0001723529-18-000004.txt : 20180604 0001723529-18-000004.hdr.sgml : 20180604 20180604104739 ACCESSION NUMBER: 0001723529-18-000004 CONFORMED SUBMISSION TYPE: D/A PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20180604 DATE AS OF CHANGE: 20180604 EFFECTIVENESS DATE: 20180604 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Carter Multifamily Growth & Income Fund, LLC CENTRAL INDEX KEY: 0001723529 IRS NUMBER: 320541203 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D/A SEC ACT: 1933 Act SEC FILE NUMBER: 021-310603 FILM NUMBER: 18877140 BUSINESS ADDRESS: STREET 1: 4890 W. KENNEDY BOULEVARD, SUITE 825 CITY: TAMPA STATE: FL ZIP: 33609 BUSINESS PHONE: 8133871691 MAIL ADDRESS: STREET 1: 4890 W. KENNEDY BOULEVARD, SUITE 825 CITY: TAMPA STATE: FL ZIP: 33609 D/A 1 primary_doc.xml X0708 D/A LIVE 0001723529 Carter Multifamily Growth & Income Fund, LLC 4890 W. KENNEDY BOULEVARD, SUITE 825 TAMPA FL FLORIDA 33609 8133871691 DELAWARE None None Limited Liability Company true 2017 John E Carter 4890 Kennedy Boulevard, Suite 825 Tampa FL FLORIDA 33609 Director Chairman of the Board of Directors Joseph Caballero 4890 Kennedy Boulevard, Suite 825 Tampa FL FLORIDA 33609 Director Independent Director Randall Greene 4890 Kennedy Boulevard, Suite 825 Tampa FL FLORIDA 33609 Director Independent Director Cynthia M Pfeifer 4890 Kennedy Boulevard, Suite 825 Tampa FL FLORIDA 33609 Executive Officer Chief Executive Officer Lisa A Drummond 4890 Kennedy Boulevard, Suite 825 Tampa FL FLORIDA 33609 Executive Officer Chief Operating Officer and Secretary Thomas W Guard 4890 Kennedy Boulevard, Suite 825 Tampa FL FLORIDA 33609 Executive Officer Chief Financial Officer REITS and Finance Decline to Disclose 06b true 0001723529-18-000003 2018-04-05 true true false 50000 Niagara International Capital Limited 135327 None None 16935 West Bernardo Drive Suite 140 San Diego CA CALIFORNIA 92127 AL ALABAMA AK ALASKA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA HI HAWAII ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI MT MONTANA NV NEVADA NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA PR PUERTO RICO SC SOUTH CAROLINA TN TENNESSEE TX TEXAS UT UTAH VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN WY WYOMING false Sandlapper Securities, LLC 137906 None None Sandlapper Financial Center 800 E North St., 2nd Floor Greenville SC SOUTH CAROLINA 29601 AL ALABAMA AK ALASKA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA HI HAWAII ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA ME MAINE MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VT VERMONT VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN WY WYOMING false Cabot Lodge Securities LLC 159712 None None 200 Vesey Street 24th Floor New York NY NEW YORK 10281 AL ALABAMA AK ALASKA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA HI HAWAII ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA ME MAINE MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA PR PUERTO RICO RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VT VERMONT VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN WY WYOMING false Calton & Associates, Inc. 20999 None None 2701 N Rocky Point Drive Suite 1000 Tampa FL FLORIDA 33607 AL ALABAMA AK ALASKA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA HI HAWAII ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA ME MAINE MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA PR PUERTO RICO RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VT VERMONT VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN WY WYOMING false Purshe Kaplan Sterling Investments 35747 None None 18 Corporate Woods Blvd. Albany NY NEW YORK 12211 AL ALABAMA AK ALASKA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA HI HAWAII ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA ME MAINE MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VT VERMONT VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN WY WYOMING false Coastal Equities, Inc. 23769 None None 1201 N. Orange Street Suite 729 Wilmington DE DELAWARE 19801 AL ALABAMA AK ALASKA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA HI HAWAII ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA ME MAINE MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA PR PUERTO RICO RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VT VERMONT VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN WY WYOMING false Silber Bennett Financial, Inc. 156435 None None 16133 Ventura Blvd. Suite 700 Encino CA CALIFORNIA 91436 AL ALABAMA AK ALASKA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA HI HAWAII ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA ME MAINE MD MARYLAND MA MASSACHUSETTS MN MINNESOTA MO MISSOURI NV NEVADA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NY NEW YORK ND NORTH DAKOTA OH OHIO OR OREGON PA PENNSYLVANIA SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VT VERMONT VA VIRGINIA WA WASHINGTON WI WISCONSIN false Newbridge Securities Corporation 104065 None None 5200 Town Center Circle Tower 1, Suite 306 Boca Raton FL FLORIDA 33486 AL ALABAMA AK ALASKA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA HI HAWAII ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA ME MAINE MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA PR PUERTO RICO RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VT VERMONT VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN WY WYOMING false Cabin Securities, Inc. 137608 None None 6240 W 135th Street Suite 214 Overland Park KS KANSAS 66223 AZ ARIZONA CA CALIFORNIA CO COLORADO CT CONNECTICUT FL FLORIDA GA GEORGIA IL ILLINOIS IA IOWA KS KANSAS LA LOUISIANA MI MICHIGAN MN MINNESOTA MO MISSOURI NE NEBRASKA NV NEVADA NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TX TEXAS WA WASHINGTON WY WYOMING false Aegis Capital Corp. 15007 None None 810 7th Avenue 18th & 22nd Floor New York NY NEW YORK 10019 AL ALABAMA AK ALASKA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA HI HAWAII ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA ME MAINE MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA PR PUERTO RICO RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VT VERMONT VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN WY WYOMING false Whitehall-Parker Securities, Inc. 10608 None None 477 Pacific Avenue 2nd Floor San Francisco CA CALIFORNIA 94133 AZ ARIZONA CA CALIFORNIA CO COLORADO ID IDAHO NV NEVADA NY NEW YORK OR OREGON TX TEXAS UT UTAH WA WASHINGTON false Center Street Securities, Inc. 26898 None None 2740 Old Elm Hill Pike Suite 201 Nashville TN TENNESSEE 37214 AL ALABAMA AK ALASKA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA HI HAWAII ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA ME MAINE MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA PR PUERTO RICO RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VT VERMONT VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN WY WYOMING false Corinthian Partners, L.L.C. 38912 None None 850 Third Avenue 16th Floor, Suite 16C New York NY NEW YORK 10022 AL ALABAMA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA IL ILLINOIS MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MO MISSOURI NE NEBRASKA NV NEVADA NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA OH OHIO OR OREGON PA PENNSYLVANIA RI RHODE ISLAND SC SOUTH CAROLINA TX TEXAS UT UTAH VA VIRGINIA WA WASHINGTON WI WISCONSIN false Emerson Equity LLC 130032 None None 155 Bovet Road Suite 725 San Mateo CA CALIFORNIA 94402 AL ALABAMA AK ALASKA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA HI HAWAII ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA ME MAINE MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA PR PUERTO RICO RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VT VERMONT VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN WY WYOMING false Chauner Securities, Inc. 10075 None None 666 Dundee Road Suite 903 Northbrook IL ILLINOIS 60062 AZ ARIZONA CA CALIFORNIA CO COLORADO CT CONNECTICUT DC DISTRICT OF COLUMBIA FL FLORIDA IL ILLINOIS MD MARYLAND MA MASSACHUSETTS MN MINNESOTA NV NEVADA NH NEW HAMPSHIRE NJ NEW JERSEY NY NEW YORK NC NORTH CAROLINA OH OHIO PA PENNSYLVANIA RI RHODE ISLAND WI WISCONSIN WY WYOMING false Sunbelt Securities, Inc. 42180 None None 2700 Post Oak Blvd Suite 1700 Houston TX TEXAS 77056 AL ALABAMA AK ALASKA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE FL FLORIDA GA GEORGIA HI HAWAII IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN WY WYOMING false International Assets Advisory, LLC 10645 None None 390 North Orange Avenue Suite 750 Orlando FL FLORIDA 32801 AL ALABAMA AK ALASKA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA HI HAWAII ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA ME MAINE MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA PR PUERTO RICO RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VT VERMONT VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN WY WYOMING false 200000000 6240417 193759583 false 62 19000000 true 0 The above estimated sale commissions include the dealer manager and marketing reallowance fees 0 false Carter Multifamily Growth & Income Fund, LLC /s/ Thomas W. Guard Thomas W. Guard Chief Financial Officer 2018-06-04