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 |
|
Entity Type |
| 0001710485 |
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| |
Corporation |
| |
Limited Partnership |
| |
Limited Liability Company |
| |
General Partnership |
| X |
Business Trust |
| |
Other (Specify) |
|
| Name of Issuer |
| Denver MSA Multifamily II DST |
| Jurisdiction of Incorporation/Organization |
| DELAWARE |
| Year of Incorporation/Organization |
| |
Over Five Years Ago |
| X |
Within Last Five Years (Specify Year) |
2017 |
| |
Yet to Be Formed |
|
2. Principal Place of Business and Contact Information
| Name of Issuer |
| Denver MSA Multifamily II DST |
| Street Address 1 |
Street Address 2 |
| C/- INLAND PRIVATE CAPITAL CORPORATION |
2901 BUTTERFIELD ROAD |
| City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
| OAK BROOK |
ILLINOIS |
60523 |
6302184916 |
3. Related Persons
| 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 |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Sponsor of the Issuer
| Last Name |
First Name |
Middle Name |
| Denver MSA Multifamily II Exchange, L.L.C |
N/A |
| Street Address 1 |
Street Address 2 |
| c/o Inland Private Capital Corporation |
| City |
State/Province/Country |
ZIP/PostalCode |
| Oak Brook |
ILLINOIS |
60523 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Signatory Trustee of the Issuer
| Last Name |
First Name |
Middle Name |
| IPCC Multifamily Depositor DST |
N/A |
| Street Address 1 |
Street Address 2 |
| c/o Inland Private Capital Corporation |
| City |
State/Province/Country |
ZIP/PostalCode |
| Oak Brook |
ILLINOIS |
60523 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Depositor of the Issuer
4. Industry Group
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Agriculture |
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Banking & Financial Services |
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| |
Commercial Banking |
| |
Insurance |
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Investing |
| |
Investment Banking |
| |
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 |
| |
No Revenues |
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No Aggregate Net Asset Value |
| |
$1 - $1,000,000 |
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$1 - $5,000,000 |
| |
$1,000,001 - $5,000,000 |
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$5,000,001 - $25,000,000 |
| |
$5,000,001 - $25,000,000 |
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$25,000,001 - $50,000,000 |
| |
$25,000,001 - $100,000,000 |
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$50,000,001 - $100,000,000 |
| |
Over $100,000,000 |
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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)) |
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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
| |
New Notice |
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Date of First Sale |
2017-07-07 |
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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 |
| |
Debt |
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Tenant-in-Common Securities |
| |
Option, Warrant or Other Right to Acquire Another Security |
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Mineral Property Securities |
| |
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? |
|
|
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 |
|
| WealthForge Securities LLC |
152550 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Chay Lapin |
6275140 |
| Street Address 1 |
Street Address 2 |
| 6800 Paragon Place |
Suite 200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Richmond |
VIRGINIA |
23230 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Cambridge Investment Research, Inc |
39543 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Ann Stewart |
2388888 |
| Street Address 1 |
Street Address 2 |
| 2114 N. Lincoln Ave #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 |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Kovack Securities, Inc |
44848 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Douglas Lagerstrom |
2177433 |
| Street Address 1 |
Street Address 2 |
| 5850 Canoga Avenue |
Suite 315 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Woodland Hills |
CALIFORNIA |
91367 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Concorde Investment Services, LLC |
151604 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
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| Robert Smith |
1412333 |
| Street Address 1 |
Street Address 2 |
| 5000 Meadows Road |
Suite 230 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lake Oswego |
OREGON |
97035 |
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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| DFPG Investments, Inc |
155576 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Scott Sheehan |
2328614 |
| 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 |
|
|
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| Recipient |
| Recipient CRD Number |
|
None |
|
| Concorde Investment Services LLC |
151604 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
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| Timothy Stauffer |
4178198 |
| Street Address 1 |
Street Address 2 |
| 333 Fiddlers Cove |
| 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 |
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| Concorde Investment Services, LLC |
151604 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Nathan Kuhn |
4624143 |
| Street Address 1 |
Street Address 2 |
| 120 W Eastman |
Suite 300 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Arlington Heights |
ILLINOIS |
60004 |
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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| Boustead Securities, LLC |
141391 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Edward Fernandez |
2956661 |
| Street Address 1 |
Street Address 2 |
| 6 Venture Suite 325 |
| 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 |
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| Recipient |
| Recipient CRD Number |
|
None |
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| Parkland Securities, LLC |
115368 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Blayne Anderson |
5727397 |
| Street Address 1 |
Street Address 2 |
| 810 Pancheri Drive |
| City |
State/Province/Country |
ZIP/Postal Code |
| Idaho Falls |
IDAHO |
83402 |
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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| Lion Street Financial, LLC |
165828 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Courtney Stewart |
5261708 |
| Street Address 1 |
Street Address 2 |
| 3 Centerpointe Dr |
Suite 160 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lake Oswego |
OREGON |
97035 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| First Allied Securities, Inc |
32444 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Robert Cheney |
2825660 |
| Street Address 1 |
Street Address 2 |
| 158 Goya Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Portola Valley |
CALIFORNIA |
94028 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Concorde Investment Services LLC |
151604 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Joseph Michaletz |
1327534 |
| 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 |
|
None |
|
| Vanderbilt FInancial Group |
37891 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Jeffrey Baker |
2102752 |
| Street Address 1 |
Street Address 2 |
| 12 E. Water Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Newburgh |
INDIANA |
47629 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| H.D. Vest Investment Securities Inc |
13686 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Frank Douglass |
5577855 |
| Street Address 1 |
Street Address 2 |
| 123-B Library Hill Lane |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lexington |
SOUTH CAROLINA |
29072 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| H.D. Vest Investment Securities Inc |
13686 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Victor Hazard |
1617276 |
| Street Address 1 |
Street Address 2 |
| 25124 Narbonne Ave |
Suite 205 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lomita |
CALIFORNIA |
90717 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| 1st Global Capital Corporation |
30349 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| LeAnn Grover |
3146835 |
| Street Address 1 |
Street Address 2 |
| 404 Main Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Zumbrota |
MINNESOTA |
55992 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Lincoln Financial Advisors |
3978 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Brandon Nelson |
3125377 |
| Street Address 1 |
Street Address 2 |
| 3165 East Millrock Drive |
Suite 300 |
| 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 |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Sagepoint Financial, Inc |
133763 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Mark Iskander |
2326918 |
| 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 |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Cetera Advisors, LLC |
10299 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Melinda Olbert |
2893793 |
| Street Address 1 |
Street Address 2 |
| 9012 N Kelley Ave |
| City |
State/Province/Country |
ZIP/Postal Code |
| Oklahoma City |
OKLAHOMA |
73131 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Commonwealth Financial Network |
8032 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Robert Condon |
823679 |
| Street Address 1 |
Street Address 2 |
| 1312 9th Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Berkeley |
CALIFORNIA |
94710 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Commonwealth Financial Network |
8032 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Hiro Kagiyama |
5443419 |
| Street Address 1 |
Street Address 2 |
| 1312 9th Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Berkeley |
CALIFORNIA |
94710 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Cambridge Investment Research |
39543 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| John Wells |
2479784 |
| Street Address 1 |
Street Address 2 |
| 222 W Coleman Blvd |
Suite 124 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Mount Pleasant |
SOUTH CAROLINA |
29464 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Lion Street Financial, LLC |
165828 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Tim Clairmont |
2847591 |
| Street Address 1 |
Street Address 2 |
| 3 Centerpointe Dr |
Suite 160 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lake Oswego |
OREGON |
97035 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Sagepoint Financial, Inc |
2326918 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Erkii Peippo |
4570008 |
| Street Address 1 |
Street Address 2 |
| 112 North 11th Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Escanaba |
MICHIGAN |
49829 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Woodbury Financial Services, Inc |
421 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| David Florell |
5210813 |
| Street Address 1 |
Street Address 2 |
| 5831 South 58th |
Suite D |
| 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 |
|
| Sandlapper Securities, LLC |
137906 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Timothy John Sherer |
833618 |
| Street Address 1 |
Street Address 2 |
| 1754 Technology Drive |
Suite 236 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Jose |
CALIFORNIA |
95110 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Concorde Investment Services, LLC |
151604 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Eric Scaff |
5281210 |
| Street Address 1 |
Street Address 2 |
| 300 Montomery Street |
| 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 |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Sandlapper Securities, LLC |
137906 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Ryan John Sherer |
5952617 |
| Street Address 1 |
Street Address 2 |
| 1754 Technology Dr |
Suite 236 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Jose |
CALIFORNIA |
95110 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| 1st Global Capital Corporation |
30349 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Timothy Dilley |
5843205 |
| Street Address 1 |
Street Address 2 |
| 175 E. Penny Road |
Suite 1 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Wenatchee |
WASHINGTON |
98801 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| H.D Vest Investment Securities, Inc |
13686 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Rob Stern |
3147256 |
| Street Address 1 |
Street Address 2 |
| 24961 The Old Road |
2nd Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| Stevenson Ranch |
CALIFORNIA |
91381 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Vanderbilt Securities, LLC |
5953 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Jeffrey Baker |
2102752 |
| Street Address 1 |
Street Address 2 |
| 12 E. Water Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Newburgh |
INDIANA |
47629 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| H.D Vest Investment Securities |
13686 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| AnnMarie Milinazzo |
2500498 |
| Street Address 1 |
Street Address 2 |
| 469N S. Cherry Street |
Suite 210 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Denver |
