Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
LEXICON PHARMACEUTICALS, INC. See All Filings	D	2014-12-12 00:00:00 UTC
Amount To Be Raised $4,662,780 Associated Brokers / Dealers N/A CIK Number 0001062822 Filed Document 0001062822-14-000062 Exclusions or Exemptions 506b Accepted Date 2014-12-12 00:00:00 UTC Type of Offering D Industry Pharmaceuticals Principal Place of Business TEXAS Revenue or Assets $$1,000,001 - $5,000,000 Type of Security Equity
KKR Special Situations (EEA) Fund II L.P. See All Filings	D	2014-12-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001628003 Filed Document 0000950142-14-002478 Exclusions or Exemptions 506b Accepted Date 2014-12-12 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
LAPEF V-A AD Co-Investment Limited Partnership See All Filings	D	2014-12-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001627930 Filed Document 0001627931-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-12-12 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
UNYQ DESIGN, INC. See All Filings	D	2014-12-12 00:00:00 UTC
Amount To Be Raised $500,000 Associated Brokers / Dealers N/A CIK Number 0001611041 Filed Document 0001611041-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-12-12 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Monon Fund Ltd. See All Filings	D/A	2014-12-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Neuberger Berman LLC CIK Number 0001515416 Filed Document 0000902664-14-004579 Exclusions or Exemptions 506b Accepted Date 2014-12-12 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
BW Bowling Net Lease I REIT See All Filings	D	2014-12-12 00:00:00 UTC
Amount To Be Raised $125,000 Associated Brokers / Dealers First Liberties Securities, Inc. dba First Liberties Financial CIK Number 0001627186 Filed Document 0001627186-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-12-12 00:00:00 UTC Type of Offering D Industry REITS and Finance Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
OAKTREE NON-U.S. CONVERTIBLE FUND, L.P. See All Filings	D/A	2014-12-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0000946224 Filed Document 0001181431-14-038930 Exclusions or Exemptions 506b Accepted Date 2014-12-12 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
ER-WDE, L.P. See All Filings	D/A	2014-12-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001536322 Filed Document 0001536322-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-12-12 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
Oaktree High Income Convertible Fund, L.P. See All Filings	D/A	2014-12-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001162436 Filed Document 0001181431-14-038928 Exclusions or Exemptions 506b Accepted Date 2014-12-12 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
PFM Healthcare Opportunities Fund, L.P. See All Filings	D/A	2014-12-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001503942 Filed Document 0000935836-14-000653 Exclusions or Exemptions 506b Accepted Date 2014-12-12 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
REALTYSHARES 45, LLC See All Filings	D	2014-12-12 00:00:00 UTC
Amount To Be Raised $385,000 Associated Brokers / Dealers N/A CIK Number 0001627828 Filed Document 0001627829-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-12-12 00:00:00 UTC Type of Offering D Industry REITS and Finance Principal Place of Business CALIFORNIA Revenue or Assets $No Revenues Type of Security Equity
Poplar Bluff Banc Co See All Filings	D	2014-12-12 00:00:00 UTC
Amount To Be Raised $3,999,912 Associated Brokers / Dealers N/A CIK Number 0001461725 Filed Document 0001461725-14-000002 Exclusions or Exemptions 505 and 506b Accepted Date 2014-12-12 00:00:00 UTC Type of Offering D Industry Other Banking and Financial Services Principal Place of Business MISSOURI Revenue or Assets Decline to Disclose Type of Security Equity
NB Diversified Arbitrage Pension Fund Ltd. See All Filings	D/A	2014-12-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Barclays Capital Inc., UBS Financial Services Inc., Morgan Stanley & Co. Incorporated, Kelson Capital LLC, Credit Suisse Securities (USA) LLC, and Neuberger Berman LLC CIK Number 0001460028 Filed Document 0000902664-14-004580 Exclusions or Exemptions 506b Accepted Date 2014-12-12 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
Realty Mogul 33, LLC See All Filings	D	2014-12-12 00:00:00 UTC
Amount To Be Raised $1,260,000 Associated Brokers / Dealers WealthForge, LLC CIK Number 0001627175 Filed Document 0001626539-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-12-12 00:00:00 UTC Type of Offering D Industry Commercial Principal Place of Business DELAWARE Revenue or Assets $No Revenues Type of Security Equity
Executive House LP See All Filings	D	2014-12-12 00:00:00 UTC
Amount To Be Raised $1,650,000 Associated Brokers / Dealers N/A CIK Number 0001626898 Filed Document 0001626898-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-12-12 00:00:00 UTC Type of Offering D Industry Investing Principal Place of Business OHIO Revenue or Assets Decline to Disclose Type of Security Debt
CDK PARTNERS, LP See All Filings	D/A	2014-12-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001545403 Filed Document 0001545403-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-12-12 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
Prairie Cloudware, Inc. See All Filings	D/A	2014-12-12 00:00:00 UTC
Amount To Be Raised $3,500,000 Associated Brokers / Dealers N/A CIK Number 0001568073 Filed Document 0001568073-14-000004 Exclusions or Exemptions 506b Accepted Date 2014-12-12 00:00:00 UTC Type of Offering D/A Industry Other Technology Principal Place of Business NEBRASKA Revenue or Assets $No Revenues Type of Security Equity
Fourthstone Opportunity Fund LP See All Filings	D/A	2014-12-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Michael G. Epstein CIK Number 0001595412 Filed Document 0001095449-14-000153 Exclusions or Exemptions 506b Accepted Date 2014-12-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MISSOURI Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
VICUNA CAPITAL I L P See All Filings	D/A	2014-12-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001071851 Filed Document 0000919574-14-006997 Exclusions or Exemptions 506b Accepted Date 2014-12-12 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
JANA Offshore Partners, Ltd. See All Filings	D/A	2014-12-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers J.P. Morgan Securities LLC CIK Number 0001460014 Filed Document 0000902664-14-004566 Exclusions or Exemptions 506b Accepted Date 2014-12-12 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 Equity
Infrastructure Long/Short Energy Income Fund, LP See All Filings	D/A	2014-12-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001564545 Filed Document 0000919574-14-007003 Exclusions or Exemptions 506b Accepted Date 2014-12-12 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
TTC World Equity Fund QP, LP See All Filings	D/A	2014-12-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001464327 Filed Document 0001464327-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-12-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business DELAWARE Revenue or Assets $Over $100,000,000 Type of Security Equity
NB Offshore Diversified Arbitrage Fund II Ltd. See All Filings	D/A	2014-12-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Barclays Capital Inc., UBS Financial Services Inc., Credit Suisse Securities (USA) LLC, Morgan Stanley & Co. Incorporated, and Neuberger Berman LLC CIK Number 0001322692 Filed Document 0000902664-14-004578 Exclusions or Exemptions 506b Accepted Date 2014-12-12 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
SearchCore, Inc. See All Filings	D	2014-12-12 00:00:00 UTC
Amount To Be Raised $400,000 Associated Brokers / Dealers N/A CIK Number 0001281198 Filed Document 0001614671-14-000014 Exclusions or Exemptions 506b Accepted Date 2014-12-12 00:00:00 UTC Type of Offering D Industry Other Real Estate Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
Prudential Retirement Insurance & Annuity Co See All Filings	D/A	2014-12-12 00:00:00 UTC
Amount To Be Raised $230,000,000 Associated Brokers / Dealers Various Agents and John Schmitt CIK Number 0001444597 Filed Document 0001209191-14-074883 Exclusions or Exemptions 506b Accepted Date 2014-12-12 00:00:00 UTC Type of Offering D/A Industry Insurance Principal Place of Business CONNECTICUT Revenue or Assets $Over $100,000,000 Type of Security Pooled Investment Fund
Brown Advisory Global Managers, LLLP See All Filings	D	2014-12-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001616271 Filed Document 0001610403-14-000004 Exclusions or Exemptions 506b Accepted Date 2014-12-12 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Equity
TCW INTERNATIONAL FIXED INCOME LP See All Filings	D/A	2014-12-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers NONE CIK Number 0001029124 Filed Document 0001029124-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-12-12 00:00:00 UTC Type of Offering D/A Industry Investing Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
OnePIN, Inc. See All Filings	D/A	2014-12-12 00:00:00 UTC
Amount To Be Raised $2,352,000 Associated Brokers / Dealers N/A CIK Number 0001344534 Filed Document 0001620690-14-000004 Exclusions or Exemptions 506b Accepted Date 2014-12-12 00:00:00 UTC Type of Offering D/A Industry Telecommunications Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
AQR Global Asset Allocation Offshore Fund USD II Ltd See All Filings	D/A	2014-12-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001395516 Filed Document 0001548562-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-12-12 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
Armfield, Harrison & Thomas, Inc. See All Filings	D	2014-12-12 00:00:00 UTC
Amount To Be Raised $189,495 Associated Brokers / Dealers N/A CIK Number 0001537945 Filed Document 0001537945-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-12-12 00:00:00 UTC Type of Offering D Industry Insurance Principal Place of Business VIRGINIA Revenue or Assets Decline to Disclose Type of Security Equity
LAPEF V AD CO-INVESTMENT LIMITED PARTNERSHIP See All Filings	D	2014-12-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001626033 Filed Document 0001627931-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-12-12 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 Pooled Investment Fund
Rolestar, Inc. See All Filings	D	2014-12-12 00:00:00 UTC
Amount To Be Raised $2,850,000 Associated Brokers / Dealers N/A CIK Number 0001533517 Filed Document 0001533517-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-12-12 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business CALIFORNIA Revenue or Assets $No Revenues Type of Security Equity
KKR Special Situations (Offshore) Feeder II L.P. See All Filings	D	2014-12-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001628007 Filed Document 0000950142-14-002477 Exclusions or Exemptions 506b Accepted Date 2014-12-12 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
BriaCell Therapeutics Corp. See All Filings	D	2014-12-12 00:00:00 UTC
Amount To Be Raised $6,006,150 Associated Brokers / Dealers N/A CIK Number 0001610820 Filed Document 0001140361-14-045152 Exclusions or Exemptions 506b Accepted Date 2014-12-12 00:00:00 UTC Type of Offering D Industry Biotechnology Principal Place of Business BRITISH COLUMBIA, CANADA Revenue or Assets $Not Applicable Type of Security Equity
Valley Next Gen Ventures Fund 3 (a separate series of LLC interests) See All Filings	D	2014-12-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001626848 Filed Document 0001626848-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-12-12 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
AZG TANGIBLE ASSETS FUND LLC See All Filings	D/A	2014-12-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001273340 Filed Document 0001273340-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-12-12 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
Superior Ostrich, Inc. See All Filings	D/A	2014-12-12 00:00:00 UTC
Amount To Be Raised $10,000,000 Associated Brokers / Dealers PHX Financial, Inc. CIK Number 0001615083 Filed Document 0001387131-14-004057 Exclusions or Exemptions 506b Accepted Date 2014-12-12 00:00:00 UTC Type of Offering D/A Industry Agriculture Principal Place of Business TEXAS Revenue or Assets $No Revenues Type of Security Equity
405Labs, Inc. See All Filings	D/A	2014-12-11 16:28:51 UTC
Amount To Be Raised $2,329,998 Associated Brokers / Dealers N/A CIK Number 0001622029 Filed Document 0001622029-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-12-11 16:28:51 UTC Type of Offering D/A Industry Computers Principal Place of Business CALIFORNIA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Cheyne Equity Fund Inc. See All Filings	D/A	2014-12-11 15:30:47 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001590786 Filed Document 0000945621-14-000307 Exclusions or Exemptions 506b Accepted Date 2014-12-11 15:30:47 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CAYMAN ISLANDS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Brown Advisory Investors 2014 - JBG Investment Fund IX, LLLP See All Filings	D	2014-12-11 14:33:59 UTC
Amount To Be Raised $15,115,000 Associated Brokers / Dealers N/A CIK Number 0001597973 Filed Document 0001601157-14-000012 Exclusions or Exemptions 506b Accepted Date 2014-12-11 14:33:59 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Equity
Cheyne European High Yield Fund L.P. See All Filings	D/A	2014-12-11 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001590747 Filed Document 0000945621-14-000312 Exclusions or Exemptions 506b Accepted Date 2014-12-11 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CAYMAN ISLANDS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Melissinos-Eupatrid LP See All Filings	D	2014-12-11 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001534003 Filed Document 0001534003-14-000005 Exclusions or Exemptions 506b Accepted Date 2014-12-11 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business NEW JERSEY Revenue or Assets $$1 - $5,000,000 Type of Security Pooled Investment Fund
Woven Digital, Inc. See All Filings	D	2014-12-11 00:00:00 UTC
Amount To Be Raised $28,341,067 Associated Brokers / Dealers N/A CIK Number 0001627148 Filed Document 0001140361-14-045199 Exclusions or Exemptions 506b Accepted Date 2014-12-11 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
ICR Holdings Corp See All Filings	D	2014-12-11 00:00:00 UTC
Amount To Be Raised $975,000 Associated Brokers / Dealers N/A CIK Number 0001562678 Filed Document 0001562678-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-12-11 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business NEW HAMPSHIRE Revenue or Assets Decline to Disclose Type of Security Equity
Tock, LLC See All Filings	D	2014-12-11 00:00:00 UTC
Amount To Be Raised $2,000,000 Associated Brokers / Dealers N/A CIK Number 0001627616 Filed Document 0001627616-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-12-11 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business ILLINOIS Revenue or Assets $No Revenues Type of Security Equity
IL Hedge Investments, LLC See All Filings	D/A	2014-12-11 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001293909 Filed Document 0001293909-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-12-11 00:00:00 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
PEDEVCO CORP See All Filings	D	2014-12-11 00:00:00 UTC
Amount To Be Raised $4,000,000 Associated Brokers / Dealers National Securities Corporation and Casimir Capital LP CIK Number 0001141197 Filed Document 0001580695-14-000550 Exclusions or Exemptions 506b Accepted Date 2014-12-11 00:00:00 UTC Type of Offering D Industry Oil and Gas Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
PIXELLIGENT TECHNOLOGIES LLC See All Filings	D	2014-12-11 00:00:00 UTC
Amount To Be Raised $5,467,651 Associated Brokers / Dealers N/A CIK Number 0001138728 Filed Document 0001138728-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-12-11 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Equity
Cheyne Multi Strategy Fund Inc. See All Filings	D/A	2014-12-11 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001590904 Filed Document 0000945621-14-000317 Exclusions or Exemptions 506b Accepted Date 2014-12-11 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
Waveland Resource Partners III, LP See All Filings	D/A	2014-12-11 00:00:00 UTC
Amount To Be Raised $50,000,000 Associated Brokers / Dealers Waveland Capital Partners LLC, Concorde Investment Services LLC, Kalos Capital Inc., Ausdal Financial Partners Inc., Centaurus Financial, Inc., Chapin Davis, Inc., International Assets Advisory, LLC, VSR Financial Services, Inc., Cambridge Investment Research, Inc., ProEquities Inc., and Whitehall-Parker Securities, Inc. CIK Number 0001616825 Filed Document 0001616825-14-000006 Exclusions or Exemptions 506b Accepted Date 2014-12-11 00:00:00 UTC Type of Offering D/A Industry Oil and Gas Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity