Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
CBRE CLARION GLOBAL REAL ESTATE FUND, LP See All Filings	D/A	2016-10-20 10:48:36 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001561798 Filed Document 0001561798-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-10-20 10:48:36 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business PENNSYLVANIA Revenue or Assets Decline to Disclose Type of Security Equity
MANAGED FUTURES PREMIER GRAHAM L.P. See All Filings	D/A	2016-10-20 10:46:59 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Morgan Stanley Smith Barney LLC CIK Number 0001066656 Filed Document 0001066656-16-000006 Exclusions or Exemptions 506b Accepted Date 2016-10-20 10:46:59 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
H/2 Special Opportunities IV L.P. See All Filings	D	2016-10-20 10:39:26 UTC
Amount To Be Raised $1,437,500,000 Associated Brokers / Dealers N/A CIK Number 0001687639 Filed Document 0001687639-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-20 10:39:26 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Equity
Intelligent Property Solutions, Inc. See All Filings	D	2016-10-20 10:30:55 UTC
Amount To Be Raised $73,000 Associated Brokers / Dealers N/A CIK Number 0001687899 Filed Document 0001687899-16-000005 Exclusions or Exemptions 506b Accepted Date 2016-10-20 10:30:55 UTC Type of Offering D Industry Business Services Principal Place of Business NEW YORK Revenue or Assets $No Revenues Type of Security Equity
LV Futures Fund L.P. See All Filings	D/A	2016-10-20 10:30:02 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Morgan Stanley Smith Barney LLC CIK Number 0001428043 Filed Document 0001428043-16-000007 Exclusions or Exemptions 506b Accepted Date 2016-10-20 10:30:02 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
Managed Futures Premier Macro L.P. See All Filings	D/A	2016-10-20 10:11:39 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Morgan Stanley Smith Barney LLC CIK Number 0001504886 Filed Document 0001504886-16-000005 Exclusions or Exemptions 506b Accepted Date 2016-10-20 10:11:39 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
Omni Event Fund LP See All Filings	D	2016-10-20 09:58:38 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001687996 Filed Document 0001687996-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-20 09:58:38 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
KOTAK INVESTMENT OPPORTUNITIES FUND Ltd See All Filings	D/A	2016-10-20 09:57:13 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001394099 Filed Document 0001394099-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-10-20 09:57:13 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MAURITIUS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Meritage Futures Fund L.P. See All Filings	D/A	2016-10-20 09:43:44 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Morgan Stanley Smith Barney, LLC CIK Number 0001428042 Filed Document 0001428042-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-10-20 09:43:44 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
WIKIA INC See All Filings	D	2016-10-20 09:39:22 UTC
Amount To Be Raised $6,000,000 Associated Brokers / Dealers N/A CIK Number 0001353478 Filed Document 0001353478-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-20 09:39:22 UTC Type of Offering D Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Debt
CVC Credit Partners European Mid-Market Solutions Parallel Feeder Fund (DL), L.P. See All Filings	D	2016-10-20 09:30:55 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001687139 Filed Document 0001687139-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-20 09:30:55 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business JERSEY Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Polaris Futures Fund L.P. See All Filings	D/A	2016-10-20 09:18:02 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Morgan Stanley Smith Barney LLC CIK Number 0001428040 Filed Document 0001428040-16-000008 Exclusions or Exemptions 506b Accepted Date 2016-10-20 09:18:02 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
Mainsail Debt Fund LLC See All Filings	D/A	2016-10-20 08:51:40 UTC
Amount To Be Raised $100,000,000 Associated Brokers / Dealers N/A CIK Number 0001657241 Filed Document 0001657241-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-10-20 08:51:40 UTC Type of Offering D/A Industry Other Real Estate Principal Place of Business FLORIDA Revenue or Assets Decline to Disclose Type of Security Debt
Bowery Opportunity Fund, Ltd. See All Filings	D/A	2016-10-20 07:11:42 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001588477 Filed Document 0000902664-16-008460 Exclusions or Exemptions 506b Accepted Date 2016-10-20 07:11:42 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
Franklin Templeton Global Multisector Plus Fund, L.P. See All Filings	D/A	2016-10-20 06:52:54 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Franklin Templeton Financial Services Corp. CIK Number 0001476351 Filed Document 0001476351-16-000006 Exclusions or Exemptions 506b Accepted Date 2016-10-20 06:52:54 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
Franklin Templeton Global Multisector Plus (Cayman) Fund, Ltd. See All Filings	D/A	2016-10-20 06:48:04 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Franklin Templeton Financial Services Corp. CIK Number 0001476350 Filed Document 0001476350-16-000005 Exclusions or Exemptions 506b Accepted Date 2016-10-20 06:48:04 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
Templeton Frontier Markets Equity (Cayman) Fund, Ltd. See All Filings	D/A	2016-10-20 06:40:07 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Franklin Templeton Financial Services Corp. CIK Number 0001566916 Filed Document 0001566916-16-000005 Exclusions or Exemptions 506b Accepted Date 2016-10-20 06:40:07 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
Templeton Global Summits (Cayman) Fund, Ltd. See All Filings	D/A	2016-10-20 06:35:43 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Franklin Templeton Financial Services Corp. CIK Number 0001503656 Filed Document 0001503656-16-000005 Exclusions or Exemptions 506b Accepted Date 2016-10-20 06:35:43 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
Franklin Templeton Emerging Market Debt Opportunities (Cayman) Fund, Ltd. See All Filings	D/A	2016-10-20 06:31:15 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Franklin Templeton Financial Services Corp. CIK Number 0001505023 Filed Document 0001505023-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-10-20 06:31:15 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
Templeton Global Bond Plus Fund, L.P. See All Filings	D/A	2016-10-20 06:26:12 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Franklin Templeton Financial Services Corp. CIK Number 0001477279 Filed Document 0001477279-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-10-20 06:26:12 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
Templeton Global Bond Plus (Cayman) Fund, Ltd. See All Filings	D/A	2016-10-20 06:21:04 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Franklin Templeton Financial Services Corp. CIK Number 0001476349 Filed Document 0001476349-16-000006 Exclusions or Exemptions 506b Accepted Date 2016-10-20 06:21:04 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
Franklin Templeton Emerging Market Debt Opportunities Fund, L.P. See All Filings	D/A	2016-10-20 06:15:06 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Franklin Templeton Financial Services Corp. CIK Number 0001504957 Filed Document 0001504957-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-10-20 06:15:06 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
AIM Coal LLC See All Filings	D	2016-10-19 21:58:00 UTC
Amount To Be Raised $10,474,148 Associated Brokers / Dealers N/A CIK Number 0001671860 Filed Document 0001671860-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-19 21:58:00 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
AIM Storage, LLC See All Filings	D	2016-10-19 21:46:38 UTC
Amount To Be Raised $21,281,878 Associated Brokers / Dealers N/A CIK Number 0001671862 Filed Document 0001671862-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-19 21:46:38 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
A-NJD-14-Fund, a series of AX-FlRs-Funds, LLC See All Filings	D	2016-10-19 21:45:55 UTC
Amount To Be Raised $2,110,800 Associated Brokers / Dealers N/A CIK Number 0001685136 Filed Document 0001685136-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-19 21:45:55 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
A-CHI-28-Fund, a series of AX-AbVc-Funds, LLC See All Filings	D	2016-10-19 21:37:18 UTC
Amount To Be Raised $315,488 Associated Brokers / Dealers N/A CIK Number 0001685662 Filed Document 0001685662-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-19 21:37:18 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
EquityZen Growth Technology Fund LLC - Series 54 See All Filings	D	2016-10-19 21:35:21 UTC
Amount To Be Raised $169,076 Associated Brokers / Dealers EquityZen Securities LLC CIK Number 0001687830 Filed Document 0001687830-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-19 21:35:21 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
Build Capital I, LP See All Filings	D	2016-10-19 21:32:11 UTC
Amount To Be Raised $150,000 Associated Brokers / Dealers N/A CIK Number 0001685750 Filed Document 0001685750-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-19 21:32:11 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
Fund EQ - RTA, a series of Equidate Investments LLC See All Filings	D/A	2016-10-19 21:26:15 UTC
Amount To Be Raised $200,000 Associated Brokers / Dealers Carrollton Capital Partners, LLC CIK Number 0001683546 Filed Document 0001683546-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-10-19 21:26:15 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business UTAH Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
AIM Marinas LP See All Filings	D	2016-10-19 21:24:51 UTC
Amount To Be Raised $85,366,571 Associated Brokers / Dealers N/A CIK Number 0001654926 Filed Document 0001654926-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-19 21:24:51 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
A-AMP-19-Fund, a series of AX-ViNt-Funds, LLC See All Filings	D	2016-10-19 21:22:04 UTC
Amount To Be Raised $177,983 Associated Brokers / Dealers N/A CIK Number 0001683552 Filed Document 0001683552-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-19 21:22:04 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
Fund EQ - RRA, a series of Equidate Investments LLC See All Filings	D/A	2016-10-19 21:10:05 UTC
Amount To Be Raised $3,252,878 Associated Brokers / Dealers Carrollton Capital Partners, LLC CIK Number 0001676065 Filed Document 0001676065-16-000006 Exclusions or Exemptions 506b Accepted Date 2016-10-19 21:10:05 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business UTAH Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Fideras Series LLC Hyperloop Series II See All Filings	D	2016-10-19 21:02:22 UTC
Amount To Be Raised $840,000 Associated Brokers / Dealers N/A CIK Number 0001687753 Filed Document 0001687753-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-19 21:02:22 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
AIM Fuel2, L.P. See All Filings	D	2016-10-19 20:55:22 UTC
Amount To Be Raised $28,000,000 Associated Brokers / Dealers N/A CIK Number 0001671867 Filed Document 0001671867-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-19 20:55:22 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
Ravensview Capital Management, LLC See All Filings	D	2016-10-19 20:40:08 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001687935 Filed Document 0001687935-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-19 20:40:08 UTC Type of Offering D Industry Investing Principal Place of Business OREGON Revenue or Assets $No Revenues Type of Security Equity
Pradux Inc See All Filings	D/A	2016-10-19 20:23:35 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001512452 Filed Document 0001512452-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-10-19 20:23:35 UTC Type of Offering D/A Industry Other Technology Principal Place of Business NEW YORK Revenue or Assets $$1 - $1,000,000 Type of Security Equity
POPSHOTS LLC See All Filings	D	2016-10-19 20:02:56 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001687073 Filed Document 0001687073-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-10-19 20:02:56 UTC Type of Offering D Industry Other Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Debt
Zymergen Inc. See All Filings	D	2016-10-19 19:48:45 UTC
Amount To Be Raised $130,000,000 Associated Brokers / Dealers N/A CIK Number 0001645842 Filed Document 0001645842-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-10-19 19:48:45 UTC Type of Offering D Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Groq, Inc. See All Filings	D	2016-10-19 19:19:29 UTC
Amount To Be Raised $10,300,000 Associated Brokers / Dealers N/A CIK Number 0001686725 Filed Document 0001686725-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-19 19:19:29 UTC Type of Offering D Industry Computers Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Oak & Madrone Investment Group, LLC See All Filings	D	2016-10-19 19:13:48 UTC
Amount To Be Raised $1,700,000 Associated Brokers / Dealers N/A CIK Number 0001687994 Filed Document 0001687994-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-19 19:13:48 UTC Type of Offering D Industry Commercial Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Vintage Dynamic Growth Fund, LLC See All Filings	D	2016-10-19 19:09:16 UTC
Amount To Be Raised $100,000,000 Associated Brokers / Dealers Vintage Capital Advisors, LLC CIK Number 0001687964 Filed Document 0001687964-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-19 19:09:16 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CALIFORNIA Revenue or Assets $$50,000,001 - $100,000,000 Type of Security Pooled Investment Fund
Ares ICOF III Co-Invest LP See All Filings	D	2016-10-19 18:53:35 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Ares Investor Services LLC CIK Number 0001687507 Filed Document 0001687507-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-19 18:53:35 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
Oncternal Therapeutics, Inc. See All Filings	D/A	2016-10-19 18:45:07 UTC
Amount To Be Raised $20,000,000 Associated Brokers / Dealers N/A CIK Number 0001600987 Filed Document 0001140361-16-083095 Exclusions or Exemptions 506b Accepted Date 2016-10-19 18:45:07 UTC Type of Offering D/A Industry Biotechnology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
TourGigs, LLC See All Filings	D	2016-10-19 18:42:22 UTC
Amount To Be Raised $975,000 Associated Brokers / Dealers N/A CIK Number 0001681379 Filed Document 0001681379-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-10-19 18:42:22 UTC Type of Offering D Industry Other Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
AIM Fuel, LLC See All Filings	D	2016-10-19 18:17:26 UTC
Amount To Be Raised $15,445,941 Associated Brokers / Dealers N/A CIK Number 0001671861 Filed Document 0001671861-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-19 18:17:26 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
Performa (US) Intermediate Bond Fund, a series of Performa (US) Series Fund, L.P. See All Filings	D	2016-10-19 18:11:29 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001686544 Filed Document 0001686544-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-19 18:11:29 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business SOUTH CAROLINA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Angler Labs Inc. See All Filings	D/A	2016-10-19 18:07:42 UTC
Amount To Be Raised $1,062,500 Associated Brokers / Dealers N/A CIK Number 0001677350 Filed Document 0001677350-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-10-19 18:07:42 UTC Type of Offering D/A Industry Other Technology Principal Place of Business PENNSYLVANIA Revenue or Assets Decline to Disclose Type of Security Equity
Aerial Funding Pooled Fund, LLC Non-Performing Series 1 See All Filings	D	2016-10-19 17:52:28 UTC
Amount To Be Raised $6,000,000 Associated Brokers / Dealers N/A CIK Number 0001687879 Filed Document 0001687787-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-10-19 17:52:28 UTC Type of Offering D Industry Residential Principal Place of Business COLORADO Revenue or Assets Decline to Disclose Type of Security Equity
Titan Northpoint, LLC See All Filings	D	2016-10-19 17:48:20 UTC
Amount To Be Raised $10,500,000 Associated Brokers / Dealers N/A CIK Number 0001688006 Filed Document 0001688006-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-10-19 17:48:20 UTC Type of Offering D Industry Residential Principal Place of Business NEW MEXICO Revenue or Assets $No Revenues Type of Security Equity
AIM Ag Infra LP See All Filings	D	2016-10-19 17:46:14 UTC
Amount To Be Raised $114,625,071 Associated Brokers / Dealers N/A CIK Number 0001671869 Filed Document 0001671869-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-10-19 17:46:14 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