COLORADO |
80246 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| 1st Global Capital Corporation |
30349 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Jeanne Duce |
4580520 |
| Street Address 1 |
Street Address 2 |
| 3140 De La Cruz Blvd |
Suite 200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Santa Clara |
CALIFORNIA |
95054 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Sagepoint Financial, Inc |
2326918 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Steven Yasbeck |
2293457 |
| Street Address 1 |
Street Address 2 |
| 8765 E. Bell Road |
Suite 204 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Scottsdale |
ARIZONA |
85260 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| 1st Global Capital Corporation |
30349 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Terry Scroggin |
4583317 |
| Street Address 1 |
Street Address 2 |
| 824 Pine Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Klamath Falls |
OREGON |
97601-6039 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Cambridge Investment Research |
39543 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Mitchal O'Hare |
4561108 |
| Street Address 1 |
Street Address 2 |
| 515 S. Howes St |
| City |
State/Province/Country |
ZIP/Postal Code |
| Fort Collins |
COLORADO |
80521 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Concorde Investment Services, LLC |
151604 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Jack Creighton |
1495897 |
| Street Address 1 |
Street Address 2 |
| 350 Lincoln Street |
Suite 2400 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Hingham |
MASSACHUSETTS |
02043 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Cambridge Investment Research |
39543 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Sigrid Daugaard |
5481583 |
| Street Address 1 |
Street Address 2 |
| 515 S. Howe St |
| City |
State/Province/Country |
ZIP/Postal Code |
| Fort Collins |
COLORADO |
80521 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Royal Alliance Associates, Inc |
23131 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Orest Baransky |
2808117 |
| Street Address 1 |
Street Address 2 |
| 194-02 Northern Blvd |
Suite LI2 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Flushin |
NEW YORK |
11358 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Silver Portal Capital LLC |
114290 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Craig Fersler |
5558907 |
| 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 |
|
| Cambridge Investment Research |
39543 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Charles Werckenthien |
1009448 |
| Street Address 1 |
Street Address 2 |
| 100 S. Main St |
| City |
State/Province/Country |
ZIP/Postal Code |
| Pendelton |
INDIANA |
46064 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Questar Capital Corp |
43100 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Stephen Swarbrick |
2444058 |
| Street Address 1 |
Street Address 2 |
| 983 Reserve Drive |
| 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 |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Cambridge Investment Research |
39543 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Kathryn Ducio |
2967025 |
| Street Address 1 |
Street Address 2 |
| 1565 Terracina Cir |
| City |
State/Province/Country |
ZIP/Postal Code |
| Manteca |
CALIFORNIA |
95336 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| First Allied Securites, Inc |
32444 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Frisco Escudero |
2794899 |
| Street Address 1 |
Street Address 2 |
| 333 S. Anita Drive |
Suite 700 |
| 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 |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| 1st Global Capital Corporation |
30349 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Gerrin De Groot |
4817044 |
| Street Address 1 |
Street Address 2 |
| 824 Pine Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Klamath Falls |
OREGON |
97601-6039 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| 1st Global Capital Corporation |
30349 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| J Scott Powell |
3181500 |
| Street Address 1 |
Street Address 2 |
| 1205 Two Island Court |
Suite 201 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Mount Pleasant |
SOUTH CAROLINA |
29466 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Voya Financial Advisors |
2882 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Hovsep Dermenjian |
2021912 |
| Street Address 1 |
Street Address 2 |
| 500 N Central Ave |
Suite 940 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Glendale |
CALIFORNIA |
91203 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Cetera Financial Specialists LLC |
10358 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| John Bensfield |
2519689 |
| Street Address 1 |
Street Address 2 |
| 6912 West Cermak Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Berwyn |
ILLINOIS |
60402 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Investacorp, Inc |
7684 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Hadley Weinberg |
1067802 |
| Street Address 1 |
Street Address 2 |
| 35 Harrison Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Jamestown |
NEW YORK |
14701 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Independence Capital Corporation |
14136 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Thomas Scheiman |
1508288 |
| Street Address 1 |
Street Address 2 |
| 5579 Pearl Road |
Suite 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Parma |
OHIO |
44129 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| 1st Global Capital Corporation |
30349 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Ron Horvitz |
1277033 |
| Street Address 1 |
Street Address 2 |
| 3991 Ohio Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Diego |
CALIFORNIA |
92104-3014 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| FSC Securities Corporation |
7461 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Laurence Iannarelli |
1221062 |
| Street Address 1 |
Street Address 2 |
| 3277 Fruitville Road |
Building B |
| City |
State/Province/Country |
ZIP/Postal Code |
| Sarasota |
FLORIDA |
34237 |
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 |
$53,962,913
|
USD |
|
| Total Amount Sold |
$21,640,546
|
USD |
| Total Remaining to be Sold |
$32,322,367
|
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 |
$4,263,070
|
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):
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 |
| Denver MSA Multifamily II DST |
/s/ Keith D. Lampi |
Keith D. Lampi |
President of Member of Signatory Trustee of the Issuer |
2017-08-14 |
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.