Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
CRC Resources Fund II-A LP See All Filings	D	2014-10-09 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001622089 Filed Document 0001622089-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-10-09 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 Equity
Old Ironsides Energy Fund II-B, LP See All Filings	D	2014-10-09 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Campbell Lutyens & Co. Ltd. CIK Number 0001620274 Filed Document 0001620274-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-10-09 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
Solus Opportunities Fund 2 LP See All Filings	D/A	2014-10-09 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001588484 Filed Document 0000902664-14-003999 Exclusions or Exemptions 506b Accepted Date 2014-10-09 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
ON RAMP WIRELESS INC See All Filings	D	2014-10-09 00:00:00 UTC
Amount To Be Raised $4,800,000 Associated Brokers / Dealers N/A CIK Number 0001431974 Filed Document 0001431974-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-10-09 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 Debt
Westfield-Freight, LLLP See All Filings	D	2014-10-09 00:00:00 UTC
Amount To Be Raised $9,250,000 Associated Brokers / Dealers None CIK Number 0001622087 Filed Document 0001622087-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-10-09 00:00:00 UTC Type of Offering D Industry Other Real Estate Principal Place of Business COLORADO Revenue or Assets Decline to Disclose Type of Security Other
OK Springboks, LLC See All Filings	D	2014-10-09 00:00:00 UTC
Amount To Be Raised $2,800,000 Associated Brokers / Dealers N/A CIK Number 0001619902 Filed Document 0001619939-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-10-09 00:00:00 UTC Type of Offering D Industry Residential Principal Place of Business CALIFORNIA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
PRIME PACIFIC FINANCIAL SERVICES INC See All Filings	D	2014-10-09 00:00:00 UTC
Amount To Be Raised $5,000,000 Associated Brokers / Dealers WEDBUSH SECURITIES INC. CIK Number 0001268096 Filed Document 0001268096-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-10-09 00:00:00 UTC Type of Offering D Industry Commercial Banking Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Equity
BlueOSS, LLC See All Filings	D	2014-10-09 00:00:00 UTC
Amount To Be Raised $1,500,000 Associated Brokers / Dealers N/A CIK Number 0001609899 Filed Document 0001609899-14-000006 Exclusions or Exemptions 506b Accepted Date 2014-10-09 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business VIRGINIA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
InterMountainFiber Connect, LLC See All Filings	D/A	2014-10-09 00:00:00 UTC
Amount To Be Raised $475,000 Associated Brokers / Dealers N/A CIK Number 0001611268 Filed Document 0001611268-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-10-09 00:00:00 UTC Type of Offering D/A Industry Other Principal Place of Business FLORIDA Revenue or Assets $No Revenues Type of Security Equity
SALI Multi-Series Fund III, L.P. See All Filings	D/A	2014-10-09 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001532434 Filed Document 0001172661-14-001614 Exclusions or Exemptions 506b Accepted Date 2014-10-09 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets $$25,000,001 - $50,000,000 Type of Security Pooled Investment Fund
Nanologix Inc See All Filings	D	2014-10-09 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001340143 Filed Document 0001340143-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-10-09 00:00:00 UTC Type of Offering D Industry Biotechnology Principal Place of Business OHIO Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Stonehenge Capital Fund Nebraska II, LLC See All Filings	D	2014-10-09 00:00:00 UTC
Amount To Be Raised $2,268,000 Associated Brokers / Dealers none CIK Number 0001621821 Filed Document 0001621821-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-10-09 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
WJA Alternative Investment Strategies I, LLC, Series I-9 See All Filings	D/A	2014-10-09 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001501114 Filed Document 0001104659-14-070953 Exclusions or Exemptions 506b Accepted Date 2014-10-09 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets $No Aggregate Net Asset Value Type of Security Other
Pantheon Resources plc See All Filings	D	2014-10-09 00:00:00 UTC
Amount To Be Raised $95,000 Associated Brokers / Dealers N/A CIK Number 0001621910 Filed Document 0001012975-14-000659 Exclusions or Exemptions 504, 505, and 506b Accepted Date 2014-10-09 00:00:00 UTC Type of Offering D Industry Oil and Gas Principal Place of Business UNITED KINGDOM Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Gresham Global Equity Strategies, L.P. See All Filings	D/A	2014-10-09 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001473970 Filed Document 0001473970-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-10-09 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
Harrison Street Core Property Fund, L.P. See All Filings	D/A	2014-10-09 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001535350 Filed Document 0001535350-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-10-09 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 Equity
Podomus Capital Partners, LP See All Filings	D/A	2014-10-09 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001588778 Filed Document 0000919574-14-005628 Exclusions or Exemptions 506b Accepted Date 2014-10-09 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
BASiC 3C, Inc. See All Filings	D	2014-10-09 00:00:00 UTC
