Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
NATIONWIDE PRIVATE PLACEMENT VARIABLE ACCOUNT See All Filings	D/A	2014-09-15 00:00:00 UTC
Amount To Be Raised $1,714,968 Associated Brokers / Dealers Gordon Chisholm, David Fisher, Richard Martin, and Rhonda Miller CIK Number 0001135856 Filed Document 0001135856-14-000266 Exclusions or Exemptions 506b Accepted Date 2014-09-15 00:00:00 UTC Type of Offering D/A Industry Insurance Principal Place of Business OHIO Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
RK Ravello Townhomes, LLC See All Filings	D	2014-09-12 15:20:24 UTC
Amount To Be Raised $9,916,875 Associated Brokers / Dealers Rance King Securities Corporation, Colorado Financial Service Corporation, Courtlandt Securities Corporation, Concorde Investment Services, LLC, Crown Capital Securities LP, Heritage Financial Systems, Inc., Independent Financial Group, LLC, Morris Financial, Inc., Newport Coast Securities, Inc., Oak Tree Securities, Inc., Sammons Securities Company, LLC, Sigma Financial Corporation, Whitehall-Parker Securities, Inc., and Willbanks Securities CIK Number 0001619343 Filed Document 0001144204-14-055631 Exclusions or Exemptions 506b Accepted Date 2014-09-12 15:20:24 UTC Type of Offering D Industry Commercial Principal Place of Business CALIFORNIA Revenue or Assets $$1,000,001 - $5,000,000 Type of Security Common
Hedge Fund Select: Brevan Howard Multi-Strategy Fund LLC See All Filings	D/A	2014-09-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Goldman, Sachs & Co. CIK Number 0001557570 Filed Document 0001140361-14-035431 Exclusions or Exemptions 506b Accepted Date 2014-09-12 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
Delfin LNG Holdings, Inc. See All Filings	D	2014-09-12 00:00:00 UTC
Amount To Be Raised $20,000,000 Associated Brokers / Dealers N/A CIK Number 0001619102 Filed Document 0001619102-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-09-12 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
BARINGTON COMPANIES EQUITY PARTNERS L P See All Filings	D/A	2014-09-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Bruce Winans, Charles Neustein, Thomas Mahoney IV, n/a, Douglas Siekierski, Christopher Arts, Steven Gumins, Michael Bartlett, Seymour Holtzman, Francesco M. Rossi, and MSC-BD, LLC CIK Number 0001107149 Filed Document 0001107149-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-09-12 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
WMD Silver Offshore L.P. See All Filings	D/A	2014-09-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001536814 Filed Document 0001536814-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-09-12 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
BLACK DUCK SOFTWARE INC See All Filings	D	2014-09-12 00:00:00 UTC
Amount To Be Raised $20,000,042 Associated Brokers / Dealers N/A CIK Number 0001300477 Filed Document 0000897069-14-000392 Exclusions or Exemptions 506b Accepted Date 2014-09-12 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
Red Kite Compass Cayman Fund Ltd See All Filings	D	2014-09-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001619272 Filed Document 0001619272-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-09-12 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
Nephrology Care Group, LLC See All Filings	D	2014-09-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001618765 Filed Document 0000892303-14-000017 Exclusions or Exemptions 506b Accepted Date 2014-09-12 00:00:00 UTC Type of Offering D Industry Other Health Care Principal Place of Business FLORIDA Revenue or Assets $No Revenues Type of Security Equity
Black Hills Capital Investors, LLC See All Filings	D/A	2014-09-12 00:00:00 UTC
Amount To Be Raised $400,000,000 Associated Brokers / Dealers N/A CIK Number 0001454422 Filed Document 0001454422-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-09-12 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
WMD Capital Partners Fund II, LP See All Filings	D/A	2014-09-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001481176 Filed Document 0001481176-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-09-12 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
Bridgepoint Europe V A2 LP See All Filings	D/A	2014-09-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001612972 Filed Document 0001612972-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-09-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business UNITED KINGDOM Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Bridgepoint Europe V A4 LP See All Filings	D/A	2014-09-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001612981 Filed Document 0001612981-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-09-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business UNITED KINGDOM Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
GCM OPPORTUNITY FUND LP See All Filings	D	2014-09-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001619900 Filed Document 0001405086-14-000275 Exclusions or Exemptions 506b Accepted Date 2014-09-12 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
Moment Inc. See All Filings	D	2014-09-12 00:00:00 UTC
Amount To Be Raised $1,500,000 Associated Brokers / Dealers N/A CIK Number 0001618860 Filed Document 0001618860-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-09-12 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Debt
GruupMeet, Inc. See All Filings	D	2014-09-12 00:00:00 UTC
Amount To Be Raised $300,000 Associated Brokers / Dealers N/A CIK Number 0001619402 Filed Document 0001619402-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-09-12 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
WESTERN CAPITAL CORP See All Filings	D	2014-09-12 00:00:00 UTC
Amount To Be Raised $14,960,000 Associated Brokers / Dealers N/A CIK Number 0000701571 Filed Document 0000701571-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-09-12 00:00:00 UTC Type of Offering D Industry Commercial Banking Principal Place of Business IDAHO Revenue or Assets Decline to Disclose Type of Security Equity
JPMorgan Global Access Portfolio LLC See All Filings	D/A	2014-09-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001415522 Filed Document 0001415522-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-09-12 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
Broadway Station Partners, LLC See All Filings	D	2014-09-12 00:00:00 UTC
Amount To Be Raised $18,000,000 Associated Brokers / Dealers N/A CIK Number 0001619396 Filed Document 0001619396-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-09-12 00:00:00 UTC Type of Offering D Industry Commercial Principal Place of Business COLORADO Revenue or Assets $No Revenues Type of Security Equity
MC Acquisition Holdings I, L.L.C. See All Filings	D	2014-09-12 00:00:00 UTC
Amount To Be Raised $110,450,000 Associated Brokers / Dealers N/A CIK Number 0001597135 Filed Document 0000895345-14-000241 Exclusions or Exemptions 506b Accepted Date 2014-09-12 00:00:00 UTC Type of Offering D Industry Other Health Care Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
Oaktree Opportunities Fund Xb, L.P. See All Filings	D	2014-09-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001615831 Filed Document 0001181431-14-031853 Exclusions or Exemptions 506b Accepted Date 2014-09-12 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 Equity
NATIONWIDE PRIVATE PLACEMENT VARIABLE ACCOUNT See All Filings	D/A	2014-09-12 00:00:00 UTC
Amount To Be Raised $22,800,000 Associated Brokers / Dealers Mark Merlotti CIK Number 0001135856 Filed Document 0001135856-14-000262 Exclusions or Exemptions 506b Accepted Date 2014-09-12 00:00:00 UTC Type of Offering D/A Industry Insurance Principal Place of Business OHIO Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
Fishtree, Inc. See All Filings	D	2014-09-12 00:00:00 UTC
Amount To Be Raised $3,000,000 Associated Brokers / Dealers N/A CIK Number 0001620297 Filed Document 0001620297-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-09-12 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
Bay Mountain Fund I LLC See All Filings	D/A	2014-09-12 00:00:00 UTC
Amount To Be Raised $100,000,000 Associated Brokers / Dealers N/A CIK Number 0001606708 Filed Document 0001606708-14-000003 Exclusions or Exemptions 506c Accepted Date 2014-09-12 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
MLEX Ltd See All Filings	D	2014-09-12 00:00:00 UTC
Amount To Be Raised $300,000 Associated Brokers / Dealers N/A CIK Number 0001619379 Filed Document 0001619379-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-09-12 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business UNITED KINGDOM Revenue or Assets Decline to Disclose Type of Security Equity
NATIONWIDE PRIVATE PLACEMENT VARIABLE ACCOUNT See All Filings	D/A	2014-09-12 00:00:00 UTC
Amount To Be Raised $19,585,722 Associated Brokers / Dealers Kirk Penland and Phillip Primm CIK Number 0001135856 Filed Document 0001135856-14-000255 Exclusions or Exemptions 506b Accepted Date 2014-09-12 00:00:00 UTC Type of Offering D/A Industry Insurance Principal Place of Business OHIO Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
ENDOTRONIX INC See All Filings	D	2014-09-12 00:00:00 UTC
Amount To Be Raised $4,000,000 Associated Brokers / Dealers N/A CIK Number 0001424668 Filed Document 0001424668-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-09-12 00:00:00 UTC Type of Offering D Industry Other Health Care Principal Place of Business ILLINOIS Revenue or Assets Decline to Disclose Type of Security Debt
Canopy Co. See All Filings	D	2014-09-12 00:00:00 UTC
Amount To Be Raised $80,000 Associated Brokers / Dealers N/A CIK Number 0001565186 Filed Document 0001288230-14-000011 Exclusions or Exemptions 506b Accepted Date 2014-09-12 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 Debt
Four Points Multi-Strategy Fund, L.P. See All Filings	D/A	2014-09-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A and N/A CIK Number 0001482445 Filed Document 0000919574-14-005203 Exclusions or Exemptions 506b Accepted Date 2014-09-12 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
Kingfisher Select, LP See All Filings	D/A	2014-09-12 00:00:00 UTC
Amount To Be Raised $10,000,000 Associated Brokers / Dealers N/A CIK Number 0001608755 Filed Document 0001608755-14-000004 Exclusions or Exemptions 506b Accepted Date 2014-09-12 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
KLS Rates Fund LP See All Filings	D/A	2014-09-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers MORGAN STANLEY & CO. LLC CIK Number 0001557852 Filed Document 0001557852-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-09-12 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
TWO SIGMA COMPASS CAYMAN FUND, LTD. See All Filings	D/A	2014-09-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001470920 Filed Document 0000919574-14-005194 Exclusions or Exemptions 506b Accepted Date 2014-09-12 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
VERGER FUND II LLC See All Filings	D/A	2014-09-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001618797 Filed Document 0001619433-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-09-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NORTH CAROLINA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Maxim-IDS Investors, LLC See All Filings	D	2014-09-12 00:00:00 UTC
Amount To Be Raised $2,920,000 Associated Brokers / Dealers N/A CIK Number 0001619537 Filed Document 0001619510-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-09-12 00:00:00 UTC Type of Offering D Industry Investing Principal Place of Business ILLINOIS Revenue or Assets $No Revenues Type of Security Equity
WMD USMOF Offshore, LP See All Filings	D/A	2014-09-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001526416 Filed Document 0001526416-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-09-12 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
KLS Diversified Fund LP See All Filings	D/A	2014-09-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers APB FINANCIAL GROUP, LLC, MORGAN STANLEY & CO. LLC, and KPG CAPITAL PARTNERS, LLC CIK Number 0001506080 Filed Document 0001506080-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-09-12 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	2014-09-12 00:00:00 UTC
Amount To Be Raised $10,000,000 Associated Brokers / Dealers PHX Financial, Inc. CIK Number 0001615083 Filed Document 0001387131-14-003261 Exclusions or Exemptions 506b Accepted Date 2014-09-12 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
BENEFIT MOBILE INC See All Filings	D	2014-09-12 00:00:00 UTC
Amount To Be Raised $900,000 Associated Brokers / Dealers N/A CIK Number 0001604718 Filed Document 0000926044-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-09-12 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business MICHIGAN Revenue or Assets Decline to Disclose Type of Security Equity
CC ARB FUND LLC See All Filings	D/A	2014-09-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001234612 Filed Document 0001234612-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-09-12 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
Artisan: Dynamic Equity (Global Equity) Offshore L.P. See All Filings	D/A	2014-09-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Goldman, Sachs & Co. CIK Number 0001557554 Filed Document 0001140361-14-035430 Exclusions or Exemptions 506b Accepted Date 2014-09-12 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
MIRO Julien LP See All Filings	D	2014-09-12 00:00:00 UTC
Amount To Be Raised $615,000 Associated Brokers / Dealers n/a CIK Number 0001619135 Filed Document 0001619135-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-09-12 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business PENNSYLVANIA Revenue or Assets Decline to Disclose Type of Security Equity
Sequoia Equities - Glendale See All Filings	D	2014-09-12 00:00:00 UTC
Amount To Be Raised $32,000,000 Associated Brokers / Dealers R. Ken Coit CIK Number 0001619417 Filed Document 0001619417-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-09-12 00:00:00 UTC Type of Offering D Industry Other Real Estate Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Malartu, Inc. See All Filings	D	2014-09-12 00:00:00 UTC
Amount To Be Raised $500,000 Associated Brokers / Dealers N/A CIK Number 0001619099 Filed Document 0001619099-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-09-12 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business NORTH CAROLINA Revenue or Assets Decline to Disclose Type of Security Equity
EVEREST CAPITAL GLOBAL EMERGING EQUITY L.P. See All Filings	D	2014-09-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001555234 Filed Document 0000919574-14-005207 Exclusions or Exemptions 506b Accepted Date 2014-09-12 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 Pooled Investment Fund
Sansome Cayman Fund Ltd See All Filings	D	2014-09-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001578188 Filed Document 0001578188-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-09-12 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
Milyoni, Inc. See All Filings	D	2014-09-12 00:00:00 UTC
Amount To Be Raised $16,143,747 Associated Brokers / Dealers N/A CIK Number 0001487977 Filed Document 0001487977-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-09-12 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
NOVO FUND LP See All Filings	D/A	2014-09-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001425439 Filed Document 0000919574-14-005199 Exclusions or Exemptions 506b Accepted Date 2014-09-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business TENNESSEE Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
PHARMANETUSA INC. See All Filings	D	2014-09-12 00:00:00 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001619399 Filed Document 0001619399-14-000001 Exclusions or Exemptions 506c Accepted Date 2014-09-12 00:00:00 UTC Type of Offering D Industry Other Health Care Principal Place of Business FLORIDA Revenue or Assets $No Revenues Type of Security Equity
Oaktree Opportunities Fund X Feeder (Cayman), L.P. See All Filings	D	2014-09-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001615829 Filed Document 0001181431-14-031854 Exclusions or Exemptions 506b Accepted Date 2014-09-12 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 Equity
NATIONWIDE PRIVATE PLACEMENT VARIABLE ACCOUNT See All Filings	D/A	2014-09-12 00:00:00 UTC
Amount To Be Raised $8,348,970 Associated Brokers / Dealers Jason Burlie and Allen Cannon CIK Number 0001135856 Filed Document 0001135856-14-000256 Exclusions or Exemptions 506b Accepted Date 2014-09-12 00:00:00 UTC Type of Offering D/A Industry Insurance Principal Place of Business OHIO Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund