rickford, Brian R. Trygstad, and Thomas P. Hackl CIK Number 0001165842 Filed Document 0001165842-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-11-15 12:35:23 UTC Type of Offering D/A Industry Biotechnology Principal Place of Business MINNESOTA Revenue or Assets $$25,000,001 - $100,000,000 Type of Security Debt
Mile26 Fund, LP See All Filings	D/A	2016-11-15 12:33:21 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001656157 Filed Document 0000919574-16-016697 Exclusions or Exemptions 506b Accepted Date 2016-11-15 12:33:21 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
Osage Venture Partners IV, LP See All Filings	D/A	2016-11-15 12:32:11 UTC
Amount To Be Raised $90,000,000 Associated Brokers / Dealers N/A CIK Number 0001652361 Filed Document 0001192482-16-000754 Exclusions or Exemptions 506b Accepted Date 2016-11-15 12:32:11 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
Jade at Olde Naples I LLC See All Filings	D	2016-11-15 12:13:09 UTC
Amount To Be Raised $3,965,000 Associated Brokers / Dealers N/A CIK Number 0001689409 Filed Document 0001689409-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-11-15 12:13:09 UTC Type of Offering D Industry Residential Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Equity
Hawk Ridge Partners Offshore Ltd. See All Filings	D/A	2016-11-15 12:08:53 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001689927 Filed Document 0001689927-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-11-15 12:08:53 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
United States Life Insurance Co in the City of New York See All Filings	D/A	2016-11-15 12:02:32 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers M Holdings Securities, Inc. and FAS Corp. CIK Number 0001310558 Filed Document 0001310558-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-11-15 12:02:32 UTC Type of Offering D/A Industry Insurance Principal Place of Business NEW YORK Revenue or Assets $Over $100,000,000 Type of Security Pooled Investment Fund
Edaris Health, Inc. See All Filings	D	2016-11-15 12:01:46 UTC
Amount To Be Raised $1,200,000 Associated Brokers / Dealers N/A CIK Number 0001404539 Filed Document 0001404539-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-11-15 12:01:46 UTC Type of Offering D Industry Other Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
Eagle Quantitative Macro Fund LLC See All Filings	D/A	2016-11-15 11:51:53 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Morgan Stanley Smith Barney CIK Number 0001534831 Filed Document 0001534831-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-11-15 11:51:53 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NEW JERSEY Revenue or Assets $$25,000,001 - $50,000,000 Type of Security Pooled Investment Fund
ZoneFlow Reactor Technologies, LLC See All Filings	D	2016-11-15 11:50:13 UTC
Amount To Be Raised $1,500,000 Associated Brokers / Dealers N/A CIK Number 0001652599 Filed Document 0001652599-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-11-15 11:50:13 UTC Type of Offering D Industry Other Energy Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Equity
Eagle Quantitative Macro Fund Ltd. See All Filings	D/A	2016-11-15 11:41:49 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Morgan Stanley Smith Barney CIK Number 0001537262 Filed Document 0001537262-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-11-15 11:41:49 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business BERMUDA Revenue or Assets $$50,000,001 - $100,000,000 Type of Security Pooled Investment Fund
TP Houston Self Storage, LLC See All Filings	D/A	2016-11-15 11:39:11 UTC
Amount To Be Raised $957,500 Associated Brokers / Dealers N/A CIK Number 0001688629 Filed Document 0001688629-16-000007 Exclusions or Exemptions 506b Accepted Date 2016-11-15 11:39:11 UTC Type of Offering D/A Industry Other Principal Place of Business UTAH Revenue or Assets Decline to Disclose Type of Security Equity
Bourne Seniors Housing III, LLC See All Filings	D	2016-11-15 11:36:05 UTC
Amount To Be Raised $50,000,000 Associated Brokers / Dealers Orchard Securities, LLC CIK Number 0001689790 Filed Document 0000897069-16-001114 Exclusions or Exemptions 506b Accepted Date 2016-11-15 11:36:05 UTC Type of Offering D Industry Investing Principal Place of Business FLORIDA Revenue or Assets Decline to Disclose Type of Security Equity
