Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
Aqualitas Inc. See All Filings	D	2017-07-17 09:54:51 UTC
Amount To Be Raised $265,000 Associated Brokers / Dealers N/A CIK Number 0001711917 Filed Document 0001711917-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-07-17 09:54:51 UTC Type of Offering D Industry Other Principal Place of Business NOVA SCOTIA, CANADA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Alternative Investments Sustainability Ltd. See All Filings	D/A	2017-07-17 09:16:46 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001645673 Filed Document 0000902664-17-002948 Exclusions or Exemptions 506b Accepted Date 2017-07-17 09:16:46 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
Lion Capital Fund IV (USD), L.P. See All Filings	D/A	2017-07-17 09:16:28 UTC
Amount To Be Raised $2,250,000,000 Associated Brokers / Dealers MERCURY CAPITAL ADVISORS, LLC, ZHE ZHANG, and SABERTIA CAPITAL PARTNERS, S.L. CIK Number 0001660732 Filed Document 0001660732-17-000002 Exclusions or Exemptions 506b Accepted Date 2017-07-17 09:16:28 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
Alternative Investments Sustainability, L.P. See All Filings	D/A	2017-07-17 09:15:41 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001645677 Filed Document 0000902664-17-002947 Exclusions or Exemptions 506b Accepted Date 2017-07-17 09:15:41 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
Lion Capital Fund IV-A (USD), L.P. See All Filings	D/A	2017-07-17 09:12:59 UTC
Amount To Be Raised $2,250,000,000 Associated Brokers / Dealers MERCURY CAPITAL ADVISORS, LLC, ZHE ZHANG, and SABERTIA CAPITAL PARTNERS, S.L. CIK Number 0001660725 Filed Document 0001660725-17-000002 Exclusions or Exemptions 506b Accepted Date 2017-07-17 09:12:59 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
LKCM Investment Partnership, L.P. See All Filings	D/A	2017-07-17 09:12:49 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001406371 Filed Document 0001406371-17-000002 Exclusions or Exemptions 506b Accepted Date 2017-07-17 09:12:49 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
Lion Capital Fund IV, L.P. See All Filings	D/A	2017-07-17 09:06:45 UTC
Amount To Be Raised $2,250,000,000 Associated Brokers / Dealers MERCURY CAPITAL ADVISORS, LLC, ZHE ZHANG, and SABERTIA CAPITAL PARTNERS, S.L. CIK Number 0001660730 Filed Document 0001660730-17-000002 Exclusions or Exemptions 506b Accepted Date 2017-07-17 09:06:45 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
SCS Private Real Assets II, LLC See All Filings	D	2017-07-17 09:05:41 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001703963 Filed Document 0001703963-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-07-17 09:05:41 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
SCS Private Real Assets II - Real Estate, LLC See All Filings	D	2017-07-17 09:03:54 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001704072 Filed Document 0001704072-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-07-17 09:03:54 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
Lion Capital Fund IV-A, L.P. See All Filings	D/A	2017-07-17 08:57:02 UTC
Amount To Be Raised $2,250,000,000 Associated Brokers / Dealers MERCURY CAPITAL ADVISORS, LLC, ZHE ZHANG, and SABERTIA CAPITAL PARTNERS, S.L. CIK Number 0001660726 Filed Document 0001660726-17-000002 Exclusions or Exemptions 506b Accepted Date 2017-07-17 08:57:02 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
NATIONWIDE PRIVATE PLACEMENT VARIABLE ACCOUNT See All Filings	D/A	2017-07-17 08:54:50 UTC
Amount To Be Raised $31,179,838 Associated Brokers / Dealers Jason Burlie and Dennis Morris CIK Number 0001135856 Filed Document 0001135856-17-000248 Exclusions or Exemptions 506b Accepted Date 2017-07-17 08:54:50 UTC Type of Offering D/A Industry Insurance Principal Place of Business OHIO Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
Anthro Interactive Inc See All Filings	D	2017-07-14 22:01:06 UTC
Amount To Be Raised $3,000,000 Associated Brokers / Dealers N/A CIK Number 0001678356 Filed Document 0001678356-17-000002 Exclusions or Exemptions 506b Accepted Date 2017-07-14 22:01:06 UTC Type of Offering D Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
BFG POCONO DST See All Filings	D	2017-07-14 21:42:22 UTC
