Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
WE KENNESAW VILLAS LLC See All Filings	D	2018-04-05 18:20:27 UTC
Amount To Be Raised $7,814,100 Associated Brokers / Dealers Dream Advisors, Nathan Orzel, LCB LLC, and Menachem Gottesman CIK Number 0001736545 Filed Document 0001078782-18-000413 Exclusions or Exemptions 506b Accepted Date 2018-04-05 18:20:27 UTC Type of Offering D Industry Residential Principal Place of Business NEW YORK Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Equity
CRP Nomad LLC See All Filings	D	2018-04-05 18:18:41 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Saxony Securities Inc., MD Global Partners LLC, Wunderlich Securities Inc., Stonehaven LLC, and MMA - Mentor Alternative Advisors LLC CIK Number 0001733623 Filed Document 0001733623-18-000002 Exclusions or Exemptions 506c Accepted Date 2018-04-05 18:18:41 UTC Type of Offering D Industry Other Real Estate Principal Place of Business NEW YORK Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Equity
Almadex Minerals Ltd See All Filings	D	2018-04-05 18:18:06 UTC
Amount To Be Raised $4,699,155 Associated Brokers / Dealers None CIK Number 0001699790 Filed Document 0001171843-18-002563 Exclusions or Exemptions 506b Accepted Date 2018-04-05 18:18:06 UTC Type of Offering D Industry Other Principal Place of Business BRITISH COLUMBIA, CANADA Revenue or Assets Decline to Disclose Type of Security Equity
VALTERRA RESOURCE CORP See All Filings	D	2018-04-05 18:11:47 UTC
Amount To Be Raised $23,809 Associated Brokers / Dealers N/A CIK Number 0001422669 Filed Document 0001422669-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-05 18:11:47 UTC Type of Offering D Industry Other Principal Place of Business BRITISH COLUMBIA, CANADA Revenue or Assets $No Revenues Type of Security Equity
WE KENNESAW LLC See All Filings	D	2018-04-05 17:57:26 UTC
Amount To Be Raised $10,485,900 Associated Brokers / Dealers Dream Advisors, Nathan Orzel, LCB LLC, and Menachem Gottesman CIK Number 0001736542 Filed Document 0001078782-18-000412 Exclusions or Exemptions 506b Accepted Date 2018-04-05 17:57:26 UTC Type of Offering D Industry Residential Principal Place of Business NEW YORK Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Equity
NuMat Technologies, Inc. See All Filings	D	2018-04-05 17:47:23 UTC
Amount To Be Raised $12,421,311 Associated Brokers / Dealers N/A CIK Number 0001579978 Filed Document 0001579978-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-05 17:47:23 UTC Type of Offering D Industry Other Technology Principal Place of Business ILLINOIS Revenue or Assets Decline to Disclose Type of Security Equity
BootStrapLabs.vc Seed Fund 2016, L.P. See All Filings	D/A	2018-04-05 17:36:33 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001694369 Filed Document 0001694369-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-05 17:36:33 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
Avenue Aviation Opportunities Fund II (Offshore), L.P. See All Filings	D/A	2018-04-05 17:23:29 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001702025 Filed Document 0000950142-18-000807 Exclusions or Exemptions 506b Accepted Date 2018-04-05 17:23:29 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
Sidebar Software Inc. See All Filings	D	2018-04-05 17:21:14 UTC
Amount To Be Raised $500,000 Associated Brokers / Dealers N/A CIK Number 0001735667 Filed Document 0001735667-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-05 17:21:14 UTC Type of Offering D Industry Other Technology Principal Place of Business OREGON Revenue or Assets Decline to Disclose Type of Security Equity
Tru POP Investors, LLC See All Filings	D	2018-04-05 17:19:10 UTC
Amount To Be Raised $100,000 Associated Brokers / Dealers N/A CIK Number 0001736131 Filed Document 0001736131-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-05 17:19:10 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
General Atlantic Investment Partners 2017, L.P. See All Filings	D/A	2018-04-05 17:14:28 UTC
Amount To Be Raised $3,289,000,000 Associated Brokers / Dealers Neuberger Berman East Asia Limited and Baro Investment & Securities Co. Ltd. CIK Number 0001717832 Filed Document 0000950142-18-000804 Exclusions or Exemptions 506b Accepted Date 2018-04-05 17:14:28 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
BioMetrix Co. See All Filings	D	2018-04-05 17:14:15 UTC
Amount To Be Raised $4,270,000 Associated Brokers / Dealers N/A CIK Number 0001681909 Filed Document 0001681909-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-05 17:14:15 UTC Type of Offering D Industry Other Technology Principal Place of Business NORTH CAROLINA Revenue or Assets Decline to Disclose Type of Security Equity
Lantos Technologies, Inc. See All Filings	D	2018-04-05 17:11:08 UTC
Amount To Be Raised $10,000,000 Associated Brokers / Dealers N/A CIK Number 0001500664 Filed Document 0001500664-18-000003 Exclusions or Exemptions 506b Accepted Date 2018-04-05 17:11:08 UTC Type of Offering D Industry Other Technology Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Debt
Cowbird Capital Partners LLC See All Filings	D	2018-04-05 17:10:13 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001736190 Filed Document 0000919574-18-002848 Exclusions or Exemptions 506b Accepted Date 2018-04-05 17:10:13 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
Cowbird Capital Fund Ltd. See All Filings	D	2018-04-05 17:02:50 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001736189 Filed Document 0000919574-18-002844 Exclusions or Exemptions 506b Accepted Date 2018-04-05 17:02:50 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CAYMAN ISLANDS Revenue or Assets Decline to Disclose Type of Security Equity
EmpowrU, Inc. See All Filings	D	2018-04-05 17:02:44 UTC
Amount To Be Raised $500,000 Associated Brokers / Dealers NA CIK Number 0001736167 Filed Document 0001391609-18-000076 Exclusions or Exemptions 506b Accepted Date 2018-04-05 17:02:44 UTC Type of Offering D Industry Other Health Care Principal Place of Business UTAH Revenue or Assets $$1 - $1,000,000 Type of Security Equity
OAKTREE EMPLOYEE INVESTMENT FUND, L.P. See All Filings	D/A	2018-04-05 17:02:21 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001168648 Filed Document 0001168648-18-000007 Exclusions or Exemptions 506b Accepted Date 2018-04-05 17:02:21 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
OAKTREE EMPLOYEE INVESTMENT FUND, L.P. See All Filings	D/A	2018-04-05 17:01:24 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001168648 Filed Document 0001168648-18-000006 Exclusions or Exemptions 506b Accepted Date 2018-04-05 17:01:24 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
OAKTREE EMPLOYEE INVESTMENT FUND, L.P. See All Filings	D/A	2018-04-05 17:00:09 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001168648 Filed Document 0001168648-18-000005 Exclusions or Exemptions 506b Accepted Date 2018-04-05 17:00:09 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
OAKTREE EMPLOYEE INVESTMENT FUND, L.P. See All Filings	D/A	2018-04-05 16:59:03 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001168648 Filed Document 0001168648-18-000004 Exclusions or Exemptions 506b Accepted Date 2018-04-05 16:59:03 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
OAKTREE EMPLOYEE INVESTMENT FUND, L.P. See All Filings	D/A	2018-04-05 16:57:58 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001168648 Filed Document 0001168648-18-000003 Exclusions or Exemptions 506b Accepted Date 2018-04-05 16:57:58 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
OAKTREE EMPLOYEE INVESTMENT FUND, L.P. See All Filings	D/A	2018-04-05 16:56:49 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001168648 Filed Document 0001168648-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-04-05 16:56:49 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
Globevestor Chakr Innovation Fund I, a series of Globevestor Funds, LLC See All Filings	D	2018-04-05 16:55:34 UTC
Amount To Be Raised $111,647 Associated Brokers / Dealers N/A CIK Number 0001727915 Filed Document 0001727915-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-05 16:55:34 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
Zero Coupon Chicagoland Office DST See All Filings	D/A	2018-04-05 16:55:01 UTC
Amount To Be Raised $65,334,005 Associated Brokers / Dealers Edward E. Fernandez, Chay T. Lapin, Corbin T. Thomas, Dan L. Werry, David P. Dahill, Michael G. Steinthal, and Jason A. Salmon CIK Number 0001734696 Filed Document 0001730498-18-000005 Exclusions or Exemptions 506b Accepted Date 2018-04-05 16:55:01 UTC Type of Offering D/A Industry Other Real Estate Principal Place of Business ILLINOIS Revenue or Assets Decline to Disclose Type of Security Other
OAKTREE EMPLOYEE INVESTMENT FUND, L.P. See All Filings	D/A	2018-04-05 16:53:28 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001168648 Filed Document 0001168648-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-05 16:53:28 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
CARLSON WIRELESS TECHNOLOGIES INC See All Filings	D	2018-04-05 16:52:36 UTC
Amount To Be Raised $500,000 Associated Brokers / Dealers N/A CIK Number 0001136440 Filed Document 0001709409-18-000004 Exclusions or Exemptions 506b Accepted Date 2018-04-05 16:52:36 UTC Type of Offering D Industry Telecommunications Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Debt
QUINN INC See All Filings	C/A	2018-04-05 16:49:27 UTC
Financial Interest Filing Platform Slice Capital Inc. Offering Amount $1,070,000 CIK Number 0001732797 Filed Document 0001732797-18-000003 Accepted Date 2018-04-05 16:49:27 UTC Type of Offering C/A Security Offered Amount 25,000 Security Offered Type Other State NEW YORK
Chicagoland Supermarket Portfolio DST See All Filings	D/A	2018-04-05 16:49:18 UTC
Amount To Be Raised $39,769,696 Associated Brokers / Dealers Chay T. Lapin, Daniel P. Raupp, Christina S. Nielson, Austin R. Dutton Jr., Eric S. Scaff, Michael G. Culwell, Roy V. Pfleger II, John P. Harvey Jr., Stuart T. Valentine, Timothy J. Sherer, Ryan J. Sherer, David P. Dahill, Williams K. Butcher, Alexander R. Creede, Alan N. Lichtenstein, and Michael G. Steinthal CIK Number 0001730498 Filed Document 0001730498-18-000004 Exclusions or Exemptions 506b Accepted Date 2018-04-05 16:49:18 UTC Type of Offering D/A Industry Other Real Estate Principal Place of Business ILLINOIS Revenue or Assets Decline to Disclose Type of Security Other
Globevestor OurHealthMate Fund I, a series of Globevestor Funds, LLC See All Filings	D	2018-04-05 16:46:35 UTC
Amount To Be Raised $99,550 Associated Brokers / Dealers N/A CIK Number 0001727912 Filed Document 0001727912-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-05 16:46:35 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
BOY HOWDY LLC See All Filings	D	2018-04-05 16:45:38 UTC
Amount To Be Raised $250,000 Associated Brokers / Dealers N/A CIK Number 0001735399 Filed Document 0001735399-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-05 16:45:38 UTC Type of Offering D Industry Other Principal Place of Business OHIO Revenue or Assets Decline to Disclose Type of Security Equity
Hudson Mill Investors LLC See All Filings	D	2018-04-05 16:43:21 UTC
Amount To Be Raised $1,775,000 Associated Brokers / Dealers N/A CIK Number 0001736616 Filed Document 0001736616-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-05 16:43:21 UTC Type of Offering D Industry Commercial Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Equity
HCG CP, LLC See All Filings	D/A	2018-04-05 16:39:48 UTC
Amount To Be Raised $6,190,000 Associated Brokers / Dealers N/A CIK Number 0001722940 Filed Document 0001722940-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-04-05 16:39:48 UTC Type of Offering D/A Industry Commercial Principal Place of Business ILLINOIS Revenue or Assets Decline to Disclose Type of Security Equity
XComP Analytics, Inc. See All Filings	D	2018-04-05 16:39:05 UTC
Amount To Be Raised $250,000 Associated Brokers / Dealers N/A CIK Number 0001736559 Filed Document 0001736559-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-05 16:39:05 UTC Type of Offering D Industry Other Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Debt
Globevestor Sensus Labs Fund I, a series of Globevestor Funds, LLC See All Filings	D	2018-04-05 16:38:23 UTC
Amount To Be Raised $77,017 Associated Brokers / Dealers N/A CIK Number 0001727910 Filed Document 0001727910-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-05 16:38:23 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
OCKAM INC. See All Filings	D	2018-04-05 16:36:16 UTC
Amount To Be Raised $1,500,000 Associated Brokers / Dealers N/A CIK Number 0001733197 Filed Document 0001733197-18-000001 Exclusions or Exemptions 506c Accepted Date 2018-04-05 16:36:16 UTC Type of Offering D Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Other
Unusual Ventures Fund I, L.P. See All Filings	D	2018-04-05 16:32:41 UTC
Amount To Be Raised $160,000,000 Associated Brokers / Dealers N/A CIK Number 0001736042 Filed Document 0001736042-18-000002 Exclusions or Exemptions 506b Accepted Date 2018-04-05 16:32:41 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CALIFORNIA Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
Merion Eagle Ridge, L.P. See All Filings	D	2018-04-05 16:30:43 UTC
Amount To Be Raised $12,750,000 Associated Brokers / Dealers N/A CIK Number 0001731552 Filed Document 0001731552-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-05 16:30:43 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business PENNSYLVANIA Revenue or Assets Decline to Disclose Type of Security Equity
Revetas Capital Fund III (A) SCSp See All Filings	D	2018-04-05 16:30:08 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001736327 Filed Document 0001736327-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-05 16:30:08 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business LUXEMBOURG Revenue or Assets Decline to Disclose Type of Security Equity
Globevestor Oorjan Fund I, a series of Globevestor Funds, LLC See All Filings	D	2018-04-05 16:22:15 UTC
Amount To Be Raised $90,750 Associated Brokers / Dealers N/A CIK Number 0001727908 Filed Document 0001727908-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-05 16:22:15 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
Pacific Empire Minerals Corp See All Filings	D	2018-04-05 16:21:30 UTC
Amount To Be Raised $1,833,372 Associated Brokers / Dealers Haywood Securities Inc. CIK Number 0001575193 Filed Document 0001140361-18-017438 Exclusions or Exemptions 506b Accepted Date 2018-04-05 16:21:30 UTC Type of Offering D Industry Other Principal Place of Business BRITISH COLUMBIA, CANADA Revenue or Assets Decline to Disclose Type of Security Equity
Globevestor Wealthy Fund I, a series of Globevestor Funds, LLC See All Filings	D	2018-04-05 16:12:58 UTC
Amount To Be Raised $59,908 Associated Brokers / Dealers N/A CIK Number 0001727901 Filed Document 0001727901-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-05 16:12:58 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
Health2047 Capital Partners Fund I, L.P. See All Filings	D	2018-04-05 16:10:11 UTC
Amount To Be Raised $250,000,000 Associated Brokers / Dealers N/A CIK Number 0001736143 Filed Document 0001736143-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-05 16:10:11 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CALIFORNIA Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
Concentrated Value Strategy LP See All Filings	D/A	2018-04-05 16:05:18 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001554985 Filed Document 0001554985-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-05 16:05:18 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
Ridgeview DOD SPV LP See All Filings	D	2018-04-05 16:01:27 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001736498 Filed Document 0001736498-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-05 16:01:27 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
GPV AV SPV LLC See All Filings	D	2018-04-05 15:56:25 UTC
Amount To Be Raised $275,000 Associated Brokers / Dealers N/A CIK Number 0001736493 Filed Document 0001736493-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-05 15:56:25 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
Globevestor Springboard Fund II, a series of Globevestor Funds, LLC See All Filings	D	2018-04-05 15:51:40 UTC
Amount To Be Raised $98,560 Associated Brokers / Dealers N/A CIK Number 0001727900 Filed Document 0001727900-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-05 15:51:40 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
Acadian China A Shares Equity Fund, LLC See All Filings	D	2018-04-05 15:48:37 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Funds Distributor, LLC CIK Number 0001729115 Filed Document 0001729115-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-05 15:48:37 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
Alexis Fund III LLC See All Filings	D	2018-04-05 15:47:25 UTC
Amount To Be Raised $3,000,000 Associated Brokers / Dealers N/A CIK Number 0001736311 Filed Document 0001736311-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-05 15:47:25 UTC Type of Offering D Industry Other Principal Place of Business CONNECTICUT Revenue or Assets $$1,000,001 - $5,000,000 Type of Security Other
PERFICIENT INC See All Filings	D	2018-04-05 15:46:56 UTC
Amount To Be Raised $3,383,438 Associated Brokers / Dealers N/A CIK Number 0001085869 Filed Document 0001085869-18-000013 Exclusions or Exemptions 506b Accepted Date 2018-04-05 15:46:56 UTC Type of Offering D Industry Other Technology Principal Place of Business MISSOURI Revenue or Assets $Over $100,000,000 Type of Security Equity
WESTERN ASSET US LONG DURATION, L.L.C. See All Filings	D/A	2018-04-05 15:43:25 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers LEGG MASON INVESTOR SERVICES, LLC CIK Number 0001346295 Filed Document 0001346295-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-04-05 15:43:25 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