Eisenstat Capital Partners Long-Only Fund LP See All Filings	D	2016-11-15 11:30:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001686213 Filed Document 0000902664-16-008829 Exclusions or Exemptions 506b Accepted Date 2016-11-15 11:30:00 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
NOBLE ROMANS INC See All Filings	D	2016-11-15 11:29:23 UTC
Amount To Be Raised $2,000,000 Associated Brokers / Dealers Divine Capital Markets, LLC CIK Number 0000709005 Filed Document 0001654954-16-004061 Exclusions or Exemptions 506b Accepted Date 2016-11-15 11:29:23 UTC Type of Offering D Industry Restaurants Principal Place of Business INDIANA Revenue or Assets Decline to Disclose Type of Security Debt
GLL Health Sciences Fund LLC See All Filings	D	2016-11-15 11:29:08 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001690008 Filed Document 0001690008-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-11-15 11:29:08 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 Pooled Investment Fund
Halifax Capital Partners IV, L.P. See All Filings	D	2016-11-15 11:28:20 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers XT Capital Partners, LLC CIK Number 0001689862 Filed Document 0001689862-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-11-15 11:28:20 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
Varo Money, Inc. See All Filings	D	2016-11-15 11:18:42 UTC
Amount To Be Raised $16,000,000 Associated Brokers / Dealers N/A CIK Number 0001673977 Filed Document 0001140361-16-086685 Exclusions or Exemptions 506b Accepted Date 2016-11-15 11:18:42 UTC Type of Offering D Industry Other Banking and Financial Services Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Co-Investment Income Fund, L.P. - US Tax Exempt Series See All Filings	D	2016-11-15 11:17:26 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001689685 Filed Document 0001689685-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-11-15 11:17:26 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Equity
Coalescence Global Select Equity Onshore Fund, LP See All Filings	D	2016-11-15 11:10:10 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001690018 Filed Document 0000919574-16-016694 Exclusions or Exemptions 506b Accepted Date 2016-11-15 11:10:10 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
Aurmedis Global Fund LP See All Filings	D	2016-11-15 11:08:13 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Flying Cloud Securities LLC CIK Number 0001689177 Filed Document 0000919574-16-016693 Exclusions or Exemptions 506b Accepted Date 2016-11-15 11:08:13 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
Indico Data Solutions INC See All Filings	D	2016-11-15 10:45:24 UTC
Amount To Be Raised $1,251,392 Associated Brokers / Dealers N/A CIK Number 0001626044 Filed Document 0001626044-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-11-15 10:45:24 UTC Type of Offering D Industry Other Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
Dynepic, Inc. See All Filings	D/A	2016-11-15 10:43:13 UTC
Amount To Be Raised $500,000 Associated Brokers / Dealers N/A CIK Number 0001624499 Filed Document 0001624499-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-11-15 10:43:13 UTC Type of Offering D/A Industry Other Technology Principal Place of Business SOUTH CAROLINA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Summa Equity Fund (No. 2) AB See All Filings	D	2016-11-15 10:42:07 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers GROWTH CAPITAL SERVICES, INC. CIK Number 0001688729 Filed Document 0001688729-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-11-15 10:42:07 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business SWEDEN Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Summa Equity Fund I (No. 1) AB See All Filings	D	2016-11-15 10:40:03 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers GROWTH CAPITAL SERVICES, INC. CIK Number 0001688728 Filed Document 0001688728-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-11-15 10:40:03 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business SWEDEN Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
NetTalon Security Systems, Inc See All Filings	D	2016-11-15 10:38:05 UTC
Amount To Be Raised $7,100,000 Associated Brokers / Dealers N/A CIK Number 0001171583 Filed Document 0001171583-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-11-15 10:38:05 UTC Type of Offering D Industry Manufacturing Principal Place of Business VIRGINIA Revenue or Assets Decline to Disclose Type of Security Equity
RXR RE VAF - Fund III Parallel C LP See All Filings	D	2016-11-15 10:33:45 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001688783 Filed Document 0000895345-16-000594 Exclusions or Exemptions 506b Accepted Date 2016-11-15 10:33:45 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
PRECIOUS METALS SECTOR FUND, LP See All Filings	D	2016-11-15 10:32:36 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001689886 Filed Document 0000913849-16-000669 Exclusions or Exemptions 506b Accepted Date 2016-11-15 10:32:36 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business ILLINOIS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Welkin Investment Partners 10, L.P. See All Filings	D	2016-11-15 10:28:18 UTC
Amount To Be Raised $15,180,000 Associated Brokers / Dealers N/A CIK Number 0001688982 Filed Document 0001688982-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-11-15 10:28:18 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
Winton Diversified Institutional Fund See All Filings	D	2016-11-15 10:20:24 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001689379 Filed Document 0000943663-16-000503 Exclusions or Exemptions 506b Accepted Date 2016-11-15 10:20:24 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business IRELAND Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
BTF Solutions, a Joint Venture See All Filings	D	2016-11-15 10:09:06 UTC
Amount To Be Raised $19,740,000 Associated Brokers / Dealers Hilltop Securities, Inc. CIK Number 0001689595 Filed Document 0001689595-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-11-15 10:09:06 UTC Type of Offering D Industry Other Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Debt
NATIONWIDE PRIVATE PLACEMENT VARIABLE ACCOUNT See All Filings	D/A	2016-11-15 08:45:53 UTC
Amount To Be Raised $600,000 Associated Brokers / Dealers Brett Ellen CIK Number 0001135856 Filed Document 0001135856-16-000691 Exclusions or Exemptions 506b Accepted Date 2016-11-15 08:45:53 UTC Type of Offering D/A Industry Insurance Principal Place of Business OHIO Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
NATIONWIDE PRIVATE PLACEMENT VARIABLE ACCOUNT See All Filings	D/A	2016-11-15 08:41:18 UTC
Amount To Be Raised $9,996,738 Associated Brokers / Dealers Mark Maizel and Mark Fulton CIK Number 0001135856 Filed Document 0001135856-16-000690 Exclusions or Exemptions 506b Accepted Date 2016-11-15 08:41:18 UTC Type of Offering D/A Industry Insurance Principal Place of Business OHIO Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
ESTEE INDIA FUND See All Filings	D	2016-11-15 07:38:41 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Kotak Mahindra Inc CIK Number 0001562964 Filed Document 0001562964-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-11-15 07:38:41 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business MAURITIUS Revenue or Assets $$1 - $5,000,000 Type of Security Pooled Investment Fund
NATIONWIDE PRIVATE PLACEMENT VARIABLE ACCOUNT See All Filings	D/A	2016-11-15 07:31:41 UTC
Amount To Be Raised $19,884,597 Associated Brokers / Dealers Donald Harrington and Scott Seibel CIK Number 0001135856 Filed Document 0001135856-16-000689 Exclusions or Exemptions 506b Accepted Date 2016-11-15 07:31:41 UTC Type of Offering D/A Industry Insurance Principal Place of Business OHIO Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
NATIONWIDE PRIVATE PLACEMENT VARIABLE ACCOUNT See All Filings	D/A	2016-11-15 07:22:33 UTC
Amount To Be Raised $5,557,834 Associated Brokers / Dealers Craig Rutledge, Robert Rainey, Thomas Miller, Kenneth Gibson, Brett Ellen, and Blair Van Buren CIK Number 0001135856 Filed Document 0001135856-16-000688 Exclusions or Exemptions 506b Accepted Date 2016-11-15 07:22:33 UTC Type of Offering D/A Industry Insurance Principal Place of Business OHIO Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
NATIONWIDE PRIVATE PLACEMENT VARIABLE ACCOUNT See All Filings	D	2016-11-15 07:17:13 UTC
Amount To Be Raised $21,625 Associated Brokers / Dealers Curtis Wyrtzen CIK Number 0001135856 Filed Document 0001135856-16-000687 Exclusions or Exemptions 506b Accepted Date 2016-11-15 07:17:13 UTC Type of Offering D Industry Insurance Principal Place of Business OHIO Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
TSLE I VSC, L.P. See All Filings	D	2016-11-14 21:59:44 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers None CIK Number 0001689485 Filed Document 0001645297-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-11-14 21:59:44 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
TSLE Equity, L.P. See All Filings	D/A	2016-11-14 21:22:34 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers None CIK Number 0001645297 Filed Document 0001645297-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-11-14 21:22:34 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
3G Special Situations Fund V, L.P. See All Filings	D	2016-11-14 20:39:14 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001689865 Filed Document 0001689865-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-11-14 20:39:14 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
Zane Benefits Inc See All Filings	D	2016-11-14 20:31:39 UTC
Amount To Be Raised $846,108 Associated Brokers / Dealers N/A CIK Number 0001412451 Filed Document 0001412451-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-11-14 20:31:39 UTC Type of Offering D Industry Business Services Principal Place of Business UTAH Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Tank Vault, LLC See All Filings	D	2016-11-14 20:14:49 UTC
Amount To Be Raised $1,500,000 Associated Brokers / Dealers N/A CIK Number 0001675930 Filed Document 0001675930-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-11-14 20:14:49 UTC Type of Offering D Industry Other Technology Principal Place of Business OKLAHOMA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Wheeler REIT, L.P. See All Filings	D	2016-11-14 19:54:46 UTC
Amount To Be Raised $275,062 Associated Brokers / Dealers n/a CIK Number 0001563251 Filed Document 0001563251-16-000009 Exclusions or Exemptions 506b Accepted Date 2016-11-14 19:54:46 UTC Type of Offering D Industry REITS and Finance Principal Place of Business VIRGINIA Revenue or Assets Decline to Disclose Type of Security Equity
Tealium Inc. See All Filings	D/A	2016-11-14 19:44:18 UTC
Amount To Be Raised $14,999,993 Associated Brokers / Dealers N/A CIK Number 0001537531 Filed Document 0001140361-16-086636 Exclusions or Exemptions 506b Accepted Date 2016-11-14 19:44:18 UTC Type of Offering D/A Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Targeted Microwave Solutions Inc. See All Filings	D	2016-11-14 19:40:27 UTC
Amount To Be Raised $62,859 Associated Brokers / Dealers N/A CIK Number 0001689791 Filed Document 0001689791-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-11-14 19:40:27 UTC Type of Offering D Industry Other Technology Principal Place of Business BRITISH COLUMBIA, CANADA Revenue or Assets $No Revenues Type of Security Equity
Wheeler REIT, L.P. See All Filings	D	2016-11-14 19:26:01 UTC
Amount To Be Raised $498,321 Associated Brokers / Dealers n/a CIK Number 0001563251 Filed Document 0001563251-16-000008 Exclusions or Exemptions 506b Accepted Date 2016-11-14 19:26:01 UTC Type of Offering D Industry REITS and Finance Principal Place of Business VIRGINIA Revenue or Assets Decline to Disclose Type of Security Equity
wrkr solutions, inc. See All Filings	D	2016-11-14 19:18:28 UTC
Amount To Be Raised $2,540,000 Associated Brokers / Dealers N/A CIK Number 0001688599 Filed Document 0001688599-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-11-14 19:18:28 UTC Type of Offering D Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Fundamental Credit Opportunities II LP See All Filings	D/A	2016-11-14 18:37:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Merrill Lynch, Pierce, Fenner & Smith Incorporated CIK Number 0001591709 Filed Document 0001591708-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-11-14 18:37:00 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