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
0001728129
   Corporation
   Limited Partnership
X Limited Liability Company
   General Partnership
   Business Trust
   Other (Specify)

Name of Issuer
TEI Diversified Income & Opportunity Fund IV LLC
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
TEI Diversified Income & Opportunity Fund IV LLC
Street Address 1 Street Address 2
55 FIFTH AVENUE 15TH FLOOR
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
NEW YORK NEW YORK 10003 212-206-6011

3. Related Persons

Last Name First Name Middle Name
Greenburger Francis
Street Address 1 Street Address 2
55 Fifth Avenue 15th Floor
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10003
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Kantor Robert
Street Address 1 Street Address 2
55 Fifth Avenue 15th Floor
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10003
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

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
X Commercial
   Construction
   REITS & Finance
   Residential
   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
X Over $100,000,000    Over $100,000,000
   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)
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 2016-09-16    First Sale Yet to Occur
X Amendment

8. Duration of Offering

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

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

X 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    Other (describe)

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
Time Equities Securities 114422
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
55 Fifth Avenue 15th Floor
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10003
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
FLORIDA
MASSACHUSETTS
NEW JERSEY
NEW YORK
PENNSYLVANIA
WISCONSIN
Recipient
Recipient CRD Number    None
Advisory Group Equity Services Ltd 15427
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
444 Washington Street Suite 407
City State/Province/Country ZIP/Postal Code
Woburn MASSACHUSETTS 01801
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MASSACHUSETTS
NEW HAMPSHIRE
Recipient
Recipient CRD Number    None
Alliance Global Partners 15007
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
810 7th Ave 18th and 22nd floors
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10019
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
FLORIDA
ILLINOIS
INDIANA
NEW YORK
Recipient
Recipient CRD Number    None
American Portfolios Financial Services Inc. 112697
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
4250 Veterans Memorial Highway 4th Floor
City State/Province/Country ZIP/Postal Code
East Holbrook NEW YORK 11741
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
CONNECTICUT
FLORIDA
ILLINOIS
MASSACHUSETTS
MINNESOTA
NEW JERSEY
NEW YORK
RHODE ISLAND
SOUTH CAROLINA
SOUTH DAKOTA
TEXAS
VIRGINIA
Recipient
Recipient CRD Number    None
Arete Wealth Management, LLC 44856
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1101 W Lake Street
City State/Province/Country ZIP/Postal Code
Chicago ILLINOIS 60607
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
FLORIDA
GEORGIA
IDAHO
ILLINOIS
INDIANA
IOWA
KANSAS
KENTUCKY
LOUISIANA
MARYLAND
MICHIGAN
MINNESOTA
MISSISSIPPI
MISSOURI
NEBRASKA
NEVADA
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
Recipient
Recipient CRD Number    None
Berthel Fisher & Co 13609
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
4201 42nd Street NE Suite 100
City State/Province/Country ZIP/Postal Code
Cedar Rapids IOWA 52402
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
GEORGIA
NORTH CAROLINA
SOUTH CAROLINA
TEXAS
WASHINGTON
Recipient
Recipient CRD Number    None
Cabot Lodge Securities 159712
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
200 Vesey Street 24th floor
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10281
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
Calton & Associates 20999
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
2701 N Rocky Point Drive Suite 1000
City State/Province/Country ZIP/Postal Code
Tampa FLORIDA 33607
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
TEXAS
Recipient
Recipient CRD Number    None
Capital City Securities 146001
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3789 Attucks Dr
City State/Province/Country ZIP/Postal Code
Powell OHIO 43065
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
Cascade Financial Management, Inc. 119030
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
950 17th Street Suite 950
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
ARIZONA
COLORADO
NEW YORK
Recipient
Recipient CRD Number    None
Center Street Securities 26898
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
2 International Plaza Suite 301
City State/Province/Country ZIP/Postal Code
Nashville TENNESSEE 37217
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
KENTUCKY
NEVADA
TENNESSEE
WASHINGTON
WEST VIRGINIA
Recipient
Recipient CRD Number    None
Concorde Investment Services, LLC 151604
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
19500 Victor Parkway Suite 550
City State/Province/Country ZIP/Postal Code
Livonia MINNESOTA 48152
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
COLORADO
ILLINOIS
IOWA
MARYLAND
NEW JERSEY
NEW YORK
NORTH DAKOTA
SOUTH CAROLINA
TEXAS
UTAH
Recipient
Recipient CRD Number    None
Crown Capital Securities, LP 6312
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
725 Town & Country Roas Suite 530
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
COLORADO
FLORIDA
KANSAS
LOUISIANA
MICHIGAN
NORTH CAROLINA
TENNESSEE
TEXAS
Recipient
Recipient CRD Number    None
D.H. Hill Securities 41528
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1543 Green Oak Place Suite 100
City State/Province/Country ZIP/Postal Code
Kingwood TEXAS 77339
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
Dempsey Lord Smith 141238
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
901 N Broad Street Suite 400
City State/Province/Country ZIP/Postal Code
Rome GEORGIA 30161
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ARKANSAS
FLORIDA
GEORGIA
VIRGINIA
Recipient
Recipient CRD Number    None
DFPG Investments, Inc. 155576
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
9017 S Riverside Drive Suite 210
City State/Province/Country ZIP/Postal Code
Sandy UTAH 84070
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
CALIFORNIA
COLORADO
FLORIDA
MISSOURI
NEW YORK
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
TEXAS
UTAH
WASHINGTON
Recipient
Recipient CRD Number    None
Emerson Equity, LLC 130032
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
155 Bovet Road Suite 725
City State/Province/Country ZIP/Postal Code
San Mateo CALIFORNIA 94402
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
CONNECTICUT
PENNSYLVANIA
Recipient
Recipient CRD Number    None
Folio Investments, Inc. 48015
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
8180 Greensboro Dr 8th floor
City State/Province/Country ZIP/Postal Code
McLean VIRGINIA 22102
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
FLORIDA
ILLINOIS
NEW YORK
OHIO
Recipient
Recipient CRD Number    None
Great Point Capital Advisors 114203
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
200 West Jackson Blvd. Suite 1000
City State/Province/Country ZIP/Postal Code
Chicago ILLINOIS 60606
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
MARYLAND
MISSOURI
NEW YORK
NORTH DAKOTA
Recipient
Recipient CRD Number    None
Halliday Financial 31741
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
725 Glen Cove Avenue
City State/Province/Country ZIP/Postal Code
Glen Head NEW YORK 11545
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARKANSAS
CALIFORNIA
CONNECTICUT
FLORIDA
ILLINOIS
INDIANA
NEW JERSEY
NEW YORK
PUERTO RICO
TEXAS
VIRGINIA
Recipient
Recipient CRD Number    None
IBN Financia Services, Inc. 42360
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
404 Old Liverpool Rd
City State/Province/Country ZIP/Postal Code
Liverpool NEW YORK 13088
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARKANSAS
CALIFORNIA
FLORIDA
MARYLAND
MASSACHUSETTS
NEBRASKA
NEVADA
NEW YORK
SOUTH CAROLINA
TEXAS
Recipient
Recipient CRD Number    None
Lightpath Capital 34617
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1453 Third Street Promenade Suite 315
City State/Province/Country ZIP/Postal Code
Los Angeles CALIFORNIA 90401
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
M.H. LeBlang Inc. 2535
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
69*00 S. 900 E Suite 200
City State/Province/Country ZIP/Postal Code
Midvale UTAH 84047
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEVADA
OREGON
UTAH
Recipient
Recipient CRD Number    None
Madison Avenue Securities, Inc. 23224
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1505 Aveue of Science Suite 150
City State/Province/Country ZIP/Postal Code
San Diego CALIFORNIA 92128
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
COLORADO
FLORIDA
GEORGIA
KANSAS
LOUISIANA
MONTANA
NEVADA
NEW JERSEY
TENNESSEE
Recipient
Recipient CRD Number    None
Maxim Group 120708
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
405 Lexington Avenue
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10174
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
CONNECTICUT
FLORIDA
ILLINOIS
MASSACHUSETTS
MONTANA
NEW JERSEY
NEW YORK
OHIO
TEXAS
UTAH
VIRGINIA
WASHINGTON
WISCONSIN
Recipient
Recipient CRD Number    None
McNally Financial Services 121196
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
16t414 San Pedro Suite 930
City State/Province/Country ZIP/Postal Code
San Antoinio TEXAS 78232
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
NEVADA
Recipient
Recipient CRD Number    None
Moloney Securities 38535
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
13537 Barrett Parkway Dr #300
City State/Province/Country ZIP/Postal Code
Manchester MISSOURI 63021
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
COLORADO
FLORIDA
NEW HAMPSHIRE
NEW YORK
OKLAHOMA
Recipient
Recipient CRD Number    None
Nationwide Planning Associates 31029
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
115 West Century Road Suite 360
City State/Province/Country ZIP/Postal Code
Paramus NEW JERSEY 07652
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
NEW JERSEY
NEW YORK
Recipient
Recipient CRD Number    None
Newbridge Securities 104065
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
5200 Town Center Circle Tower 1 Suite 306
City State/Province/Country ZIP/Postal Code
Boca Raton FLORIDA 33486
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
FLORIDA
NEW YORK
VIRGINIA
Recipient
Recipient CRD Number    None
NH Cohen Capital LLC 171914
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
60 East 42nd Street 46th floor
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10165
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
FLORIDA
MASSACHUSETTS
NEW YORK
Recipient
Recipient CRD Number    None
Oak Tree Securities, Inc. 18126
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
4049 First Street Suite 129
City State/Province/Country ZIP/Postal Code
Livermore CALIFORNIA 94551-4949
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
MISSOURI
Recipient
Recipient CRD Number    None
Paulson Investment Company, Inc. 5670
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
5335 SW Meadows Road Suite 465
City State/Province/Country ZIP/Postal Code
Portland OREGON 97035
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
ILLINOIS
NEW YORK
OREGON
TEXAS
Recipient
Recipient CRD Number    None
Peak Brokerage Services 157045
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
11770 uS Highway One Suite 205
City State/Province/Country ZIP/Postal Code
E Palm Beach Gardens FLORIDA 33408
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
Primex 29394
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
54 West 21st Streer 12th floor
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10010
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
NEW YORK
VIRGINIA
Recipient
Recipient CRD Number    None
Stonecrest Capital Markets 39616
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
300 W 6th Street Suite 1520
City State/Province/Country ZIP/Postal Code
Austin TEXAS 78701
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
NEW JERSEY
Recipient
Recipient CRD Number    None
Sunbelt Securities, Inc. 42180
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
2700 Post oak lvd Suite 1700
City State/Province/Country ZIP/Postal Code
Houston TEXAS 77056
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
OREGON
SOUTH DAKOTA
TEXAS
Recipient
Recipient CRD Number    None
Vestech Securities 41409
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
11477 Olde Cabin Rd Suite 310
City State/Province/Country ZIP/Postal Code
St Louis MISSOURI 63141
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
TEXAS
Recipient
Recipient CRD Number    None
Westpark Capital Inc. 39914
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1900 Avenue of the Stars Suite 310
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
PENNSYLVANIA
Recipient
Recipient CRD Number    None
Whiitehall-Parker Securities 10608
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
477 Pacific Avenue 2nd floor
City State/Province/Country ZIP/Postal Code
San Francisco CALIFORNIA 94133
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
Wilmington Capital Securities 133839
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
600 Old Country Road Suite 200
City State/Province/Country ZIP/Postal Code
Garden City NEW YORK 11530
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
CONNECTICUT
NEW JERSEY

13. Offering and Sales Amounts

Total Offering Amount $150,000,000 USD
or    Indefinite
Total Amount Sold $128,639,555 USD
Total Remaining to be Sold $21,360,445 USD
or    Indefinite

Clarification of Response (if Necessary):

14. Investors

X
 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.
35
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:
0

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 $6,882,613 USD
   Estimate
Finders' Fees $0 USD
   Estimate

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.

$200,000 USD
   Estimate

Clarification of Response (if Necessary):

Acquisition fees for properties acquired were paid to Time Equities, Inc., an affiliate of the executive officers at 2% of the purchase price

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 the issuer 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 Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) 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
TEI Diversified Income & Opportunity Fund IV LLC Philip Brody Philip Brody Corporate Secretary 2020-01-17

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.