Amount To Be Raised $7,725,000 Associated Brokers / Dealers ORCHARD SECURITIES, LLC CIK Number 0001711935 Filed Document 0001711935-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-07-14 21:42:22 UTC Type of Offering D Industry Other Real Estate Principal Place of Business FLORIDA Revenue or Assets Decline to Disclose Type of Security Equity
Token, Inc. See All Filings	D	2017-07-14 20:37:52 UTC
Amount To Be Raised $18,674,128 Associated Brokers / Dealers N/A CIK Number 0001711734 Filed Document 0001711734-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-07-14 20:37:52 UTC Type of Offering D Industry Other Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
EB5 UNITED PUERTO RICO FS LP See All Filings	D/A	2017-07-14 19:41:32 UTC
Amount To Be Raised $132,000,000 Associated Brokers / Dealers Trevor Saliba, Cansine, JOHN LEO, CHAO XUE, GLENN DORE, VAUGHAN DE KIRBY, HWAPYUNG D&C, INC., VINCENT CHEN, and WORLDWAY CIK Number 0001612780 Filed Document 0001612780-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-07-14 19:41:32 UTC Type of Offering D/A Industry Other Banking and Financial Services Principal Place of Business WASHINGTON Revenue or Assets $No Revenues Type of Security Equity
DoubleNet Pay, Inc. See All Filings	D	2017-07-14 19:37:54 UTC
Amount To Be Raised $3,939,439 Associated Brokers / Dealers N/A CIK Number 0001712033 Filed Document 0001712033-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-07-14 19:37:54 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
HCP Full Consequence Investing Fund I (Cayman), L.P. See All Filings	D/A	2017-07-14 19:15:20 UTC
Amount To Be Raised $15,750,000 Associated Brokers / Dealers N/A CIK Number 0001698087 Filed Document 0001698087-17-000002 Exclusions or Exemptions 506b Accepted Date 2017-07-14 19:15:20 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
HCP Full Consequence Investing Fund I, L.P. See All Filings	D/A	2017-07-14 19:08:23 UTC
Amount To Be Raised $32,010,000 Associated Brokers / Dealers N/A CIK Number 0001691298 Filed Document 0001691298-17-000002 Exclusions or Exemptions 506b Accepted Date 2017-07-14 19:08:23 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
Smartvid.io, Inc. See All Filings	D	2017-07-14 19:05:21 UTC
Amount To Be Raised $10,665,277 Associated Brokers / Dealers N/A CIK Number 0001649444 Filed Document 0001649444-17-000002 Exclusions or Exemptions 506b Accepted Date 2017-07-14 19:05:21 UTC Type of Offering D Industry Other Technology Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
CloudEngage, Inc. See All Filings	D	2017-07-14 19:04:02 UTC
Amount To Be Raised $2,493,032 Associated Brokers / Dealers N/A CIK Number 0001586416 Filed Document 0001586416-17-000003 Exclusions or Exemptions 506b Accepted Date 2017-07-14 19:04:02 UTC Type of Offering D Industry Other Technology Principal Place of Business OREGON Revenue or Assets Decline to Disclose Type of Security Equity
EH Investment Fund, L.P. See All Filings	D/A	2017-07-14 19:01:59 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001679999 Filed Document 0001679999-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-07-14 19:01:59 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
HCP SPO II Investors, L.P. See All Filings	D/A	2017-07-14 18:54:52 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001529810 Filed Document 0001529810-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-07-14 18:54:52 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
HCP China Capital Appreciation Fund, L.P. See All Filings	D/A	2017-07-14 18:49:52 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001591754 Filed Document 0001591754-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-07-14 18:49:52 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
HCP SPECIAL OPPORTUNITIES OFFSHORE FEEDER FUND L P See All Filings	D/A	2017-07-14 18:42:38 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001387848 Filed Document 0001387848-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-07-14 18:42:38 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
Landmark Real Estate Partners VIII-A, L.P. See All Filings	D	2017-07-14 18:40:52 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001711869 Filed Document 0001711869-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-07-14 18:40:52 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Equity
