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.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM D

Notice of Exempt Offering of Securities
OMB APPROVAL
OMB Number: 3235-0076
Estimated average burden
hours per response: 4.00

1. Issuer's Identity

CIK (Filer ID Number) Previous Names
X None
Entity Type
0001628724
   Corporation
   Limited Partnership
   Limited Liability Company
   General Partnership
   Business Trust
X Other (Specify)

Delaware Statutory Trust
Name of Issuer
Colorado Multifamily Portfolio DST
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
   Over Five Years Ago
X Within Last Five Years (Specify Year) 2014
   Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
Colorado Multifamily Portfolio DST
Street Address 1 Street Address 2
2901 BUTTERFIELD ROAD
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
OAK BROOK ILLINOIS 60523 630-218-8000

3. Related Persons

Last Name First Name Middle Name
Inland Private Capital Corporation
Street Address 1 Street Address 2
2901 Butterfield Road
City State/Province/Country ZIP/PostalCode
Oak Brook ILLINOIS 60523
Relationship:    Executive Officer    Director X Promoter

Clarification of Response (if Necessary):

Sponsor of the Issuer.
Last Name First Name Middle Name
Colorado Multifamily Portfolio, L.L.C.
Street Address 1 Street Address 2
2901 Butterfield Road
City State/Province/Country ZIP/PostalCode
Oak Brook ILLINOIS 60523
Relationship:    Executive Officer    Director X Promoter

Clarification of Response (if Necessary):

Depositor of the Issuer.
Last Name First Name Middle Name
Colorado Multifamily Portfolio Exchange, L.L.C.
Street Address 1 Street Address 2
2901 Butterfield Road
City State/Province/Country ZIP/PostalCode
Oak Brook ILLINOIS 60523
Relationship:    Executive Officer    Director X Promoter

Clarification of Response (if Necessary):

Signatory Trustee of the Issuer.
Last Name First Name Middle Name
Lampi Keith
Street Address 1 Street Address 2
2901 Butterfield Road
City State/Province/Country ZIP/PostalCode
Oak Brook ILLINOIS 60523
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Mr. Lampi is the President of Inland Private Capital Corporation, the Member of Colorado Multifamily Portfolio Exchange, L.L.C., the Signatory Trustee of Colorado Multifamily Portfolio DST.

4. Industry Group

   Agriculture
Banking & Financial Services
   Commercial Banking
   Insurance
   Investing
   Investment Banking
   Pooled Investment Fund
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940?
   Yes    No
   Other Banking & Financial Services
   Business Services
Energy
   Coal Mining
   Electric Utilities
   Energy Conservation
   Environmental Services
   Oil & Gas
   Other Energy
Health Care
   Biotechnology
   Health Insurance
   Hospitals & Physicians
   Pharmaceuticals
   Other Health Care
   Manufacturing
Real Estate
   Commercial
   Construction
   REITS & Finance
   Residential
X Other Real Estate
  
 Retailing
  
 Restaurants
Technology
   Computers
   Telecommunications
   Other Technology
Travel
   Airlines & Airports
   Lodging & Conventions
   Tourism & Travel Services
   Other Travel
  
 Other

5. Issuer Size

Revenue Range OR Aggregate Net Asset Value Range
   No Revenues    No Aggregate Net Asset Value
   $1 - $1,000,000    $1 - $5,000,000
   $1,000,001 - $5,000,000    $5,000,001 - $25,000,000
   $5,000,001 - $25,000,000    $25,000,001 - $50,000,000
   $25,000,001 - $100,000,000    $50,000,001 - $100,000,000
   Over $100,000,000    Over $100,000,000
X Decline to Disclose    Decline to Disclose
   Not Applicable    Not Applicable

6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)

