Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
CAIS Millennium USA LLC See All Filings	D/A	2022-06-06 18:24:01 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Jefferies LLC, Wunderlich Securities, Summit Equities, LLC, USCA Securities LLC, HighTower Securities, LLC, Macquarie Capital (USA) Inc., D.A Davidson, Stephens, Inc., Arete Wealth Management LLC, Spire Securities LLC, Kestra Investment Services LLC, William Blair, Triad Advisors, Inc., Monarch Capital Group, LLC, Dominick & Dominick, Snowden Account Services Inc., Maxim Group LLC, Fieldpoint Private Securities LLC, BB&T Securities, LLC, First Republic Securities Company, LLC, Purshe Kaplan Sterling Investments, Robert W. Baird & Co. Incorporated, Axiom Capital Management, Inc., B. Riley Wealth Management, Rockefeller Financial LLC, Truist Investment Services, Inc., SA Stone Wealth Management Inc., and Investment Placement Group CIK Number 0001523894 Filed Document 0001523894-22-000001 Exclusions or Exemptions 506b Accepted Date 2022-06-06 18:24:01 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
CAIS Millennium USA LLC See All Filings	D/A	2021-06-01 16:11:08 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Jefferies LLC, Wunderlich Securities, Summit Equities, LLC, USCA Securities LLC, HighTower Securities, LLC, Macquarie Capital (USA) Inc., D.A Davidson, Stephens, Inc., Arete Wealth Management LLC, Spire Securities LLC, Kestra Investment Services LLC, William Blair, Triad Advisors, Inc., Monarch Capital Group, LLC, Dominick & Dominick, Snowden Account Services Inc., Maxim Group LLC, Fieldpoint Private Securities LLC, BB&T Securities, LLC, First Republic Securities Company, LLC, Purshe Kaplan Sterling Investments, Robert W. Baird & Co. Incorporated, Axiom Capital Management, Inc., B. Riley Wealth Management, Rockefeller Financial LLC, Truist Investment Services, Inc., SA Stone Wealth Management Inc., and Investment Placement Group CIK Number 0001523894 Filed Document 0001523894-21-000001 Exclusions or Exemptions 506b Accepted Date 2021-06-01 16:11:08 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
CAIS Millennium USA LLC See All Filings	D/A	2020-06-08 12:05:47 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Jefferies LLC, Wunderlich Securities, Summit Equities, LLC, USCA Securities LLC, HighTower Securities, LLC, Macquarie Capital (USA) Inc., D.A Davidson, Stephens, Inc., Arete Wealth Management LLC, Spire Securities LLC, Kestra Investment Services LLC, William Blair, Triad Advisors, Inc., Monarch Capital Group, LLC, Dominick & Dominick, Snowden Account Services Inc., Maxim Group LLC, Fieldpoint Private Securities LLC, BB&T Securities, LLC, First Republic Securities Company, LLC, Purshe Kaplan Sterling Investments, Robert W. Baird & Co. Incorporated, Axiom Capital Management, Inc., B. Riley Wealth Management, and Rockefeller Financial LLC CIK Number 0001523894 Filed Document 0001523894-20-000001 Exclusions or Exemptions 506b Accepted Date 2020-06-08 12:05:47 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
CAIS Millennium USA LLC See All Filings	D/A	2019-06-10 10:45:04 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Jefferies LLC, Wunderlich Securities, Summit Equities, LLC, USCA Securities LLC, HighTower Securities, LLC, Macquarie Capital (USA) Inc., D.A Davidson, Stephens, Inc., Arete Wealth Management LLC, Spire Securities LLC, Kestra Investment Services LLC, William Blair, Triad Advisors, Inc., Monarch Capital Group, LLC, Dominick & Dominick, Snowden Account Services Inc., Maxim Group LLC, Fieldpoint Private Securities LLC, BB&T Securities, LLC, First Republic Securities Company, LLC, Purshe Kaplan Sterling Investments, Robert W. Baird & Co. Incorporated, and Axiom Capital Management, Inc. CIK Number 0001523894 Filed Document 0001523894-19-000003 Exclusions or Exemptions 506b Accepted Date 2019-06-10 10:45:04 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
CAIS Millennium USA LLC See All Filings	D/A	2019-06-10 10:09:24 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Jefferies LLC, Wunderlich Securities, Summit Equities, LLC, USCA Securities LLC, HighTower Securities, LLC, Macquarie Capital (USA) Inc., D.A Davidson, Stephens, Inc., Arete Wealth Management LLC, Spire Securities LLC, Kestra Investment Services LLC, William Blair, Triad Advisors, Inc., Monarch Capital Group, LLC, Dominick & Dominick, Snowden Account Services Inc., Maxim Group LLC, Fieldpoint Private Securities LLC, BB&T Securities, LLC, First Republic Securities Company, LLC, Purshe Kaplan Sterling Investments, Robert W. Baird & Co. Incorporated, and Axiom Capital Management, Inc. CIK Number 0001523894 Filed Document 0001523894-19-000001 Exclusions or Exemptions 506b Accepted Date 2019-06-10 10:09:24 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
CAIS Millennium USA LLC See All Filings	D/A	2018-06-12 13:47:55 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Jefferies LLC, Wunderlich Securities, Summit Equities, LLC, USCA Securities LLC, HighTower Securities, LLC, Macquarie Capital (USA) Inc., D.A Davidson, Stephens, Inc., Arete Wealth Management LLC, Spire Securities LLC, Kestra Investment Services LLC, William Blair, Triad Advisors, Inc., Monarch Capital Group, LLC, Dominick & Dominick, Snowden Account Services Inc., Maxim Group LLC, and Fieldpoint Private Securities LLC CIK Number 0001523894 Filed Document 0001523894-18-000001 Exclusions or Exemptions 506b Accepted Date 2018-06-12 13:47:55 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
CAIS Millennium USA LLC See All Filings	D/A	2017-10-23 16:38:27 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Jefferies LLC, Wunderlich Securities, Summit Equities, LLC, USCA Securities LLC, HighTower Securities, LLC, Macquarie Capital (USA) Inc., D.A Davidson, Stephens, Inc., Arete Wealth Management LLC, Spire Securities LLC, Kestra Investment Services LLC, William Blair, Triad Advisors, Inc., Monarch Capital Group, LLC, Dominick & Dominick, Snowden Account Services Inc., Maxim Group LLC, and Fieldpoint Private Securities LLC CIK Number 0001523894 Filed Document 0001523894-17-000001 Exclusions or Exemptions 506b Accepted Date 2017-10-23 16:38:27 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
CAIS Millennium USA LLC See All Filings	D/A	2016-10-25 17:26:48 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Jefferies LLC, Wunderlich Securities, Summit Equities, LLC, US Capital Advisors, LLC, HighTower Securities, LLC, Macquarie, D.A Davidson, Lebentahl & Co. LLC, NFP Advisors LLC, Stephens, Inc., Arete Wealth Management LLC, Spire Securities LLC, Kestra Investment Services LLC, William Blair, Triad Advisors, Inc., Monarch Capital Group, LLC, Halen Capital, and Dominick & Dominick CIK Number 0001523894 Filed Document 0001523894-16-000002 Exclusions or Exemptions 506b Accepted Date 2016-10-25 17:26:48 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
CAIS Millennium USA LLC See All Filings	D/A	2015-09-02 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Jefferies LLC, Wunderlich Securities, Summit Equities, LLC, US Capital Advisors, LLC, HighTower Securities, LLC, Macquarie, D.A Davidson, Lebentahl & Co. LLC, NFP Advisors LLC, and Stephens, Inc. CIK Number 0001523894 Filed Document 0001523894-15-000001 Exclusions or Exemptions 506b Accepted Date 2015-09-02 00:00:00 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
CAIS Millennium USA LLC See All Filings	D/A	2014-10-01 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Jefferies LLC, Dominick & Dominick, LLC, Summit Equities, LLC, Arete Wealth Management, LLC, US Capital Advisors, LLC, HighTower Securities, LLC, Snowden Account Services, Joel Isaacson & Co., Tandragee Global Advisors LLC, and Macquarie CIK Number 0001523894 Filed Document 0001566114-14-000052 Exclusions or Exemptions 506b Accepted Date 2014-10-01 00:00:00 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