Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
Large Cap Growth Equity Fund, a series of Principal Global Investors Trust See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Principal Securities, Inc. CIK Number 0001429803 Filed Document 0001393725-16-000234 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business IOWA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
High Quality Fixed Income Fund, a series of Principal Global Investors Trust See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Principal Securities, Inc. CIK Number 0001381361 Filed Document 0001393725-16-000239 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business IOWA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Tarma Group, Inc. See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $625,000 Associated Brokers / Dealers N/A CIK Number 0001673675 Filed Document 0001673675-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Other Health Care Principal Place of Business UTAH Revenue or Assets $No Revenues Type of Security Equity
Pride of Austin High Yield Fund I LLC See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised $100,000,000 Associated Brokers / Dealers N/A CIK Number 0001451338 Filed Document 0001451338-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
ACADIAN INTERNATIONAL SMALL CAP FUND See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Funds Distributor, LLC CIK Number 0001253769 Filed Document 0001253769-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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
Vicarious FPC, Inc. See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $15,000,000 Associated Brokers / Dealers N/A CIK Number 0001555530 Filed Document 0001555530-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Debt
High Yield Fixed Income Fund, a series of Principal Global Investors Trust See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Principal Securities, Inc. CIK Number 0001381362 Filed Document 0001393725-16-000227 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business IOWA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Halsted Partners, LP See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001572581 Filed Document 0001572581-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 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
Prostasia Fund, Ltd. See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001607396 Filed Document 0001666701-16-000017 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Pono Life Sciences, LLC See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $5,272,500 Associated Brokers / Dealers Axiom Capital Management, Inc. CIK Number 0001669977 Filed Document 0001669977-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Pharmaceuticals Principal Place of Business HAWAII Revenue or Assets Decline to Disclose Type of Security Equity
Vukota Summer Grove OpCo, LLC See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $5,337,275 Associated Brokers / Dealers N/A CIK Number 0001673940 Filed Document 0001673940-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Residential Principal Place of Business COLORADO Revenue or Assets $No Revenues Type of Security Equity
Credit Suisse Securitized Products Fund L.P. See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers -, -, and - CIK Number 0001549885 Filed Document 0001549885-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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 Equity
Realty Mogul 44, LLC See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $2,800,000 Associated Brokers / Dealers North Capital Private Securities Corp. CIK Number 0001661951 Filed Document 0001661951-16-000004 Exclusions or Exemptions 506c Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Residential Principal Place of Business DELAWARE Revenue or Assets $No Revenues Type of Security Pooled Investment Fund
Star Car Fund, LLC See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised $5,000,000 Associated Brokers / Dealers N/A CIK Number 0001642492 Filed Document 0001642492-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D/A Industry Other Principal Place of Business PENNSYLVANIA Revenue or Assets Decline to Disclose Type of Security Equity
Rochester Medical Management, LLC See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $1,600,000 Associated Brokers / Dealers N/A CIK Number 0001674586 Filed Document 0001674586-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business MINNESOTA Revenue or Assets Decline to Disclose Type of Security Equity
Sancus Capital Select Partners, LP See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A and N/A CIK Number 0001466404 Filed Document 0000919574-16-012898 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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 Equity
TELEIOS GLOBAL OPPORTUNITIES, LP See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers BUTLER CAPITAL PARTNERS CIK Number 0001604812 Filed Document 0000919574-16-012886 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business SWITZERLAND Revenue or Assets Decline to Disclose Type of Security Equity
Clarion Partners Debt Investment Fund, LP See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised $500,000,000 Associated Brokers / Dealers N/A CIK Number 0001641803 Filed Document 0001641803-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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 Equity
AKONNI BIOSYSTEMS INC See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $5,000,000 Associated Brokers / Dealers N/A CIK Number 0001254334 Filed Document 0001254334-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Biotechnology Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Debt
David Acquisition Corp See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $1,503,118 Associated Brokers / Dealers N/A CIK Number 0001620852 Filed Document 0001620852-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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
Upstream Research Inc. See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised $1,525,000 Associated Brokers / Dealers N/A CIK Number 0001653220 Filed Document 0001653220-16-000006 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D/A Industry Other Technology Principal Place of Business WASHINGTON Revenue or Assets $$1,000,001 - $5,000,000 Type of Security Equity
Segregated Portfolio 1 of FCO Special Opportunities (E1) SPC See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Park Hill Group LLC CIK Number 0001672017 Filed Document 0001507943-16-000235 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CAYMAN ISLANDS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
HLH, LLC See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised $2,000,000 Associated Brokers / Dealers N/A CIK Number 0001549071 Filed Document 0001010412-16-000236 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D/A Industry Agriculture Principal Place of Business HAWAII Revenue or Assets $$1,000,001 - $5,000,000 Type of Security Other
CAPTIVA VERDE INDUSTRIES LTD See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $1,669,693 Associated Brokers / Dealers N/A CIK Number 0001645724 Filed Document 0001183740-16-000346 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Agriculture Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Debt
ENHANCED CMBS FUND, a series of Principal Global Investors Trust See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Principal Securities, Inc. CIK Number 0001512430 Filed Document 0001393725-16-000240 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business IOWA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
