Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
MARTELL DIAGNOSTIC LABORATORIES, INC. See All Filings	D	2018-06-12 18:32:12 UTC
Amount To Be Raised $1,800,000 Associated Brokers / Dealers Jonathan Hodson-Walker CIK Number 0001452916 Filed Document 0001014108-18-000149 Exclusions or Exemptions 506b Accepted Date 2018-06-12 18:32:12 UTC Type of Offering D Industry Biotechnology Principal Place of Business MINNESOTA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Knowingly Corp See All Filings	D	2018-06-12 18:27:47 UTC
Amount To Be Raised $950,000 Associated Brokers / Dealers N/A CIK Number 0001605791 Filed Document 0001458754-18-000004 Exclusions or Exemptions 506b Accepted Date 2018-06-12 18:27:47 UTC Type of Offering D Industry Other Technology Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
Orbis Institutional Global Equity L.P. See All Filings	D/A	2018-06-12 18:22:33 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001708314 Filed Document 0001085146-18-001595 Exclusions or Exemptions 506b Accepted Date 2018-06-12 18:22:33 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business DELAWARE Revenue or Assets $Over $100,000,000 Type of Security Pooled Investment Fund
GoCo.IO, Inc. See All Filings	D	2018-06-12 18:20:33 UTC
Amount To Be Raised $4,718,993 Associated Brokers / Dealers N/A CIK Number 0001656572 Filed Document 0001656572-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-06-12 18:20:33 UTC Type of Offering D Industry Other Technology Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
Ra Medical Systems, Inc. See All Filings	D/A	2018-06-12 17:53:46 UTC
Amount To Be Raised $19,000,000 Associated Brokers / Dealers N/A CIK Number 0001716621 Filed Document 0001716621-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-06-12 17:53:46 UTC Type of Offering D/A Industry Biotechnology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Construction Supply Investments, LLC See All Filings	D	2018-06-12 17:50:16 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001690072 Filed Document 0001062993-18-002577 Exclusions or Exemptions 506b Accepted Date 2018-06-12 17:50:16 UTC Type of Offering D Industry Other Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
Construction Supply Holdings, LLC See All Filings	D	2018-06-12 17:49:27 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001690075 Filed Document 0001062993-18-002576 Exclusions or Exemptions 506b Accepted Date 2018-06-12 17:49:27 UTC Type of Offering D Industry Other Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
Basepair Inc. See All Filings	D/A	2018-06-12 17:44:29 UTC
Amount To Be Raised $800,000 Associated Brokers / Dealers N/A CIK Number 0001740861 Filed Document 0001740861-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-06-12 17:44:29 UTC Type of Offering D/A Industry Other Technology Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Debt
NovaQuest Co-Investment Fund VII, L.P. See All Filings	D	2018-06-12 17:37:13 UTC
Amount To Be Raised $35,000,000 Associated Brokers / Dealers N/A CIK Number 0001743307 Filed Document 0001743307-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-06-12 17:37:13 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business NORTH CAROLINA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Knowingly Corp See All Filings	D	2018-06-12 17:30:44 UTC
Amount To Be Raised $317,500 Associated Brokers / Dealers N/A CIK Number 0001605791 Filed Document 0001458754-18-000003 Exclusions or Exemptions 506b Accepted Date 2018-06-12 17:30:44 UTC Type of Offering D Industry Other Technology Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
GREEN MOUNTAIN DEBT HOLDINGS, LLC See All Filings	D/A	2018-06-12 17:29:38 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers GVC Capital LLC CIK Number 0001736787 Filed Document 0000913849-18-000296 Exclusions or Exemptions 506b Accepted Date 2018-06-12 17:29:38 UTC Type of Offering D/A Industry Other Principal Place of Business COLORADO Revenue or Assets Decline to Disclose Type of Security Equity
ANTERO DEBT HOLDINGS, LLC See All Filings	D	2018-06-12 17:28:32 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers GVC CAPITAL LLC CIK Number 0001736820 Filed Document 0000913849-18-000295 Exclusions or Exemptions 506b Accepted Date 2018-06-12 17:28:32 UTC Type of Offering D Industry Other Principal Place of Business COLORADO Revenue or Assets Decline to Disclose Type of Security Equity