Amount To Be Raised $1,757,447 Associated Brokers / Dealers N/A CIK Number 0001621781 Filed Document 0001621781-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-10-09 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
CENTRAL PARK GROUP LIGHTHOUSE GLOBAL LONG/SHORT FUND LLC See All Filings	D/A	2014-10-09 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Raymond James Financial Services, Inc, Stifel, Nicolaus and Company, Inc., NFP Securities Inc., Triad Advisors, Inc., RBC Capital Markets Corporation, LPL Financial LLC, and Raymond James & Associates, Inc. CIK Number 0001449393 Filed Document 0001140361-14-037749 Exclusions or Exemptions 506b Accepted Date 2014-10-09 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
Scout Energy Partners II-A, LP See All Filings	D	2014-10-09 00:00:00 UTC
Amount To Be Raised $44,797,980 Associated Brokers / Dealers N/A CIK Number 0001621791 Filed Document 0001621791-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-10-09 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 Equity
MALACHITE CAPITAL PARTNERS LP See All Filings	D/A	2014-10-09 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001595933 Filed Document 0000919574-14-005654 Exclusions or Exemptions 506b Accepted Date 2014-10-09 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
WJA Alternative Investment Strategies I, LLC, Series I-18 See All Filings	D/A	2014-10-09 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001508970 Filed Document 0001104659-14-070958 Exclusions or Exemptions 506b Accepted Date 2014-10-09 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets $No Aggregate Net Asset Value Type of Security Other
Newscrafted L.L.C. See All Filings	D/A	2014-10-09 00:00:00 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers Broadmark Capital LLC CIK Number 0001572418 Filed Document 0001572418-14-000003 Exclusions or Exemptions 506c Accepted Date 2014-10-09 00:00:00 UTC Type of Offering D/A Industry Business Services Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Debt
Institutional Futures Portfolio L P See All Filings	D/A	2014-10-09 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Citigroup Global Markets Inc. ("CGM"), Morgan Stanley Smith Barney LLC ("MSSB"), Richard S. Zinman, ANTHONY A. DERTOUZOS, and JOHN D. MORENO CIK Number 0001333262 Filed Document 0001333262-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-10-09 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
WJA Alternative Investment Strategies I, LLC, Series I-21 See All Filings	D/A	2014-10-09 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001571791 Filed Document 0001104659-14-070960 Exclusions or Exemptions 506b Accepted Date 2014-10-09 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets $No Aggregate Net Asset Value Type of Security Other
MANAGED FUTURES PREMIER AVENTIS II L.P. See All Filings	D/A	2014-10-09 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Citigroup Global Markets Inc. ("CGM"), Morgan Stanley Smith Barney LLC ("MSSB"), Sanford Michael Katz, ROBERT W. BAIRD & CO. INCORPORATED, and JOHN D. MORENO CIK Number 0001325676 Filed Document 0001325676-14-000004 Exclusions or Exemptions 506b Accepted Date 2014-10-09 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
Albion Premier Investment, LLC See All Filings	D	2014-10-09 00:00:00 UTC
Amount To Be Raised $2,900,000 Associated Brokers / Dealers N/A CIK Number 0001621866 Filed Document 0001621867-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-10-09 00:00:00 UTC Type of Offering D Industry Commercial Principal Place of Business CALIFORNIA Revenue or Assets $$1 - $1,000,000 Type of Security Pooled Investment Fund
HARRISON STREET CORE PROPERTY FUND A, L.P. See All Filings	D/A	2014-10-09 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001560727 Filed Document 0001560727-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-10-09 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 Equity
Latticework Investors, LP See All Filings	D	2014-10-09 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers none CIK Number 0001621804 Filed Document 0001621804-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-10-09 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business WASHINGTON Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Pooled Investment Fund
Arisaig Global Emerging Markets Consumer Fund Ltd See All Filings	D	2014-10-09 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001623542 Filed Document 0000902664-14-004175 Exclusions or Exemptions 506b Accepted Date 2014-10-09 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business VIRGIN ISLANDS, BRITISH Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Vintage Investment Partners VII (Cayman), L.P. See All Filings	D	2014-10-09 00:00:00 UTC
Amount To Be Raised $144,385,000 Associated Brokers / Dealers Shainberg Consulting CIK Number 0001621848 Filed Document 0001621848-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-10-09 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business ISRAEL Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Southport Management Limited Partnership See All Filings	D/A	2014-10-09 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0000914699 Filed Document 0000919574-14-005635 Exclusions or Exemptions 506b Accepted Date 2014-10-09 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business WYOMING Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
SERIOUS INTEGRATED, INC. See All Filings	D/A	2014-10-09 00:00:00 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001518486 Filed Document 0001518486-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-10-09 00:00:00 UTC Type of Offering D/A Industry Other Principal Place of Business ARIZONA Revenue or Assets Decline to Disclose Type of Security Equity
Corserv Holdings, Inc. See All Filings	D	2014-10-09 00:00:00 UTC
