Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
Denali Holding Inc. See All Filings	D	2016-07-21 16:59:08 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001571996 Filed Document 0001571996-16-000009 Exclusions or Exemptions 506b Accepted Date 2016-07-21 16:59:08 UTC Type of Offering D Industry Other Technology Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
ExWorks Capital Fund I-Parallel Vehicle, L.P. See All Filings	D	2016-07-21 16:56:02 UTC
Amount To Be Raised $35,000,000 Associated Brokers / Dealers N/A CIK Number 0001680272 Filed Document 0001680272-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-07-21 16:56:02 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
HRA Campus Investors IV LLC See All Filings	D	2016-07-21 16:55:11 UTC
Amount To Be Raised $23,390,000 Associated Brokers / Dealers Timothy D. Smith, Michael O. Strand, and Gregory L. Beckel CIK Number 0001680201 Filed Document 0000927087-16-000019 Exclusions or Exemptions 506b Accepted Date 2016-07-21 16:55:11 UTC Type of Offering D Industry Other Real Estate Principal Place of Business WASHINGTON Revenue or Assets $No Revenues Type of Security Equity
Daruma Bodhi Fund, LP See All Filings	D/A	2016-07-21 16:54:36 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001528430 Filed Document 0000919574-16-014246 Exclusions or Exemptions 506b Accepted Date 2016-07-21 16:54:36 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
Daruma Ginkgo Fund, LP See All Filings	D/A	2016-07-21 16:51:22 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001528431 Filed Document 0000919574-16-014244 Exclusions or Exemptions 506b Accepted Date 2016-07-21 16:51:22 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
Red Dog Frontier Fund I, LLC See All Filings	D	2016-07-21 16:42:50 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001680124 Filed Document 0001462573-16-000005 Exclusions or Exemptions 506b Accepted Date 2016-07-21 16:42:50 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
1001 G Street Rehabilitaiton, LP See All Filings	D	2016-07-21 16:39:44 UTC
Amount To Be Raised $1,150,000 Associated Brokers / Dealers N/A CIK Number 0001680019 Filed Document 0001680019-16-000001 Exclusions or Exemptions 506c Accepted Date 2016-07-21 16:39:44 UTC Type of Offering D Industry Commercial Principal Place of Business CALIFORNIA Revenue or Assets $$1,000,001 - $5,000,000 Type of Security Equity
ACM Fund II, LLC See All Filings	D	2016-07-21 16:37:48 UTC
Amount To Be Raised $400,000,000 Associated Brokers / Dealers N/A CIK Number 0001680100 Filed Document 0001680100-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-07-21 16:37:48 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business OREGON Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
SAFANAD Star US Feeder, LP See All Filings	D/A	2016-07-21 16:34:31 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001633089 Filed Document 0001633089-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-07-21 16:34:31 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 Pooled Investment Fund
CoastEdge GS Vintage Real Estate LLC See All Filings	D	2016-07-21 16:28:49 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001679950 Filed Document 0001679950-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-07-21 16:28:49 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
BV Capital Multifamily Fund I LLC See All Filings	D	2016-07-21 16:11:15 UTC
Amount To Be Raised $23,500,000 Associated Brokers / Dealers Nobles and Richards, Inc CIK Number 0001665489 Filed Document 0001665489-16-000001 Exclusions or Exemptions 506c Accepted Date 2016-07-21 16:11:15 UTC Type of Offering D Industry Residential Principal Place of Business TEXAS Revenue or Assets $No Revenues Type of Security Equity
Ullico Diversified International Equity Fund, L.P. See All Filings	D/A	2016-07-21 16:09:47 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Pistner, Michael, Howe, Luke, and WILKINSON, NEAL ALLEN CIK Number 0001374721 Filed Document 0001374721-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-07-21 16:09:47 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MARYLAND Revenue or Assets $Over $100,000,000 Type of Security Pooled Investment Fund
TerraLUX, Inc. See All Filings	D	2016-07-21 16:08:49 UTC
Amount To Be Raised $929,783 Associated Brokers / Dealers N/A CIK Number 0001488602 Filed Document 0001488602-16-000006 Exclusions or Exemptions 506b Accepted Date 2016-07-21 16:08:49 UTC Type of Offering D Industry Other Technology Principal Place of Business COLORADO Revenue or Assets Decline to Disclose Type of Security Option To Acquire
Ullico International Small Cap Fund, L.P. See All Filings	D/A	2016-07-21 16:08:37 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Pistner, Michael, Goetz, Griffin, and WILKINSON, NEAL ALLEN CIK Number 0001544108 Filed Document 0001544108-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-07-21 16:08:37 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MARYLAND Revenue or Assets $Over $100,000,000 Type of Security Pooled Investment Fund
Union Labor Life Insurance Co Separate Account W1 See All Filings	D/A	2016-07-21 16:07:09 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Pistner, Michael, Goetz, Griffin, Howe, Luke, Norkus, Michael, and Wilkinson, Neal Allen CIK Number 0001465722 Filed Document 0001465722-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-07-21 16:07:09 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MARYLAND Revenue or Assets $Over $100,000,000 Type of Security Pooled Investment Fund
TerraLUX, Inc. See All Filings	D	2016-07-21 16:06:06 UTC
Amount To Be Raised $3,108,259 Associated Brokers / Dealers N/A CIK Number 0001488602 Filed Document 0001488602-16-000005 Exclusions or Exemptions 506b Accepted Date 2016-07-21 16:06:06 UTC Type of Offering D Industry Other Technology Principal Place of Business COLORADO Revenue or Assets Decline to Disclose Type of Security Debt
Sol Boards, Inc. See All Filings	D	2016-07-21 16:02:51 UTC
Amount To Be Raised $10,000,000 Associated Brokers / Dealers N/A CIK Number 0001573591 Filed Document 0001573591-16-000007 Exclusions or Exemptions 506c Accepted Date 2016-07-21 16:02:51 UTC Type of Offering D Industry Other Principal Place of Business OREGON Revenue or Assets Decline to Disclose Type of Security Equity
SKYEPACK, LLC See All Filings	D	2016-07-21 15:57:32 UTC
Amount To Be Raised $250,000 Associated Brokers / Dealers N/A CIK Number 0001565632 Filed Document 0001565632-16-000005 Exclusions or Exemptions 506b Accepted Date 2016-07-21 15:57:32 UTC Type of Offering D Industry Other Technology Principal Place of Business INDIANA Revenue or Assets Decline to Disclose Type of Security Debt
Union Labor Life Insurance Co Separate Account R See All Filings	D/A	2016-07-21 15:57:19 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001633950 Filed Document 0001633950-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-07-21 15:57:19 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MARYLAND Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Pooled Investment Fund
Lazard Short Duration Strategy MBS Portfolio, a series of Lazard MBS Focus Funds See All Filings	D/A	2016-07-21 15:56:39 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Lazard Asset Management Securities LLC CIK Number 0001614496 Filed Document 0001614496-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-07-21 15:56:39 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 Pooled Investment Fund
Ullico International Group Trust See All Filings	D/A	2016-07-21 15:55:13 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001465719 Filed Document 0001465719-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-07-21 15:55:13 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MARYLAND Revenue or Assets $$25,000,001 - $50,000,000 Type of Security Pooled Investment Fund
FCP Realty Fund III, L.P. See All Filings	D/A	2016-07-21 15:42:21 UTC
Amount To Be Raised $550,000,000 Associated Brokers / Dealers N/A CIK Number 0001635376 Filed Document 0001140361-16-072987 Exclusions or Exemptions 506b Accepted Date 2016-07-21 15:42:21 UTC Type of Offering D/A Industry Other Real Estate Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Equity
Curasion Inc. See All Filings	D	2016-07-21 15:41:52 UTC
Amount To Be Raised $458,940 Associated Brokers / Dealers N/A CIK Number 0001669969 Filed Document 0001669969-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-07-21 15:41:52 UTC Type of Offering D Industry Other Technology Principal Place of Business ONTARIO, CANADA Revenue or Assets $No Revenues Type of Security Equity
PHLO, INC. See All Filings	D	2016-07-21 15:33:22 UTC
Amount To Be Raised $2,000,000 Associated Brokers / Dealers N/A CIK Number 0001647323 Filed Document 0001647323-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-07-21 15:33:22 UTC Type of Offering D Industry Other Technology Principal Place of Business UTAH Revenue or Assets Decline to Disclose Type of Security Equity
Berry-Rock Capital, LP See All Filings	D	2016-07-21 15:23:28 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001680104 Filed Document 0001140361-16-072985 Exclusions or Exemptions 506b Accepted Date 2016-07-21 15:23:28 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business OKLAHOMA Revenue or Assets $No Aggregate Net Asset Value Type of Security Pooled Investment Fund
RP 503 LLC See All Filings	D	2016-07-21 15:18:03 UTC
Amount To Be Raised $1,250,000 Associated Brokers / Dealers N/A CIK Number 0001680364 Filed Document 0001680364-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-07-21 15:18:03 UTC Type of Offering D Industry Residential Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
Lombard International Life Assurance Co Separate Account GVA 13 See All Filings	D/A	2016-07-21 15:14:05 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Innovation Partners, LLC, Royal Alliance Associates, Inc., and United Securities Alliance, Inc. CIK Number 0001387842 Filed Document 0001387842-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-07-21 15:14:05 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
Santacruz Silver Mining Ltd. See All Filings	D	2016-07-21 15:10:02 UTC
Amount To Be Raised $8,171,216 Associated Brokers / Dealers Haywood Securities (USA) Inc. CIK Number 0001548536 Filed Document 0001548536-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-07-21 15:10:02 UTC Type of Offering D Industry Other Principal Place of Business BRITISH COLUMBIA, CANADA Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Equity
Acquisition Glacier II Inc. See All Filings	D/A	2016-07-21 15:05:24 UTC
Amount To Be Raised $65,428,750 Associated Brokers / Dealers N/A CIK Number 0001614111 Filed Document 0000950172-16-000213 Exclusions or Exemptions 506b Accepted Date 2016-07-21 15:05:24 UTC Type of Offering D/A Industry Other Health Care Principal Place of Business QUEBEC, CANADA Revenue or Assets $Over $100,000,000 Type of Security Equity
SSCIP VIII Investors LLC See All Filings	D	2016-07-21 15:04:41 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001678833 Filed Document 0001679124-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-07-21 15:04:41 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
SSCIP VII Investors LLC See All Filings	D	2016-07-21 14:56:58 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001678835 Filed Document 0001679124-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-07-21 14:56:58 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
INVESTX SPV 20 - UCIVA LIMITED PARTNERSHIP See All Filings	D	2016-07-21 14:52:12 UTC
Amount To Be Raised $1,500,000 Associated Brokers / Dealers N/A CIK Number 0001678927 Filed Document 0001678927-16-000002 Exclusions or Exemptions 506c Accepted Date 2016-07-21 14:52:12 UTC Type of Offering D Industry Other Technology Principal Place of Business BRITISH COLUMBIA, CANADA Revenue or Assets Decline to Disclose Type of Security Equity
1251 CAPITAL GROUP, INC. See All Filings	D	2016-07-21 14:49:50 UTC
Amount To Be Raised $400,000,000 Associated Brokers / Dealers N/A CIK Number 0001680002 Filed Document 0001140361-16-072979 Exclusions or Exemptions 506b Accepted Date 2016-07-21 14:49:50 UTC Type of Offering D Industry Other Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
Ullico Infrastructure Taxable Fund, L.P. See All Filings	D/A	2016-07-21 14:47:39 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Pistner, Michael, Howe, Luke, and WILKINSON, NEAL ALLEN CIK Number 0001571963 Filed Document 0001571963-16-000004 Exclusions or Exemptions 506c Accepted Date 2016-07-21 14:47:39 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MARYLAND Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Pooled Investment Fund
U.S. Business Holdings Group, Inc. See All Filings	D/A	2016-07-21 14:44:32 UTC
Amount To Be Raised $3,500,000 Associated Brokers / Dealers N/A CIK Number 0001676747 Filed Document 0001676747-16-000002 Exclusions or Exemptions 506c Accepted Date 2016-07-21 14:44:32 UTC Type of Offering D/A Industry Other Banking and Financial Services Principal Place of Business FLORIDA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Ullico Infrastructure Tax-Exempt Fund, L.P. See All Filings	D/A	2016-07-21 14:43:50 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Pistner, Michael, Nisson, Deborah, Howe, Luke, Norkus, Michael, Goetz, Griffin, and WILKINSON, NEAL ALLEN CIK Number 0001504312 Filed Document 0001504312-16-000004 Exclusions or Exemptions 506c Accepted Date 2016-07-21 14:43:50 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MARYLAND Revenue or Assets $Over $100,000,000 Type of Security Pooled Investment Fund
MindCare Solutions Group, Inc. See All Filings	D/A	2016-07-21 14:43:12 UTC
Amount To Be Raised $20,506,443 Associated Brokers / Dealers N/A CIK Number 0001606656 Filed Document 0001606656-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-07-21 14:43:12 UTC Type of Offering D/A Industry Other Health Care Principal Place of Business TENNESSEE Revenue or Assets Decline to Disclose Type of Security Equity
XY - the Findables Company See All Filings	1-A/A	2016-07-21 14:43:04 UTC
Amount To Be Raised $7,000,000 Associated Brokers / Dealers N/A CIK Number 0001577351 Filed Document 0001193125-16-653546 Accepted Date 2016-07-21 14:43:04 UTC Type of Offering 1-A/A Industry ELECTRONIC COMPONENTS & ACCESSORIES Offering Tier Tier2 Principal Place of Business CALIFORNIA Revenue or Assets $1,540,334 State of Jurisdiction DELAWARE Type of Security Equity (common or preferred stock)
SSCIP VII US Feeder, LP See All Filings	D	2016-07-21 14:40:36 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001678845 Filed Document 0001679124-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-07-21 14:40:36 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
Dover Street IX Cayman Fund L.P. See All Filings	D/A	2016-07-21 14:30:21 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Not Applicable, Not Applicable, Not Applicable, None, and None CIK Number 0001660743 Filed Document 0001660485-16-000006 Exclusions or Exemptions 506b Accepted Date 2016-07-21 14:30:21 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
Dover Street IX L.P. See All Filings	D/A	2016-07-21 14:29:05 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Not Applicable, Not Applicable, Not Applicable, None, and None CIK Number 0001660742 Filed Document 0001660742-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-07-21 14:29:05 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
Creo Wellness, LLC See All Filings	D	2016-07-21 14:27:04 UTC
Amount To Be Raised $2,848,500 Associated Brokers / Dealers N/A CIK Number 0001680176 Filed Document 0001680176-16-000001 Exclusions or Exemptions 505 and 506b Accepted Date 2016-07-21 14:27:04 UTC Type of Offering D Industry Other Health Care Principal Place of Business VIRGINIA Revenue or Assets $No Revenues Type of Security Equity
FIVE RIVERS PROPERTY FUND LLC See All Filings	D/A	2016-07-21 14:20:59 UTC
Amount To Be Raised $2,160,000 Associated Brokers / Dealers N/A CIK Number 0001460010 Filed Document 0001460010-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-07-21 14:20:59 UTC Type of Offering D/A Industry Residential Principal Place of Business WYOMING Revenue or Assets Decline to Disclose Type of Security Equity
Rhino Dirt LLC See All Filings	D	2016-07-21 14:18:52 UTC
Amount To Be Raised $150,000 Associated Brokers / Dealers N/A CIK Number 0001680333 Filed Document 0000905729-16-000619 Exclusions or Exemptions 506b Accepted Date 2016-07-21 14:18:52 UTC Type of Offering D Industry Other Principal Place of Business MICHIGAN Revenue or Assets $No Revenues Type of Security Equity
TriStar Gold Inc. See All Filings	D	2016-07-21 14:15:08 UTC
Amount To Be Raised $2,106,031 Associated Brokers / Dealers N/A CIK Number 0001510013 Filed Document 0001140361-16-072971 Exclusions or Exemptions 506b Accepted Date 2016-07-21 14:15:08 UTC Type of Offering D Industry Other Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
Safanad Student Housing Investment Partnership I, L.P. See All Filings	D	2016-07-21 14:12:21 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001679124 Filed Document 0001679124-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-07-21 14:12:21 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
TT Partners 7, LLC See All Filings	D	2016-07-21 14:02:58 UTC
Amount To Be Raised $2,596,673 Associated Brokers / Dealers N/A CIK Number 0001680349 Filed Document 0001680349-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-07-21 14:02:58 UTC Type of Offering D Industry Other Real Estate Principal Place of Business INDIANA Revenue or Assets Decline to Disclose Type of Security Debt
Manatuck Hill Scout Fund, L.P. See All Filings	D/A	2016-07-21 13:59:42 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0000917982 Filed Document 0000919574-16-014242 Exclusions or Exemptions 506b Accepted Date 2016-07-21 13:59:42 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
Manatuck Hill Mariner Offshore Institutional Fund, Ltd. See All Filings	D/A	2016-07-21 13:55:07 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001378697 Filed Document 0000919574-16-014238 Exclusions or Exemptions 506b Accepted Date 2016-07-21 13:55:07 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 Equity
Lombard International Life Assurance Co Separate Account GVA 10 See All Filings	D/A	2016-07-21 13:51:25 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Innovation Partners, LLC, Royal Alliance Associates, Inc., and United Securities Alliance, Inc. CIK Number 0001337907 Filed Document 0001337907-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-07-21 13:51:25 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