Angel Oak Bridge Lending Fund, LP See All Filings	D	2018-06-12 17:28:01 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001739662 Filed Document 0001739662-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-06-12 17:28:01 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business GEORGIA Revenue or Assets $$25,000,001 - $50,000,000 Type of Security Pooled Investment Fund
OHA BCSS SSD II, Ltd. See All Filings	D	2018-06-12 17:22:03 UTC
Amount To Be Raised $100,447,500 Associated Brokers / Dealers N/A CIK Number 0001742199 Filed Document 0000950142-18-001377 Exclusions or Exemptions 506b Accepted Date 2018-06-12 17:22:03 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
OHA MPS SSD II, Ltd. See All Filings	D	2018-06-12 17:22:02 UTC
Amount To Be Raised $133,930,000 Associated Brokers / Dealers N/A CIK Number 0001742198 Filed Document 0000950142-18-001376 Exclusions or Exemptions 506b Accepted Date 2018-06-12 17:22:02 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
HIGHLAND EUROPE SPECIAL III L.P. See All Filings	D	2018-06-12 17:14:40 UTC
Amount To Be Raised $15,262,000 Associated Brokers / Dealers N/A CIK Number 0001742136 Filed Document 0001742136-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-06-12 17:14:40 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business JERSEY Revenue or Assets Decline to Disclose Type of Security Equity
InvOpps FT1A LLC See All Filings	D	2018-06-12 17:14:26 UTC
Amount To Be Raised $6,726,000 Associated Brokers / Dealers N/A CIK Number 0001737858 Filed Document 0001737858-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-06-12 17:14:26 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
HIGHLAND EUROPE TECHNOLOGY GROWTH III LIMITED PARTNERSHIP See All Filings	D	2018-06-12 17:13:14 UTC
Amount To Be Raised $543,562,000 Associated Brokers / Dealers N/A CIK Number 0001742253 Filed Document 0001742253-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-06-12 17:13:14 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business JERSEY Revenue or Assets Decline to Disclose Type of Security Equity
ALYK, Inc. See All Filings	D	2018-06-12 17:12:47 UTC
Amount To Be Raised $23,999,993 Associated Brokers / Dealers N/A CIK Number 0001633178 Filed Document 0001633178-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-06-12 17:12:47 UTC Type of Offering D Industry Other Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
European Opportunistic Property Fund IV Feeder LP See All Filings	D/A	2018-06-12 17:10:13 UTC
Amount To Be Raised $40,000,000 Associated Brokers / Dealers N/A CIK Number 0001724505 Filed Document 0001724508-18-000003 Exclusions or Exemptions 506b Accepted Date 2018-06-12 17:10:13 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 Equity
European Opportunistic Property Fund IV Feeder LP See All Filings	D/A	2018-06-12 17:05:27 UTC
Amount To Be Raised $16,524,828 Associated Brokers / Dealers N/A CIK Number 0001724505 Filed Document 0001724508-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-06-12 17:05:27 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 Equity
PayJoy, Inc. See All Filings	D	2018-06-12 16:55:08 UTC
Amount To Be Raised $5,000,000 Associated Brokers / Dealers N/A CIK Number 0001655009 Filed Document 0001655009-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-06-12 16:55:08 UTC Type of Offering D Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Other
Dread River Distilling Company, LLC See All Filings	D	2018-06-12 16:51:10 UTC
Amount To Be Raised $2,875,000 Associated Brokers / Dealers N/A CIK Number 0001736237 Filed Document 0001736237-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-06-12 16:51:10 UTC Type of Offering D Industry Manufacturing Principal Place of Business ALABAMA Revenue or Assets Decline to Disclose Type of Security Equity
Star Mountain Partners Fund II, LLC See All Filings	D/A	2018-06-12 16:46:03 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001677283 Filed Document 0001677377-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-06-12 16:46:03 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
Star Mountain Diversified Small Business Access Fund II (Offshore), LP See All Filings	D/A	2018-06-12 16:42:26 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001677377 Filed Document 0001677377-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-06-12 16:42:26 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
Breck Capital, LP See All Filings	D	2018-06-12 16:36:25 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001743076 Filed Document 0001743076-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-06-12 16:36:25 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business COLORADO Revenue or Assets $No Aggregate Net Asset Value Type of Security Pooled Investment Fund
