0001728129-20-000002.txt : 20200127 0001728129-20-000002.hdr.sgml : 20200127 20200127155228 ACCESSION NUMBER: 0001728129-20-000002 CONFORMED SUBMISSION TYPE: D/A PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20200127 DATE AS OF CHANGE: 20200127 EFFECTIVENESS DATE: 20200127 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TEI Diversified Income & Opportunity Fund IV LLC CENTRAL INDEX KEY: 0001728129 IRS NUMBER: 823699798 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D/A SEC ACT: 1933 Act SEC FILE NUMBER: 021-303277 FILM NUMBER: 20549476 BUSINESS ADDRESS: STREET 1: 55 FIFTH AVENUE STREET 2: 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 BUSINESS PHONE: 212-206-6011 MAIL ADDRESS: STREET 1: 55 FIFTH AVENUE STREET 2: 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 D/A 1 primary_doc.xml X0708 D/A LIVE 0001728129 TEI Diversified Income & Opportunity Fund IV LLC 55 FIFTH AVENUE 15TH FLOOR NEW YORK NY NEW YORK 10003 212-206-6011 DELAWARE None None Limited Liability Company true 2017 Francis Greenburger 55 Fifth Avenue 15th Floor New York NY NEW YORK 10003 Executive Officer Robert Kantor 55 Fifth Avenue 15th Floor New York NY NEW YORK 10003 Executive Officer Commercial Over $100,000,000 06b true 0001728129-20-000001 2016-09-16 true true false 25000 Time Equities Securities 114422 None None 55 Fifth Avenue 15th Floor New York NY NEW YORK 10003 CA CALIFORNIA FL FLORIDA MA MASSACHUSETTS NJ NEW JERSEY NY NEW YORK PA PENNSYLVANIA WI WISCONSIN false Advisory Group Equity Services Ltd 15427 None None 444 Washington Street Suite 407 Woburn MA MASSACHUSETTS 01801 MA MASSACHUSETTS NH NEW HAMPSHIRE false Alliance Global Partners 15007 None None 810 7th Ave 18th and 22nd floors New York NY NEW YORK 10019 CA CALIFORNIA FL FLORIDA IL ILLINOIS IN INDIANA NY NEW YORK false American Portfolios Financial Services Inc. 112697 None None 4250 Veterans Memorial Highway 4th Floor East Holbrook NY NEW YORK 11741 CO COLORADO CT CONNECTICUT FL FLORIDA IL ILLINOIS MA MASSACHUSETTS MN MINNESOTA NJ NEW JERSEY NY NEW YORK RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TX TEXAS VA VIRGINIA false Arete Wealth Management, LLC 44856 None None 1101 W Lake Street Chicago IL ILLINOIS 60607 AL ALABAMA AK ALASKA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO FL FLORIDA GA GEORGIA ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA MD MARYLAND MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI NE NEBRASKA NV NEVADA NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN false Berthel Fisher & Co 13609 None None 4201 42nd Street NE Suite 100 Cedar Rapids IA IOWA 52402 CO COLORADO GA GEORGIA NC NORTH CAROLINA SC SOUTH CAROLINA TX TEXAS WA WASHINGTON false Cabot Lodge Securities 159712 None None 200 Vesey Street 24th floor New York NY NEW YORK 10281 CA CALIFORNIA false Calton & Associates 20999 None None 2701 N Rocky Point Drive Suite 1000 Tampa FL FLORIDA 33607 AZ ARIZONA TX TEXAS false Capital City Securities 146001 None None 3789 Attucks Dr Powell OH OHIO 43065 VA VIRGINIA false Cascade Financial Management, Inc. 119030 None None 950 17th Street Suite 950 Denver CO COLORADO 80202 AZ ARIZONA CO COLORADO NY NEW YORK false Center Street Securities 26898 None None 2 International Plaza Suite 301 Nashville TN TENNESSEE 37217 AZ ARIZONA CA CALIFORNIA KY KENTUCKY NV NEVADA TN TENNESSEE WA WASHINGTON WV WEST VIRGINIA false Concorde Investment Services, LLC 151604 None None 19500 Victor Parkway Suite 550 Livonia MN MINNESOTA 48152 CA CALIFORNIA CO COLORADO IL ILLINOIS IA IOWA MD MARYLAND NJ NEW JERSEY NY NEW YORK ND NORTH DAKOTA SC SOUTH CAROLINA TX TEXAS UT UTAH false Crown Capital Securities, LP 6312 None None 725 Town & Country Road Suite 530 Orange CA CALIFORNIA 92868 CA CALIFORNIA CO COLORADO FL FLORIDA KS KANSAS LA LOUISIANA MI MICHIGAN NC NORTH CAROLINA TN TENNESSEE TX TEXAS false D.H. Hill Securities 41528 None None 1543 Green Oak Place Suite 100 Kingwood TX TEXAS 77339 TX TEXAS false Dempsey Lord Smith 141238 None None 901 N Broad Street Suite 400 Rome GA GEORGIA 30161 AL ALABAMA AR ARKANSAS FL FLORIDA GA GEORGIA VA VIRGINIA false DFPG Investments, Inc. 155576 None None 9017 S Riverside Drive Suite 210 Sandy UT UTAH 84070 AL ALABAMA CA CALIFORNIA CO COLORADO FL FLORIDA MO MISSOURI NY NEW YORK OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA TX TEXAS UT UTAH WA WASHINGTON false Emerson Equity, LLC 130032 None None 155 Bovet Road Suite 725 San Mateo CA CALIFORNIA 94402 CA CALIFORNIA CT CONNECTICUT PA PENNSYLVANIA false Folio Investments, Inc. 48015 None None 8180 Greensboro Dr 8th floor McLean VA VIRGINIA 22102 CA CALIFORNIA FL FLORIDA IL ILLINOIS NY NEW YORK OH OHIO false Great Point Capital Advisors 114203 None None 200 West Jackson Blvd. Suite 1000 Chicago IL ILLINOIS 60606 CA CALIFORNIA MD MARYLAND MO MISSOURI NY NEW YORK ND NORTH DAKOTA false Halliday Financial 31741 None None 725 Glen Cove Avenue Glen Head NY NEW YORK 11545 AR ARKANSAS CA CALIFORNIA CT CONNECTICUT FL FLORIDA IL ILLINOIS IN INDIANA NJ NEW JERSEY NY NEW YORK PR PUERTO RICO TX TEXAS VA VIRGINIA false IBN Financia Services, Inc. 42360 None None 404 Old Liverpool Rd Liverpool NY NEW YORK 13088 AR ARKANSAS CA CALIFORNIA FL FLORIDA MD MARYLAND MA MASSACHUSETTS NE NEBRASKA NV NEVADA NY NEW YORK SC SOUTH CAROLINA TX TEXAS false Lightpath Capital 34617 None None 1453 Third Street Promenade Suite 315 Los Angeles CA CALIFORNIA 90401 CA CALIFORNIA false M.H. LeBlang Inc. 2535 None None 6900 S. 900 E Suite 200 Midvale UT UTAH 84047 NV NEVADA OR OREGON UT UTAH false Madison Avenue Securities, Inc. 23224 None None 1505 Aveue of Science Suite 150 San Diego CA CALIFORNIA 92128 CA CALIFORNIA CO COLORADO FL FLORIDA GA GEORGIA KS KANSAS LA LOUISIANA MT MONTANA NV NEVADA NJ NEW JERSEY TN TENNESSEE false Maxim Group 120708 None None 405 Lexington Avenue New York NY NEW YORK 10174 CA CALIFORNIA CT CONNECTICUT FL FLORIDA IL ILLINOIS MA MASSACHUSETTS MT MONTANA NJ NEW JERSEY NY NEW YORK OH OHIO TX TEXAS UT UTAH VA VIRGINIA WA WASHINGTON WI WISCONSIN false McNally Financial Services 121196 None None 16t414 San Pedro Suite 930 San Antoinio TX TEXAS 78232 CA CALIFORNIA NV NEVADA false Moloney Securities 38535 None None 13537 Barrett Parkway Dr #300 Manchester MO MISSOURI 63021 AZ ARIZONA CA CALIFORNIA CO COLORADO FL FLORIDA NH NEW HAMPSHIRE NY NEW YORK OK OKLAHOMA false Nationwide Planning Associates 31029 None None 115 West Century Road Suite 360 Paramus NJ NEW JERSEY 07652 CA CALIFORNIA NJ NEW JERSEY NY NEW YORK false Newbridge Securities 104065 None None 5200 Town Center Circle Tower 1 Suite 306 Boca Raton FL FLORIDA 33486 CA CALIFORNIA FL FLORIDA NY NEW YORK VA VIRGINIA false NH Cohen Capital LLC 171914 None None 60 East 42nd Street 46th floor New York NY NEW YORK 10165 CA CALIFORNIA FL FLORIDA MA MASSACHUSETTS NY NEW YORK false Oak Tree Securities, Inc. 18126 None None 4049 First Street Suite 129 Livermore CA CALIFORNIA 94551-4949 CA CALIFORNIA MO MISSOURI false Paulson Investment Company, Inc. 5670 None None 5335 SW Meadows Road Suite 465 Portland OR OREGON 97035 CA CALIFORNIA IL ILLINOIS NY NEW YORK OR OREGON TX TEXAS false Peak Brokerage Services 157045 None None 11770 US Highway One Suite 205 E Palm Beach Gardens FL FLORIDA 33408 SC SOUTH CAROLINA false Primex 29394 None None 54 West 21st Streer 12th floor New York NY NEW YORK 10010 CA CALIFORNIA NY NEW YORK VA VIRGINIA false Stonecrest Capital Markets 39616 None None 300 W 6th Street Suite 1520 Austin TX TEXAS 78701 CA CALIFORNIA NJ NEW JERSEY false Sunbelt Securities, Inc. 42180 None None 2700 Post oak lvd Suite 1700 Houston TX TEXAS 77056 CO COLORADO OR OREGON SD SOUTH DAKOTA TX TEXAS false Vestech Securities 41409 None None 11477 Olde Cabin Rd Suite 310 St Louis MO MISSOURI 63141 AL ALABAMA TX TEXAS false Westpark Capital Inc. 39914 None None 1900 Avenue of the Stars Suite 310 Los Angeles CA CALIFORNIA 90067 CA CALIFORNIA PA PENNSYLVANIA false Whiitehall-Parker Securities 10608 None None 477 Pacific Avenue 2nd floor San Francisco CA CALIFORNIA 94133 CA CALIFORNIA false Wilmington Capital Securities 133839 None None 600 Old Country Road Suite 200 Garden City NY NEW YORK 11530 CA CALIFORNIA CT CONNECTICUT NJ NEW JERSEY false 150000000 128639555 21360445 true 0 1092 6882613 0 1500000 true Acquisition fees for properties acquired were paid to Time Equities, Inc., an affiliate of the executive officers at 2% of the purchase price false TEI Diversified Income & Opportunity Fund IV LLC Philip Brody Philip Brody Corporate Secretary 2020-01-27