   Rule 504(b)(1) (not (i), (ii) or (iii))
   Rule 504 (b)(1)(i)
   Rule 504 (b)(1)(ii)
   Rule 504 (b)(1)(iii)
   Rule 505
X Rule 506(b)
   Rule 506(c)
   Securities Act Section 4(a)(5)
   Investment Company Act Section 3(c)
   Section 3(c)(1)    Section 3(c)(9)  
   Section 3(c)(2)    Section 3(c)(10)
   Section 3(c)(3)    Section 3(c)(11)
   Section 3(c)(4)    Section 3(c)(12)
   Section 3(c)(5)    Section 3(c)(13)
   Section 3(c)(6)    Section 3(c)(14)
   Section 3(c)(7)

7. Type of Filing

   New Notice Date of First Sale 2014-12-29    First Sale Yet to Occur
X Amendment

8. Duration of Offering

Does the Issuer intend this offering to last more than one year?
   Yes X No

9. Type(s) of Securities Offered (select all that apply)

   Equity    Pooled Investment Fund Interests
   Debt    Tenant-in-Common Securities
   Option, Warrant or Other Right to Acquire Another Security    Mineral Property Securities
   Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security X Other (describe)
Beneficial interests in Delaware Statutory Trust reflecting beneficial interests in real estate.

10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer?
   Yes X No

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    None
Inland Securities Corporation 15807
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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		    All States
   Foreign/non-US
ILLINOIS
Recipient
Recipient CRD Number    None
Dwight K. Kay 5376903
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Concorde Investment Services, Inc. 151604
Street Address 1 Street Address 2
927 Deep Valley Drive, Suite 196
City State/Province/Country ZIP/Postal Code
Rolling Hills Estates CALIFORNIA 90274
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
FLORIDA
PENNSYLVANIA
Recipient
Recipient CRD Number    None
Ryan P. Joyce 2889224
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
B.B. Graham & Company, Inc. 41533
Street Address 1 Street Address 2
4800 Bee Cave Drive
City State/Province/Country ZIP/Postal Code
Austin TEXAS 78746
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
William S. 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
   Foreign/non-US
CONNECTICUT
MASSACHUSETTS
NEW JERSEY
NEW YORK
PENNSYLVANIA
RHODE ISLAND
VERMONT
Recipient
Recipient CRD Number    None
Mark T. Maund 3012539
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Purshe Kaplan Sterling Investments 35747
Street Address 1 Street Address 2
1029 Greene Street
City State/Province/Country ZIP/Postal Code
Augusta GEORGIA 30901
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
SOUTH CAROLINA
Recipient
Recipient CRD Number    None
Troy Thomas 4691720
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
McDermott Investment Services, LLC 154926
Street Address 1 Street Address 2
101 Main Street, Suite 260
City State/Province/Country ZIP/Postal Code
Huntington Beach CALIFORNIA 92648
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
COLORADO
Recipient
Recipient CRD Number    None
Joseph R. Broadbent 3132498
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
DFPG Investments, Inc. 155576
Street Address 1 Street Address 2
406 West South Jordan Parkway Suite 200
City State/Province/Country ZIP/Postal Code
South Jordan UTAH 84095
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Tyrone H. Wynfield 1341666
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Hagen Securities, Inc. 27353
Street Address 1 Street Address 2
2112 Century Park Lane, Suite 415
City State/Province/Country ZIP/Postal Code
Los Angeles CALIFORNIA 90067
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Eric S. Scaff 5281210
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Concorde Investment Services, LLC 151604
Street Address 1 Street Address 2
300 Montgomery Street, Suite 631
City State/Province/Country ZIP/Postal Code
San Francisco CALIFORNIA 94101
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Nathaniel M. Kuhn 4624143
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Concorde Investment Services, LLC 151604
Street Address 1 Street Address 2
1100 West Northwest Highway, Suite 114
City State/Province/Country ZIP/Postal Code
Mt. Prospect ILLINOIS 60056
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ILLINOIS
Recipient
Recipient CRD Number    None
Byron J. Ishiwata 4610456
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
1st Global Capital Corp. 30349
Street Address 1 Street Address 2
160 West Santa Clara Street, Suite 900
City State/Province/Country ZIP/Postal Code
San Jose CALIFORNIA 95113-1700
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Michael A. Bendix 5379777
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
DFPG Investments, Inc. 155576
Street Address 1 Street Address 2
903 Springwood Lane
City State/Province/Country ZIP/Postal Code
Encinitas CALIFORNIA 92024
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
Recipient
Recipient CRD Number    None
Linda J. Wimsatt 1401802
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VFG Securities, Inc. 15121
Street Address 1 Street Address 2
2173 Salk Avenue, Suite 250
City State/Province/Country ZIP/Postal Code
Carlsbad CALIFORNIA 92008
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Steven D. Meahan 1234042
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
DFPG Investments, Inc. 155576
Street Address 1 Street Address 2
3039 Woodside Meadow
City State/Province/Country ZIP/Postal Code
Pleasant Hill CALIFORNIA 94523
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Debra J. Schleining 2768752
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Colorado Financial Service Corporation 104343
Street Address 1 Street Address 2
13530 Parker Street
City State/Province/Country ZIP/Postal Code
Omaha NEBRASKA 68154-3834
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Edwin T. Suzuki 4851317
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Newport Coast Securities, Inc. 16944
Street Address 1 Street Address 2
18872 Macarthur Boulevard, Suite 100
City State/Province/Country ZIP/Postal Code
Irvine CALIFORNIA 92612
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
James T. Walesa 1061209
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Triad Advisors, Inc. 25803
Street Address 1 Street Address 2
1460 Renaissance Drive, Suite 212
City State/Province/Country ZIP/Postal Code
Park Ridge ILLINOIS 60068
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ILLINOIS
TEXAS
WISCONSIN
Recipient
Recipient CRD Number    None
William LaPiana 4580411
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Newbridge Securities Corporation 104065
Street Address 1 Street Address 2
225 West 35th Street 16th Floor, Suite 100
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10001
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW YORK
Recipient
Recipient CRD Number    None
Christina S. Nielson 4866971
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Primex 29394
Street Address 1 Street Address 2
650 Town Center Drive, Suite 1400
City State/Province/Country ZIP/Postal Code
Costa Mesa CALIFORNIA 92626
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
NEW MEXICO
Recipient
Recipient CRD Number    None
Joral T. Schmalle 4491484
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sigma Financial Corporation 14303
Street Address 1 Street Address 2
1009 Amito Drive
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
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
David B. Levinson 705929
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Newport Coast Securities, Inc. 16944
Street Address 1 Street Address 2
18872 Macarthur Boulevard, Suite 100
City State/Province/Country ZIP/Postal Code
Irvine CALIFORNIA 92612
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
CONNECTICUT
Recipient
Recipient CRD Number    None
William J. Connaker 5853942
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Newport Coast Securities, Inc. 16944
Street Address 1 Street Address 2
18872 Macarthur Boulevard, Suite 100
City State/Province/Country ZIP/Postal Code
Irvine CALIFORNIA 92612
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Robert J. Zamecki 475757
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Colorado Financial Service Corporation 104343
Street Address 1 Street Address 2
9351 Holt Road
City State/Province/Country ZIP/Postal Code
Carmel CALIFORNIA 93923
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Stacey J. Morimoto 4420782
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
DFPG Investments, Inc. 155576
Street Address 1 Street Address 2
4445 East Gate Mall, Suite 200
City State/Province/Country ZIP/Postal Code
San Diego CALIFORNIA 92067
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
FLORIDA
Recipient
Recipient CRD Number    None
Kyle M. Imholte 5448950
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
1st Global Capital Corp. 30349
Street Address 1 Street Address 2
1215 Washington Avenue South
City State/Province/Country ZIP/Postal Code
Detroit Lakes MINNESOTA 56502
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NORTH DAKOTA
Recipient
Recipient CRD Number    None
Daniel L. Whittenburg 2181920
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lincoln Financial Advisors Corporation 3978
Street Address 1 Street Address 2
3165 East Millrock Drive Suites 300 and 325
City State/Province/Country ZIP/Postal Code
Salt Lake City UTAH 84121
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
UTAH
Recipient
Recipient CRD Number    None
Terry L. Daniels 4309671
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Madison Avenue Securities, Inc. 23224
Street Address 1 Street Address 2
1661 US 231 South
City State/Province/Country ZIP/Postal Code
Crawfordsville INDIANA 47933
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
INDIANA
Recipient
Recipient CRD Number    None
Preston P. Mokris 5179201
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Concorde Investment Services, LLC 151604
Street Address 1 Street Address 2
633 Georgetown Road
City State/Province/Country ZIP/Postal Code
Raleigh NORTH CAROLINA 27608
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NORTH CAROLINA
Recipient
Recipient CRD Number    None
Norman D. Loofbourrow 1310725
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
American Investors Company 38
Street Address 1 Street Address 2
2410 Camino Ramon, Suite 185
City State/Province/Country ZIP/Postal Code
San Ramon CALIFORNIA 94583
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Joseph G. Michaletz 1327534
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Triad Advisors, Inc. 25803
Street Address 1 Street Address 2
150 St. Andrews Court, 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
   Foreign/non-US
MINNESOTA
Recipient
Recipient CRD Number    None
Robert C. Meyer 5262157
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Berthel, Fisher & Company Financial Services, Inc. 13609
Street Address 1 Street Address 2
4114 Sugar Pine Way
City State/Province/Country ZIP/Postal Code
Livermore CALIFORNIA 94551-6782
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
David M. Nelson 2120855
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research, Inc. 39543
Street Address 1 Street Address 2
880 13th Avenue North
City State/Province/Country ZIP/Postal Code
Clinton IOWA 52732
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
UTAH
Recipient
Recipient CRD Number    None
Kenneth M. Nelson 3231051
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research, Inc. 39543
Street Address 1 Street Address 2
880 13th Avenue North
City State/Province/Country ZIP/Postal Code
Clinton IOWA 52732
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
UTAH
Recipient
Recipient CRD Number    None
Larry K. Manuel 1698280
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lincoln Financial Advisors Corporation 3978
Street Address 1 Street Address 2
4250 Executive Square, Suite 700
City State/Province/Country ZIP/Postal Code
La Jolla CALIFORNIA 92037
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Darrin W. Gustafson 3227510
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lincoln Financial Advisors Corporation 3978
Street Address 1 Street Address 2
4250 Executive Square, Suite 700
City State/Province/Country ZIP/Postal Code
La Jolla CALIFORNIA 92037
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Bradley A. Levin 2457718
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Commonwealth Financial Network 8032
Street Address 1 Street Address 2
21031 Ventura Boulevard, Suite 103
City State/Province/Country ZIP/Postal Code
Woodland Hills CALIFORNIA 91364
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Carol L. King 4890394
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
1st Global Capital Corp. 30349
Street Address 1 Street Address 2
40 North French Broad Avenue
City State/Province/Country ZIP/Postal Code
Asheville NORTH CAROLINA 28801
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NORTH CAROLINA
Recipient
Recipient CRD Number    None
Adam J. Bryan 5443986
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Centaurus Financial, Inc. 30833
Street Address 1 Street Address 2
6633 South Halm Avenue
City State/Province/Country ZIP/Postal Code
Los Angeles CALIFORNIA 90056
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
WASHINGTON
Recipient
Recipient CRD Number    None
Robert R. Tweed 2339324
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Concorde Financial Services, LLC 151604
Street Address 1 Street Address 2
2060 Huntington Drive, Suite 1
City State/Province/Country ZIP/Postal Code
San Marino CALIFORNIA 91108
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Cathie M. Callahan Ditri 1000657
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Western International Securities, Inc. 39262
Street Address 1 Street Address 2
27201 Puerto Real, Suite 300
City State/Province/Country ZIP/Postal Code
Mission Viejo CALIFORNIA 92691
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
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
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
John C. Nelson 1667811
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Securities America, Inc. 10205
Street Address 1 Street Address 2
1375 Lenoir Rhyne Boulevard SE Suite 101
City State/Province/Country ZIP/Postal Code
Hickory NORTH CAROLINA 28602-5171
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NORTH CAROLINA
Recipient
Recipient CRD Number    None
Thomas D. Sanders 1280319
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research, Inc. 39543
Street Address 1 Street Address 2
1509 Mart Drive, Suite B
City State/Province/Country ZIP/Postal Code
Little Rock ARKANSAS 72202
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARKANSAS
MISSOURI
Recipient
Recipient CRD Number    None
James D. Warring 3198200
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Triad Advisors, Inc. 25803
Street Address 1 Street Address 2
11 North Washington Street, Suite 720
City State/Province/Country ZIP/Postal Code
Rockville MARYLAND 20850
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MARYLAND
Recipient
Recipient CRD Number    None
Tedric E. Hoornstra 3152018
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
J.W. Cole Financial, Inc. 124583
Street Address 1 Street Address 2
411 15th Avenue North
City State/Province/Country ZIP/Postal Code
St. Petersburg FLORIDA 33704
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
GEORGIA
Recipient
Recipient CRD Number    None
Habib M. Iskander 2326918
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sagepoint Financial, Inc. 133763
Street Address 1 Street Address 2
7700 Irvine Center Drive, Suite 800
City State/Province/Country ZIP/Postal Code
Irvine CALIFORNIA 92618
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
John W. Posey 5165747
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research, Inc. 39543
Street Address 1 Street Address 2
615 West 1st Street
City State/Province/Country ZIP/Postal Code
Grand Island NEBRASKA 68801
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEBRASKA
Recipient
Recipient CRD Number    None
Randy A. 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 Boulevard Suite 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
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Mark G. Kosanke 2317906
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Concorde Investment Services, LLC 151604
Street Address 1 Street Address 2
1120 East Long Lake Road, Suite 250
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		    All States
   Foreign/non-US
MICHIGAN
Recipient
Recipient CRD Number    None
John P. Harvey, Jr. 4227692
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Darren C. Brooks 2601668
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Commonwealth Financial Network 8032
Street Address 1 Street Address 2
7201 Center Street
City State/Province/Country ZIP/Postal Code
Mentor OHIO 44060
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OHIO
Recipient
Recipient CRD Number    None
Tony R. Price 2695786
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Royal Alliance Securities, Inc. 23131
Street Address 1 Street Address 2
750 Old Hickory Boulevard
City State/Province/Country ZIP/Postal Code
Brentwood TENNESSEE 37027
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TENNESSEE
Recipient
Recipient CRD Number    None
Jae E. Waters 3277409
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Royal Alliance Securities, Inc. 23131
Street Address 1 Street Address 2
