Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
CAMPBELL FUND TRUST See All Filings	D/A	2025-05-15 15:54:55 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Cambridge Investment Research, Inc., Campbell Financial Services, Inc., Commonwealth Financial Network, Credit Suisse Securities (USA) LLC, Geneos Wealth Management, Inc., Janney Montgomery Scott, LLC, Lincoln Financial Advisors Corporation, LPL Financial Corporation, Merrill Lynch, Pierce, Fenner & Smith, Inc., Morgan Stanley Smith Barney LLC, Raymond James & Associates, Inc, RBC Capital Markets LLC, Stephens, Inc., Stifel Nicolaus & Company, Incorporated, UBS Financial Services Inc., Wells Fargo Advisors Financial Network, LLC, Wells Fargo Advisors, LLC, Ameriprise Financial Services, Inc., Benjamin F. Edwards & Co., Inc., Berthel, Fisher & Company Financial Services, Inc., Davenport& Company LLC, HighTower Securities, LLC, Cetera Advisors LLC, Purshe, Kaplan, Sterling Investments, Robert W. Baird & Co., Inc., Spire Securities, LLC, USA FInancial Securities Corporation, Arete Wealth Management, LLC, Lincoln Investment Planning, Inc., Mutual Securities, Inc., Oppenheimer & Co., Inc., D.H. HILL SECURITIES, LLLP, Ausdal Financial Partners, Inc., Kestra Investment Services, LLC, Raymond James Financial Services, Inc., Frontier Solutions LLC, Hilltop Securities Inc, J.P. Morgan Securities LLC, McDonald Partners LLC, Prospera Financial Services Inc, Snowden Account Services LLC, Lincoln Financial Securities Corporation, Nations Financial Group Inc, Truist Investment Services, Cetera Advisor Networks LLC, LoCorr Distributors LLC, Grove Point Investments, LLC, Insigneo Securities, LLC, Polar Investment Counsel, Inc, MHL Investments, Osaic Wealth, Inc, Wilmington Capital Securities, LLC, Steward Partners Investment Solutions, LLC, Vanderbilt Securities LLC, &Partners, LLC, A.G.P. / ALLIANCE GLOBAL PARTNERS, and IFP SECURITIES, LLC CIK Number 0001043951 Filed Document 0001043951-25-000002 Exclusions or Exemptions 506b Accepted Date 2025-05-15 15:54:55 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
CAMPBELL FUND TRUST See All Filings	D/A	2024-07-11 15:39:14 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Cambridge Investment Research, Inc., Campbell Financial Services, Inc., Commonwealth Financial Network, Credit Suisse Securities (USA) LLC, David A. Noyes & Company, Geneos Wealth Management, Inc., Janney Montgomery Scott, LLC, Lincoln Financial Advisors Corporation, LPL Financial Corporation, Merrill Lynch, Pierce, Fenner & Smith, Inc., Morgan Stanley Smith Barney LLC, Raymond James & Associates, Inc, RBC Capital Markets LLC, Stephens, Inc., Stifel Nicolaus & Company, Incorporated, UBS Financial Services Inc., Wells Fargo Advisors Financial Network, LLC, Wells Fargo Advisors, LLC, American Portfolios Financial Services, Inc., Ameriprise Financial Services, Inc., Benjamin F. Edwards & Co., Inc., Berthel, Fisher & Company Financial Services, Inc., Davenport& Company LLC, First Allied Securities, HighTower Securities, LLC, Cetera Advisors LLC, Purshe, Kaplan, Sterling Investments, Robert W. Baird & Co., Inc., Securities America, Inc., Spire Securities, LLC, Stephen A. Kohn & Associates, Ltd., USA FInancial Securities Corporation, Arete Wealth Management, LLC, Lincoln Investment Planning, Inc., Mutual Securities, Inc., Titan Securities, KMS Financial Services, Inc., Oppenheimer & Co., Inc., D.H. HILL SECURITIES, LLLP, Ausdal Financial Partners, Inc., Kestra Investment Services, LLC, Raymond James Financial Services, Inc., Frontier Solutions LLC, Hilltop Securities Inc, J.P. Morgan Securities LLC, McDonald Partners LLC, Prospera Financial Services Inc, Snowden Account Services LLC, Lincoln Financial Securities Corporation, Nations Financial Group Inc, Truist Investment Services, Cetera Advisor Networks LLC, LoCorr Distributors LLC, Grove Point Investments, LLC, Insigneo Securities, LLC, Polar Investment Counsel, Inc, MHL Investments, Osaic Wealth, Inc, Wilmington Capital Securities, LLC, Steward Partners Investment Solutions, LLC, and Vanderbilt Securities LLC CIK Number 0001043951 Filed Document 0001043951-24-000001 Exclusions or Exemptions 506b Accepted Date 2024-07-11 15:39:14 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
CAMPBELL FUND TRUST See All Filings	D/A	2023-06-01 11:18:40 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Cambridge Investment Research, Inc., Campbell Financial Services, Inc., Commonwealth Financial Network, Credit Suisse Securities (USA) LLC, David A. Noyes & Company, Geneos Wealth Management, Inc., Janney Montgomery Scott, LLC, Lincoln Financial Advisors Corporation, LPL Financial Corporation, Merrill Lynch, Pierce, Fenner & Smith, Inc., Morgan Stanley Smith Barney LLC, Raymond James & Associates, Inc, RBC Capital Markets LLC, Stephens, Inc., Stifel Nicolaus & Company, Incorporated, UBS Financial Services Inc., Wells Fargo Advisors Financial Network, LLC, Wells Fargo Advisors, LLC, American Portfolios Financial Services, Inc., Ameriprise Financial Services, Inc., Benjamin F. Edwards & Co., Inc., Berthel, Fisher & Company Financial Services, Inc., Davenport& Company LLC, First Allied Securities, FSC Securities Corporation, HighTower Securities, LLC, Cetera Advisors LLC, Purshe, Kaplan, Sterling Investments, Robert W. Baird & Co., Inc., Royal Alliance Associates, Inc., Sagepoint Financial, Inc., Securities America, Inc., Spire Securities, LLC, Stephen A. Kohn & Associates, Ltd., USA FInancial Securities Corporation, Arete Wealth Management, LLC, Lincoln Investment Planning, Inc., Mutual Securities, Inc., Titan Securities, KMS Financial Services, Inc., Oppenheimer & Co., Inc., D.H. HILL SECURITIES, LLLP, Ausdal Financial Partners, Inc., Kestra Investment Services, LLC, Raymond James Financial Services, Inc., Frontier Solutions LLC, Hilltop Securities Inc, J.P. Morgan Securities LLC, McDonald Partners LLC, Prospera Financial Services Inc, Snowden Account Services LLC, Lincoln Financial Securities Corporation, Nations Financial Group Inc, Truist Investment Services, Cetera Advisor Networks LLC, LoCorr Distributors LLC, Grove Point Investments, LLC, Insigneo Securities, LLC, and Polar Investment Counsel, Inc CIK Number 0001043951 Filed Document 0001043951-23-000001 Exclusions or Exemptions 506b Accepted Date 2023-06-01 11:18:40 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
CAMPBELL FUND TRUST See All Filings	D/A	2022-05-19 15:53:48 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Cambridge Investment Research, Inc., Campbell Financial Services, Inc., Commonwealth Financial Network, Credit Suisse Securities (USA) LLC, David A. Noyes & Company, Geneos Wealth Management, Inc., Janney Montgomery Scott, LLC, Lincoln Financial Advisors Corporation, LPL Financial Corporation, Merrill Lynch, Pierce, Fenner & Smith, Inc., Morgan Stanley Smith Barney LLC, Raymond James & Associates, Inc, RBC Capital Markets LLC, Stephens, Inc., Stifel Nicolaus & Company, Incorporated, UBS Financial Services Inc., Wells Fargo Advisors Financial Network, LLC, Wells Fargo Advisors, LLC, American Portfolios Financial Services, Inc., Ameriprise Financial Services, Inc., Benjamin F. Edwards & Co., Inc., Berthel, Fisher & Company Financial Services, Inc., Davenport& Company LLC, First Allied Securities, FSC Securities Corporation, HighTower Securities, LLC, Cetera Advisors LLC, Purshe, Kaplan, Sterling Investments, Robert W. Baird & Co., Inc., Royal Alliance Associates, Inc., Sagepoint Financial, Inc., Securities America, Inc., Spire Securities, LLC, Stephen A. Kohn & Associates, Ltd., USA FInancial Securities Corporation, Arete Wealth Management, LLC, Lincoln Investment Planning, Inc., Mutual Securities, Inc., Titan Securities, KMS Financial Services, Inc., Oppenheimer & Co., Inc., D.H. HILL SECURITIES, LLLP, Ausdal Financial Partners, Inc., Kestra Investment Services, LLC, Raymond James Financial Services, Inc., Frontier Solutions LLC, Hilltop Securities Inc, J.P. Morgan Securities LLC, McDonald Partners LLC, Prospera Financial Services Inc, Snowden Account Services LLC, Lincoln Financial Securities Corporation, Nations Financial Group Inc, Truist Investment Services, Cetera Advisor Networks LLC, LoCorr Distributors LLC, Grove Point Investments, LLC, Insigneo Securities, LLC, and Polar Investment Counsel, Inc CIK Number 0001043951 Filed Document 0001043951-22-000005 Exclusions or Exemptions 506b Accepted Date 2022-05-19 15:53:48 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
CAMPBELL FUND TRUST See All Filings	D/A	2021-05-21 16:41:35 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Cambridge Investment Research, Inc., Campbell Financial Services, Inc., Commonwealth Financial Network, Credit Suisse Securities (USA) LLC, David A. Noyes & Company, Geneos Wealth Management, Inc., Janney Montgomery Scott, LLC, Lincoln Financial Advisors Corporation, LPL Financial Corporation, Merrill Lynch, Pierce, Fenner & Smith, Inc., Morgan Stanley Smith Barney LLC, Raymond James & Associates, Inc, RBC Capital Markets LLC, Stephens, Inc., Stifel Nicolaus & Company, Incorporated, UBS Financial Services Inc., Wells Fargo Advisors Financial Network, LLC, Wells Fargo Advisors, LLC, American Portfolios Financial Services, Inc., Ameriprise Financial Services, Inc., Benjamin F. Edwards & Co., Inc., Berthel, Fisher & Company Financial Services, Inc., Davenport& Company LLC, First Allied Securities, FSC Securities Corporation, H. Beck, Inc., HighTower Securities, LLC, Cetera Advisors LLC, Purshe, Kaplan, Sterling Investments, Robert W. Baird & Co., Inc., Royal Alliance Associates, Inc., Sagepoint Financial, Inc., Securities America, Inc., Spire Securities, LLC, Stephen A. Kohn & Associates, Ltd., USA FInancial Securities Corporation, Wedbush Morgan Securities Inc., Arete Wealth Management, LLC, Lincoln Investment Planning, Inc., Mutual Securities, Inc., Titan Securities, KMS Financial Services, Inc., Oppenheimer & Co., Inc., D.H. HILL SECURITIES, LLLP, Ausdal Financial Partners, Inc., Kestra Investment Services, LLC, Raymond James Financial Services, Inc., Frontier Solutions LLC, Hilltop Securities Inc, J.P. Morgan Securities LLC, McDonald Partners LLC, Prospera Financial Services Inc, Snowden Account Services LLC, Lincoln Financial Securities Corporation, Nations Financial Group Inc, Truist Investment Services, Cetera Advisor Networks LLC, and LoCorr Distributors LLC CIK Number 0001043951 Filed Document 0001043951-21-000001 Exclusions or Exemptions 506b Accepted Date 2021-05-21 16:41:35 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
CAMPBELL FUND TRUST See All Filings	D/A	2020-05-20 21:26:51 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Cambridge Investment Research, Inc., Campbell Financial Services, Inc., Commonwealth Financial Network, Credit Suisse Securities (USA) LLC, David A. Noyes & Company, Geneos Wealth Management, Inc., Janney Montgomery Scott, LLC, Lincoln Financial Advisors Corporation, LPL Financial Corporation, Merrill Lynch, Pierce, Fenner & Smith, Inc., Morgan Stanley Smith Barney LLC, Raymond James & Associates, Inc, RBC Capital Markets LLC, BB&T Scott & Stringfellow, Inc., Stephens, Inc., Stifel Nicolaus & Company, Incorporated, UBS Financial Services Inc., Wells Fargo Advisors Financial Network, LLC, Wells Fargo Advisors, LLC, American Portfolios Financial Services, Inc., Ameriprise Financial Services, Inc., Benjamin F. Edwards & Co., Inc., Berthel, Fisher & Company Financial Services, Inc., Davenport& Company LLC, First Allied Securities, FSC Securities Corporation, H. Beck, Inc., HighTower Securities, LLC, Cetera Advisors LLC, Purshe, Kaplan, Sterling Investments, Robert W. Baird & Co., Inc., Royal Alliance Associates, Inc., Sagepoint Financial, Inc., Securities America, Inc., Spire Securities, LLC, Stephen A. Kohn & Associates, Ltd., USA FInancial Securities Corporation, Wedbush Morgan Securities Inc., Arete Wealth Management, LLC, Lincoln Investment Planning, Inc., Mutual Securities, Inc., Titan Securities, KMS Financial Services, Inc., Oppenheimer & Co., Inc., D.H. HILL SECURITIES, LLLP, Ausdal Financial Partners, Inc., Kestra Investment Services, LLC, Raymond James Financial Services, Inc., Frontier Solutions LLC, Hilltop Securities Inc, J.P. Morgan Securities LLC, McDonald Partners LLC, Prospera Financial Services Inc, Snowden Account Services LLC, Lincoln Financial Securities Corporation, and Nations Financial Group Inc CIK Number 0001043951 Filed Document 0001043951-20-000001 Exclusions or Exemptions 506b Accepted Date 2020-05-20 21:26:51 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
CAMPBELL FUND TRUST See All Filings	D/A	2019-05-29 15:06:35 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Cambridge Investment Research, Inc., Campbell Financial Services, Inc., Commonwealth Financial Network, Credit Suisse Securities (USA) LLC, David A. Noyes & Company, Geneos Wealth Management, Inc., JAE Investments, Inc., Janney Montgomery Scott, LLC, Lincoln Financial Advisors Corporation, LPL Financial Corporation, Merrill Lynch, Pierce, Fenner & Smith, Inc., Morgan Stanley Smith Barney LLC, Raymond James & Associates, Inc, RBC Capital Markets LLC, BB&T Scott & Stringfellow, Inc., Stephens, Inc., Stifel Nicolaus & Company, Incorporated, UBS Financial Services Inc., Wells Fargo Advisors Financial Network, LLC, Wells Fargo Advisors, LLC, American Portfolios Financial Services, Inc., Ameriprise Financial Services, Inc., Benjamin F. Edwards & Co., Inc., Berthel, Fisher & Company Financial Services, Inc., Davenport & Company LLC, First Allied Securities, FSC Securities Corporation, H. Beck, Inc., HighTower Securities, LLC, Hilliard Lyons, Inc., Cetera Advisors LLC, Purshe, Kaplan, Sterling Investments, Robert W. Baird & Co., Inc., Royal Alliance Associates, Inc., Sagepoint Financial, Inc., Securities America, Inc., Spire Securities, LLC, Stephen A. Kohn & Associates, Ltd., Summit Brokerage Services, Inc., USA FInancial Securities Corporation, Wedbush Morgan Securities Inc., Arete Wealth Management, LLC, Lincoln Investment Planning, Inc., Mutual Securities, Inc., Titan Securities, KMS Financial Services, Inc., Oppenheimer & Co., Inc., D.H. HILL SECURITIES, LLLP, Ausdal Financial Partners, Inc., Kestra Investment Services, LLC, Raymond James Financial Services, Inc., Frontier Solutions LLC, Hilltop Securities Inc, J.P. Morgan Securities LLC, McDonald Partners LLC, Prospera Financial Services Inc, and Snowden Account Services LLC CIK Number 0001043951 Filed Document 0001043951-19-000001 Exclusions or Exemptions 506b Accepted Date 2019-05-29 15:06:35 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
CAMPBELL FUND TRUST See All Filings	D/A	2017-05-18 14:11:44 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Cambridge Investment Research, Inc., Campbell Financial Services, Inc., Commonwealth Financial Network, Credit Suisse Securities (USA) LLC, David A. Noyes & Company, Geneos Wealth Management, Inc., JAE Investments, Inc., Janney Montgomery Scott, LLC, Lincoln Financial Advisors Corporation, LPL Financial Corporation, Merrill Lynch, Pierce, Fenner & Smith, Inc., Morgan Stanley Smith Barney LLC, Raymond James & Associates, Inc, RBC Capital Markets LLC, BB&T Scott & Stringfellow, Inc., Stephens, Inc., Stifel Nicolaus & Company, Incorporated, UBS Financial Services Inc., Wells Fargo Advisors Financial Network, LLC, Wells Fargo Advisors, LLC, American Portfolios Financial Services, Inc., Ameriprise Financial Services, Inc., Benjamin F. Edwards & Co., Inc., Berthel, Fisher & Company Financial Services, Inc., Davenport & Company LLC, First Allied Securities, FSC Securities Corporation, Girard Securities, Inc., H. Beck, Inc., HighTower Securities, LLC, Hilliard Lyons, Inc., J.P. Morgan Clearing Corp., Cetera Advisors LLC, Purshe, Kaplan, Sterling Investments, Robert W. Baird & Co., Inc., Royal Alliance Associates, Inc., Sagepoint Financial, Inc., Securities America, Inc., SII Investments, Inc., Spire Securities, LLC, Stephen A. Kohn & Associates, Ltd., Summit Brokerage Services, Inc., Thomas McDonald Partners LLC, USA FInancial Securities Corporation, VSR Financial Services, Inc., Wedbush Morgan Securities Inc., Arete Wealth Management, LLC, Lincoln Investment Planning, Inc., Mutual Securities, Inc., Titan Securities, KMS Financial Services, Inc., Oppenheimer & Co., Inc., D.H. HILL SECURITIES, LLLP, Ausdal Financial Partners, Inc., Kestra Investment Services, LLC, and Raymond James Financial Services, Inc. CIK Number 0001043951 Filed Document 0001043951-17-000013 Exclusions or Exemptions 506b Accepted Date 2017-05-18 14:11:44 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
CAMPBELL FUND TRUST See All Filings	D/A	2015-05-20 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Altegris Investments, Inc., Cambridge Investment Research, Inc., Campbell Financial Services, Inc., Commonwealth Financial Network, Credit Suisse Securities (USA) LLC, David A. Noyes & Company, Futures Investment Company, Geneos Wealth Management, Inc., JAE Investments, Inc., Janney Montgomery Scott, LLC, Kalos Capital, Inc., Lincoln Financial Advisors Corporation, LPL Financial Corporation, Merrill Lynch, Pierce, Fenner & Smith, Inc., Morgan Stanley Smith Barney LLC, Prospera Financial Services, Inc., Raymond James & Associates, Inc, RBC Capital Markets LLC, BB&T Scott & Stringfellow, Inc., Stephens, Inc., Stifel Nicolaus & Company, Incorporated, Triad Advisors, Inc., UBS Financial Services Inc., Wells Fargo Advisors Financial Network, LLC, Wells Fargo Advisors, LLC, Winslow, Evans & Crocker, Inc., American Portfolios Financial Services, Inc., Ameriprise Financial Services, Inc., Benjamin F. Edwards & Co., Inc., Berthel, Fisher & Company Financial Services, Inc., Confidential Management Financial Services, Inc., Davenport & Company LLC, First Allied Securities, FSC Securities Corporation, Girard Securities, Inc., H. Beck, Inc., HighTower Securities, LLC, Hilliard Lyons, Inc., Voya Financial Advisors, Inc., Investment Centers of America, Inc., J.P. Morgan Clearing Corp., J.P. Turner & Company, L.L.C., M Holdings Securities, Inc., Cetera Advisors LLC, Portfolio Resources Group, Inc., Purshe, Kaplan, Sterling Investments, Robert W. Baird & Co., Inc., Royal Alliance Associates, Inc., Sagepoint Financial, Inc., Sanders Morris Harris Inc., Securities America, Inc., SII Investments, Inc., Spire Securities, LLC, Steben & Company, Inc., Stephen A. Kohn & Associates, Ltd., Summit Brokerage Services, Inc., Thomas McDonald Partners LLC, Thurston, Springer, Miller, Herd & Titak, Inc., Tricor Financial, LLC, Uhlmann Price Securities, LLC, USA FInancial Securities Corporation, VSR Financial Services, Inc., Wedbush Morgan Securities Inc., Wunderlich Securities, Inc., Arete Wealth Management, LLC, Lincoln Investment Planning, Inc., Mutual Securities, Inc., Titan Securities, Carey, Thomas, Hoover, & Breault, Inc., KMS Financial Services, Inc., Oppenheimer & Co., Inc., Rockfleet Financial Services, Inc., Southwest Securities, Inc., SWS FINANCIAL SERVICES, INC., D.H. HILL SECURITIES, LLLP, and MIDAMERICA FINANCIAL SERVICES, INC. CIK Number 0001043951 Filed Document 0001043951-15-000028 Exclusions or Exemptions 506b Accepted Date 2015-05-20 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
CAMPBELL FUND TRUST See All Filings	D/A	2014-05-20 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Altegris Investments, Inc., Cambridge Investment Research, Inc., Campbell Financial Services, Inc., Commonwealth Financial Network, Credit Suisse Securities (USA) LLC, David A. Noyes & Company, Futures Investment Company, Geneos Wealth Management, Inc., JAE Investments, Inc., Janney Montgomery Scott, LLC, Kalos Capital, Inc., Lincoln Financial Advisors Corporation, LPL Financial Corporation, Merrill Lynch, Pierce, Fenner & Smith, Inc., Morgan Stanley Smith Barney LLC, Prospera Financial Services, Inc., Raymond James & Associates, Inc, RBC Capital Markets LLC, BB&T Scott & Stringfellow, Inc., Stephens, Inc., Stifel Nicolaus & Company, Incorporated, Triad Advisors, Inc., UBS Financial Services Inc., Wells Fargo Advisors Financial Network, LLC, Wells Fargo Advisors, LLC, Winslow, Evans & Crocker, Inc., American Portfolios Financial Services, Inc., Ameriprise Financial Services, Inc., Benjamin F. Edwards & Co., Inc., Berthel, Fisher & Company Financial Services, Inc., Confidential Management Financial Services, Inc., Davenport & Company LLC, First Allied Securities, FSC Securities Corporation, Girard Securities, Inc., H. Beck, Inc., HighTower Securities, LLC, Hilliard Lyons, Inc., ING Financial Partners, Inc., Investment Centers of America, Inc., J.P. Morgan Clearing Corp., J.P. Turner & Company, L.L.C., M Holdings Securities, Inc., Cetera Advisors LLC, Polar Investment Counsel, Inc., Portfolio Resources Group, Inc., Purshe, Kaplan, Sterling Investments, Robert W. Baird & Co., Inc., Royal Alliance Associates, Inc., Sagepoint Financial, Inc., Sanders Morris Harris Inc., Securities America, Inc., SII Investments, Inc., Spire Securities, LLC, Steben & Company, Inc., Stephen A. Kohn & Associates, Ltd., Summit Brokerage Services, Inc., Thomas McDonald Partners LLC, Thurston, Springer, Miller, Herd & Titak, Inc., Tricor Financial, LLC, Uhlmann Price Securities, LLC, USA FInancial Securities Corporation, VSR Financial Services, Inc., Wedbush Morgan Securities Inc., Wunderlich Securities, Inc., Arete Wealth Management, LLC, Lincoln Investment Planning, Inc., Mutual Securities, Inc., Titan Securities, Carey, Thomas, Hoover, & Breault, Inc., KMS Financial Services, Inc., Oppenheimer & Co., Inc., Rockfleet Financial Services, Inc., Southwest Securities, Inc., and Southwest Securities Financial Services CIK Number 0001043951 Filed Document 0001043951-14-000011 Exclusions or Exemptions 506b Accepted Date 2014-05-20 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund