|
|
D/A |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001491068
- Filed Document
- 0001491068-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 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
|
|
|
D/A |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001520350
- Filed Document
- 0000919574-14-003511
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 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
|
|
|
D/A |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001461082
- Filed Document
- 0001144204-14-032320
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 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
|
|
|
D/A |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- $80,340,000
- Associated Brokers / Dealers
- Pickwick Capital Partners, LLC
- CIK Number
- 0001563830
- Filed Document
- 0001563830-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 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
|
|
|
D/A |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001489787
- Filed Document
- 0001489787-14-000002
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- MARYLAND
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Pooled Investment Fund
|
|
|
D |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- $105,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001281198
- Filed Document
- 0001135432-14-000009
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 00:00:00 UTC
- Type of Offering
- D
- Industry
- Business Services
- Principal Place of Business
- TEXAS
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Debt
|
|
|
D |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- $200,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001608630
- Filed Document
- 0001608630-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 00:00:00 UTC
- Type of Offering
- D
- Industry
- Other
- Principal Place of Business
- CALIFORNIA
- Revenue or Assets
- $No Revenues
- Type of Security
- Equity
|
|
|
D |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- $8,000,002
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001538468
- Filed Document
- 0001538468-14-000004
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 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
|
|
|
D/A |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- $7,500,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001605130
- Filed Document
- 0001605130-14-000002
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Other Banking and Financial Services
- Principal Place of Business
- CALIFORNIA
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D/A |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- $40,848,399
- Associated Brokers / Dealers
- Charles Steinberg and Christopher Parker
- CIK Number
- 0001135856
- Filed Document
- 0001135856-14-000186
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 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
|
|
|
D/A |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- Cetera Advisors LLC
- CIK Number
- 0001327851
- Filed Document
- 0001327851-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 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
- Pooled Investment Fund
|
|
|
D/A |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- TCG Securities, L.L.C., Morgan Stanley Smith Barney LLC, and Financial Management Enterprises Ltd.
- CIK Number
- 0001603572
- Filed Document
- 0001603572-14-000002
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- DISTRICT OF COLUMBIA
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Pooled Investment Fund
|
|
|
D/A |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001466573
- Filed Document
- 0001466573-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- NEW JERSEY
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Pooled Investment Fund
|
|
|
D |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- $300,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001608267
- Filed Document
- 0001608267-14-000002
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 00:00:00 UTC
- Type of Offering
- D
- Industry
- Computers
- Principal Place of Business
- NEW JERSEY
- Revenue or Assets
- $$1 - $1,000,000
- Type of Security
- Equity
|
|
|
D/A |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- Wells Fargo Funds Distributor, LLC
- CIK Number
- 0001553303
- Filed Document
- 0001315863-14-000348
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Pooled Investment Fund
- Principal Place of Business
- DISTRICT OF COLUMBIA
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Pooled Investment Fund
|
|
|
D |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- $500,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001491623
- Filed Document
- 0001491623-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 00:00:00 UTC
- Type of Offering
- D
- Industry
- Other Technology
- Principal Place of Business
- NEW YORK
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Debt
|
|
|
D |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001560184
- Filed Document
- 0000943663-14-000104
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 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
|
|
|
D |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- First Republic Securities Company, LLC
- CIK Number
- 0001606953
- Filed Document
- 0001144204-14-033056
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 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
|
|
|
D/A |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- MFI Investments Corp and 1st Global Capital Corp Husami & Associates
- CIK Number
- 0001510723
- Filed Document
- 0001510723-14-000001
- Exclusions or Exemptions
- 506c
- Accepted Date
- 2014-05-20 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Insurance
- Principal Place of Business
- ILLINOIS
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Other
|
|
|
D |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001595867
- Filed Document
- 0001564928-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 00:00:00 UTC
- Type of Offering
- D
- Industry
- Pooled Investment Fund
- Principal Place of Business
- BERMUDA
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D/A |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- $1,400,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001587081
- Filed Document
- 0001587081-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Other Technology
- Principal Place of Business
- WASHINGTON
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Debt
|
|
|
D |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- $500,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001607286
- Filed Document
- 0001607286-14-000002
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 00:00:00 UTC
- Type of Offering
- D
- Industry
- Computers
- Principal Place of Business
- MARYLAND
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Debt
|
|
|
D |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- $2,100,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001605439
- Filed Document
- 0001605439-14-000002
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 00:00:00 UTC
- Type of Offering
- D
- Industry
- Other Real Estate
- Principal Place of Business
- WYOMING
- Revenue or Assets
- $No Revenues
- Type of Security
- Equity
|
|
|
D |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- $339,443
- Associated Brokers / Dealers
- Scarsdale Equities LLC
- CIK Number
- 0001517179
- Filed Document
- 0001140361-14-022329
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 00:00:00 UTC
- Type of Offering
- D
- Industry
- Other
- Principal Place of Business
- BRITISH COLUMBIA, CANADA
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D/A |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- Cetera Advisors LLC and RBC Capital Markets LLC
- CIK Number
- 0001457351
- Filed Document
- 0001327851-14-000002
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 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
- Pooled Investment Fund
|
|
|
D/A |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- Cetera Advisors LLC
- CIK Number
- 0001457354
- Filed Document
- 0001457354-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 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
- Pooled Investment Fund
|
|
|
D |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001608719
- Filed Document
- 0001608719-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 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
|
|
|
D |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- $19,266
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001559730
- Filed Document
- 0001559730-14-000003
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 00:00:00 UTC
- Type of Offering
- D
- Industry
- Manufacturing
- Principal Place of Business
- CALIFORNIA
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Option To Acquire
|
|
|
D/A |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001112159
- Filed Document
- 0001095449-14-000085
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 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
|
|
|
D/A |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- $10,500
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001437786
- Filed Document
- 0001140361-14-025055
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 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
|
|
|
D |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- $250,000,000
- Associated Brokers / Dealers
- Credit Suisse Securities (USA) LLC
- CIK Number
- 0001608450
- Filed Document
- 0001608450-14-000002
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 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
|
|
|
D |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- $5,000,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001608748
- Filed Document
- 0000899797-14-000002
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 00:00:00 UTC
- Type of Offering
- D
- Industry
- Investing
- Principal Place of Business
- NEW YORK
- Revenue or Assets
- $$1,000,001 - $5,000,000
- Type of Security
- Debt
|
|
|
D/A |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- $1,305,510
- Associated Brokers / Dealers
- Gwen Middeke, Robert Scharff, Jr., Michael Corry, Paul Flotken, and Larry Celniker
- CIK Number
- 0001135856
- Filed Document
- 0001135856-14-000187
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 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
|
|
|
D/A |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- $1,032,500
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001603698
- Filed Document
- 0001603698-14-000002
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Other
- Principal Place of Business
- WASHINGTON
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- $1,500,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001610198
- Filed Document
- 0001610198-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 00:00:00 UTC
- Type of Offering
- D
- Industry
- Other Health Care
- Principal Place of Business
- NORTH CAROLINA
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001608579
- Filed Document
- 0001608579-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 00:00:00 UTC
- Type of Offering
- D
- Industry
- Pooled Investment Fund
- Principal Place of Business
- NEW YORK
- Revenue or Assets
- $No Aggregate Net Asset Value
- Type of Security
- Pooled Investment Fund
|
|
|
D/A |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001513201
- Filed Document
- 0000950103-14-003560
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 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
|
|
|
D/A |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- $2,850,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001514729
- Filed Document
- 0001514729-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Other Technology
- Principal Place of Business
- TENNESSEE
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
|
|
|
D |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- $1,027,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001440724
- Filed Document
- 0001440724-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 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
- Mineral Property
|
|
|
D/A |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- Wells Fargo Funds Distributor, LLC
- CIK Number
- 0001347612
- Filed Document
- 0001315863-14-000347
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 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
|
|
|
D |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- $1,000,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001608576
- Filed Document
- 0001608576-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 00:00:00 UTC
- Type of Offering
- D
- Industry
- Other
- Principal Place of Business
- CONNECTICUT
- Revenue or Assets
- $$1 - $1,000,000
- Type of Security
- Equity
|
|
|
D/A |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- Wells Fargo Insurance Services Investment Advisors, Inc. and Benefit Finance Securities
- CIK Number
- 0001167611
- Filed Document
- 0001167611-14-000001
- Exclusions or Exemptions
- 506c
- Accepted Date
- 2014-05-20 00:00:00 UTC
- Type of Offering
- D/A
- Industry
- Insurance
- Principal Place of Business
- ILLINOIS
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Other
|
|
|
D |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- $3,225,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001607585
- Filed Document
- 0001607585-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 00:00:00 UTC
- Type of Offering
- D
- Industry
- Pooled Investment Fund
- Principal Place of Business
- TEXAS
- Revenue or Assets
- $$5,000,001 - $25,000,000
- Type of Security
- Equity
|
|
|
D |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- $11,804,462
- Associated Brokers / Dealers
- Cascadia Capital, LLC
- CIK Number
- 0001608754
- Filed Document
- 0001209191-14-036071
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 00:00:00 UTC
- Type of Offering
- D
- Industry
- Other
- Principal Place of Business
- COLORADO
- Revenue or Assets
- $$1,000,001 - $5,000,000
- Type of Security
- Equity
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D |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- $160,000,000
- Associated Brokers / Dealers
- VSR Financial Services, Inc., Cetera Advisors LLC, Commonwealth Financial Network, The Strategic Financial Alliance, Inc., Sammons Securities Company, LLC, Lincoln Investment Planning, Inc., Alliance Affiliated Equities Corporation, M Holdings Securities, Inc., Independent Financial Group, LLC, Kalos Capital, Inc., Sigma Financial Corporation, and Girard Securities, Inc.,
- CIK Number
- 0001599360
- Filed Document
- 0001599360-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 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
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D/A |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001574463
- Filed Document
- 0000919574-14-003515
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 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
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D/A |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- Resource Securities Inc. ("RS"), Far Hills Group, LLC ("FHG"), and London Management Group ("LMG")
- CIK Number
- 0001518613
- Filed Document
- 0001518613-14-000002
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 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
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D |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001608607
- Filed Document
- 0001608607-14-000001
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 00:00:00 UTC
- Type of Offering
- D
- Industry
- Pooled Investment Fund
- Principal Place of Business
- NORTH CAROLINA
- Revenue or Assets
- $$1 - $5,000,000
- Type of Security
- Equity
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D/A |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- Indefinite
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001112160
- Filed Document
- 0001095449-14-000084
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 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
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D |
2014-05-20 00:00:00 UTC |
- Amount To Be Raised
- $1,000,000
- Associated Brokers / Dealers
- N/A
- CIK Number
- 0001607938
- Filed Document
- 0000897069-14-000275
- Exclusions or Exemptions
- 506b
- Accepted Date
- 2014-05-20 00:00:00 UTC
- Type of Offering
- D
- Industry
- Other Technology
- Principal Place of Business
- FLORIDA
- Revenue or Assets
- Decline to Disclose
- Type of Security
- Equity
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