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
0001830932
Radio button not checkedCorporation
Radio button not checked Limited Partnership
Radio button checked Limited Liability Company
Radio button not checked General Partnership
Radio button not checked Business Trust
Radio button not checkedOther 
Name of Issuer
 Shopoff DLV QOZ Fund, LLC
Jurisdiction of Incorporation/Organization
CALIFORNIA 
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
 Shopoff DLV QOZ Fund, LLC
Street Address 1Street Address 2
 2 PARK PLAZA, SUITE 770
 
CityState/Province/CountryZIP/Postal CodePhone No. of Issuer
 IRVINE
 CALIFORNIA
 
 92614
 9494174463 



3. Related Persons

Last NameFirst NameMiddle Name
Mark
Schultz
Street Address 1Street Address 2
 18565 Jamboree Road, Suite 200 
 
CityState/Province/CountryZIP/Postal Code
 Irvine
 CALIFORNIA
 92612
 
Relationship:Checkbox checkedExecutive OfficerCheckbox not checkedDirectorCheckbox not checkedPromoter
Clarification of Response (if Necessary)
Chief Financial Officer


Last NameFirst NameMiddle Name
Shopoff
William
Street Address 1Street Address 2
 18565 Jamboree Road, Suite 200 
 
CityState/Province/CountryZIP/Postal Code
 Irvine
 CALIFORNIA
 92612
 
Relationship:Checkbox checkedExecutive OfficerCheckbox not checkedDirectorCheckbox not checkedPromoter
Clarification of Response (if Necessary)
Chief Executive Officer




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 checked Over $100,000,000Radio button not checked Over $100,000,000
Radio button not 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 not checkedRule 506(b)      
Checkbox not checkedRule 504 (b)(1)(i) Checkbox 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 
 
Checkbox 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 checked Yes Radio button not checked No
 
 
9. Type(s) of Securities Offered (select all that apply)
Checkbox not 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$
 250000
USD

12. Sales Compensation
Recipient Recipient CRD NumberCheckbox not checkedNone
 Shopoff Securities Inc.
 142866
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Shopoff Securities Inc.
 142866
Street Address 1      Street Address 2
2 Park Plaza, Suite 770
 
City State/Province/CountryZIP/Postal Code
 Irvine
 CALIFORNIA
 92614
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
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 NumberCheckbox not checkedNone
 BOUSTEAD SECURITIES, LLC
 141391
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 BOUSTEAD SECURITIES, LLC
 141391
Street Address 1      Street Address 2
6 Venture
STE 395
City State/Province/CountryZIP/Postal Code
 Irvine
 CALIFORNIA
 92618
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ALABAMA
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
HAWAII
IDAHO
ILLINOIS
INDIANA
IOWA
KANSAS
KENTUCKY
LOUISIANA
MAINE
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSOURI
MONTANA
NEBRASKA
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
PUERTO RICO
RHODE ISLAND
SOUTH CAROLINA
TENNESSEE
TEXAS
UTAH
VIRGINIA
WASHINGTON
WISCONSIN
WYOMING
Recipient Recipient CRD NumberCheckbox not checkedNone
 Innovation Partners LLC
 146344
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Innovation Partners LLC
 146344
Street Address 1      Street Address 2
5950 Fairview Rd., Ste. 140
 
City State/Province/CountryZIP/Postal Code
 Charlotte
 NORTH CAROLINA
 28210
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
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 NumberCheckbox not checkedNone
 IBN Financial Services, Inc.
 42360
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 IBN Financial Services, Inc.
 42360
Street Address 1      Street Address 2
404 Old Liverpool Rd.
 
City State/Province/CountryZIP/Postal Code
 Liverpool
 NEW YORK
 13088
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ALABAMA
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
NEBRASKA
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
RHODE ISLAND
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VERMONT
VIRGINIA
WASHINGTON
WISCONSIN
Recipient Recipient CRD NumberCheckbox not checkedNone
 Oak Tree Securities, Inc.
 18126
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Oak Tree Securities, Inc.
 18126
Street Address 1      Street Address 2
4049 First St., Ste. 129
 
City State/Province/CountryZIP/Postal Code
 Livermore
 CALIFORNIA
 94551
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ARIZONA
CALIFORNIA
COLORADO
FLORIDA
GEORGIA
HAWAII
IDAHO
MICHIGAN
MISSOURI
NEVADA
NEW JERSEY
NEW MEXICO
OREGON
TENNESSEE
TEXAS
WISCONSIN
Recipient Recipient CRD NumberCheckbox not checkedNone
 Infinity Financial Services
 144302
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Infinity Financial Services
 144302
Street Address 1      Street Address 2
212 9th Street, Ste. 202
 
City State/Province/CountryZIP/Postal Code
 Oakland
 CALIFORNIA
 94607
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
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
TENNESSEE
TEXAS
UTAH
VERMONT
VIRGINIA
WASHINGTON
WISCONSIN
Recipient Recipient CRD NumberCheckbox not checkedNone
 Kalos Capital, Inc.
 44337
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Kalos Capital, Inc.
 44337
Street Address 1      Street Address 2
11525 Park Woods Circle
 
City State/Province/CountryZIP/Postal Code
 Alpharetta
 GEORGIA
 30005
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
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 NumberCheckbox not checkedNone
 IFP SECURITIES, LLC
 297287
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 IFP SECURITIES, LLC
 297287
Street Address 1      Street Address 2
3030 NORTH ROCKY POINT DRIVE WEST,
SUITE 700
City State/Province/CountryZIP/Postal Code
 TAMPA
 FLORIDA
 33607
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Patrick Capital Markets
 16518
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Patrick Capital Markets
 16518
Street Address 1      Street Address 2
11152 South Towne Square
 
City State/Province/CountryZIP/Postal Code
 St. Louis
 MISSOURI
 63123
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
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 NumberCheckbox not checkedNone
 Saxony Securities, Inc.
 115547
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Saxony Securities, Inc.
 115547
Street Address 1      Street Address 2
11152 South Towne Square
 
City State/Province/CountryZIP/Postal Code
 11152 South Towne Square
 MISSOURI
 63123
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
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 NumberCheckbox not checkedNone
 Ni Advisors
 134502
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Ni Advisors
 134502
Street Address 1      Street Address 2
1138 Cadillac Ct.
 
City State/Province/CountryZIP/Postal Code
 Milpitas
 CALIFORNIA
 95035
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ARIZONA
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
FLORIDA
GEORGIA
HAWAII
IDAHO
ILLINOIS
KANSAS
MAINE
MARYLAND
MASSACHUSETTS
MICHIGAN
MISSOURI
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW YORK
NORTH CAROLINA
OREGON
PENNSYLVANIA
RHODE ISLAND
SOUTH CAROLINA
TEXAS
UTAH
VIRGINIA
WASHINGTON
Recipient Recipient CRD NumberCheckbox not checkedNone
 World Equity Group, Inc.
 29087
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 World Equity Group, Inc.
 29087
Street Address 1      Street Address 2
1650 N. Arlington Heights Rd., Ste. 100
 
City State/Province/CountryZIP/Postal Code
 Arlington Heights
 ILLINOIS
 60004
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 International Assets Advisory, LLC
 10645
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 International Assets Advisory, LLC
 10645
Street Address 1      Street Address 2
390 N Orange Ave, Suite 750
 
City State/Province/CountryZIP/Postal Code
 Orlando
 FLORIDA
 32801
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 MHL INVESTMENTS
 2535
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 MHL INVESTMENTS
 2535
Street Address 1      Street Address 2
EVERSPIRE PLAZA
6900 S. 900 E., SUITE 200
City State/Province/CountryZIP/Postal Code
 MIDVALE
 UTAH
 84047
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ALASKA
ARIZONA
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
FLORIDA
GEORGIA
IDAHO
ILLINOIS
INDIANA
IOWA
LOUISIANA
MARYLAND
MICHIGAN
MISSOURI
MONTANA
NEVADA
NEW JERSEY
NEW YORK
NORTH CAROLINA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VIRGINIA
WASHINGTON
WISCONSIN
WYOMING
Recipient Recipient CRD NumberCheckbox not checkedNone
 THIRD SEVEN CAPITAL LLC
 160209
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 THIRD SEVEN CAPITAL LLC
 160209
Street Address 1      Street Address 2
1345 AVENUE OF THE AMERICAS
33RD FLOOR
City State/Province/CountryZIP/Postal Code
 NEW YORK
 NEW YORK
 10105
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Nobles & Richards, Inc.
 146870
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Nobles & Richards, Inc.
 146870
Street Address 1      Street Address 2
801 E. Plano Pkwy., Ste. 220
 
City State/Province/CountryZIP/Postal Code
 Plano
 TEXAS
 75074
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Arkadios Capital
 282710
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Arkadios Capital
 282710
Street Address 1      Street Address 2
309 East Paces Rd., Ste. 1000
 
City State/Province/CountryZIP/Postal Code
 Atlanta
 GEORGIA
 30305
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
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
PUERTO RICO
RHODE ISLAND
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VERMONT
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
WYOMING



13. Offering and Sales Amounts
 
Total Offering Amount $
186000000
USDCheckbox not checkedIndefinite
Total Amount Sold $
0
USD
Total Remaining to be Sold $
186000000
USDCheckbox not checkedIndefinite
Clarification of Response (if Necessary)
  
 
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:
0
 
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$
13659479
USDCheckbox checkedEstimate
Finders' Fees$
0
USDCheckbox not checkedEstimate
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.
 $ 
0
USDCheckbox not checkedEstimate
Clarification of Response (if Necessary)
 

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
Shopoff DLV QOZ Fund, LLCMark SchultzMark SchultzChief Financial Officer2022-08-09