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 |
|
Entity Type |
| 0001794608 |
|
| |
Corporation |
| |
Limited Partnership |
| |
Limited Liability Company |
| |
General Partnership |
| |
Business Trust |
| X |
Other (Specify) |
Statutory Trust |
| Name of Issuer |
|---|
| CF Tribeca Multifamily DST |
| Jurisdiction of Incorporation/Organization |
|---|
| DELAWARE |
| Year of Incorporation/Organization |
|---|
| |
Over Five Years Ago |
| X |
Within Last Five Years (Specify Year) |
2019 |
| |
Yet to Be Formed |
|
2. Principal Place of Business and Contact Information
| Name of Issuer |
|---|
| CF Tribeca Multifamily DST |
| Street Address 1 |
Street Address 2 |
| 110 EAST 59TH STREET |
| City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
| NEW YORK |
NEW YORK |
10022 |
(855) 922-6867 |
3. Related Persons
| Last Name |
First Name |
Middle Name |
| CF Tribeca Manager, LLC |
CF Tribeca Manager, LLC |
| Street Address 1 |
Street Address 2 |
| 110 East 59th Street |
| City |
State/Province/Country |
ZIP/PostalCode |
| New York |
NEW YORK |
10022 |
| Relationship: |
|
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| CF Tribeca Depositor, LLC |
CF Tribeca Depositor, LLC |
| Street Address 1 |
Street Address 2 |
| 110 East 59th Street |
| City |
State/Province/Country |
ZIP/PostalCode |
| New York |
NEW YORK |
10022 |
| Relationship: |
|
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| Cantor Fitzgerald, L.P. |
Cantor Fitzgerald, L.P. |
| Street Address 1 |
Street Address 2 |
| 110 East 59th Street |
| City |
State/Province/Country |
ZIP/PostalCode |
| New York |
NEW YORK |
10022 |
| Relationship: |
|
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
| Last Name |
First Name |
Middle Name |
| Buccola |
James |
| Street Address 1 |
Street Address 2 |
| 110 East 59th Street |
6th Floor |
| City |
State/Province/Country |
ZIP/PostalCode |
| New York |
NEW YORK |
10022 |
| 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? |
|
|
| |
Other Banking & Financial Services |
|
| |
Business Services |
|
Energy |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Health Care |
|
|
|
|
|
|
|
|
|
|
| |
Manufacturing |
|
Real Estate |
|
|
|
|
|
|
|
|
|
|
|
|
Retailing |
|
Restaurants |
|
Technology |
|
|
|
|
|
|
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Travel |
|
|
|
|
|
| |
Tourism & Travel Services |
|
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|
|
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 |
| |
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) |
|
| |
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) |
|
|
|
7. Type of Filing
| |
New Notice |
|
Date of First Sale |
2019-12-19 |
|
|
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)
| 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? |
|
|
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 |
|
| Cantor Fitzgerald & Co. |
134 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 110 East 59th Street |
4th Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| New York |
NEW YORK |
10022 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Gary Chapman |
5244594 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Concorde Investment Services, LLC |
151604 |
| Street Address 1 |
Street Address 2 |
| 111 Monument Circle, Suite 2700 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Indianapolis |
INDIANA |
46204 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| INDIANA |
| MICHIGAN |
| OREGON |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Eric Stuart Scaff |
5281210 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Concorde Investment Services, LLC |
151604 |
| Street Address 1 |
Street Address 2 |
| 44 Montgomery Street, Suite 610 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Francisco |
CALIFORNIA |
94101 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| IDAHO |
| LOUISIANA |
| NEVADA |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| OREGON |
| PENNSYLVANIA |
| TEXAS |
| UTAH |
| WASHINGTON |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Jon Lusin |
1786336 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Courtlandt Securities Corporation |
137356 |
| Street Address 1 |
Street Address 2 |
| 18218 McDurmott, Suite A |
| City |
State/Province/Country |
ZIP/Postal Code |
| Irvine |
CALIFORNIA |
92614 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Robert L. Boggess |
5007422 |
| (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 |
|
|
| ALASKA |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| ILLINOIS |
| LOUISIANA |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| NEVADA |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Frank Piscitelli |
6935623 |
| (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 |
|
|
| CALIFORNIA |
| CONNECTICUT |
| FLORIDA |
| MONTANA |
| NEW MEXICO |
| NEW YORK |
| OKLAHOMA |
| OREGON |
| TEXAS |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Athan Antonopoulos |
4946791 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Oak Tree Securities, Inc. |
18126 |
| Street Address 1 |
Street Address 2 |
| 1872 Homestead Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Santa Clara |
CALIFORNIA |
95050 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| NEVADA |
| TENNESSEE |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Carmine Joseph Passante |
4151032 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| American Portfolios Financial Services, Inc. |
18487 |
| Street Address 1 |
Street Address 2 |
| 68 South Service Road, Suite 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Melville |
NEW YORK |
11747 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CONNECTICUT |
| FLORIDA |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Derek James Elrod |
4793202 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| APW Capital, Inc. |
43814 |
| Street Address 1 |
Street Address 2 |
| 986 W. Alluvial Avenue, Suite 101 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Fresno |
CALIFORNIA |
93711 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| IDAHO |
| OREGON |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Willy Miranda |
3273284 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Ausdal Financial Partners, Inc. |
7995 |
| Street Address 1 |
Street Address 2 |
| 1S443 Summit Avenue, Suite 205 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Oakbrook |
ILLINOIS |
60181 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| INDIANA |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NORTH CAROLINA |
| OHIO |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TEXAS |
| VIRGINIA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Berthel, Fisher & Company Financial Services, Inc. |
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 |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Edward Fernandez |
2956661 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Capulent LLC |
155155 |
| Street Address 1 |
Street Address 2 |
| 2603 Main Street, Suite 1050 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Irvine |
CALIFORNIA |
92614 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| IOWA |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Gregory John Richards |
1339012 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Centaurus Financial, Inc. |
30833 |
| Street Address 1 |
Street Address 2 |
| 14362 N Frank Lloyd Wright Blvd, #1000 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Scottsdale |
ARIZONA |
85260 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| FLORIDA |
| INDIANA |
| IOWA |
| NEVADA |
| NORTH CAROLINA |
| OKLAHOMA |
| SOUTH CAROLINA |
| TEXAS |
| UTAH |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Robert Lloyd Omohundro |
2415942 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Centaurus Financial, Inc. |
30833 |
| Street Address 1 |
Street Address 2 |
| 9040 Roswell Road, Suite 350 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Atlanta |
GEORGIA |
30350 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| CALIFORNIA |
| FLORIDA |
| GEORGIA |
| IDAHO |
| INDIANA |
| KENTUCKY |
| MARYLAND |
| MICHIGAN |
| NEBRASKA |
| NEW JERSEY |
| NEW MEXICO |
| NORTH CAROLINA |
| OKLAHOMA |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Terry Joseph Gertge |
2956582 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Centaurus Financial, Inc. |
30833 |
| Street Address 1 |
Street Address 2 |
| 217 B 1st Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Ault |
COLORADO |
80610 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| MISSOURI |
| NEBRASKA |
| OREGON |
| TEXAS |
| WASHINGTON |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Vincent Alfonso Crescenzo |
2585169 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Centaurus Financial, Inc. |
30833 |
| Street Address 1 |
Street Address 2 |
| 4741 Norwalk Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Diego |
CALIFORNIA |
92117 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| FLORIDA |
| MASSACHUSETTS |
| MISSISSIPPI |
| NEBRASKA |
| NEVADA |
| NEW JERSEY |
| NEW MEXICO |
| OHIO |
| PENNSYLVANIA |
| UTAH |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Jeffrey Lynn Bangerter |
1687028 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Concorde Investment Services, LLC |
151604 |
| Street Address 1 |
Street Address 2 |
| 1380 Lead Hill Blvd, Suite 180 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Roseville |
CALIFORNIA |
95661 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| GEORGIA |
| IDAHO |
| KANSAS |
| MISSOURI |
| NEVADA |
| NEW YORK |
| OHIO |
| TENNESSEE |
| TEXAS |
| UTAH |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Nathaniel Michael Kuhn |
4624143 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Concorde Investment Services, LLC |
151604 |
| Street Address 1 |
Street Address 2 |
| 120 W Eastman Street, #300 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Arlington Heights |
ILLINOIS |
60004 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| ILLINOIS |
| INDIANA |
| MINNESOTA |
| NEW JERSEY |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Timothy Lee Stauffer |
4178198 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Concorde Investment Services, LLC |
151604 |
| Street Address 1 |
Street Address 2 |
| 333 Fiddlers Cove |
| City |
State/Province/Country |
ZIP/Postal Code |
| Fort Wayne |
INDIANA |
46825 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| FLORIDA |
| INDIANA |
| NEBRASKA |
| NORTH CAROLINA |
| OHIO |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Jesus Quezada |
5117930 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Crown Capital Securities, L.P. |
6312 |
| Street Address 1 |
Street Address 2 |
| 2410 W Valley Boulevard |
| City |
State/Province/Country |
ZIP/Postal Code |
| Alhambra |
CALIFORNIA |
91803 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Benjamin Thomas Newhouse |
3105894 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| DFPG Investments, LLC |
155576 |
| Street Address 1 |
Street Address 2 |
| 3812 S Fremont Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| Springfield |
MISSOURI |
65804 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARIZONA |
| ARKANSAS |
| COLORADO |
| FLORIDA |
| KANSAS |
| MICHIGAN |
| MISSOURI |
| NEVADA |
| NEW JERSEY |
| OKLAHOMA |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Justin Charles Lowry |
5935993 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| DFPG Investments, LLC |
155576 |
| Street Address 1 |
Street Address 2 |
| 5000 Birch Street, Suite 3000 |
| 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 |
|
|
| ARIZONA |
| CALIFORNIA |
| HAWAII |
| IDAHO |
| NEVADA |
| NEW JERSEY |
| SOUTH CAROLINA |
| TENNESSEE |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Scott Sheehan |
2328614 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| DFPG Investments, LLC |
155576 |
| Street Address 1 |
Street Address 2 |
| 2 Orr Hatch Drive |
| City |
State/Province/Country |
ZIP/Postal Code |
| Cornwall |
NEW YORK |
12518 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| IDAHO |
| ILLINOIS |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| NEVADA |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| TEXAS |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Anton Nicola Nijmeh |
2314585 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| DFPG Investments, LLC |
155576 |
| Street Address 1 |
Street Address 2 |
| 1764 The Alameda |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Jose |
CALIFORNIA |
95126 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| COLORADO |
| IDAHO |
| MARYLAND |
| NEW JERSEY |
| NORTH CAROLINA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Colin Martin Mansfield |
4643275 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| DFPG Investments, LLC |
155576 |
| Street Address 1 |
Street Address 2 |
| 1764 The Alameda |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Jose |
CALIFORNIA |
95126 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| COLORADO |
| IDAHO |
| NORTH CAROLINA |
| TEXAS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Stephen Paul Haskell |
6864948 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Growth Capital Services, Inc. |
124658 |
| Street Address 1 |
Street Address 2 |
| 888 Prospect Street, Suite 200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| La Jolla |
CALIFORNIA |
92037 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Peter Karp |
2335003 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Infinity Financial Services |
144302 |
| Street Address 1 |
Street Address 2 |
| 30 Liberty Ship Way, #3150 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Sausalito |
CALIFORNIA |
94965 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| FLORIDA |
| ILLINOIS |
| NEVADA |
| NEW YORK |
| NORTH CAROLINA |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| David Olsen |
4823650 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Madison Avenue Securities, LLC |
23224 |
| Street Address 1 |
Street Address 2 |
| 2810 E. Oakland Park Blvd, Suite 101 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Fort Lauderdale |
FLORIDA |
33306 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| FLORIDA |
| NEW YORK |
| TENNESSEE |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Kelly Peter Campbell |
2284105 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Madison Avenue Securities, LLC |
23224 |
| Street Address 1 |
Street Address 2 |
| 330 John Carlyle Street, Suite 400 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Alexandria |
VIRGINIA |
22314 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| INDIANA |
| KENTUCKY |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MISSOURI |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Robert Alan Horning |
2311640 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| McDermott Investment Services, LLC |
154926 |
| Street Address 1 |
Street Address 2 |
| 6633 S. Halm Avenue |
| 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 |
|
|
| ARIZONA |
| CALIFORNIA |
| FLORIDA |
| HAWAII |
| ILLINOIS |
| IOWA |
| LOUISIANA |
| NEVADA |
| NEW YORK |
| SOUTH DAKOTA |
| TEXAS |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Athan Antonopoulos |
4946791 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Oak Tree Securities, Inc. |
18126 |
| Street Address 1 |
Street Address 2 |
| 1872 Homestead Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Santa Clara |
CALIFORNIA |
95050 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| NEVADA |
| TENNESSEE |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Chase Tustin |
6928184 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| PH Partners, LLC |
130790 |
| Street Address 1 |
Street Address 2 |
| 1636 Mount Larson Road, Suite 108 |
| 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 |
|
| Jamie Bradley Millett |
2181997 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Purshe Kaplan Sterling Investments |
35747 |
| Street Address 1 |
Street Address 2 |
| 255 Patroon Creek Blvd. Unit 1113 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Albany |
NEW YORK |
12206 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| INDIANA |
| LOUISIANA |
| MARYLAND |
| NEVADA |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| PENNSYLVANIA |
| TEXAS |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Stacey Jim Morimoto |
4420782 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Stax Capital |
300607 |
| Street Address 1 |
Street Address 2 |
| 4901 Morena Boulevard, Suite 121 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Diego |
CALIFORNIA |
92117 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| IOWA |
| MONTANA |
| NEVADA |
| NEW YORK |
| OREGON |
| TEXAS |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| David P. Dahill |
6581024 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Thornhill Securities, Inc. |
22333 |
| Street Address 1 |
Street Address 2 |
| 111 Congress Avenue, Suite 1000 |
| 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 |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| James Leroy Raper Jr |
5721253 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Wealthforge Securities, LLC |
152550 |
| Street Address 1 |
Street Address 2 |
| 3015 W Moore Street, Suite 102 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Richmond |
VIRGINIA |
23230 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Jason Andrew Salmon |
6081963 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Wealthforge Securities, LLC |
152550 |
| Street Address 1 |
Street Address 2 |
| 104 East 40th Street, 5th Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| New York |
NEW YORK |
10018 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Deborah Ruth Frankel |
2964971 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Western International Securities, Inc. |
39262 |
| Street Address 1 |
Street Address 2 |
| 2555 Townsgate Road, Suite 300 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Westlake Village |
CALIFORNIA |
91361 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Terry Donald Deever |
4215379 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| TCFG Wealth Management, LLC |
164153 |
| Street Address 1 |
Street Address 2 |
| 340 Rosewood Avenue, Suite C |
| City |
State/Province/Country |
ZIP/Postal Code |
| Camarillo |
CALIFORNIA |
93010 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| FLORIDA |
| NORTH CAROLINA |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Alysia Ann Lindberg |
6046397 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| TCFG Wealth Management, LLC |
164153 |
| Street Address 1 |
Street Address 2 |
| 340 Rosewood Avenue, Suite C |
| City |
State/Province/Country |
ZIP/Postal Code |
| Camarillo |
CALIFORNIA |
93010 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| FLORIDA |
| WASHINGTON |
|
13. Offering and Sales Amounts
| Total Offering Amount |
$24,480,000
|
USD |
|
| Total Amount Sold |
$23,197,820
|
USD |
| Total Remaining to be Sold |
$1,282,180
|
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 |
$2,080,800
|
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):
CF Tribeca Depositor, LLC (the "Depositor") will be responsible for paying certain fees and costs of approximately $3,069,154. The remaining $1,117,750 will be retained by the Depositor and its affiliates.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 |
| CF Tribeca Multifamily DST |
/s/ James Buccola |
James Buccola |
President of Cantor Fitzgerald, L.P. |
2020-12-02 |
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.