Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
Persona Network, Inc. See All Filings	C/A	2019-02-15 12:20:03 UTC
Financial Interest N/A Filing Platform StartEngine Capital, LLC Offering Amount $106,950 CIK Number 0001759332 Filed Document 0001665160-19-000194 Accepted Date 2019-02-15 12:20:03 UTC Type of Offering C/A Security Offered Amount 133 Security Offered Type Common Stock State CALIFORNIA
Inlet Point Special Opportunities Fund, LLC See All Filings	D/A	2019-02-15 12:19:20 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001653670 Filed Document 0001653670-19-000002 Exclusions or Exemptions 506b Accepted Date 2019-02-15 12:19:20 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
Banner Oak Multifamily Enhanced Core Venture, LP See All Filings	D	2019-02-15 12:18:50 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001767323 Filed Document 0001767323-19-000001 Exclusions or Exemptions 506b Accepted Date 2019-02-15 12:18:50 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
U.S. Real Estate QOZ Partners 1, LP See All Filings	D	2019-02-15 12:17:23 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001768063 Filed Document 0001567619-19-004595 Exclusions or Exemptions 506b Accepted Date 2019-02-15 12:17:23 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
Mesirow MRP Fund, Ltd. See All Filings	D/A	2019-02-15 12:15:56 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001745499 Filed Document 0001745499-19-000001 Exclusions or Exemptions 506b Accepted Date 2019-02-15 12:15:56 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
LHP Strategic Alpha Fund, LLC See All Filings	D/A	2019-02-15 12:15:06 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001657171 Filed Document 0001657171-19-000001 Exclusions or Exemptions 506b Accepted Date 2019-02-15 12:15:06 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
Lighthouse Asian Compass Series, A Series of Lighthouse Strategies Fund, LLC See All Filings	D/A	2019-02-15 12:13:47 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Atlantic Trust Company and SunTrust Banks, Inc. CIK Number 0001522454 Filed Document 0001522454-19-000001 Exclusions or Exemptions 506b Accepted Date 2019-02-15 12:13:47 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
Mesirow TSRHC Fund, Ltd. See All Filings	D/A	2019-02-15 12:11:46 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001745498 Filed Document 0001745498-19-000001 Exclusions or Exemptions 506b Accepted Date 2019-02-15 12:11:46 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
INVESTABLE EMERGING MARKETS COUNTRY FUND See All Filings	D/A	2019-02-15 12:08:48 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers North Bridge Capital LLC CIK Number 0001019369 Filed Document 0001019369-19-000001 Exclusions or Exemptions 506b Accepted Date 2019-02-15 12:08:48 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business DELAWARE Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Inlet Point Special Opportunities Offshore Fund Ltd. See All Filings	D/A	2019-02-15 12:08:27 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001689298 Filed Document 0001456071-19-000001 Exclusions or Exemptions 506b Accepted Date 2019-02-15 12:08:27 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
Mesirow East Burton Fund, Ltd. See All Filings	D/A	2019-02-15 12:08:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001745502 Filed Document 0001745502-19-000001 Exclusions or Exemptions 506b Accepted Date 2019-02-15 12:08:00 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
Noble Mineral Exploration Inc. See All Filings	D	2019-02-15 12:06:43 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001254742 Filed Document 0001654954-19-001635 Exclusions or Exemptions 506b Accepted Date 2019-02-15 12:06:43 UTC Type of Offering D Industry Other Principal Place of Business ONTARIO, CANADA Revenue or Assets $No Revenues Type of Security Equity
LIGHTHOUSE AGGRESSIVE GROWTH FUND LP See All Filings	D/A	2019-02-15 12:05:54 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Atlantic Trust Company and SunTrust Banks, Inc. CIK Number 0001157733 Filed Document 0001157733-19-000001 Exclusions or Exemptions 506b Accepted Date 2019-02-15 12:05:54 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
