Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
Belvedere Royalties LLC See All Filings	D	2018-11-13 10:37:57 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001758178 Filed Document 0001758178-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-11-13 10:37:57 UTC Type of Offering D Industry Oil and Gas Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
Sands Capital Ventures Fund-SLK, L.P. See All Filings	D	2018-11-13 10:37:52 UTC
Amount To Be Raised $4,482,998 Associated Brokers / Dealers N/A CIK Number 0001758525 Filed Document 0001758525-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-11-13 10:37:52 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business VIRGINIA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
AG Direct Lending Fund II, L.P. See All Filings	D/A	2018-11-13 10:36:44 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001679885 Filed Document 0001679885-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-11-13 10:36:44 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
Lord Abbett International Small Cap Trust See All Filings	D/A	2018-11-13 10:35:30 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers n/a CIK Number 0001624087 Filed Document 0001624087-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-11-13 10:35:30 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
CALEDONIA CO-INVEST OFFSHORE FUND LP See All Filings	D	2018-11-13 10:33:48 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001758726 Filed Document 0000919574-18-007088 Exclusions or Exemptions 506b Accepted Date 2018-11-13 10:33:48 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
Vintage Healthcare Opportunity Fund II Offshore SICAV-RAIF S.C.Sp. See All Filings	D	2018-11-13 10:25:07 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001757877 Filed Document 0001012975-18-001204 Exclusions or Exemptions 506b Accepted Date 2018-11-13 10:25:07 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business LUXEMBOURG Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
ROOT, INC. See All Filings	D	2018-11-13 10:22:58 UTC
Amount To Be Raised $99,999,991 Associated Brokers / Dealers N/A CIK Number 0001637429 Filed Document 0000897069-18-000602 Exclusions or Exemptions 506b Accepted Date 2018-11-13 10:22:58 UTC Type of Offering D Industry Insurance Principal Place of Business OHIO Revenue or Assets Decline to Disclose Type of Security Equity
Vintage Healthcare Opportunity Fund II, LLC See All Filings	D	2018-11-13 10:21:37 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001757858 Filed Document 0001757858-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-11-13 10:21:37 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
SouthStar Financial LLC See All Filings	D/A	2018-11-13 10:21:34 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001721683 Filed Document 0001721683-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-11-13 10:21:34 UTC Type of Offering D/A Industry Other Banking and Financial Services Principal Place of Business SOUTH CAROLINA Revenue or Assets Decline to Disclose Type of Security Debt
Hartford Funds Management Group, Inc. See All Filings	D/A	2018-11-13 10:19:09 UTC
Amount To Be Raised $230,000,000 Associated Brokers / Dealers N/A CIK Number 0001586998 Filed Document 0001586998-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-11-13 10:19:09 UTC Type of Offering D/A Industry Other Banking and Financial Services Principal Place of Business PENNSYLVANIA Revenue or Assets Decline to Disclose Type of Security Equity
CG Apartments, LLC, a Florida Ltd liability Co See All Filings	D	2018-11-13 10:18:17 UTC
Amount To Be Raised $700,000 Associated Brokers / Dealers n/a CIK Number 0001758810 Filed Document 0001758810-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-11-13 10:18:17 UTC Type of Offering D Industry Residential Principal Place of Business CALIFORNIA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Artemis Fund III REIT, LLC See All Filings	D	2018-11-13 10:13:42 UTC
Amount To Be Raised $125,000 Associated Brokers / Dealers Charles Harrison, Lori Mayfield, Patrick Whelchel, and Scott Harrison CIK Number 0001758751 Filed Document 0001758751-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-11-13 10:13:42 UTC Type of Offering D Industry REITS and Finance Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Equity
ENGINEERED PROPULSION SYSTEMS, INC. See All Filings	D	2018-11-13 10:12:26 UTC
Amount To Be Raised $13,000,000 Associated Brokers / Dealers N/A CIK Number 0001507128 Filed Document 0001507128-18-000016 Exclusions or Exemptions 506c Accepted Date 2018-11-13 10:12:26 UTC Type of Offering D Industry Manufacturing Principal Place of Business WISCONSIN Revenue or Assets $$1,000,001 - $5,000,000 Type of Security Equity
Wellington Focused Asia Equity, L.P. See All Filings	D	2018-11-13 10:11:06 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Wellington Management Advisers, Inc. CIK Number 0001757999 Filed Document 0000919574-18-007080 Exclusions or Exemptions 506b Accepted Date 2018-11-13 10:11:06 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
Dialectic Therapeutics, Inc. See All Filings	D	2018-11-13 10:04:41 UTC
Amount To Be Raised $7,000,000 Associated Brokers / Dealers N/A CIK Number 0001750926 Filed Document 0001750926-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-11-13 10:04:41 UTC Type of Offering D Industry Biotechnology Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Equity
ROCK RIVER CAPITAL PARTNERS FUND I, LP See All Filings	D/A	2018-11-13 10:03:57 UTC
Amount To Be Raised $23,475,000 Associated Brokers / Dealers N/A CIK Number 0001700605 Filed Document 0001700605-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-11-13 10:03:57 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business WISCONSIN Revenue or Assets Decline to Disclose Type of Security Equity
Elementum Directus Onshore Fund LP See All Filings	D/A	2018-11-13 10:02:04 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001551983 Filed Document 0001315863-18-000853 Exclusions or Exemptions 506b Accepted Date 2018-11-13 10:02:04 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
Elementum NatCat Onshore Fund LP See All Filings	D/A	2018-11-13 10:01:06 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001364820 Filed Document 0001315863-18-000852 Exclusions or Exemptions 506b Accepted Date 2018-11-13 10:01:06 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
Federated International Funds plc See All Filings	D/A	2018-11-13 10:01:03 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers FIS Global Execution Services Limited and State Street Global Markets International Ltd. CIK Number 0001462922 Filed Document 0001623632-18-001472 Exclusions or Exemptions 506c Accepted Date 2018-11-13 10:01:03 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business IRELAND Revenue or Assets $Over $100,000,000 Type of Security Pooled Investment Fund
Federated Short-Term Sterling Prime Fund, a portfolio of Federated Cash Management Funds See All Filings	D/A	2018-11-13 10:00:31 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001621629 Filed Document 0001623632-18-001471 Exclusions or Exemptions 506c Accepted Date 2018-11-13 10:00:31 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
South Side Shares, LLC See All Filings	C	2018-11-13 09:50:50 UTC
Financial Interest None Filing Platform NSSC Funding Portal, LLC Offering Amount $100,000 CIK Number 0001753666 Filed Document 0001753666-18-000001 Accepted Date 2018-11-13 09:50:50 UTC Type of Offering C Security Offered Amount 1,000 Security Offered Type Preferred Stock State ILLINOIS
Stationhead, Inc. See All Filings	D	2018-11-13 09:47:17 UTC
Amount To Be Raised $6,009,950 Associated Brokers / Dealers N/A CIK Number 0001758354 Filed Document 0001758354-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-11-13 09:47:17 UTC Type of Offering D Industry Other Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
Arvegenix, Inc. See All Filings	D	2018-11-13 09:45:45 UTC
Amount To Be Raised $2,000,000 Associated Brokers / Dealers N/A CIK Number 0001642884 Filed Document 0001642884-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-11-13 09:45:45 UTC Type of Offering D Industry Agriculture Principal Place of Business MISSOURI Revenue or Assets $No Revenues Type of Security Equity
CP Nexus Sidecar I, LLC See All Filings	D	2018-11-13 09:45:27 UTC
Amount To Be Raised $3,000,000 Associated Brokers / Dealers N/A CIK Number 0001757962 Filed Document 0001014100-18-000059 Exclusions or Exemptions 506b Accepted Date 2018-11-13 09:45:27 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Equity
Special Opportunities Fund VII, L.P. See All Filings	D	2018-11-13 09:43:01 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001758706 Filed Document 0000950142-18-002188 Exclusions or Exemptions 506b Accepted Date 2018-11-13 09:43:01 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
Jennison Emerging Markets Equity Fund of the Prudential Trust Co Institutional Business Trust See All Filings	D/A	2018-11-13 09:42:43 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Prudential Investment Management Services LLC CIK Number 0001722263 Filed Document 0001757232-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-11-13 09:42:43 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business PENNSYLVANIA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
ACI V REIT, LLC See All Filings	D	2018-11-13 09:33:50 UTC
Amount To Be Raised $125,000 Associated Brokers / Dealers Charles Harrison, Lori Mayfield, Patrick Whelchel, and Scott Harrison CIK Number 0001758483 Filed Document 0001758483-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-11-13 09:33:50 UTC Type of Offering D Industry REITS and Finance Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
Western Alternative Strategies, L.P. - Real Estate IV Series See All Filings	D/A	2018-11-13 09:32:33 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001722178 Filed Document 0001315863-18-000851 Exclusions or Exemptions 506b Accepted Date 2018-11-13 09:32:33 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
GRUNT STYLE, LLC See All Filings	D	2018-11-13 09:27:40 UTC
Amount To Be Raised $3,000,000 Associated Brokers / Dealers N/A CIK Number 0001758299 Filed Document 0001758299-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-11-13 09:27:40 UTC Type of Offering D Industry Retailing Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Debt
Black Point Seafood, LLC See All Filings	D	2018-11-13 09:24:05 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers SI Securities, LLC CIK Number 0001684004 Filed Document 0001684004-18-000003 Exclusions or Exemptions 506c Accepted Date 2018-11-13 09:24:05 UTC Type of Offering D Industry Retailing Principal Place of Business MAINE Revenue or Assets Decline to Disclose Type of Security Equity
AMP IV L.P. See All Filings	D/A	2018-11-13 09:21:06 UTC
Amount To Be Raised $78,434,410 Associated Brokers / Dealers Sean S. Plummer and Old City Securities LLC CIK Number 0001725662 Filed Document 0001725662-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-11-13 09:21:06 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business PENNSYLVANIA Revenue or Assets Decline to Disclose Type of Security Equity
Swift Biosciences, Inc. See All Filings	D	2018-11-13 08:59:23 UTC
Amount To Be Raised $7,000,000 Associated Brokers / Dealers N/A CIK Number 0001496185 Filed Document 0001496185-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-11-13 08:59:23 UTC Type of Offering D Industry Other Health Care Principal Place of Business MICHIGAN Revenue or Assets Decline to Disclose Type of Security Equity
POLAR CAPITAL FUNDS PUBLIC LTD CO See All Filings	D/A	2018-11-13 08:50:06 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001170710 Filed Document 0000902664-18-004053 Exclusions or Exemptions 506b Accepted Date 2018-11-13 08:50:06 UTC Type of Offering D/A Industry Other Banking and Financial Services Principal Place of Business IRELAND Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
Pulmac Systems International, Inc. See All Filings	D	2018-11-13 08:16:32 UTC
Amount To Be Raised $85,000 Associated Brokers / Dealers N/A CIK Number 0001758508 Filed Document 0001758508-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-11-13 08:16:32 UTC Type of Offering D Industry Manufacturing Principal Place of Business VERMONT Revenue or Assets Decline to Disclose Type of Security Debt
Nolen Lake Partners, LLC See All Filings	D	2018-11-13 08:02:20 UTC
Amount To Be Raised $6,700,000 Associated Brokers / Dealers N/A CIK Number 0001754137 Filed Document 0001754137-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-11-13 08:02:20 UTC Type of Offering D Industry Other Real Estate Principal Place of Business ALABAMA Revenue or Assets Decline to Disclose Type of Security Equity
CHINA RECYCLING ENERGY CORP See All Filings	D	2018-11-13 08:00:42 UTC
Amount To Be Raised $3,233,203 Associated Brokers / Dealers H.C. Wainwright & Co., LLC CIK Number 0000721693 Filed Document 0001213900-18-015370 Exclusions or Exemptions 506b Accepted Date 2018-11-13 08:00:42 UTC Type of Offering D Industry Other Energy Principal Place of Business CHINA Revenue or Assets Decline to Disclose Type of Security Option To Acquire
Lido Cap & Cushion Fund, LP See All Filings	D/A	2018-11-13 07:09:39 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001684297 Filed Document 0001144204-18-058966 Exclusions or Exemptions 506b Accepted Date 2018-11-13 07:09:39 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CALIFORNIA Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
Lido Cap & Cushion Fund (Institutional) LP See All Filings	D/A	2018-11-13 07:05:32 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001706840 Filed Document 0001144204-18-058964 Exclusions or Exemptions 506b Accepted Date 2018-11-13 07:05:32 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
Westfield Fund LP See All Filings	D/A	2018-11-13 06:55:46 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001721519 Filed Document 0001144204-18-058946 Exclusions or Exemptions 506b Accepted Date 2018-11-13 06:55:46 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
3:10 Capital WPF IV, LLC See All Filings	D	2018-11-13 06:51:58 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001758234 Filed Document 0001654954-18-012379 Exclusions or Exemptions 506b Accepted Date 2018-11-13 06:51:58 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Smart Yields, Inc. See All Filings	D	2018-11-13 06:33:42 UTC
Amount To Be Raised $800,000 Associated Brokers / Dealers N/A CIK Number 0001758696 Filed Document 0001758696-18-000004 Exclusions or Exemptions 506b Accepted Date 2018-11-13 06:33:42 UTC Type of Offering D Industry Other Technology Principal Place of Business HAWAII Revenue or Assets Decline to Disclose Type of Security Debt
Smart Yields, Inc. See All Filings	D	2018-11-13 06:29:40 UTC
Amount To Be Raised $110,000 Associated Brokers / Dealers N/A CIK Number 0001758696 Filed Document 0001758696-18-000003 Exclusions or Exemptions 506b Accepted Date 2018-11-13 06:29:40 UTC Type of Offering D Industry Other Technology Principal Place of Business HAWAII Revenue or Assets Decline to Disclose Type of Security Debt
Smart Yields, Inc. See All Filings	D	2018-11-13 06:23:05 UTC
Amount To Be Raised $100,000 Associated Brokers / Dealers N/A CIK Number 0001758696 Filed Document 0001758696-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-11-13 06:23:05 UTC Type of Offering D Industry Other Technology Principal Place of Business HAWAII Revenue or Assets Decline to Disclose Type of Security Debt
GROUNDFLOOR FINANCE INC. See All Filings	1-A POS	2018-11-13 06:21:49 UTC
Amount To Be Raised $1,879,680 Associated Brokers / Dealers N/A CIK Number 0001588504 Filed Document 0001144204-18-058911 Accepted Date 2018-11-13 06:21:49 UTC Type of Offering 1-A POS Industry FINANCE SERVICES Offering Tier Tier2 Principal Place of Business GEORGIA Revenue or Assets $804,936 State of Jurisdiction GEORGIA Type of Security Other(describe)
Smart Yields, Inc. See All Filings	D	2018-11-13 06:15:55 UTC
Amount To Be Raised $348,500 Associated Brokers / Dealers N/A CIK Number 0001758696 Filed Document 0001758696-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-11-13 06:15:55 UTC Type of Offering D Industry Other Technology Principal Place of Business HAWAII Revenue or Assets Decline to Disclose Type of Security Debt
Cary Rx Inc See All Filings	C	2018-11-09 21:19:08 UTC
Financial Interest Securities equal to 2.0% of the securities sold will be issued to the intermediary upon a successful fundraise. Filing Platform Wefunder Portal LLC Offering Amount $1,070,000 CIK Number 0001757903 Filed Document 0001670254-18-000536 Accepted Date 2018-11-09 21:19:08 UTC Type of Offering C Security Offered Amount 100,000 Security Offered Type Other State DISTRICT OF COLUMBIA
The Pinball Company LLC See All Filings	C	2018-11-09 20:58:27 UTC
Financial Interest Securities equal to 2.0% of the securities sold will be issued to the intermediary upon a successful fundraise. Filing Platform Wefunder Portal LLC Offering Amount $1,000,000 CIK Number 0001757811 Filed Document 0001670254-18-000533 Accepted Date 2018-11-09 20:58:27 UTC Type of Offering C Security Offered Amount 500,000 Security Offered Type Other State MISSOURI
Green Truck IX Limited Partnership See All Filings	D	2018-11-09 20:03:35 UTC
Amount To Be Raised $5,500,000 Associated Brokers / Dealers N/A CIK Number 0001756564 Filed Document 0001756564-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-11-09 20:03:35 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business WASHINGTON Revenue or Assets $$1,000,001 - $5,000,000 Type of Security Equity
SyncOnSet Technologies, Inc. See All Filings	D	2018-11-09 19:28:41 UTC
Amount To Be Raised $1,250,000 Associated Brokers / Dealers N/A CIK Number 0001594814 Filed Document 0001594814-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-11-09 19:28:41 UTC Type of Offering D Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
Rock Paper Coin, Inc. See All Filings	D	2018-11-09 19:07:09 UTC
Amount To Be Raised $175,000 Associated Brokers / Dealers N/A CIK Number 0001758498 Filed Document 0001758498-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-11-09 19:07:09 UTC Type of Offering D Industry Other Principal Place of Business OREGON Revenue or Assets Decline to Disclose Type of Security Equity