Global Equity Event Opportunities Fund LLC See All Filings	D/A	2018-06-12 16:17:54 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001600167 Filed Document 0001600167-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-06-12 16:17:54 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
Fund EQ - RRA, a series of Equidate Investments LLC See All Filings	D/A	2018-06-12 16:13:46 UTC
Amount To Be Raised $29,049,930 Associated Brokers / Dealers Equidate Markets, LLC CIK Number 0001676065 Filed Document 0001692236-18-000003 Exclusions or Exemptions 506b Accepted Date 2018-06-12 16:13:46 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business UTAH Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
UVLrx Therapeutics, Inc. See All Filings	D	2018-06-12 16:12:36 UTC
Amount To Be Raised $5,000,000 Associated Brokers / Dealers N/A CIK Number 0001546059 Filed Document 0001546059-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-06-12 16:12:36 UTC Type of Offering D Industry Other Health Care Principal Place of Business FLORIDA Revenue or Assets $$1,000,001 - $5,000,000 Type of Security Equity
Fund EQ - LQA, a series of Equidate Investments LLC See All Filings	D/A	2018-06-12 16:06:18 UTC
Amount To Be Raised $1,946,896 Associated Brokers / Dealers Equidate Markets, LLC CIK Number 0001674878 Filed Document 0001692236-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-06-12 16:06:18 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business UTAH Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
TCG BDC II, Inc. See All Filings	D/A	2018-06-12 16:01:48 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers TCG Securities, L.L.C. and Morgan Stanley Smith Barney LLC CIK Number 0001702510 Filed Document 0001702510-18-000027 Exclusions or Exemptions 506b Accepted Date 2018-06-12 16:01:48 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
FullContact, Inc. See All Filings	D	2018-06-12 16:01:27 UTC
Amount To Be Raised $4,999,997 Associated Brokers / Dealers N/A CIK Number 0001523064 Filed Document 0001523064-18-000003 Exclusions or Exemptions 506b Accepted Date 2018-06-12 16:01:27 UTC Type of Offering D Industry Other Principal Place of Business COLORADO Revenue or Assets Decline to Disclose Type of Security Equity
Fund EQ-JTB, a series of Equidate Investments LLC See All Filings	D/A	2018-06-12 15:49:58 UTC
Amount To Be Raised $10,916,610 Associated Brokers / Dealers Equidate Markets, LLC CIK Number 0001692236 Filed Document 0001692236-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-06-12 15:49:58 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business UTAH Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
AI Software, LLC See All Filings	D	2018-06-12 15:49:19 UTC
Amount To Be Raised $8,437,690 Associated Brokers / Dealers N/A CIK Number 0001731842 Filed Document 0000950138-18-000449 Exclusions or Exemptions 506b Accepted Date 2018-06-12 15:49:19 UTC Type of Offering D Industry Other Technology Principal Place of Business MISSOURI Revenue or Assets Decline to Disclose Type of Security Equity
Wolverine Intrinsic Fund Ltd. See All Filings	D	2018-06-12 15:42:54 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001742943 Filed Document 0001742943-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-06-12 15:42:54 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CAYMAN ISLANDS Revenue or Assets $No Aggregate Net Asset Value Type of Security Pooled Investment Fund
Nuo Therapeutics, Inc. See All Filings	D	2018-06-12 15:31:40 UTC
Amount To Be Raised $500,000 Associated Brokers / Dealers N/A CIK Number 0001091596 Filed Document 0001091596-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-06-12 15:31:40 UTC Type of Offering D Industry Biotechnology Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Equity
VWR Capital Corp. See All Filings	D	2018-06-12 15:28:03 UTC
Amount To Be Raised $48,072 Associated Brokers / Dealers N/A CIK Number 0001593879 Filed Document 0001534122-18-000011 Exclusions or Exemptions 506b Accepted Date 2018-06-12 15:28:03 UTC Type of Offering D Industry REITS and Finance Principal Place of Business BRITISH COLUMBIA, CANADA Revenue or Assets Decline to Disclose Type of Security Equity
Riverstone Fieldwood Partners-D, L.P. See All Filings	D	2018-06-12 15:17:54 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001741301 Filed Document 0001140361-18-028215 Exclusions or Exemptions 506b Accepted Date 2018-06-12 15:17:54 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
