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The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. The reader should not assume that the information is accurate and complete.
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM D
Notice of Exempt Offering of Securities
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| OMB APPROVAL |
| OMB Number: |
3235-0076 |
| Estimated average burden |
| hours per response: |
4.00 |
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1. Issuer's Identity
| CIK (Filer ID Number) |
Previous Names |
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Entity Type |
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0001587696
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Corporation |
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Limited Partnership |
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Limited Liability Company |
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General Partnership |
| X |
Business Trust |
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Other (Specify) |
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| Name of Issuer |
| Dallas MSA Multifamily DST |
| Jurisdiction of Incorporation/Organization |
| DELAWARE |
| Year of Incorporation/Organization |
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Over Five Years Ago |
| X |
Within Last Five Years (Specify Year) |
2013 |
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Yet to Be Formed |
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2. Principal Place of Business and Contact Information
| Name of Issuer |
| Dallas MSA Multifamily DST |
| Street Address 1 |
Street Address 2 |
| C/O INLAND PRIVATE CAPITAL CORP. |
2901 BUTTERFIELD ROAD |
| City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
| OAK BROOK |
ILLINOIS |
60523 |
630-218-4916 |
3. Related Persons
| Last Name |
First Name |
Middle Name |
| Dallas MSA Multifamily, L.L.C. |
N/A |
| Street Address 1 |
Street Address 2 |
| c/o Inland Private Capital Corporation |
2901 Butterfield Road |
| City |
State/Province/Country |
ZIP/PostalCode |
| Oak Brook |
ILLINOIS |
60523 |
| Relationship: |
X |
Executive Officer |
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Director |
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Promoter |
Clarification of Response (if Necessary):
Depositor of the Issuer
| Last Name |
First Name |
Middle Name |
| Dallas MSA Multifamily Exchange, L.L.C. |
N/A |
| Street Address 1 |
Street Address 2 |
| c/o Inland Private Capital Corporation |
2901 Butterfield Road |
| City |
State/Province/Country |
ZIP/PostalCode |
| Oak Brook |
ILLINOIS |
60523 |
| Relationship: |
X |
Executive Officer |
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Director |
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Promoter |
Clarification of Response (if Necessary):
Signatory Trustee of the Issuer
| Last Name |
First Name |
Middle Name |
| Inland Private Capital Corporation |
N/A |
| Street Address 1 |
Street Address 2 |
| 2901 Butterfield Road |
| City |
State/Province/Country |
ZIP/PostalCode |
| Oak Brook |
ILLINOIS |
60523 |
| Relationship: |
X |
Executive Officer |
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Director |
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Promoter |
Clarification of Response (if Necessary):
Sponsor of the Issuer
4. Industry Group
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Agriculture |
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Banking & Financial Services |
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Commercial Banking |
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Insurance |
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Investing |
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Investment Banking |
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Pooled Investment Fund |
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Is the issuer registered as an investment company under the Investment Company Act of 1940? |
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Other Banking & Financial Services |
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Business Services |
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Energy |
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Health Care |
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Manufacturing |
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Real Estate |
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Retailing |
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Restaurants |
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Technology |
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Travel |
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Tourism & Travel Services |
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Other |
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5. Issuer Size
| Revenue Range |
OR |
Aggregate Net Asset Value Range |
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No Revenues |
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No Aggregate Net Asset Value |
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$1 - $1,000,000 |
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$1 - $5,000,000 |
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$1,000,001 - $5,000,000 |
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$5,000,001 - $25,000,000 |
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$5,000,001 - $25,000,000 |
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$25,000,001 - $50,000,000 |
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$25,000,001 - $100,000,000 |
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$50,000,001 - $100,000,000 |
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Over $100,000,000 |
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Over $100,000,000 |
| X |
Decline to Disclose |
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Decline to Disclose |
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Not Applicable |
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Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
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Rule 504(b)(1) (not (i), (ii) or (iii)) |
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Rule 504 (b)(1)(i) |
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Rule 504 (b)(1)(ii) |
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Rule 504 (b)(1)(iii) |
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Rule 505 |
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| X |
Rule 506(b) |
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Rule 506(c) |
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Securities Act Section 4(a)(5) |
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Investment Company Act Section 3(c) |
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Section 3(c)(1) |
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Section 3(c)(9) |
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Section 3(c)(2) |
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Section 3(c)(10) |
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Section 3(c)(3) |
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Section 3(c)(11) |
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Section 3(c)(4) |
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Section 3(c)(12) |
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Section 3(c)(5) |
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Section 3(c)(13) |
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Section 3(c)(6) |
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Section 3(c)(14) |
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7. Type of Filing
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New Notice |
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Date of First Sale |
2013-10-21 |
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First Sale Yet to Occur |
| X |
Amendment |
8. Duration of Offering
| Does the Issuer intend this offering to last more than one year? |
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9. Type(s) of Securities Offered (select all that apply)
| X |
Equity |
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Pooled Investment Fund Interests |
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Debt |
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Tenant-in-Common Securities |
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Option, Warrant or Other Right to Acquire Another Security |
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Mineral Property Securities |
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Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
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Other (describe) |
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10. Business Combination Transaction
| Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
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Clarification of Response (if Necessary):
11. Minimum Investment
| Minimum investment accepted from any outside investor |
$25,000 |
USD |
12. Sales Compensation
| Recipient |
| Recipient CRD Number |
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None |
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| Inland Securities Corporation |
15807 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Inland Securities Corporation |
15807 |
| Street Address 1 |
Street Address 2 |
| 2901 Butterfield Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Oak Brook |
ILLINOIS |
60523 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Craig A. Hoff |
1936893 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| DFPG Investments Inc. |
155576 |
| Street Address 1 |
Street Address 2 |
| 8910 University Center Lane |
Ste 485 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Diego |
CALIFORNIA |
92122 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Peter Fisher |
1259923 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Investacorp Inc. |
7684 |
| Street Address 1 |
Street Address 2 |
| 2901 Butterfield Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Oakbrook |
ILLINOIS |
33137 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| John Harvey |
4227692 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Sandlapper Securities, LLC |
137906 |
| Street Address 1 |
Street Address 2 |
| 1 City Boulevard West |
Suite 870 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Orange |
CALIFORNIA |
92868 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| 1st Global Capital Corp. |
30349 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| 1st Global Capital Corp. |
30349 |
| Street Address 1 |
Street Address 2 |
| 77 E. Halsey Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Parsippany |
NEW JERSEY |
07054 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| CALIFORNIA |
| FLORIDA |
| MASSACHUSETTS |
| MINNESOTA |
| MONTANA |
| NEW JERSEY |
| NEW YORK |
| OREGON |
| TEXAS |
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| Recipient |
| Recipient CRD Number |
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None |
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| Harry R. Tyler |
451126 |
| (Associated) Broker or Dealer |
X |
None |
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| (Associated) Broker or Dealer CRD Number |
X |
None |
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| None |
None |
| Street Address 1 |
Street Address 2 |
| 1554 Paoli Pike, PMB #321 |
| City |
State/Province/Country |
ZIP/Postal Code |
| West Chester |
PENNSYLVANIA |
19380-6123 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Eric Kuchel |
4118500 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Crown Capital Securities L.P. |
6312 |
| Street Address 1 |
Street Address 2 |
| 259 S. Randolph |
| City |
State/Province/Country |
ZIP/Postal Code |
| Brea |
CALIFORNIA |
92821 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Susan Gitt |
5580509 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| EDI Financial, Inc. |
15699 |
| Street Address 1 |
Street Address 2 |
| 1431 Greenway Drive |
Suite 330 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Irving |
TEXAS |
75038 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Tomas J. Velken |
1600404 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Sigma Financial Corporation |
14303 |
| Street Address 1 |
Street Address 2 |
| 1078 Carol Lane |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lafayette |
CALIFORNIA |
94549 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Stuart Benjamin |
1317657 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Commonwealth Financial Network |
8032 |
| Street Address 1 |
Street Address 2 |
| 4924 Cahaba River Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Birmingham |
ALABAMA |
35243 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| John Rooney |
1410648 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Commonwealth Financial Network |
8032 |
| Street Address 1 |
Street Address 2 |
| 110 West A Street |
Suite 1800 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Diego |
CALIFORNIA |
92101 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| James O. Mitchell |
336937 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Triad Advisors, Inc. |
25803 |
| Street Address 1 |
Street Address 2 |
| 1902 Flint Rd. SE |
Suite A |
| City |
State/Province/Country |
ZIP/Postal Code |
| Decatur |
ILLINOIS |
35601 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Joseph M. Insalaco |
2978175 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Triad Advisors, Inc. |
25803 |
| Street Address 1 |
Street Address 2 |
| 1979 Marcus Ave. |
Suite 210 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lake Success |
NEW YORK |
11042 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Joseph G. Michaletz |
1327534 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Triad Advisors, Inc. |
25803 |
| Street Address 1 |
Street Address 2 |
| 150 St. Andrews Ct. |
Suite 210 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Mankato |
MINNESOTA |
56001 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Concorde Investment Services, LLC |
151604 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Concorde Investment Services, LLC |
151604 |
| Street Address 1 |
Street Address 2 |
| 1120 East Long Lake Road |
Suite 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Troy |
MICHIGAN |
48085 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| ARIZONA |
| CALIFORNIA |
| ILLINOIS |
| MICHIGAN |
| MISSOURI |
| NEW YORK |
| VIRGINIA |
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| Recipient |
| Recipient CRD Number |
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None |
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| Christina Nielson |
4866971 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Primex |
29394 |
| Street Address 1 |
Street Address 2 |
| 349 Gulf Stream Way |
| City |
State/Province/Country |
ZIP/Postal Code |
| Costa Mesa |
CALIFORNIA |
92627 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Joral Schmalle |
4491484 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Sigma Financial Corporation |
14303 |
| Street Address 1 |
Street Address 2 |
| 1009 Amito Dr. |
| City |
State/Province/Country |
ZIP/Postal Code |
| Berkeley |
CALIFORNIA |
94705 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| Recipient |
| Recipient CRD Number |
|
None |
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| Jonathan Keller |
4344114 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Sigma Financial Corporation |
14303 |
| Street Address 1 |
Street Address 2 |
| 3340-A Bee Ridge Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Sarasota |
FLORIDA |
34239 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| Recipient |
| Recipient CRD Number |
|
None |
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| J.P. Turner & Company, L.L.C. |
43177 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| J.P. Turner & Company, L.L.C. |
43177 |
| Street Address 1 |
Street Address 2 |
| One Buckhead Plaza |
3060 Peachtree Rd. NW |
| City |
State/Province/Country |
ZIP/Postal Code |
| Atlanta |
GEORGIA |
30305 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| CALIFORNIA |
| CONNECTICUT |
| NEW YORK |
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| Recipient |
| Recipient CRD Number |
|
None |
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| Mark Iskander |
2326918 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Sagepoint Financial, Inc. |
133763 |
| Street Address 1 |
Street Address 2 |
| 8700 Warner Ave. |
Suite 260 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Fountain Valley |
CALIFORNIA |
92708 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| Recipient |
| Recipient CRD Number |
|
None |
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| David J. Sullwold |
2242306 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Sagepoint Financial, Inc. |
133763 |
| Street Address 1 |
Street Address 2 |
| 5100 Southwest Macadam Avenue |
Suite 525 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Portland |
OREGON |
97239-3862 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| Recipient |
| Recipient CRD Number |
|
None |
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| Douglas W. McCown |
2113482 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Sagepoint Financial, Inc. |
133763 |
| Street Address 1 |
Street Address 2 |
| 6031 W Interstate 20 |
Suite 256 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Arlington |
TEXAS |
76017 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| Recipient |
| Recipient CRD Number |
|
None |
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| Terry Shea |
1654953 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Independent Financial Group, LLC |
7717 |
| Street Address 1 |
Street Address 2 |
| 250 Bel Marin Keys Blvd |
Suite F3 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Novatu |
CALIFORNIA |
94949 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
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| Recipient |
| Recipient CRD Number |
|
None |
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| Donovan T. Kelly |
2622366 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Independent Financial Group, LLC |
7717 |
| Street Address 1 |
Street Address 2 |
| 3115 1st Avenue N |
| City |
State/Province/Country |
ZIP/Postal Code |
| Billings |
MONTANA |
59102 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
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| Recipient |
| Recipient CRD Number |
|
None |
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| John Scully |
803539 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
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| Centaurus Financial, Inc. |
30833 |
| Street Address 1 |
Street Address 2 |
| 450 Skokie Blvd. |
Suite 301 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Northbrook |
ILLINOIS |
60062 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
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|
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| Recipient |
| Recipient CRD Number |
|
None |
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| Randy Barmache |
4607939 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Newport Coast Securities, Inc. |
16944 |
| Street Address 1 |
Street Address 2 |
| 4035 East Thousand Oaks Blvd. |
#232 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Westlake Village |
CALIFORNIA |
91362 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Sung Lee |
4856630 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| FSC Securities Corporation |
7461 |
| Street Address 1 |
Street Address 2 |
| 3991 MacArthur Blvd. |
Suite 215 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Newport Beach |
CALIFORNIA |
92660 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Vint Hartmann |
2686726 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| J.W. Cole Financial, Inc. |
124583 |
| Street Address 1 |
Street Address 2 |
| 7200 S. Alton Way |
Suite A-110 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Centennial |
COLORADO |
80112 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Ann H. Stewart |
238888 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Money Concepts Capital Corp. |
12963 |
| Street Address 1 |
Street Address 2 |
| 11440 North Jog Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Palm Beach Gardens |
FLORIDA |
33418-3764 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Eric Bicknese |
2829451 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Nationwide Planning Associates Inc. |
31029 |
| Street Address 1 |
Street Address 2 |
| 375 Route 32 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Central Valley |
NEW YORK |
10917 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Brody R. Bray |
4727529 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| The Strategic Financial Alliance |
126514 |
| Street Address 1 |
Street Address 2 |
| Century Springs East |
6100 Lake Forest Drive, Suite 485 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Atlanta |
GEORGIA |
30328 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Brian G. Brown |
810068 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| The Strategic Alliance |
126514 |
| Street Address 1 |
Street Address 2 |
| Century Springs East |
6100 Lake Forest Drive, Suite 485 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Atlanta |
GEORGIA |
30328 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Walter L. Harris |
1010630 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Securities Service Network, Inc. |
13318 |
| Street Address 1 |
Street Address 2 |
| 555 Sun Valley Drive |
Suite A-4 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Roswell |
GEORGIA |
30076 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| David Cowguill |
1275601 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Woodbury Financial Services, Inc. |
421 |
| Street Address 1 |
Street Address 2 |
| 4255 Rec Drive |
| City |
State/Province/Country |
ZIP/Postal Code |
| Marion |
IOWA |
52302 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| David J. Florell |
5210813 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Woodbury Financial Services, Inc. |
421 |
| Street Address 1 |
Street Address 2 |
| 7160 South 29th |
Suite 7 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lincoln |
NEBRASKA |
68516 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| William B. Elson |
1808374 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| VSR Financial Services, Inc. |
14503 |
| Street Address 1 |
Street Address 2 |
| 3705 Grand Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| Des Moines |
IOWA |
50312 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Dennis P. Van Patter |
1364583 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| VSR Financial Services, Inc. |
14503 |
| Street Address 1 |
Street Address 2 |
| 7700 San Jacinto Place |
Suite 200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Plano |
TEXAS |
75024 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Vincent P. Gianatasio |
826699 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Cadaret, Grant & Co., Inc. |
10641 |
| Street Address 1 |
Street Address 2 |
| 670 White Plains Road |
Suite 114 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Scarsdale |
NEW YORK |
10583 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Gary L. Barton |
824042 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Financial Telesis Inc. |
31012 |
| Street Address 1 |
Street Address 2 |
| 410 S. Orchard |
Suite 112 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Boise |
IDAHO |
83705 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Thomas Ealy |
863042 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Investment Planners, Inc. |
18557 |
| Street Address 1 |
Street Address 2 |
| 1802 Fox Drive |
| City |
State/Province/Country |
ZIP/Postal Code |
| Champaign |
ILLINOIS |
61821 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Allan L. Watson |
5348527 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Investment Planners, Inc. |
18557 |
| Street Address 1 |
Street Address 2 |
| 121 N. MacArthur |
| City |
State/Province/Country |
ZIP/Postal Code |
| Macomb |
ILLINOIS |
61455 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Rudi V. Siela |
1009645 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Proequities, Inc. |
15708 |
| Street Address 1 |
Street Address 2 |
| 10305 Dawson's Creek Blvd. |
| City |
State/Province/Country |
ZIP/Postal Code |
| Fort Wayne |
INDIANA |
46825 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| James W. Herrig |
1684201 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Proequities, Inc. |
15708 |
| Street Address 1 |
Street Address 2 |
| 3390 Asbury Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Dubuque |
IOWA |
52002 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| John T. Christy |
4573758 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Royal Alliance Associates, Inc. |
23131 |
| Street Address 1 |
Street Address 2 |
| 5440 North Oak |
Suite 250 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Kansas City |
MISSOURI |
64118 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Martin J. Mulligan |
2491539 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| FSC Securities Corporation |
7461 |
| Street Address 1 |
Street Address 2 |
| 9200 Indian Creek Parkway |
Suite 140 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Overland Park |
KANSAS |
66210 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Scott Sheehan |
2328614 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| DFPG Investments, Inc. |
155576 |
| Street Address 1 |
Street Address 2 |
| 2 Orr Hatch Drive |
| City |
State/Province/Country |
ZIP/Postal Code |
| Cornwall |
NEW YORK |
12518 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Albert N. Isakov |
5233025 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 1113 Avenue J |
2nd Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| Brooklyn |
NEW YORK |
11230 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Alexandro L. Filippini |
5043549 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Silver Portal Capital LLC |
114290 |
| Street Address 1 |
Street Address 2 |
| 12265 El Camino Real |
Suite 230 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Diego |
CALIFORNIA |
92130 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Christopher C. Fess |
1335361 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| KCD Financial, Inc. |
127473 |
| Street Address 1 |
Street Address 2 |
| 2595 Dallas Parkway |
Suite 100-A |
| City |
State/Province/Country |
ZIP/Postal Code |
| Frisco |
TEXAS |
75034 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Gilbert Mercado |
5156495 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Money Concepts Capital Corp. |
12963 |
| Street Address 1 |
Street Address 2 |
| 1200 Avenue C |
| City |
State/Province/Country |
ZIP/Postal Code |
| Delrio |
TEXAS |
78840 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Securities Service Network, Inc. |
13318 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Securities Service Network, Inc. |
13318 |
| Street Address 1 |
Street Address 2 |
| 9729 Cogdill Road |
Suite 301 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Knoxville |
TENNESSEE |
37932 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Sandlapper Securities, LLC |
137906 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Sandlapper Securities, LLC |
137906 |
| Street Address 1 |
Street Address 2 |
| Sandlapper Financial Center |
800 E. North Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Greenville |
SOUTH CAROLINA |
29601 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Robert L. Hackenberg |
1064715 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Leigh Baldwin & Co., LLC |
38751 |
| Street Address 1 |
Street Address 2 |
| 2813 Route 611 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Tannersville |
PENNSYLVANIA |
18372 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
13. Offering and Sales Amounts
| Total Offering Amount |
$40,298,164 |
USD |
|
| Total Amount Sold |
$40,298,164 |
USD |
| Total Remaining to be Sold |
$0 |
USD |
|
Clarification of Response (if Necessary):
14. Investors
|
|
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering. |
|
|
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: |
|
15. Sales Commissions & Finder's Fees Expenses
Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
| Sales Commissions |
$3,485,791 |
USD |
|
| Finders' Fees |
$0 |
USD |
|
Clarification of Response (if Necessary):
16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
Clarification of Response (if Necessary):
Transaction based fees accruing to related parties.Signature and Submission
Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.
Terms of Submission
| In submitting this notice, each issuer named above is: |
- Notifying the SEC and/or each State in which this notice is filed of the offering of
securities described and undertaking to furnish them, upon written request, in the accordance with applicable
law, the information furnished to offerees.*
- Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator
or other legally designated officer of the State in which the issuer maintains its principal
place of business and any State in which this notice is filed, as its agents for service of
process, and agreeing that these persons may accept service on its behalf, of any notice,
process or pleading, and further agreeing that such service may be made by registered or
certified mail, in any Federal or state action, administrative proceeding, or arbitration
brought against it in any place subject to the jurisdiction of the United States, if the
action, proceeding or arbitration (a) arises out of any activity in connection with the
offering of securities that is the subject of this notice, and (b) is founded, directly or
indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange
Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the
Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii)
the laws of the State in which the issuer maintains its principal place of business or any State
in which this notice is filed.
- Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Regulation D for one of the reasons stated in Rule 505(b)(2)(iii) or Rule 506(d).
|
Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.
For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.
| Issuer |
Signature |
Name of Signer |
Title |
Date |
| Dallas MSA Multifamily DST |
/s/ Keith Lampi |
Keith Lampi |
COO of Member of Signatory Trustee |
2014-04-15 |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
* This undertaking does not affect any limits Section 102(a) of the National Securities Markets
Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to
require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes
of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot
routinely require offering materials under this undertaking or otherwise and can require offering materials only to the
extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.