Delegate Lighthouse Select Fund, LLC See All Filings	D/A	2019-02-15 12:03:30 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Atlantic Trust Company and SunTrust Banks, Inc. CIK Number 0001555883 Filed Document 0001679708-19-000002 Exclusions or Exemptions 506b Accepted Date 2019-02-15 12:03:30 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
Mesirow Institutional Multi-Strategy Offshore Fund, Ltd. See All Filings	D/A	2019-02-15 12:01:15 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Merrill Lynch, Pierce, Fenner & Smith Incorporated CIK Number 0001508448 Filed Document 0001508448-19-000002 Exclusions or Exemptions 506b Accepted Date 2019-02-15 12:01:15 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
Modify Health LLC See All Filings	D/A	2019-02-15 11:58:37 UTC
Amount To Be Raised $2,000,000 Associated Brokers / Dealers N/A CIK Number 0001744101 Filed Document 0001744101-19-000003 Exclusions or Exemptions 506b Accepted Date 2019-02-15 11:58:37 UTC Type of Offering D/A Industry Other Health Care Principal Place of Business GEORGIA Revenue or Assets Decline to Disclose Type of Security Equity
Taurus CD 200 Orlando Residential I LP See All Filings	D/A	2019-02-15 11:58:14 UTC
Amount To Be Raised $18,000,000 Associated Brokers / Dealers T Capital Funding LLC, Robert Clifford, Alexander Jeffers, and OCP Capital, LLC CIK Number 0001755238 Filed Document 0001755238-19-000001 Exclusions or Exemptions 506b Accepted Date 2019-02-15 11:58:14 UTC Type of Offering D/A Industry Commercial Principal Place of Business FLORIDA Revenue or Assets Decline to Disclose Type of Security Equity
Phoenix LHF Ltd. See All Filings	D/A	2019-02-15 11:56:26 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001679708 Filed Document 0001679708-19-000001 Exclusions or Exemptions 506b Accepted Date 2019-02-15 11:56:26 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
GSO European Senior Debt Fund II Levered EEA Feeder SCSp See All Filings	D	2019-02-15 11:53:28 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001766349 Filed Document 0001766349-19-000002 Exclusions or Exemptions 506b Accepted Date 2019-02-15 11:53:28 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
TriBuild Inc. See All Filings	D	2019-02-15 11:53:10 UTC
Amount To Be Raised $3,000,000 Associated Brokers / Dealers HCFP/Capital Markets LLC CIK Number 0001768204 Filed Document 0001768204-19-000001 Exclusions or Exemptions 506b Accepted Date 2019-02-15 11:53:10 UTC Type of Offering D Industry Other Technology Principal Place of Business COLORADO Revenue or Assets Decline to Disclose Type of Security Equity
Juhl Clean Energy Assets, Inc. See All Filings	D/A	2019-02-15 11:46:22 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers n/a CIK Number 0001723412 Filed Document 0001723412-19-000001 Exclusions or Exemptions 506b Accepted Date 2019-02-15 11:46:22 UTC Type of Offering D/A Industry Other Energy Principal Place of Business MINNESOTA Revenue or Assets Decline to Disclose Type of Security Equity
GSO European Senior Debt Fund II Levered EEA SCSp See All Filings	D	2019-02-15 11:46:18 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001766359 Filed Document 0001766387-19-000003 Exclusions or Exemptions 506b Accepted Date 2019-02-15 11:46:18 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
Harlow Apt Venture, LLC See All Filings	D	2019-02-15 11:42:50 UTC
Amount To Be Raised $4,380,000 Associated Brokers / Dealers N/A CIK Number 0001768182 Filed Document 0001768182-19-000001 Exclusions or Exemptions 506b Accepted Date 2019-02-15 11:42:50 UTC Type of Offering D Industry Commercial Principal Place of Business CALIFORNIA Revenue or Assets $No Revenues Type of Security Equity
GSO European Senior Debt Fund II EEA Feeder SCSp See All Filings	D	2019-02-15 11:40:49 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Altamar Global Investments, AV CIK Number 0001766387 Filed Document 0001766387-19-000002 Exclusions or Exemptions 506b Accepted Date 2019-02-15 11:40:49 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
GSO European Senior Debt Fund II EEA SCSp See All Filings	D	2019-02-15 11:33:18 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Altamar Global Investments, AV CIK Number 0001766391 Filed Document 0001766391-19-000002 Exclusions or Exemptions 506b Accepted Date 2019-02-15 11:33:18 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
Diesel Co-Investment L.P. See All Filings	D/A	2019-02-15 11:30:59 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001731947 Filed Document 0001731947-19-000002 Exclusions or Exemptions 506b Accepted Date 2019-02-15 11:30:59 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
China Core Fund Feeder 2 See All Filings	D	2019-02-15 11:30:20 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001766203 Filed Document 0000943663-19-000049 Exclusions or Exemptions 506b Accepted Date 2019-02-15 11:30:20 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
GSO European Senior Debt Feeder Fund II LP See All Filings	D	2019-02-15 11:27:35 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001766360 Filed Document 0001766360-19-000001 Exclusions or Exemptions 506b Accepted Date 2019-02-15 11:27:35 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
MERGANSER INTERMEDIATE TERM BOND FUND II LLC See All Filings	D/A	2019-02-15 11:23:40 UTC
Amount To Be Raised $1,000,000,000 Associated Brokers / Dealers N/A CIK Number 0001634405 Filed Document 0001634405-19-000001 Exclusions or Exemptions 506b Accepted Date 2019-02-15 11:23:40 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Brilliant US Feeder 1 Fund Ltd. See All Filings	D	2019-02-15 11:17:59 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001763564 Filed Document 0000943663-19-000048 Exclusions or Exemptions 506b Accepted Date 2019-02-15 11:17:59 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
Merganser Core Bond Fund II LLC See All Filings	D/A	2019-02-15 11:17:35 UTC
Amount To Be Raised $1,000,000,000 Associated Brokers / Dealers N/A CIK Number 0001672658 Filed Document 0001672658-19-000001 Exclusions or Exemptions 506b Accepted Date 2019-02-15 11:17:35 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
NATIONWIDE PRIVATE PLACEMENT VARIABLE ACCOUNT 2 See All Filings	D/A	2019-02-15 11:16:39 UTC
Amount To Be Raised $172,636,514 Associated Brokers / Dealers Jerry David Tanner and Dan Boyd Roberts CIK Number 0001213556 Filed Document 0001213556-19-000001 Exclusions or Exemptions 506b Accepted Date 2019-02-15 11:16:39 UTC Type of Offering D/A Industry Insurance Principal Place of Business OHIO Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
SIRE DISCOVERY GROUP L P See All Filings	D/A	2019-02-15 11:16:36 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0000917900 Filed Document 0000919574-19-001827 Exclusions or Exemptions 506b Accepted Date 2019-02-15 11:16:36 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
GSO European Senior Debt Fund II LP See All Filings	D	2019-02-15 11:14:32 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001766381 Filed Document 0001766381-19-000001 Exclusions or Exemptions 506b Accepted Date 2019-02-15 11:14:32 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
MERGANSER CORE PLUS BOND FUND LLC See All Filings	D/A	2019-02-15 11:11:21 UTC
Amount To Be Raised $1,000,000,000 Associated Brokers / Dealers N/A CIK Number 0001200289 Filed Document 0001200289-19-000001 Exclusions or Exemptions 506b Accepted Date 2019-02-15 11:11:21 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Health Platforms Group, Inc. See All Filings	D/A	2019-02-15 11:09:52 UTC
Amount To Be Raised $9,500,012 Associated Brokers / Dealers N/A CIK Number 0001716227 Filed Document 0001716227-19-000001 Exclusions or Exemptions 506b Accepted Date 2019-02-15 11:09:52 UTC Type of Offering D/A Industry Other Technology Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
Merganser Floating Rate Bond Fund LLC See All Filings	D/A	2019-02-15 11:05:43 UTC
Amount To Be Raised $1,000,000,000 Associated Brokers / Dealers N/A CIK Number 0001587664 Filed Document 0001587664-19-000001 Exclusions or Exemptions 506b Accepted Date 2019-02-15 11:05:43 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
SCOTT MACON ASSET MANAGEMENT FUND LLC See All Filings	D/A	2019-02-15 11:05:09 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers SCOTT-MACON SECURITIES, INC. CIK Number 0001420713 Filed Document 0001144204-19-008575 Exclusions or Exemptions 506b Accepted Date 2019-02-15 11:05:09 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
SPECBOND INC See All Filings	D	2019-02-15 11:00:42 UTC
Amount To Be Raised $100,000 Associated Brokers / Dealers None CIK Number 0001768203 Filed Document 0001767728-19-000001 Exclusions or Exemptions 506b Accepted Date 2019-02-15 11:00:42 UTC Type of Offering D Industry Manufacturing Principal Place of Business ILLINOIS Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Advanced Aesthetic Technologies, Inc. See All Filings	C/A	2019-02-15 11:00:24 UTC
Financial Interest None. Filing Platform NetCapital Funding Portal Inc. Offering Amount $1,070,000 CIK Number 0001651778 Filed Document 0001669191-19-000054 Accepted Date 2019-02-15 11:00:24 UTC Type of Offering C/A Security Offered Amount 4,000 Security Offered Type Common Stock State MASSACHUSETTS
MERGANSER SHORT TERM BOND FUND LLC See All Filings	D/A	2019-02-15 11:00:07 UTC
Amount To Be Raised $1,000,000,000 Associated Brokers / Dealers N/A CIK Number 0001130724 Filed Document 0001130724-19-000001 Exclusions or Exemptions 506b Accepted Date 2019-02-15 11:00:07 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Trend Discovery SPV I, LLC See All Filings	D/A	2019-02-15 10:51:33 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers NONE CIK Number 0001764463 Filed Document 0001213900-19-002679 Exclusions or Exemptions 506b Accepted Date 2019-02-15 10:51:33 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 Debt
Aclipse Therapeutics LLC See All Filings	D/A	2019-02-15 10:41:50 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001730907 Filed Document 0001730907-19-000002 Exclusions or Exemptions 506b Accepted Date 2019-02-15 10:41:50 UTC Type of Offering D/A Industry Pharmaceuticals Principal Place of Business PENNSYLVANIA Revenue or Assets Decline to Disclose Type of Security Equity
VINTAGE CC SALES INC. See All Filings	D	2019-02-15 10:34:36 UTC
Amount To Be Raised $5,010,000 Associated Brokers / Dealers N/A CIK Number 0001768098 Filed Document 0001768098-19-000001 Exclusions or Exemptions 506b Accepted Date 2019-02-15 10:34:36 UTC Type of Offering D Industry Other Real Estate Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Voyager Global Master Fund, L.P. See All Filings	D/A	2019-02-15 10:23:34 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Synthesis, GS Capital Management LLC, Frontier Solutions, and UBS Financial CIK Number 0001259373 Filed Document 0000919574-19-001825 Exclusions or Exemptions 506b Accepted Date 2019-02-15 10:23:34 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
Greenhouse Overseas Fund Ltd. See All Filings	D/A	2019-02-15 10:20:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Robert W. Baird& Co. Incorporated CIK Number 0001591028 Filed Document 0001315863-19-000203 Exclusions or Exemptions 506b Accepted Date 2019-02-15 10:20:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Equity
Egerton Capital Equity Fund See All Filings	D/A	2019-02-15 10:18:59 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001501224 Filed Document 0000919574-19-001823 Exclusions or Exemptions 506b Accepted Date 2019-02-15 10:18:59 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business IRELAND Revenue or Assets Decline to Disclose Type of Security Equity
Greenhouse Onshore Fund LP See All Filings	D/A	2019-02-15 10:18:28 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Robert W. Baird & Co. Incorporated CIK Number 0001591089 Filed Document 0001315863-19-000202 Exclusions or Exemptions 506b Accepted Date 2019-02-15 10:18:28 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Equity
VOYAGER SPECIALISTS LP See All Filings	D/A	2019-02-15 10:17:56 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001072439 Filed Document 0000919574-19-001821 Exclusions or Exemptions 506b Accepted Date 2019-02-15 10:17:56 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
AEA Mezzanine Fund IV LP See All Filings	D/A	2019-02-15 10:16:36 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Equus Financial Consulting LLC and Trump Securities, LLC CIK Number 0001731270 Filed Document 0001731270-19-000001 Exclusions or Exemptions 506b Accepted Date 2019-02-15 10:16:36 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