Amount To Be Raised $4,999,995 Associated Brokers / Dealers N/A CIK Number 0001562031 Filed Document 0001562031-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-10-09 00:00:00 UTC Type of Offering D Industry Other Banking and Financial Services Principal Place of Business GEORGIA Revenue or Assets Decline to Disclose Type of Security Equity
MorningStar Partners, L.P. See All Filings	D	2014-10-09 00:00:00 UTC
Amount To Be Raised $65,475,000 Associated Brokers / Dealers N/A CIK Number 0001559432 Filed Document 0000897423-14-000043 Exclusions or Exemptions 506b Accepted Date 2014-10-09 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
COATUE LONG ONLY OFFSHORE FUND, LTD. See All Filings	D/A	2014-10-09 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001588830 Filed Document 0000919574-14-005642 Exclusions or Exemptions 506b Accepted Date 2014-10-09 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
SUNMOON CAPITAL L.P. VOLATILITY ARBITRAGE-SERIES B 2X CORE See All Filings	D	2014-10-09 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001621750 Filed Document 0001621749-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-10-09 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
CHRISTINI TECHNOLOGIES INC See All Filings	D	2014-10-09 00:00:00 UTC
Amount To Be Raised $1,750,000 Associated Brokers / Dealers N/A CIK Number 0001112280 Filed Document 0001192482-14-000196 Exclusions or Exemptions 506b Accepted Date 2014-10-09 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business PENNSYLVANIA Revenue or Assets Decline to Disclose Type of Security Equity
Occusystem Services, Inc. See All Filings	D	2014-10-09 00:00:00 UTC
Amount To Be Raised $10,000,000 Associated Brokers / Dealers N/A CIK Number 0001621732 Filed Document 0001621732-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-10-09 00:00:00 UTC Type of Offering D Industry Other Health Care Principal Place of Business TENNESSEE Revenue or Assets Decline to Disclose Type of Security Equity
TNVP Harvest Power Fund II, L.P. See All Filings	D	2014-10-09 00:00:00 UTC
Amount To Be Raised $55,700,000 Associated Brokers / Dealers N/A CIK Number 0001621481 Filed Document 0001621481-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-10-09 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business ARIZONA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Old Ironsides Energy Fund II-A, LP See All Filings	D	2014-10-09 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Campbell Lutyens & Co. Ltd. CIK Number 0001620273 Filed Document 0001620273-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-10-09 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
Pagoda Peak Emerging Markets Fund LP See All Filings	D	2014-10-09 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001621917 Filed Document 0001621917-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-10-09 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business COLORADO Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Weatherlow Long-Short Equity Fund L.P. See All Filings	D/A	2014-10-09 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers AMD Capital, LLC CIK Number 0001364444 Filed Document 0001364444-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-10-09 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
SpearFysh, Inc. See All Filings	D	2014-10-09 00:00:00 UTC
Amount To Be Raised $1,250,000 Associated Brokers / Dealers N/A CIK Number 0001621820 Filed Document 0001621820-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-10-09 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business OHIO Revenue or Assets Decline to Disclose Type of Security Equity
SALI Multi-Series Fund II 3(c)(1), L.P. See All Filings	D/A	2014-10-09 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001470222 Filed Document 0001172661-14-001613 Exclusions or Exemptions 506b Accepted Date 2014-10-09 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets $Over $100,000,000 Type of Security Pooled Investment Fund
Tianyou Fund, L.P. See All Filings	D/A	2014-10-09 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001560511 Filed Document 0001560511-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-10-09 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business VIRGINIA Revenue or Assets Decline to Disclose Type of Security Other
Westfied-MOB, LLLP See All Filings	D	2014-10-09 00:00:00 UTC
Amount To Be Raised $5,030,000 Associated Brokers / Dealers None CIK Number 0001622050 Filed Document 0001622050-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-10-09 00:00:00 UTC Type of Offering D Industry Commercial Principal Place of Business COLORADO Revenue or Assets Decline to Disclose Type of Security Other
WJA Alternative Investment Strategies I, LLC, Series I-8 See All Filings	D/A	2014-10-09 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001501115 Filed Document 0001104659-14-070952 Exclusions or Exemptions 506b Accepted Date 2014-10-09 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets $No Aggregate Net Asset Value Type of Security Other
Vehcon, Inc. See All Filings	D/A	2014-10-09 00:00:00 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001579418 Filed Document 0001579418-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-10-09 00:00:00 UTC Type of Offering D/A Industry Other Technology Principal Place of Business GEORGIA Revenue or Assets Decline to Disclose Type of Security Equity
COMMODITY ADVISORS FUND L.P. See All Filings	D/A	2014-10-09 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Citigroup Global Markets Inc. ("CGM"), Morgan Stanley Smith Barney LLC ("MSSB"), Sanford Michael Katz, ROBERT W. BAIRD & CO. INCORPORATED, and JOHN D. MORENO CIK Number 0001369628 Filed Document 0001369628-14-000022 Exclusions or Exemptions 506b Accepted Date 2014-10-09 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