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
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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 |
| 0001764786 |
|
| |
Corporation |
| |
Limited Partnership |
| |
Limited Liability Company |
| |
General Partnership |
| X |
Business Trust |
| |
Other (Specify) |
|
| Name of Issuer |
| Healthcare Portfolio VI DST |
| Jurisdiction of Incorporation/Organization |
| DELAWARE |
| Year of Incorporation/Organization |
| |
Over Five Years Ago |
| X |
Within Last Five Years (Specify Year) |
2018 |
| |
Yet to Be Formed |
|
2. Principal Place of Business and Contact Information
| Name of Issuer |
| Healthcare Portfolio VI DST |
| Street Address 1 |
Street Address 2 |
| 2901 BUTTERFIELD ROAD |
| City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
| OAK BROOK |
ILLINOIS |
60523 |
8886711031 |
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: |
|
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
Sponsor of the Issuer
| Last Name |
First Name |
Middle Name |
| Healthcare Portfolio VI, L.L.C. |
N/A |
| 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 |
| Healthcare Portfolio VI Exchange, L.L.C. |
N/A |
| 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 the Sole Member of the Signatory Trustee of the Issuer.
4. Industry Group
| |
Agriculture |
|
Banking & Financial Services |
|
| |
Commercial Banking |
| |
Insurance |
| |
Investing |
| |
Investment Banking |
| |
Pooled Investment Fund |
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|
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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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|
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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 |
|
No Aggregate Net Asset Value |
| |
$1 - $1,000,000 |
|
$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 |
|
$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) |
|
| X |
Rule 506(b) |
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| |
Rule 506(c) |
|
| |
Securities Act Section 4(a)(5) |
|
| |
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) |
|
| |
Section 3(c)(6) |
|
Section 3(c)(14) |
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|
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7. Type of Filing
| |
New Notice |
|
Date of First Sale |
2019-01-02 |
|
|
First Sale Yet to Occur |
| X |
Amendment |
8. Duration of Offering
| Does the Issuer intend this offering to last more than one year? |
|
|
9. Type(s) of Securities Offered (select all that apply)
| |
Equity |
|
Pooled Investment Fund Interests |
| |
Debt |
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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? |
|
|
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 |
|
| GARY GUSTAVE BENSON |
1182211 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| NPB FINANCIAL GROUP, LLC |
137743 |
| Street Address 1 |
Street Address 2 |
| 5435 BALBOA BLVD SUITE #106 |
| City |
State/Province/Country |
ZIP/Postal Code |
| ENCINO |
CALIFORNIA |
91316 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| GREGORY JAY MEYER |
3088783 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| NPB FINANCIAL GROUP, LLC |
137743 |
| Street Address 1 |
Street Address 2 |
| 5435 BALBOA BLVD SUITE #106 |
| City |
State/Province/Country |
ZIP/Postal Code |
| ENCINO |
CALIFORNIA |
91316 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| SUSAN JANE GITT |
5580509 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| GREAT POINT CAPITAL LLC |
114203 |
| 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 |
|
|
| CALIFORNIA |
| FLORIDA |
| NEW HAMPSHIRE |
|
| 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 |
| 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 |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| 1ST GLOBAL CAPITAL CORP. |
30349 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 12750 MERIT DRIVE |
SUITE 1200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Dallas |
TEXAS |
75251 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Peter Chernin |
6787497 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| GREAT POINT CAPITAL LLC |
114203 |
| 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 |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
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| INDEPENDENT FINANCIAL GROUP, LLC |
7717 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 12671 HIGH BLUFF DRIVE, SUITE 200 |
| 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 |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Robert Alan Horning |
2311640 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
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| MCDERMOTT INVESTMENT SERVICES, LLC |
154926 |
| Street Address 1 |
Street Address 2 |
| 6633 S. Halm Ave. |
| 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 |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Dan Laurence Werry |
4721789 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| LIGHTHOUSE CAPITAL GROUP, LLC |
169135 |
| Street Address 1 |
Street Address 2 |
| 1055 E. COLORADO BLVD., SUITE 310 |
| City |
State/Province/Country |
ZIP/Postal Code |
| PASADENA |
CALIFORNIA |
91106 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| DAVID BERNARD LEVINSON |
705929 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| WESTPARK CAPITAL, INC. |
39914 |
| Street Address 1 |
Street Address 2 |
| 1600 Dove Street Suite 250 |
| 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 |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| CHARLES GARRETT MORGAN |
5522992 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| MCDERMOTT INVESTMENT SERVICES, LLC |
154926 |
| Street Address 1 |
Street Address 2 |
| 44 EAST BROAD STREET 2ND FLOOR |
| City |
State/Province/Country |
ZIP/Postal Code |
| BETHLEHEM |
PENNSYLVANIA |
18018 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| JASON LEON STEELE |
2674860 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| PROSPERA FINANCIAL SERVICES, INC. |
10740 |
| Street Address 1 |
Street Address 2 |
| 4700 FALLS OF NEUSE RD SUITE 440 |
| City |
State/Province/Country |
ZIP/Postal Code |
| RALEIGH |
NORTH CAROLINA |
27609 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| JAY ANTHONY RIGGS |
2394147 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| DFPG INVESTMENTS, INC. |
155576 |
| Street Address 1 |
Street Address 2 |
| 5132 N 300 W #260 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Provo |
UTAH |
84604 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| LESLIE MARGARET PAPPAS |
1735372 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| LIGHTPATH CAPITAL, INC |
34617 |
| Street Address 1 |
Street Address 2 |
| 3130 Baker Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Francisco |
CALIFORNIA |
94123 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| MICHAEL ALLAN 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 |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Samuel Heller |
6688484 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| HD VEST INVESTMENT SERVICES |
13686 |
| Street Address 1 |
Street Address 2 |
| 6762 South Holland Way |
| City |
State/Province/Country |
ZIP/Postal Code |
| Littleton |
COLORADO |
80128 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Sonya Lee Gotz |
4007918 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| NEXTREND SECURITIES, INC. |
43710 |
| Street Address 1 |
Street Address 2 |
| STATE OF TEXAS ADDRESS CONFIDENTIALITY |
| City |
State/Province/Country |
ZIP/Postal Code |
| AUSTIN |
TEXAS |
78711 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| THOMAS ARTHUR KARSTEN |
2305465 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| BD4RIA, INC. |
290240 |
| Street Address 1 |
Street Address 2 |
| 3520 WEST VICKERY BLVD. |
| City |
State/Province/Country |
ZIP/Postal Code |
| FORT WORTH |
TEXAS |
76107 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| TRAWNEGAN GALL |
6266415 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| CABOT LODGE SECURITIES LLC |
159712 |
| Street Address 1 |
Street Address 2 |
| 1 City Boulevard West |
| 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 |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| OLIVIER ALLAIN |
4265775 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| CAMBRIDGE INVESTMENT RESEARCH, INC. |
39543 |
| Street Address 1 |
Street Address 2 |
| 712A EAST JERICHO TPKE |
| City |
State/Province/Country |
ZIP/Postal Code |
| HUNTINGTON STA |
NEW YORK |
11746 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| STEPHEN GREESON ENOCHS |
2352020 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| CAPE SECURITIES INC. |
7072 |
| Street Address 1 |
Street Address 2 |
| 1600 PENNSYLVANIA AVENUE |
| City |
State/Province/Country |
ZIP/Postal Code |
| MCDONOUGH |
GEORGIA |
30253 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| JOHN DANH NGUYEN |
4919629 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| CROWN CAPITAL SECURITIES, L.P. |
6312 |
| Street Address 1 |
Street Address 2 |
| 550 W ORANGETHORPE AVE SUITE A |
| City |
State/Province/Country |
ZIP/Postal Code |
| PLACENTIA |
CALIFORNIA |
92870 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| TIMOTHY KIRKPATRICK WHIPPLE |
2829688 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| DFPG INVESTMENTS, INC. |
155576 |
| Street Address 1 |
Street Address 2 |
| 742 N 530 E |
| City |
State/Province/Country |
ZIP/Postal Code |
| OREM |
UTAH |
84097 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| ALEXANDER JOSEPH HAVILAND |
6364128 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| DFPG INVESTMENTS, INC. |
155576 |
| Street Address 1 |
Street Address 2 |
| 742 N 530 E |
| City |
State/Province/Country |
ZIP/Postal Code |
| Orem |
UTAH |
84097 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| BRIAN HARRIS |
6477416 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| HD VEST INVESTMENT SERVICES |
13686 |
| Street Address 1 |
Street Address 2 |
| 1510 NE VILLAGE ST. |
| City |
State/Province/Country |
ZIP/Postal Code |
| FAIRVIEW |
OREGON |
97024 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| BRETT D OHLEN |
6406246 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| HD VEST INVESTMENT SERVICES |
13686 |
| Street Address 1 |
Street Address 2 |
| 777 S Wadsworth Blvd Building 4 Ste 160 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lakewood |
COLORADO |
80226 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| PETER DANIEL FISHER |
1259923 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| INVESTACORP, INC. |
7684 |
| Street Address 1 |
Street Address 2 |
| 2901 BUTTERFIELD RD. |
| City |
State/Province/Country |
ZIP/Postal Code |
| OAKBROOK |
ILLINOIS |
60523 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| JOHN GEORGE CHESS |
4812430 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| INVESTACORP, INC. |
7684 |
| Street Address 1 |
Street Address 2 |
| 4263 GAVIN LANE |
| 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 |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| JOSEPH GERARD MICHALETZ |
1327534 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| LEWIS FINANCIAL GROUP, L.C. |
36673 |
| 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 |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| PAUL M GETTY |
6470002 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| LIGHTPATH CAPITAL, INC |
34617 |
| Street Address 1 |
Street Address 2 |
| 2025 Gateway Place, Ste. 485 |
| 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 |
|
| RYAN PATRICK 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 |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| LINCOLN FINANCIAL ADVISORS CORPORATION |
3978 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 2105 S. 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 |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| TIM DANIEL CLAIRMONT |
2847591 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| LION STREET FINANCIAL, LLC |
165828 |
| Street Address 1 |
Street Address 2 |
| 3 CENTERPOINTE DR STE 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 |
|
| DEBRA JO SCHLEINING |
2768752 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| MCDERMOTT INVESTMENT SERVICES, LLC |
154926 |
| Street Address 1 |
Street Address 2 |
| 13530 PARKER STREET |
| City |
State/Province/Country |
ZIP/Postal Code |
| OMAHA |
NEBRASKA |
68154 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Amanda Scoggins Steele |
6566472 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| MCDERMOTT INVESTMENT SERVICES, LLC |
154926 |
| Street Address 1 |
Street Address 2 |
| 44 EAST BROAD STREET 2ND FLOOR |
| City |
State/Province/Country |
ZIP/Postal Code |
| BETHLEHEM |
PENNSYLVANIA |
18018 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| ERIC ARTHUR BICKNESE |
2829451 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| NATIONWIDE PLANNING ASSOCIATES INC. |
31029 |
| Street Address 1 |
Street Address 2 |
| 440 PARK AVENUE SOUTH 3RD FLOOR |
| City |
State/Province/Country |
ZIP/Postal Code |
| NEW YORK |
NEW YORK |
10016 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| THOMAS JOSEPH CASOLARO |
1812805 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| NEWBRIDGE SECURITIES CORPORATION |
104065 |
| Street Address 1 |
Street Address 2 |
| 5200 TOWN CENTER CIRCLE SUITE 308 |
| 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 |
|
|
|
| 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 |
| 475 PARK AVE SOUTH, 18TH FLOOR |
Suite 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| NEW YORK |
NEW YORK |
10016 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Scott David Offerman |
4619093 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| NEXTREND SECURITIES, INC. |
43710 |
| Street Address 1 |
Street Address 2 |
| STATE OF TEXAS ADDRESS CONFIDENTIALITY |
| City |
State/Province/Country |
ZIP/Postal Code |
| Austin |
TEXAS |
78711 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| MATTHEW J NIELSEN |
2762423 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| STONECREST CAPITAL MARKETS, INC. |
39616 |
| Street Address 1 |
Street Address 2 |
| 45 N BROAD SUITE 401 |
| City |
State/Province/Country |
ZIP/Postal Code |
| RIDGEWOOD |
NEW JERSEY |
07450 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| DEBORAH ANN STACKPOLE |
4969850 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| STONECREST CAPITAL MARKETS, INC. |
39616 |
| Street Address 1 |
Street Address 2 |
| 45 N BROAD SUITE 401 |
| City |
State/Province/Country |
ZIP/Postal Code |
| RIDGEWOOD |
NEW JERSEY |
07450 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| EDWARD PIUS KASPERAVICH |
4970038 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| STONECREST CAPITAL MARKETS, INC. |
39616 |
| Street Address 1 |
Street Address 2 |
| 45 N BROAD SUITE 401 |
| City |
State/Province/Country |
ZIP/Postal Code |
| RIDGEWOOD |
NEW JERSEY |
07450 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| RONALD NORMAN YORK JR |
4308987 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| TRIAD ADVISORS LLC |
25803 |
| Street Address 1 |
Street Address 2 |
| 4814 OUTLOOK DRIVE SUITE 104 |
| City |
State/Province/Country |
ZIP/Postal Code |
| WALL |
NEW JERSEY |
07753 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| JEREMY CHAD FTACEK |
4327735 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| CAMBRIDGE INVESTMENT RESEARCH, INC. |
39543 |
| Street Address 1 |
Street Address 2 |
| 6112 Brookridge Dr. |
| City |
State/Province/Country |
ZIP/Postal Code |
| Plainfield |
ILLINOIS |
60586 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| NORMA J NISBET |
5590290 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| COLORADO FINANCIAL SERVICE CORPORATION |
104343 |
| Street Address 1 |
Street Address 2 |
| 5649 HILLCAMP COURT |
| City |
State/Province/Country |
ZIP/Postal Code |
| ST LOUIS |
MISSOURI |
63128 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Jared Feldman |
6701240 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| CROWN CAPITAL SECURITIES, L.P. |
6312 |
| Street Address 1 |
Street Address 2 |
| 725 TOWN AND COUNTRY RD 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 |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| RONALD JOSEPH POMPEI JR |
1439110 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| CROWN CAPITAL SECURITIES, L.P. |
6312 |
| Street Address 1 |
Street Address 2 |
| 150 WHITE PLAINS ROAD SUITE 205 |
| City |
State/Province/Country |
ZIP/Postal Code |
| TARRYTOWN |
NEW YORK |
10591 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| MATTHEW SCOTT ARCHER |
4126987 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| TRIAD ADVISORS LLC |
25803 |
| Street Address 1 |
Street Address 2 |
| 436 N. Harrington Street Suite 120 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Raleigh |
NORTH CAROLINA |
27603 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| NINA MOORE O'NEAL |
5143162 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| TRIAD ADVISORS LLC |
25803 |
| Street Address 1 |
Street Address 2 |
| 436 N. Harrington Street Suite 120 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Raleigh |
NORTH CAROLINA |
27603 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| ADAM RICHARDSON NORRIS |
2925475 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| TRITOWER REAL ESTATE CAPITAL, LLC |
281740 |
| Street Address 1 |
Street Address 2 |
| 60 STATE STREET SUITE 2250 |
| City |
State/Province/Country |
ZIP/Postal Code |
| BOSTON |
MASSACHUSETTS |
02109 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| David P Dahill |
6581024 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| WEALTHFORGE SECURITIES, LLC |
152550 |
| Street Address 1 |
Street Address 2 |
| 109 E 10th Street Suite 300 |
| 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 |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| MICHAEL JOSEPH HALL |
2615957 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| WOODBURY FINANCIAL SERVICES, INC. |
421 |
| Street Address 1 |
Street Address 2 |
| 7501 O STREET SUITE 104 |
| City |
State/Province/Country |
ZIP/Postal Code |
| LINCOLN |
NEBRASKA |
68510 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| BRIAN JOSEPH PERKINS |
5630932 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| COLORADO FINANCIAL SERVICE CORPORATION |
104343 |
| Street Address 1 |
Street Address 2 |
| 304 INVERNESS WAY SOUTH SUITE 355 |
| City |
State/Province/Country |
ZIP/Postal Code |
| CENTENNIAL |
COLORADO |
80112 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| RONALD NORMAN YORK JR |
4308987 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| ARKADIOS CAPITAL |
282710 |
| Street Address 1 |
Street Address 2 |
| 4814 Outlook Drive, Suite 104 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Wall |
NEW JERSEY |
07753 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| CARL MICHAEL STROZYK |
2317341 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| CAMBRIDGE INVESTMENT RESEARCH, INC. |
39543 |
| Street Address 1 |
Street Address 2 |
| 139 N. MAIN ST. SUITE 300 |
| City |
State/Province/Country |
ZIP/Postal Code |
| BEL AIR |
MARYLAND |
21014 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| FRANCIS RICHARD 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 |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| DAN ANDREW PIAS |
2267643 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| ROYAL ALLIANCE ASSOCIATES, INC. |
23131 |
| Street Address 1 |
Street Address 2 |
| 11272 86TH AVE N SUITE B |
| City |
State/Province/Country |
ZIP/Postal Code |
| MAPLE GROVE |
MINNESOTA |
55369 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| ROBERT M PECHA |
5579770 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| PRIMEX |
29394 |
| Street Address 1 |
Street Address 2 |
| 54 WEST 21ST STREET 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 |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| TIMOTHY ALLEN ALESSI |
4420979 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| WOODBURY FINANCIAL SERVICES, INC. |
421 |
| Street Address 1 |
Street Address 2 |
| 11330 VANSTORY DR STE 114E |
| City |
State/Province/Country |
ZIP/Postal Code |
| HUNTERSVILLE |
NORTH CAROLINA |
28078 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| DONALD WAYNE RUPPANNER |
3227540 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| HD VEST INVESTMENT SERVICES |
13686 |
| Street Address 1 |
Street Address 2 |
| 800 W WALL ST STE D |
| City |
State/Province/Country |
ZIP/Postal Code |
| MIDLAND |
TEXAS |
79701 |
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 |
$53,713,732
|
USD |
|
| Total Amount Sold |
$45,162,391
|
USD |
| Total Remaining to be Sold |
$8,551,341
|
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 |
$2,685,687
|
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):
Estimate of certain fees, including the Acquisition Fee, Dealer Fee, Placement Agent Fee, and offering and organizational expenses that may accrue to one or more Related Persons.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).
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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 |
| Healthcare Portfolio VI DST |
Keith Lampi |
Keith Lampi |
President of Sole Member of Signatory Trustee of Issuer |
2019-06-24 |
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.