FORM D
Notice of Exempt Offering of Securities

UNITED STATES SECURITIES
AND EXCHANGE COMMISSION
Washington, D.C.

OMB APPROVAL
OMB Number: 3235-0076
Estimated Average burden hours per response: 4.0
1. Issuer's Identity
CIK (Filer ID Number)Previous Name(s)Checkbox checkedNoneEntity Type
0001830097
Radio button not checkedCorporation
Radio button checked Limited Partnership
Radio button not checked Limited Liability Company
Radio button not checked General Partnership
Radio button not checked Business Trust
Radio button not checkedOther 
Name of Issuer
 Griffin Capital Qualified Opportunity Zone Fund II, L.P.
Jurisdiction of Incorporation/Organization
DELAWARE 
Year of Incorporation/Organization
Radio button not checkedOver Five Years Ago
Radio button checkedWithin Last Five Years (Specify Year)
2020
Radio button not checkedYet to Be Formed
 
  
  
 
2. Principal Place of Business and Contact Information
Name of Issuer
 Griffin Capital Qualified Opportunity Zone Fund II, L.P.
Street Address 1Street Address 2
 C/O GRIFFIN CAPITAL PLAZA
 1520 EAST GRAND AVENUE
CityState/Province/CountryZIP/Postal CodePhone No. of Issuer
 EL SEGUNDO
 CALIFORNIA
 
 90245
 (310) 469-6100 



3. Related Persons

Last NameFirst NameMiddle Name
Shields
Kevin
A.
Street Address 1Street Address 2
 Griffin Capital Plaza 
 1520 E. Grand Avenue
CityState/Province/CountryZIP/Postal Code
 El Segundo
 CALIFORNIA
 90245
 
Relationship:Checkbox checkedExecutive OfficerCheckbox not checkedDirectorCheckbox not checkedPromoter
Clarification of Response (if Necessary)
Chief Executive Officer of the General Partner of the Issuer


Last NameFirst NameMiddle Name
Griffin Capital Company, LLC
N/A
Street Address 1Street Address 2
 Griffin Capital Plaza 
 1520 E. Grand Avenue
CityState/Province/CountryZIP/Postal Code
 El Segundo
 CALIFORNIA
 90245
 
Relationship:Checkbox checkedExecutive OfficerCheckbox not checkedDirectorCheckbox not checkedPromoter
Clarification of Response (if Necessary)
Sponsor of the Issuer


Last NameFirst NameMiddle Name
Griffin Capital QOZ II, LLC
N/A
Street Address 1Street Address 2
 Griffin Capital Plaza 
 1520 E. Grand Avenue
CityState/Province/CountryZIP/Postal Code
 El Segundo
 CALIFORNIA
 90245
 
Relationship:Checkbox checkedExecutive OfficerCheckbox not checkedDirectorCheckbox not checkedPromoter
Clarification of Response (if Necessary)
General Partner of the Issuer




4. Industry Group
 Radio button not checkedAgriculture
Banking & Financial Services
 Radio button not checked Commercial Banking
 Radio button not checked Insurance
 Radio button not checkedInvesting
 Radio button not checked Investment Banking
 Radio button not checked Pooled Investment Fund

 Radio button not checkedOther Banking & Financial Services
Radio button not checked Business Services
Energy
 Radio button not checked Coal Mining
 Radio button not checked Electric Utilities
 Radio button not checked Energy Conservation
 Radio button not checked Environmental Services
 Radio button not checked Oil & Gas
 Radio button not checked Other Energy
Health Care
 Radio button not checked Biotechnology
 Radio button not checked Health Insurance
 Radio button not checked Hospitals & Physicians
 Radio button not checked Pharmaceuticals
 Radio button not checked Other Health Care
   
   
   
  
Radio button not checked Manufacturing
Real Estate
 Radio button not checkedCommercial
 Radio button not checkedConstruction
 Radio button not checkedREITS & Finance
 Radio button not checkedResidential
Radio button checkedOther Real Estate
Radio button not checked Retailing
Radio button not checkedRestaurants
Technology
Radio button not checked Computers
Radio button not checked Telecommunications
Radio button not checked Other Technology
Travel
Radio button not checked Airlines & Airports
Radio button not checked Lodging & Conventions
Radio button not checked Tourism & Travel Services
Radio button not checked Other Travel
Radio button not checkedOther

  
   
5. Issuer Size
Revenue RangeAggregate Net Asset Value Range
Radio button not checkedNo RevenuesRadio button not checked No Aggregate Net Asset Value
Radio button not checked $1 - $1,000,000Radio button not checked$1 - $5,000,000
Radio button not checked $1,000,001 - $5,000,000Radio button not checked $5,000,001 - $25,000,000
Radio button not checked$5,000,001 - $25,000,000Radio button not checked $25,000,001 - $50,000,000
Radio button not checked$25,000,001 - $100,000,000Radio button not checked $50,000,001 - $100,000,000
Radio button not checked Over $100,000,000Radio button not checked Over $100,000,000
Radio button checked Decline to Disclose Radio button not checkedDecline to Disclose
Radio button not checked Not ApplicableRadio button not checked Not Applicable

 
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
Checkbox not checkedRule 504(b)(1) (not (i), (ii)
or (iii))		Checkbox checkedRule 506(b)      
Checkbox not checkedRule 504 (b)(1)(i) Checkbox not checkedRule 506(c)
Checkbox not checkedRule 504 (b)(1)(ii) Checkbox not checkedSecurities Act Section 4(a)(5)
Checkbox not checkedRule 504 (b)(1)(iii)Checkbox not checkedInvestment Company Act Section 3(c)
 
 

7. Type of Filing
Checkbox not checked New Notice Date of First Sale 
2020-10-13
Checkbox not checked First Sale Yet to Occur
Checkbox checked Amendment


 
 
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? Radio button not checked Yes Radio button checked No
 
 
9. Type(s) of Securities Offered (select all that apply)
Checkbox checkedPooled Investment Fund InterestsCheckbox checkedEquity
Checkbox not checkedTenant-in-Common Securities Checkbox not checkedDebt
Checkbox not checkedMineral Property SecuritiesCheckbox not checkedOption, Warrant or Other Right to Acquire Another Security
Checkbox not checkedSecurity to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire SecurityCheckbox not checkedOther (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? Radio button not checked Yes Radio button checked No
Clarification of Response (if Necessary)
 
 
 
11. Minimum Investment
Minimum investment accepted from any outside investor$
 150000
USD

12. Sales Compensation
Recipient Recipient CRD NumberCheckbox not checkedNone
 Adam M. Carmel
 1074710
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Larimer Capital Corporation
 18189
Street Address 1      Street Address 2
1720 South Bellaire Street
Suite 1110
City State/Province/CountryZIP/Postal Code
 Denver
 COLORADO
 80222
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
COLORADO
Recipient Recipient CRD NumberCheckbox not checkedNone
 Mark Herding
 2239357
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Harbour Investments, Inc.
 19258
Street Address 1      Street Address 2
2198 E. Camelback Road
Suite 315
City State/Province/CountryZIP/Postal Code
 Phoenix
 ARIZONA
 85016
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ARIZONA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Rob Johnson
 4318220
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Thornhill Securities, Inc.
 22333
Street Address 1      Street Address 2
111 Congress Avenue
Suite 1000
City State/Province/CountryZIP/Postal Code
 Austin
 TEXAS
 78701
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
HAWAII
TEXAS
Recipient Recipient CRD NumberCheckbox not checkedNone
 Clay Schmidt
 6920482
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Thornhill Securities, Inc.
 22333
Street Address 1      Street Address 2
111 Congress Avenue
Suite 1000
City State/Province/CountryZIP/Postal Code
 Austin
 TEXAS
 78701
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
TEXAS
Recipient Recipient CRD NumberCheckbox not checkedNone
 Amanda Steele
 6566472
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 McDermott Investment Services, LLC
 154926
Street Address 1      Street Address 2
3325 Turnbridge Drive
 
City State/Province/CountryZIP/Postal Code
 Raleigh
 NORTH CAROLINA
 27609
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
NORTH CAROLINA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Betty Friant
 2122446
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Growth Capital Services, Inc.
 124658
Street Address 1      Street Address 2
1101 Pennsylvania Avenue N.W.
Suite 300
City State/Province/CountryZIP/Postal Code
 Washington
 DISTRICT OF COLUMBIA
 20004
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
MARYLAND
MINNESOTA
SOUTH CAROLINA
Recipient Recipient CRD NumberCheckbox not checkedNone
 David B. Levinson
 705929
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 American Trust Investment Services, Inc.
 3001
Street Address 1      Street Address 2
4722 Main Street
 
City State/Province/CountryZIP/Postal Code
 Lisle
 ILLINOIS
 60532
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
CALIFORNIA
KENTUCKY
NEVADA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Steven McNeilly
 5614719
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 American Portfolios Financial Services, Inc.
 18487
Street Address 1      Street Address 2
7 Cypress Lane
 
City State/Province/CountryZIP/Postal Code
 Cedar Grove
 NEW JERSEY
 07009
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
CALIFORNIA
NEW JERSEY
Recipient Recipient CRD NumberCheckbox not checkedNone
 Ivan West
 4921015
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 American Trust Investment Services, Inc.
 3001
Street Address 1      Street Address 2
4722 Main Street
 
City State/Province/CountryZIP/Postal Code
 Lisle
 ILLINOIS
 60532
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
MICHIGAN
UTAH
Recipient Recipient CRD NumberCheckbox not checkedNone
 Jennifer Gorlaski
 6737853
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Harbour Investments, Inc.
 19258
Street Address 1      Street Address 2
2198 E. Camelback Road
Suite 315
City State/Province/CountryZIP/Postal Code
 Phoenix
 ARIZONA
 85016
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 James Parry
 1877092
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Arkadios Capital
 282710
Street Address 1      Street Address 2
2591 Dallas Parkway
#300
City State/Province/CountryZIP/Postal Code
 Frisco
 TEXAS
 75034
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
TEXAS
Recipient Recipient CRD NumberCheckbox not checkedNone
 Justin Kiehne
 7076691
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Concorde Investment Services, LLC
 151604
Street Address 1      Street Address 2
4600 Military Trail
Suite A-224
City State/Province/CountryZIP/Postal Code
 Jupiter
 FLORIDA
 33458
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
GEORGIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Kent A. Fitzpatrick
 1998842
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Concorde Investment Services, LLC
 151604
Street Address 1      Street Address 2
24 Superior Drive
Suite 101
City State/Province/CountryZIP/Postal Code
 Natick
 MASSACHUSETTS
 01760
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
MASSACHUSETTS
Recipient Recipient CRD NumberCheckbox not checkedNone
 Jerry Dempsey
 1869325
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Dempsey Lord Smith LLC
 141238
Street Address 1      Street Address 2
901 N. Broad Street
Suite 400
City State/Province/CountryZIP/Postal Code
 Rome
 GEORGIA
 30161
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
NEVADA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Carmen D. Marrone
 1898874
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 National Securities Corporation
 7569
Street Address 1      Street Address 2
11 Gay Road
 
City State/Province/CountryZIP/Postal Code
 East Hampton
 NEW YORK
 11937
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
NEW YORK
Recipient Recipient CRD NumberCheckbox not checkedNone
 Richard Chess
 1127716
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Crescent Securities Group, Inc.
 114993
Street Address 1      Street Address 2
8750 N. Central Expressway
Suite 750
City State/Province/CountryZIP/Postal Code
 Dallas
 TEXAS
 75231
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Brent Honea
 2289905
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Crown Capital Securities, LP
 6312
Street Address 1      Street Address 2
333 City Boulevard West
Suite 2050
City State/Province/CountryZIP/Postal Code
 Orange
 CALIFORNIA
 92868
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Adam Shipley
 6482848
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 National Securities Corporation
 7569
Street Address 1      Street Address 2
4695 MacArthur Court
Suite 1100
City State/Province/CountryZIP/Postal Code
 Newport Beach
 CALIFORNIA
 92660
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Cambridge Investment Research, Inc.
 39543
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
1776 Pleasant Plain Road
 
City State/Province/CountryZIP/Postal Code
 Fairfield
 IOWA
 52556
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ALABAMA
CALIFORNIA
COLORADO
FLORIDA
ILLINOIS
KENTUCKY
MASSACHUSETTS
OHIO
PENNSYLVANIA
VIRGINIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 DFPG Investments, LLC
 155576
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
9017 S. Riverside Drive
Suite 210
City State/Province/CountryZIP/Postal Code
 Sandy
 UTAH
 84070
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ALABAMA
CALIFORNIA
COLORADO
MISSOURI
SOUTH CAROLINA
UTAH
Recipient Recipient CRD NumberCheckbox not checkedNone
 Amr Tenney
 5506866
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Thornhill Securities, Inc.
 22333
Street Address 1      Street Address 2
111 Congress Avenue
Suite 1000
City State/Province/CountryZIP/Postal Code
 Austin
 TEXAS
 78701
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
NEVADA
TEXAS
Recipient Recipient CRD NumberCheckbox not checkedNone
 Edward Fernandez
 2956661
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Capulent LLC
 155155
Street Address 1      Street Address 2
2603 Main Street
Suite 1050
City State/Province/CountryZIP/Postal Code
 Irvine
 CALIFORNIA
 92614
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
MISSOURI
Recipient Recipient CRD NumberCheckbox not checkedNone
 Stacey Morimoto
 4420782
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Stax Capital
 300607
Street Address 1      Street Address 2
4901 Morena Boulevard
Suite 121
City State/Province/CountryZIP/Postal Code
 San Diego
 CALIFORNIA
 92117
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Jason Finley
 6602034
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Stax Capital
 300607
Street Address 1      Street Address 2
4901 Morena Boulevard
Suite 121
City State/Province/CountryZIP/Postal Code
 San Diego
 CALIFORNIA
 92117
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Barry Levan
 1130895
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Crown Capital Securities, LP
 6312
Street Address 1      Street Address 2
8383 NE Sandy Boulevard
Suite 420
City State/Province/CountryZIP/Postal Code
 Portland
 OREGON
 97220
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
OREGON
Recipient Recipient CRD NumberCheckbox not checkedNone
 Blake V. Barnett
 5713662
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Calton & Associates, Inc.
 20999
Street Address 1      Street Address 2
5975 South Quebec Street
Suite 130
City State/Province/CountryZIP/Postal Code
 Centennial
 COLORADO
 80111
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
COLORADO
Recipient Recipient CRD NumberCheckbox not checkedNone
 Marc Zaro
 6613514
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Invicta Cpaital LLC
 288101
Street Address 1      Street Address 2
2790 Mosside Boulevard
Suite 530
City State/Province/CountryZIP/Postal Code
 Monroeville
 PENNSYLVANIA
 15146
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ILLINOIS
Recipient Recipient CRD NumberCheckbox not checkedNone
 Gerard P. Gloisten
 2579962
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Western International Securities, Inc.
 39262
Street Address 1      Street Address 2
558 B Street
 
City State/Province/CountryZIP/Postal Code
 Santa Rosa
 CALIFORNIA
 95401
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Independent Financial Group, LLC
 7717
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
12671 High Bluff Drive
Suite 200
City State/Province/CountryZIP/Postal Code
 San Diego
 CALIFORNIA
 92130
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
CALIFORNIA
NEW JERSEY
OREGON
TEXAS
UTAH
WISCONSIN
Recipient Recipient CRD NumberCheckbox not checkedNone
 David O'Brien
 2722690
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Concorde Investment Services, LLC
 151604
Street Address 1      Street Address 2
24 Superior Drive
Suite 101
City State/Province/CountryZIP/Postal Code
 Natick
 MASSACHUSETTS
 01760
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
FLORIDA
MASSACHUSETTS
Recipient Recipient CRD NumberCheckbox not checkedNone
 Drew Reynolds
 6646813
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Thornhill Securities, Inc.
 22333
Street Address 1      Street Address 2
111 Congress Avenue
Suite 1000
City State/Province/CountryZIP/Postal Code
 Austin
 TEXAS
 78701
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
TEXAS
Recipient Recipient CRD NumberCheckbox not checkedNone
 William Colvett
 4311759
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 H. Beck, Inc.
 1763
Street Address 1      Street Address 2
300 Cayuga Road
 
City State/Province/CountryZIP/Postal Code
 Lake Orion
 MICHIGAN
 48362
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
MICHIGAN
Recipient Recipient CRD NumberCheckbox not checkedNone
 Kestra Investment Services, LLC
 42046
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
5707 Southwest Parkway
Building 2 Suite 400
City State/Province/CountryZIP/Postal Code
 Austin
 TEXAS
 78735
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
CALIFORNIA
CONNECTICUT
FLORIDA
GEORGIA
MINNESOTA
NEW JERSEY
SOUTH CAROLINA
TEXAS
Recipient Recipient CRD NumberCheckbox not checkedNone
 Guy Anthony Harrigan
 1817525
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Lion Street Financial, LLC
 165828
Street Address 1      Street Address 2
4770 Baseline Road
Suite 380
City State/Province/CountryZIP/Postal Code
 Boulder
 COLORADO
 80303
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
COLORADO
Recipient Recipient CRD NumberCheckbox not checkedNone
 James B. Teegarden
 2812366
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Lion Street Financial, LLC
 165828
Street Address 1      Street Address 2
4770 Baseline Road
Suite 380
City State/Province/CountryZIP/Postal Code
 Boulder
 COLORADO
 80303
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
COLORADO
Recipient Recipient CRD NumberCheckbox not checkedNone
 Gregory J. Richards
 1339012
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Benchmark Investments, Inc.
 103792
Street Address 1      Street Address 2
14362 N. Frank Lloyd Wright Boulevard
#100
City State/Province/CountryZIP/Postal Code
 Scottsdale
 ARIZONA
 85260
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ARIZONA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Chay Lapin
 6275140
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Growth Capital Services, Inc.
 124658
Street Address 1      Street Address 2
21515 Hawthorne Boulevard
Suite 360
City State/Province/CountryZIP/Postal Code
 Torrance
 CALIFORNIA
 90503
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Lincoln Financial Advisors Corp
 3978
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
1300 South Clinton Street
Suite 150
City State/Province/CountryZIP/Postal Code
 Fort Wayne
 INDIANA
 46802
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
CALIFORNIA
OHIO
PENNSYLVANIA
TENNESSEE
Recipient Recipient CRD NumberCheckbox not checkedNone
 John Doane
 4083486
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Advisory Group Equity Services Ltd
 15427
Street Address 1      Street Address 2
33 Hilltop Drive
 
City State/Province/CountryZIP/Postal Code
 Wenham
 MASSACHUSETTS
 01984
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
TEXAS
Recipient Recipient CRD NumberCheckbox not checkedNone
 Bruce Bessner
 1809667
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Lincoln Financial Securities Corp
 3870
Street Address 1      Street Address 2
109 South Harris Street
Suite 220
City State/Province/CountryZIP/Postal Code
 Round Rock
 TEXAS
 78664
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
TEXAS
Recipient Recipient CRD NumberCheckbox not checkedNone
 Jason Stone
 5455271
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Crown Capital Securities, L.P.
 6312
Street Address 1      Street Address 2
333 City Boulevard West
Suite 2050
City State/Province/CountryZIP/Postal Code
 Orange
 CALIFORNIA
 92868
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Jonathan Browning
 2608532
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Great Point Capital
 114203
Street Address 1      Street Address 2
200 West Jackson Boulevard
Suite 1000
City State/Province/CountryZIP/Postal Code
 Chicago
 ILLINOIS
 60606
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
VIRGINIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Joseph Fraser
 6975700
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Benchmark Investments, Inc.
 103792
Street Address 1      Street Address 2
12647 Alcosta Boulevard
Suite 470 B
City State/Province/CountryZIP/Postal Code
 San Ramon
 CALIFORNIA
 945583
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 David Boren
 1563306
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Lincoln Financial Securities Corp.
 3870
Street Address 1      Street Address 2
109 South Harris Street
Suite 220
City State/Province/CountryZIP/Postal Code
 Round Rock
 TEXAS
 78664
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
TEXAS
Recipient Recipient CRD NumberCheckbox not checkedNone
 Brian Bessner
 5103138
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Lincoln Financial Securities Corp.
 3870
Street Address 1      Street Address 2
4925 Greenville Avenue
Suite 1110
City State/Province/CountryZIP/Postal Code
 Dallas
 TEXAS
 75206
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
TEXAS
Recipient Recipient CRD NumberCheckbox not checkedNone
 Purshe Kaplan Sterling Investments, Inc.
 35747
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
80 State Street
 
City State/Province/CountryZIP/Postal Code
 Albany
 NEW YORK
 12207
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
GEORGIA
IDAHO
NEW JERSEY
NEW YORK
Recipient Recipient CRD NumberCheckbox not checkedNone
 Emerson Equity LLC
 130032
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
155 Bovet Road
Suite 725
City State/Province/CountryZIP/Postal Code
 San Mateo
 CALIFORNIA
 94402
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
CALIFORNIA
FLORIDA
NEW MEXICO
PENNSYLVANIA
TEXAS
WASHINGTON
Recipient Recipient CRD NumberCheckbox not checkedNone
 Emily Chan
 4647592
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Ameriprise Financial Services, LLC
 6363
Street Address 1      Street Address 2
914 Mission Avenue
Suite 4F
City State/Province/CountryZIP/Postal Code
 San Rafael
 CALIFORNIA
 94901
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
FLORIDA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Chi H. Kim
 5031567
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Ameriprise Financial Services, LLC
 6363
Street Address 1      Street Address 2
225 W. Santa Clara Street
Suite 1600
City State/Province/CountryZIP/Postal Code
 San Jose
 CALIFORNIA
 95113
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
NEVADA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Shelby G. Fink
 2769146
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Ameriprise Financial Services, LLC
 6363
Street Address 1      Street Address 2
12700 Townepark Way
Suite 100
City State/Province/CountryZIP/Postal Code
 Louisville
 KENTUCKY
 40243
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
FLORIDA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Mark Sievert
 1046711
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Ameriprise Financial Services, LLC
 6363
Street Address 1      Street Address 2
3172 Collins Drive
Suite A
City State/Province/CountryZIP/Postal Code
 Merced
 CALIFORNIA
 95348
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Tommy Thompson
 6626035
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Concorde Investment Services, LLC
 151604
Street Address 1      Street Address 2
4600 Military Trail
Suite A-224
City State/Province/CountryZIP/Postal Code
 Jupiter
 FLORIDA
 33458
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
FLORIDA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Tim Couch
 4073942
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Dempsey Lord Smith, LLC
 141238
Street Address 1      Street Address 2
900 Old Dawson Village Road East
Suite 100
City State/Province/CountryZIP/Postal Code
 Dawsonville
 GEORGIA
 30534
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
GEORGIA



13. Offering and Sales Amounts
 
Total Offering Amount $
245000000
USDCheckbox not checkedIndefinite
Total Amount Sold $
217488645
USD
Total Remaining to be Sold $
27511355
USDCheckbox not checkedIndefinite
Clarification of Response (if Necessary)
Regarding Item 11, the Issuer may accept smaller investments in the Issuer's sole discretion.
 
14. Investors

Checkbox not checkedSelect if securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
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:
411
 
15. Sales Commissions & Finders’ 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$
11700000
USDCheckbox checkedEstimate
Finders' Fees$
0
USDCheckbox checkedEstimate
Clarification of Response (if Necessary)
Sales Commissions include estimates of the maximum amount of Placement Agent Fees that may be paid to one or more Related Persons.
 

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.
 $ 
1350000
USDCheckbox checkedEstimate
Clarification of Response (if Necessary)
Item 16 is an estimate of 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, 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 it 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.
 
IssuerSignatureName of SignerTitleDate
Griffin Capital Qualified Opportunity Zone Fund II, L.P./s/ Joseph E. MillerJoseph E. MillerChief Financial Officer & Treasurer of the GP of the Issuer2021-07-22