PALLADIAN HOTEL MEMBER LLC See All Filings	D	2018-06-12 15:17:31 UTC
Amount To Be Raised $12,000,000 Associated Brokers / Dealers N/A CIK Number 0001740030 Filed Document 0001740030-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-06-12 15:17:31 UTC Type of Offering D Industry Commercial Principal Place of Business WASHINGTON Revenue or Assets $No Revenues Type of Security Equity
Align Affordable Housing Bond Fund, L.P. See All Filings	D	2018-06-12 15:11:45 UTC
Amount To Be Raised $150,000,000 Associated Brokers / Dealers N/A CIK Number 0001742324 Filed Document 0001742324-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-06-12 15:11:45 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Riverstone Fieldwood Partners-D (Non-U.S.), L.P. See All Filings	D	2018-06-12 15:11:14 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001741300 Filed Document 0001140361-18-028211 Exclusions or Exemptions 506b Accepted Date 2018-06-12 15:11:14 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
VPC CLEMMONS MF LLC See All Filings	D	2018-06-12 15:07:40 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001743230 Filed Document 0001743230-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-06-12 15:07:40 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
Adams Street Global Secondary Fund 6 LP See All Filings	D/A	2018-06-12 15:05:53 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Kalorama Capital, LLC CIK Number 0001674656 Filed Document 0001674656-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-06-12 15:05:53 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
WorldViz, Inc. See All Filings	D/A	2018-06-12 15:02:29 UTC
Amount To Be Raised $3,000,000 Associated Brokers / Dealers N/A CIK Number 0001602930 Filed Document 0001602930-18-000011 Exclusions or Exemptions 506b Accepted Date 2018-06-12 15:02:29 UTC Type of Offering D/A Industry Other Principal Place of Business CALIFORNIA Revenue or Assets $Not Applicable Type of Security Equity
Universa Black Swan Protection Protocol Offshore IV Ltd. See All Filings	D/A	2018-06-12 15:00:20 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001533535 Filed Document 0000935836-18-000351 Exclusions or Exemptions 506b Accepted Date 2018-06-12 15:00:20 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
Athena Long-Term Alpha Fund LP See All Filings	D/A	2018-06-12 14:50:44 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001603179 Filed Document 0001603179-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-06-12 14:50:44 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
NREA Adair, DST See All Filings	D/A	2018-06-12 14:47:09 UTC
Amount To Be Raised $24,742,538 Associated Brokers / Dealers Highland Capital Funds Distributor, Inc., Edward Fernandez, Gary Chapman, Corbin S. Thomas, Steven Kolinsky, Susan Gitt, Christina Nielson, Jeffrey Bangerter, Joseph G. Michaletz, Hugh Barndollar, Stacey Morimoto, Michael Bendix, William S. Sheehan, Gary T Hughes, Roger William Bowlin, Roy R. Jones, Joshua P. Jones, Joral T. Schmalle, Tomas J. Velken, Eric S. Scaff, Thomas M. Hess, JASON CONNOLLY, DARREN SPEIGHT, Kyle Jobin, Taylor D. Ashland, Joseph M. Insalaco, Bryan C Hakola, Jim A.Lund, Daniel P. Raupp, Michael G. Steinthal, Justin Bachman, Troy Thomas, Andrew J. Friedman, Charles R Wagner, and Jason S. Finley CIK Number 0001722121 Filed Document 0001722121-18-000011 Exclusions or Exemptions 506b Accepted Date 2018-06-12 14:47:09 UTC Type of Offering D/A Industry Other Real Estate Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
ATHENA ALPHA INVESTORS LP See All Filings	D/A	2018-06-12 14:45:16 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001446538 Filed Document 0001446538-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-06-12 14:45:16 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
Pinnacle Automotive Hospitality Services Holdings, Inc. See All Filings	D/A	2018-06-12 14:45:00 UTC
Amount To Be Raised $993,476 Associated Brokers / Dealers N/A CIK Number 0001699053 Filed Document 0001140361-18-028208 Exclusions or Exemptions 506b Accepted Date 2018-06-12 14:45:00 UTC Type of Offering D/A Industry Business Services Principal Place of Business FLORIDA Revenue or Assets Decline to Disclose Type of Security Equity
Point Defiance Microcap Fund, LP See All Filings	D	2018-06-12 14:41:41 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Brent William Guy and Richard Arthur Hermann CIK Number 0001467545 Filed Document 0001467545-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-06-12 14:41:41 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund