|
|
D/A |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0000845810
- Filed Document
- 0000945621-14-000148
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- UNITED STATES
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Pooled Investment Fund
|
|
|
D/A |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- $1,110,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001507718
- Filed Document
- 0001255294-14-000481
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Other Technology
- Principal Place of Business
- NEVADA
- Revenue or Assets
- $$1 - $1,000,000
- Type of Security
- Equity
|
|
|
D/A |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- $33,000,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001605029
- Filed Document
- 0001605029-14-000003
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- MINNESOTA
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Pooled Investment Fund
|
|
|
D |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- $296,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001081938
- Filed Document
- 0001065949-14-000140
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 00:00:00 UTC
- Type of Offering
- D
- Industry
- Other
- Principal Place of Business
- COLORADO
- Revenue or Assets
- $No Revenues
- Type of Security
- Equity
|
|
|
D/A |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001473927
- Filed Document
- 0001473927-14-000002
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 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
|
|
|
D/A |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001390358
- Filed Document
- 0001390358-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- GEORGIA
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Pooled Investment Fund
|
|
|
D/A |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001554218
- Filed Document
- 0001554218-14-000002
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Other Technology
- Principal Place of Business
- MARYLAND
- Revenue or Assets
- $$1 - $1,000,000
- Type of Security
- Equity
|
CRESCENT SENIOR SECURED FLOATING RATE LOAN FUND (CAYMAN), L.P.
See All Filings
|
D/A |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001339820
- Filed Document
- 0000945621-14-000150
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 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
|
|
|
D |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- $3,000,000
- Associated Brokers / Dealers
- SILVERBEAR CAPITAL INC
- CIK Number
- 0001608790
- Filed Document
- 0001078782-14-000985
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 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
|
|
|
D |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- $1,625,000
- Associated Brokers / Dealers
- None
- CIK Number
- 0001608610
- Filed Document
- 0001608610-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 00:00:00 UTC
- Type of Offering
- D
- Industry
- Commercial
- Principal Place of Business
- CALIFORNIA
- Revenue or Assets
- $Not Applicable
- Type of Security
- Equity
|
|
|
D |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- $10,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001608830
- Filed Document
- 0001608830-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 00:00:00 UTC
- Type of Offering
- D
- Industry
- Other Health Care
- Principal Place of Business
- TEXAS
- Revenue or Assets
- $$1 - $1,000,000
- Type of Security
- Equity
|
|
|
D |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- $2,506
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001534594
- Filed Document
- 0001534594-14-000003
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 00:00:00 UTC
- Type of Offering
- D
- Industry
- Other
- Principal Place of Business
- TEXAS
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Option To Acquire
|
|
|
D/A |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001374048
- Filed Document
- 0001374048-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 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
|
|
|
D |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- $10,499,997
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001556308
- Filed Document
- 0001556308-14-000003
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 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
- Equity
|
|
|
D |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001608753
- Filed Document
- 0001608738-14-000002
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 00:00:00 UTC
- Type of Offering
- D
- Industry
- Pooled Investment Fund
- Principal Place of Business
- NEW YORK
- Revenue or Assets
- $No Aggregate Net Asset Value
- Type of Security
- Pooled Investment Fund
|
|
|
D |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001608827
- Filed Document
- 0001608827-14-000002
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 00:00:00 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
|
|
|
D |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001604974
- Filed Document
- 0001601988-14-000005
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 00:00:00 UTC
- Type of Offering
- D
- Industry
- Pooled Investment Fund
- Principal Place of Business
- ILLINOIS
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Other
|
|
|
D |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- Atlantic-Pacific Capital, Inc.
- CIK Number
- 0001597896
- Filed Document
- 0001597896-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 00:00:00 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
|
|
|
D |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- $15,612,936
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001607943
- Filed Document
- 0001607943-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 00:00:00 UTC
- Type of Offering
- D
- Industry
- Other Technology
- Principal Place of Business
- VIRGINIA
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- $1
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001607707
- Filed Document
- 0001607707-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 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
- Equity
|
|
|
D/A |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- $200,000,000
- Associated Brokers / Dealers
- n/a
- CIK Number
- 0001552694
- Filed Document
- 0001552694-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- OHIO
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- $14,228,830
- Associated Brokers / Dealers
- None
- CIK Number
- 0001608924
- Filed Document
- 0001608924-14-000002
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 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
|
|
|
D/A |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001532593
- Filed Document
- 0000919574-14-003520
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 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
|
|
|
D/A |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001545349
- Filed Document
- 0000919574-14-003525
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- MINNESOTA
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Pooled Investment Fund
|
Mercer Sunoco Investment Portfolio, a series of Mercer Group Trust
See All Filings
|
D/A |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001535991
- Filed Document
- 0001535991-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 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
|
|
|
D/A |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- $6,455,697
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001572508
- Filed Document
- 0001140361-14-022516
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 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
|
|
|
D |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- $4,581,250
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001109196
- Filed Document
- 0001109196-14-000003
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 00:00:00 UTC
- Type of Offering
- D
- Industry
- Biotechnology
- Principal Place of Business
- CALIFORNIA
- Revenue or Assets
- $No Revenues
- Type of Security
- Equity
|
|
|
D/A |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001545555
- Filed Document
- 0000945621-14-000147
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 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
|
|
|
D/A |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- $20,000,000
- Associated Brokers / Dealers
- Madding King
- CIK Number
- 0001593899
- Filed Document
- 0001140361-14-022477
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Other
- Principal Place of Business
- MASSACHUSETTS
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- $500,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001306102
- Filed Document
- 0001306102-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 00:00:00 UTC
- Type of Offering
- D
- Industry
- Retailing
- Principal Place of Business
- TENNESSEE
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Debt
|
|
|
D/A |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- $10,000,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001416162
- Filed Document
- 0001416162-14-000004
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Biotechnology
- Principal Place of Business
- COLORADO
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D/A |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- $25,000,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001370924
- Filed Document
- 0001370924-14-000002
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Other Technology
- Principal Place of Business
- FLORIDA
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001601988
- Filed Document
- 0001601988-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 00:00:00 UTC
- Type of Offering
- D
- Industry
- Pooled Investment Fund
- Principal Place of Business
- ILLINOIS
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Other
|
|
|
D |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- $5,000,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001608811
- Filed Document
- 0001608811-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 00:00:00 UTC
- Type of Offering
- D
- Industry
- Biotechnology
- Principal Place of Business
- TEXAS
- Revenue or Assets
- $No Revenues
- Type of Security
- Equity
|
|
|
D |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- $2,000,000
- Associated Brokers / Dealers
- Dicki Lavine, Ken Rice, and Paul Taylor III
- CIK Number
- 0001608053
- Filed Document
- 0001608053-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 00:00:00 UTC
- Type of Offering
- D
- Industry
- Other Real Estate
- Principal Place of Business
- NEW MEXICO
- Revenue or Assets
- $No Revenues
- Type of Security
- Equity
|
|
|
D |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- $2,500,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001608871
- Filed Document
- 0001608871-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 00:00:00 UTC
- Type of Offering
- D
- Industry
- Business Services
- Principal Place of Business
- TEXAS
- Revenue or Assets
- $$1,000,001 - $5,000,000
- Type of Security
- Equity
|
|
|
D |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001608776
- Filed Document
- 0001140361-14-022427
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 00:00:00 UTC
- Type of Offering
- D
- Industry
- Pooled Investment Fund
- Principal Place of Business
- VIRGINIA
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Pooled Investment Fund
|
|
|
D |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001608740
- Filed Document
- 0001608740-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 00:00:00 UTC
- Type of Offering
- D
- Industry
- Pooled Investment Fund
- Principal Place of Business
- NEW JERSEY
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Pooled Investment Fund
|
|
|
D |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001608745
- Filed Document
- 0001140361-14-022819
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 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
- Equity
|
|
|
D |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- $6,300,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001460517
- Filed Document
- 0001460517-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 00:00:00 UTC
- Type of Offering
- D
- Industry
- Energy Conservation
- Principal Place of Business
- MASSACHUSETTS
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- $1,000,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001493183
- Filed Document
- 0001493183-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 00:00:00 UTC
- Type of Offering
- D
- Industry
- Manufacturing
- Principal Place of Business
- WYOMING
- Revenue or Assets
- $$1 - $1,000,000
- Type of Security
- Equity
|
|
|
D |
2014-05-21 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001608763
- Filed Document
- 0001140361-14-022460
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-21 00:00:00 UTC
- Type of Offering
- D
- Industry
- Pooled Investment Fund
- Principal Place of Business
- VIRGINIA
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Pooled Investment Fund
|
|
|
D/A |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- Altegris Investments, Inc., Cambridge Investment Research, Inc., Campbell Financial Services, Inc., Commonwealth Financial Network, Credit Suisse Securities (USA) LLC, David A. Noyes & Company, Futures Investment Company, Geneos Wealth Management, Inc., JAE Investments, Inc., Janney Montgomery Scott, LLC, Kalos Capital, Inc., Lincoln Financial Advisors Corporation, LPL Financial Corporation, Merrill Lynch, Pierce, Fenner & Smith, Inc., Morgan Stanley Smith Barney LLC, Prospera Financial Services, Inc., Raymond James & Associates, Inc, RBC Capital Markets LLC, BB&T Scott & Stringfellow, Inc., Stephens, Inc., Stifel Nicolaus & Company, Incorporated, Triad Advisors, Inc., UBS Financial Services Inc., Wells Fargo Advisors Financial Network, LLC, Wells Fargo Advisors, LLC, Winslow, Evans & Crocker, Inc., American Portfolios Financial Services, Inc., Ameriprise Financial Services, Inc., Benjamin F. Edwards & Co., Inc., Berthel, Fisher & Company Financial Services, Inc., Confidential Management Financial Services, Inc., Davenport & Company LLC, First Allied Securities, FSC Securities Corporation, Girard Securities, Inc., H. Beck, Inc., HighTower Securities, LLC, Hilliard Lyons, Inc., ING Financial Partners, Inc., Investment Centers of America, Inc., J.P. Morgan Clearing Corp., J.P. Turner & Company, L.L.C., M Holdings Securities, Inc., Cetera Advisors LLC, Polar Investment Counsel, Inc., Portfolio Resources Group, Inc., Purshe, Kaplan, Sterling Investments, Robert W. Baird & Co., Inc., Royal Alliance Associates, Inc., Sagepoint Financial, Inc., Sanders Morris Harris Inc., Securities America, Inc., SII Investments, Inc., Spire Securities, LLC, Steben & Company, Inc., Stephen A. Kohn & Associates, Ltd., Summit Brokerage Services, Inc., Thomas McDonald Partners LLC, Thurston, Springer, Miller, Herd & Titak, Inc., Tricor Financial, LLC, Uhlmann Price Securities, LLC, USA FInancial Securities Corporation, VSR Financial Services, Inc., Wedbush Morgan Securities Inc., Wunderlich Securities, Inc., Arete Wealth Management, LLC, Lincoln Investment Planning, Inc., Mutual Securities, Inc., Titan Securities, Carey, Thomas, Hoover, & Breault, Inc., KMS Financial Services, Inc., Oppenheimer & Co., Inc., Rockfleet Financial Services, Inc., Southwest Securities, Inc., and Southwest Securities Financial Services
- CIK Number
- 0001043951
- Filed Document
- 0001043951-14-000011
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- MARYLAND
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Pooled Investment Fund
|
|
|
D/A |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001576503
- Filed Document
- 0001576503-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 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
- Equity
|
|
|
D/A |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001112160
- Filed Document
- 0001095449-14-000082
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 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
|
|
|
D/A |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- $12,000,000
- Associated Brokers / Dealers
- none
- CIK Number
- 0001584382
- Filed Document
- 0001584382-14-000002
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 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
|
|
|
D |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- $15,300,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001607986
- Filed Document
- 0001607986-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 00:00:00 UTC
- Type of Offering
- D
- Industry
- Other Banking and Financial Services
- Principal Place of Business
- PENNSYLVANIA
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- $1,000,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001608566
- Filed Document
- 0001608566-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 00:00:00 UTC
- Type of Offering
- D
- Industry
- Other
- Principal Place of Business
- BRITISH COLUMBIA, CANADA
- Revenue or Assets
- $No Revenues
- Type of Security
- Equity
|
|
|
D |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- $1,000,000
- Associated Brokers / Dealers
- MMP Worldwide Inc
- CIK Number
- 0001608591
- Filed Document
- 0001608591-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 00:00:00 UTC
- Type of Offering
- D
- Industry
- Other
- Principal Place of Business
- FLORIDA
- Revenue or Assets
- $No Revenues
- Type of Security
- Equity
|
|
|
D |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- $3,953,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001601262
- Filed Document
- 0001601262-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 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
|