Broadway Redevelopment Partners, LLC See All Filings	D	2017-07-14 18:36:02 UTC
Amount To Be Raised $3,300,000 Associated Brokers / Dealers N/A CIK Number 0001711488 Filed Document 0001711488-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-07-14 18:36:02 UTC Type of Offering D Industry Commercial Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Debt
HCP SPECIAL OPPORTUNITIES FUND L P See All Filings	D/A	2017-07-14 18:35:53 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001387845 Filed Document 0001458536-17-000002 Exclusions or Exemptions 506b Accepted Date 2017-07-14 18:35:53 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
HCP GLOBAL INVESTMENT FUND A LP See All Filings	D/A	2017-07-14 18:27:42 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001458536 Filed Document 0001458536-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-07-14 18:27:42 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
Double Clef Management LLC See All Filings	D	2017-07-14 18:15:30 UTC
Amount To Be Raised $125,000 Associated Brokers / Dealers N/A CIK Number 0001711978 Filed Document 0001711978-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-07-14 18:15:30 UTC Type of Offering D Industry Business Services Principal Place of Business CALIFORNIA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
HCP GLOBAL INVESTMENT FUND LP See All Filings	D/A	2017-07-14 18:02:51 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001458524 Filed Document 0001458524-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-07-14 18:02:51 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
Node Inc. See All Filings	D	2017-07-14 17:57:54 UTC
Amount To Be Raised $14,287,968 Associated Brokers / Dealers N/A CIK Number 0001661282 Filed Document 0001661282-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-07-14 17:57:54 UTC Type of Offering D Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Dynasty Acquisition Vehicle, L.P. See All Filings	D	2017-07-14 17:54:28 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001711877 Filed Document 0001711877-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-07-14 17:54:28 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Equity
Fish Creek Capital LP See All Filings	D	2017-07-14 17:54:03 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001712032 Filed Document 0001712032-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-07-14 17:54:03 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business ALABAMA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
TSUNAMI VR, INC. See All Filings	D	2017-07-14 17:45:43 UTC
Amount To Be Raised $7,533,333 Associated Brokers / Dealers N/A CIK Number 0001691965 Filed Document 0001691965-17-000006 Exclusions or Exemptions 506b Accepted Date 2017-07-14 17:45:43 UTC Type of Offering D Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
HCP ABSOLUTE RETURN FUND OFFSHORE FEEDER AI LP See All Filings	D/A	2017-07-14 17:40:17 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001300115 Filed Document 0001300115-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-07-14 17:40:17 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
BRADENTON RESERVE, LLC See All Filings	D	2017-07-14 17:39:09 UTC
Amount To Be Raised $14,000,000 Associated Brokers / Dealers N/A CIK Number 0001710575 Filed Document 0001710575-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-07-14 17:39:09 UTC Type of Offering D Industry Residential Principal Place of Business NEVADA Revenue or Assets Decline to Disclose Type of Security Equity
JOE CHOCOLATES Co See All Filings	D	2017-07-14 17:39:09 UTC
Amount To Be Raised $205,000 Associated Brokers / Dealers N/A CIK Number 0001711307 Filed Document 0001711307-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-07-14 17:39:09 UTC Type of Offering D Industry Other Principal Place of Business WASHINGTON Revenue or Assets Decline to Disclose Type of Security Equity
RMC-H Street, LLC See All Filings	D	2017-07-14 17:34:20 UTC
Amount To Be Raised $15,000,000 Associated Brokers / Dealers N/A CIK Number 0001711971 Filed Document 0001711971-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-07-14 17:34:20 UTC Type of Offering D Industry Commercial Principal Place of Business VIRGINIA Revenue or Assets Decline to Disclose Type of Security Equity
GLOBAL HEALTHCARE REIT, INC. See All Filings	D	2017-07-14 17:32:35 UTC
Amount To Be Raised $1,725,000 Associated Brokers / Dealers N/A CIK Number 0000727346 Filed Document 0001011034-17-000068 Exclusions or Exemptions 506b Accepted Date 2017-07-14 17:32:35 UTC Type of Offering D Industry REITS and Finance Principal Place of Business COLORADO Revenue or Assets Decline to Disclose Type of Security Debt
Hilltop Outparcel, LLC See All Filings	D	2017-07-14 17:30:35 UTC
Amount To Be Raised $349,576 Associated Brokers / Dealers N/A CIK Number 0001711957 Filed Document 0001711957-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-07-14 17:30:35 UTC Type of Offering D Industry Commercial Principal Place of Business VIRGINIA Revenue or Assets Decline to Disclose Type of Security Equity
Russian River Partners, LLC See All Filings	D/A	2017-07-14 17:29:30 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001613338 Filed Document 0001013594-17-000478 Exclusions or Exemptions 506b Accepted Date 2017-07-14 17:29:30 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
Trocafone, Inc. See All Filings	D	2017-07-14 17:29:15 UTC
Amount To Be Raised $17,416,000 Associated Brokers / Dealers N/A CIK Number 0001672642 Filed Document 0001672642-17-000003 Exclusions or Exemptions 506b Accepted Date 2017-07-14 17:29:15 UTC Type of Offering D Industry Other Technology Principal Place of Business ARGENTINA Revenue or Assets Decline to Disclose Type of Security Equity
Hilltop Plaza Holdings, LLC See All Filings	D	2017-07-14 17:25:38 UTC
Amount To Be Raised $13,400,424 Associated Brokers / Dealers N/A CIK Number 0001711945 Filed Document 0001711945-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-07-14 17:25:38 UTC Type of Offering D Industry Commercial Principal Place of Business VIRGINIA Revenue or Assets Decline to Disclose Type of Security Equity
CAZ Co-Investment Opportunities Fund, L.P. - Vista Portfolio See All Filings	D	2017-07-14 17:24:58 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001709416 Filed Document 0001709416-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-07-14 17:24:58 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
BLUE SEA CAPITAL EXECUTIVE FUND I LP See All Filings	D/A	2017-07-14 17:24:11 UTC
Amount To Be Raised $5,900,000 Associated Brokers / Dealers N/A CIK Number 0001603091 Filed Document 0001603091-17-000003 Exclusions or Exemptions 506b Accepted Date 2017-07-14 17:24:11 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business FLORIDA Revenue or Assets Decline to Disclose Type of Security Equity
HCP ABSOLUTE RETURN FUND OFFSHORE FEEDER LP See All Filings	D/A	2017-07-14 17:23:15 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001300117 Filed Document 0001300117-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-07-14 17:23:15 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
Global Asset Backed Opportunities (Cayman) LP See All Filings	D/A	2017-07-14 17:21:16 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Morgan Stanley Smith Barney LLC CIK Number 0001619698 Filed Document 0000945621-17-000318 Exclusions or Exemptions 506b Accepted Date 2017-07-14 17:21:16 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
Precipio, Inc. See All Filings	D	2017-07-14 17:21:10 UTC
Amount To Be Raised $399,997 Associated Brokers / Dealers N/A CIK Number 0001043961 Filed Document 0001043961-17-000014 Exclusions or Exemptions 506b Accepted Date 2017-07-14 17:21:10 UTC Type of Offering D Industry Biotechnology Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Equity
Precipio, Inc. See All Filings	D	2017-07-14 17:20:30 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001043961 Filed Document 0001043961-17-000013 Exclusions or Exemptions 506b Accepted Date 2017-07-14 17:20:30 UTC Type of Offering D Industry Biotechnology Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Equity
Global Asset Backed Opportunities LP See All Filings	D/A	2017-07-14 17:20:02 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Morgan Stanley Smith Barney LLC CIK Number 0001600087 Filed Document 0000945621-17-000317 Exclusions or Exemptions 506b Accepted Date 2017-07-14 17:20:02 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