International Equity Fund, a series of Principal Global Investors Trust See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Principal Securities, Inc. CIK Number 0001381355 Filed Document 0001393725-16-000238 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business IOWA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
CVC Global Credit Opportunities Fund II, Ltd. See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Far Hills Group, LLC ("FHG") CIK Number 0001673986 Filed Document 0001673986-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 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
BRAVO SOLAR VENTURE L.L.C. See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $1,340,000 Associated Brokers / Dealers N/A CIK Number 0001674515 Filed Document 0001674515-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business ARIZONA Revenue or Assets $No Revenues Type of Security Equity
NBC 2 O'Reilly Bartlesville, LLC See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $115,000 Associated Brokers / Dealers N/A CIK Number 0001674369 Filed Document 0001674369-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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
Preferred Securities Fund, a series of Principal Global Investors Trust See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Principal Securities, Inc. CIK Number 0001593518 Filed Document 0001393725-16-000226 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business IOWA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Real Estate Securities Fund, a series of Principal Global Investors Trust See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Principal Securities, Inc. CIK Number 0001381354 Filed Document 0001393725-16-000233 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business IOWA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
DivcoWest Fund V, LP See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Greenhill & Co., LLC CIK Number 0001672221 Filed Document 0001672221-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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
RQSI SMALL CAP EQUITY FUND, LP See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001670842 Filed Document 0001140361-16-065209 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business KENTUCKY Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Florida Funders, LLC See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $2,000,000 Associated Brokers / Dealers N/A CIK Number 0001674507 Filed Document 0001415889-16-005878 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business FLORIDA Revenue or Assets Decline to Disclose Type of Security Equity
Calexico Crossings LLC See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $7,315,000 Associated Brokers / Dealers N/A CIK Number 0001674554 Filed Document 0001674554-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Commercial Principal Place of Business CALIFORNIA Revenue or Assets $No Revenues Type of Security Equity
Pono Life Sciences, LLC See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised $5,272,500 Associated Brokers / Dealers Axiom Capital Management, Inc. CIK Number 0001669977 Filed Document 0001669977-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D/A Industry Pharmaceuticals Principal Place of Business HAWAII Revenue or Assets Decline to Disclose Type of Security Equity
TenantCG, Inc. See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $500,000 Associated Brokers / Dealers N/A CIK Number 0001674597 Filed Document 0001674597-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Other Real Estate Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Equity
Greenfield Nitrogen, L.L.C. See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $5,000,000 Associated Brokers / Dealers N/A CIK Number 0001673997 Filed Document 0001615594-16-000201 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Manufacturing Principal Place of Business IOWA Revenue or Assets $No Revenues Type of Security Equity
Hendricks Derivatives Fund LP See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001673626 Filed Document 0001673626-16-000001 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business OKLAHOMA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
BlackRock Tempus Fund (ERISA), Ltd. See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001532379 Filed Document 0001666701-16-000018 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Medallion Fund RF L.P. See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001549431 Filed Document 0001549431-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business BERMUDA Revenue or Assets $Over $100,000,000 Type of Security Pooled Investment Fund
CuraSeal Inc. See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised $3,500,000 Associated Brokers / Dealers N/A CIK Number 0001641680 Filed Document 0001641680-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D/A Industry Other Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
AVE MARIA BIOTECHNOLOGY LLC See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised $17,500,000 Associated Brokers / Dealers N/A CIK Number 0001463741 Filed Document 0001463741-16-000004 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D/A Industry Biotechnology Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Equity
Kintbury Equity Fund LP See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001642063 Filed Document 0000902664-16-007007 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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
GitPrime, Inc. See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $200,000 Associated Brokers / Dealers N/A CIK Number 0001630971 Filed Document 0001630971-16-000003 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business COLORADO Revenue or Assets Decline to Disclose Type of Security Equity
Sancus Capital Select Master Fund, Ltd. See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A and N/A CIK Number 0001473242 Filed Document 0000919574-16-012900 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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
Tactical Tilt LLC See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Goldman, Sachs & Co. CIK Number 0001549718 Filed Document 0001140361-16-064977 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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
MacKay Municipal Credit Opportunities Fund LP See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Mariner Group Capital Markets, Inc., NYLIFE Distributors, LLC, Jeffrey Anderson, and Merrill Lynch, Pierce, Fenner & Smith Incorporated CIK Number 0001460023 Filed Document 0001140361-16-066400 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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
ORTHOSENSOR, INC See All Filings	D	2016-05-13 00:00:00 UTC
Amount To Be Raised $207,829 Associated Brokers / Dealers N/A CIK Number 0001436914 Filed Document 0000897069-16-000890 Exclusions or Exemptions 506b Accepted Date 2016-05-13 00:00:00 UTC Type of Offering D Industry Other Health Care Principal Place of Business FLORIDA Revenue or Assets Decline to Disclose Type of Security Equity
ETAP Fund, L.L.C. See All Filings	D/A	2016-05-13 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001464500 Filed Document 0001140361-16-065320 Exclusions or Exemptions 506b Accepted Date 2016-05-13 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 Equity