750 Old Hickory Boulevard
City State/Province/Country ZIP/Postal Code
Brentwood TENNESSEE 37027
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TENNESSEE
Recipient
Recipient CRD Number    None
Nancy L. Congdon 2136551
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research, Inc. 39543
Street Address 1 Street Address 2
9755 SW Barnes Road, Suite 610
City State/Province/Country ZIP/Postal Code
Portland OREGON 97225
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OREGON
Recipient
Recipient CRD Number    None
Molly M. Grubb 5647291
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research, Inc. 39543
Street Address 1 Street Address 2
4656 Executive Drive, Suite 100
City State/Province/Country ZIP/Postal Code
Columbus OHIO 43220
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OHIO
Recipient
Recipient CRD Number    None
Larry D. Queen 851743
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research, Inc. 39543
Street Address 1 Street Address 2
4656 Executive Drive, Suite 100
City State/Province/Country ZIP/Postal Code
Columbus OHIO 43220
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OHIO
Recipient
Recipient CRD Number    None
Joseph A. Graziano 2442582
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
TFS Securities, Inc. 20626
Street Address 1 Street Address 2
847 Broadway
City State/Province/Country ZIP/Postal Code
Bayonne NEW JERSEY 07002
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW YORK
Recipient
Recipient CRD Number    None
Scott D. Offerman 4619093
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Concorde Investment Services, LLC 151604
Street Address 1 Street Address 2
28 West 44th Street, Suite 902
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10036
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW YORK
Recipient
Recipient CRD Number    None
Kirk D. Dobson 4049865
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Ameritas Investment Corp. 14869
Street Address 1 Street Address 2
3150 Crow Canyon Place, Suite 200
City State/Province/Country ZIP/Postal Code
San Ramon CALIFORNIA 94583
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Daniel P. Raupp 4079107
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
J.P. Turner & Company, L.L.C. 43177
Street Address 1 Street Address 2
417 East Main Street, 3rd Floor
City State/Province/Country ZIP/Postal Code
Port Jefferson NEW YORK 11777
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW YORK
Recipient
Recipient CRD Number    None
Derek N. Eichenwald 4613771
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
J.P. Turner & Company, L.L.C. 43177
Street Address 1 Street Address 2
1610 Wynkoop Street, Suite 550
City State/Province/Country ZIP/Postal Code
Denver COLORADO 80202
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
Recipient
Recipient CRD Number    None
Mark A. Keen 3178657
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
The Strategic Financial Alliance, Inc. 126514
Street Address 1 Street Address 2
10300 Eaton Place, Suite 470
City State/Province/Country ZIP/Postal Code
Fairfax VIRGINIA 22030
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
VIRGINIA
Recipient
Recipient CRD Number    None
Harold E. Briggs, Jr. 4404074
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
1st Global Capital Corp. 30349
Street Address 1 Street Address 2
117 Metro Center Boulevard, Suite 3000
City State/Province/Country ZIP/Postal Code
Warwick RHODE ISLAND 02886
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
RHODE ISLAND
Recipient
Recipient CRD Number    None
Frances R. Bowen 872513
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Winslow, Evans & Crocker, Inc. 29686
Street Address 1 Street Address 2
175 Federal Street, 6th Floor
City State/Province/Country ZIP/Postal Code
Boston MASSACHUSETTS 02110
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
GEORGIA
Recipient
Recipient CRD Number    None
Gregory C. Mottau 341596
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
FSC Securities Corporation 7461
Street Address 1 Street Address 2
3819 NE Columbia Boulevard
City State/Province/Country ZIP/Postal Code
Portland OREGON 97211
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OREGON
Recipient
Recipient CRD Number    None
Jeffrey M. Warren 5616071
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Crown Capital Securities, L.P. 6312
Street Address 1 Street Address 2
29222 Rancho Viejo Road, Suite 126-B
City State/Province/Country ZIP/Postal Code
San Juan Capistrano CALIFORNIA 92675
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Larry R. Law 1273118
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
JRL Capital Corporation 10225
Street Address 1 Street Address 2
20371 Irvine Avenue, Suite A-140
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
   Foreign/non-US
COLORADO
Recipient
Recipient CRD Number    None
John J. Aguilera 2066720
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sagepoint Financial, Inc. 133763
Street Address 1 Street Address 2
4755 Oceanside Boulevard, Suite 140
City State/Province/Country ZIP/Postal Code
Oceanside CALIFORNIA 92056
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Willard B. Wellings 4436815
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
1st Global Capital Corp. 30349
Street Address 1 Street Address 2
695 Oak Grove Avenue, Suite 100
City State/Province/Country ZIP/Postal Code
Menlo Park CALIFORNIA 94025
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Jon Paul Cirelli 4729737
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
J.P. Turner & Company, L.L.C. 43177
Street Address 1 Street Address 2
417 East Main Street, 3rd Floor
City State/Province/Country ZIP/Postal Code
Port Jefferson NEW YORK 11777
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
Recipient
Recipient CRD Number    None
Theresa M. Hall 1404084
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Securities America, Inc. 10205
Street Address 1 Street Address 2
1730 Burnt Boat Loop
City State/Province/Country ZIP/Postal Code
Bismarck NORTH DAKOTA 58502-1914
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NORTH DAKOTA
Recipient
Recipient CRD Number    None
Alan N. Lichtenstein 1877017
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
J.P. Turner & Company, L.L.C. 43177
Street Address 1 Street Address 2
417 East Main Street, 3rd Floor
City State/Province/Country ZIP/Postal Code
Port Jefferson NEW YORK 11777
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CONNECTICUT
Recipient
Recipient CRD Number    None
Donald S. Meredith 1867703
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Concorde Investment Services, LLC 151604
Street Address 1 Street Address 2
16921-C Via Santa Fe
City State/Province/Country ZIP/Postal Code
Rancho Santa Fe CALIFORNIA 92067
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Christopher R. Rubano 1571187
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
First Allied Securities, Inc. 32444
Street Address 1 Street Address 2
101 Tyrellan Avenue, Suite 400
City State/Province/Country ZIP/Postal Code
Staten Island NEW YORK 10309
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW YORK
Recipient
Recipient CRD Number    None
David A. Bastoni 2451452
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Securities America, Inc. 10205
Street Address 1 Street Address 2
2600 East Bidwell Street, Suite 260
City State/Province/Country ZIP/Postal Code
Folsom CALIFORNIA 95630
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
David E. Stone 2280955
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lincoln Financial Advisors Corporation 3978
Street Address 1 Street Address 2
1013 Galleria Boulevard, Suite 270
City State/Province/Country ZIP/Postal Code
Roseville CALIFORNIA 95678
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
James T. Mabbott 2270546
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
J.P. Turner & Company, L.L.C. 43177
Street Address 1 Street Address 2
3 Marchin Drive
City State/Province/Country ZIP/Postal Code
Coto De Caza CALIFORNIA 92679
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Marc A. Bongiorno 2843043
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Royal Alliance Associates, Inc. 23131
Street Address 1 Street Address 2
194-02 Northern Boulevard, Suite LL2
City State/Province/Country ZIP/Postal Code
Flushing NEW YORK 11358
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW YORK
Recipient
Recipient CRD Number    None
Luis A. Ramos 2998787
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Royal Alliance Securities, Inc. 23131
Street Address 1 Street Address 2
194-02 Northern Boulevard, Suite LL2
City State/Province/Country ZIP/Postal Code
Flushing NEW YORK 11358
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW YORK
Recipient
Recipient CRD Number    None
Derek B. Ferriera 1290274
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lincoln Financial Advisors Corporation 3978
Street Address 1 Street Address 2
2105 South Bascom Avenue, Suite 300
City State/Province/Country ZIP/Postal Code
Campbell CALIFORNIA 95008
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
Matthew E. Roberson 3090052
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lincoln Financial Advisors Corporation 3978
Street Address 1 Street Address 2
2105 South Bascom Avenue, Suite 300
City State/Province/Country ZIP/Postal Code
Campbell CALIFORNIA 95008
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Alec B. Abbott 1414999
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sagepoint Financial, Inc. 133763
Street Address 1 Street Address 2
4100 Newport Place, Suite 600
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
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Curtis R. Ile 4009787
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Ameritas Investment Corp. 14869
Street Address 1 Street Address 2
12614 East 500 Road
City State/Province/Country ZIP/Postal Code
Mt. Carmel ILLINOIS 62863
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ILLINOIS
Recipient
Recipient CRD Number    None
Jason H. Freeman 2995587
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Triad Advisors, Inc. 25803
Street Address 1 Street Address 2
8 Pelham Road
City State/Province/Country ZIP/Postal Code
Greenville SOUTH CAROLINA 29615
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WASHINGTON
Recipient
Recipient CRD Number    None
Bryon E. Martinsen 1621649
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Centaurus Financial, Inc. 30833
Street Address 1 Street Address 2
220 Fort Salonga Road, Suite 301C
City State/Province/Country ZIP/Postal Code
Northport NEW YORK 11768
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Larry M. Pence 359671
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cetera Advisors LLC 10299
Street Address 1 Street Address 2
2425 South 144th Street, Suite 201
City State/Province/Country ZIP/Postal Code
Omaha NEBRASKA 68144
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEBRASKA
Recipient
Recipient CRD Number    None
Brian A. Dawidowicz 4473563
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Royal Alliance Associates, Inc. 23131
Street Address 1 Street Address 2
7777 Alvarado Road, Suite 300
City State/Province/Country ZIP/Postal Code
La Mesa CALIFORNIA 91942
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Ann H. Stewart 2388888
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research, Inc. 39543
Street Address 1 Street Address 2
2114 North Lincoln Avenue, Suite 206
City State/Province/Country ZIP/Postal Code
Loveland COLORADO 80538
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
Recipient
Recipient CRD Number    None
Allen G. Yee 1934271
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
First Allied Securities, Inc. 32444
Street Address 1 Street Address 2
1499 Huntington Drive, Suite 303
City State/Province/Country ZIP/Postal Code
South Pasadena CALIFORNIA 91030
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Michael J. D'Epagnier 2067061
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sagepoint Financial, Inc. 133763
Street Address 1 Street Address 2
193 South 127th Avenue, Suite 300
City State/Province/Country ZIP/Postal Code
Brighton COLORADO 80601
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
Recipient
Recipient CRD Number    None
Lawrin W. Van Keuren, II 2435150
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
ARI Financial Services, Inc. 137608
Street Address 1 Street Address 2
9120 West 135th Street, Suite 212
City State/Province/Country ZIP/Postal Code
Overland Park KANSAS 66221
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
Recipient
Recipient CRD Number    None
Kathryn L. Young 1625217
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research, Inc. 39543
Street Address 1 Street Address 2
1405 West Main Street
City State/Province/Country ZIP/Postal Code
Boise IDAHO 83702
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
IDAHO
Recipient
Recipient CRD Number    None
Cornelius G. McAuliffe, III 1787693
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Crown Capital Securities, L.P. 6312
Street Address 1 Street Address 2
2660 Townsgate Road, Suite 160
City State/Province/Country ZIP/Postal Code
Westlake Village CALIFORNIA 91361
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Michael L. Markey 320042
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
American Investors Company 38
Street Address 1 Street Address 2
1655 North Main Street, Suite 270
City State/Province/Country ZIP/Postal Code
Walnut Creek CALIFORNIA 94596
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Devin J. Garafalo 4853435
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lincoln Financial Advisors Corporation 3978
Street Address 1 Street Address 2
10900 Nuckols Road, Suite 250
City State/Province/Country ZIP/Postal Code
Glen Allen VIRGINIA 23060
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
VIRGINIA
Recipient
Recipient CRD Number    None
Alec B. Abbott 1414999
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sagepoint Financial, Inc. 133763
Street Address 1 Street Address 2
4100 Newport Place, Suite 600
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
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Craig M. Rollins 1896698
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
DFPG Investments, Inc. 155576
Street Address 1 Street Address 2
742 North 530 East
City State/Province/Country ZIP/Postal Code
Orem UTAH 94097
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
UTAH
Recipient
Recipient CRD Number    None
Leslie B. Goldstein 1300590
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Securities America, Inc. 10205
Street Address 1 Street Address 2
626 Busse Highway
City State/Province/Country ZIP/Postal Code
Park Ridge ILLINOIS 60068
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ILLINOIS
Recipient
Recipient CRD Number    None
Brandon S. Wagner 4992650
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Woodbury Financial Services, Inc. 421
Street Address 1 Street Address 2
121 South 5th Street
City State/Province/Country ZIP/Postal Code
Bismarck NORTH DAKOTA 58504
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NORTH DAKOTA
Recipient
Recipient CRD Number    None
Timothy R. Tehan 3230535
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Triad Advisors, Inc. 25803
Street Address 1 Street Address 2
7735 Old Georgetown Road, Suite 800
City State/Province/Country ZIP/Postal Code
Bethesda MARYLAND 20814
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MARYLAND

13. Offering and Sales Amounts

Total Offering Amount $91,015,551 USD
or    Indefinite
Total Amount Sold $75,057,160 USD
Total Remaining to be Sold $15,958,391 USD
or    Indefinite

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:
184

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 $5,460,933 USD
X Estimate
Finders' Fees $0 USD
   Estimate

Clarification of Response (if Necessary):

This response is based on the assumption that the full amount of the potential sales commissions will be earned and paid.

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.

$6,849,412 USD
X Estimate

Clarification of Response (if Necessary):

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
Colorado Multifamily Portfolio DST /s/ Keith Lampi Keith Lampi President of the Member of the Signatory Trustee 2015-05-20

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.