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
0002030239
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
 Belnova Capital Fund LLC
Jurisdiction of Incorporation/Organization
DELAWARE 
Year of Incorporation/Organization
Radio button not checkedOver Five Years Ago
Radio button checkedWithin Last Five Years (Specify Year)
2024
Radio button not checkedYet to Be Formed
 
  
  
 
2. Principal Place of Business and Contact Information
Name of Issuer
 Belnova Capital Fund LLC
Street Address 1Street Address 2
 ONE POST OFFICE SQUARE
 
CityState/Province/CountryZIP/Postal CodePhone No. of Issuer
 BOSTON
 MASSACHUSETTS
 
 02109
 617-482-8260 



3. Related Persons

Last NameFirst NameMiddle Name
Eaton Vance Management
N/A
Street Address 1Street Address 2
 One Post Office Square 
 
CityState/Province/CountryZIP/Postal Code
 Boston
 MASSACHUSETTS
 02109
 
Relationship:Checkbox not checkedExecutive OfficerCheckbox not checkedDirectorCheckbox checkedPromoter
Clarification of Response (if Necessary)
Manager


Last NameFirst NameMiddle Name
Kirchner
James
Street Address 1Street Address 2
 c/o Eaton Vance Management 
 One Post Office Square
CityState/Province/CountryZIP/Postal Code
 Boston
 MASSACHUSETTS
 02109
 
Relationship:Checkbox checkedExecutive OfficerCheckbox not checkedDirectorCheckbox not checkedPromoter
Clarification of Response (if Necessary)
Executive Officer of Funds Manager, Eaton Vance Management


Last NameFirst NameMiddle Name
Walsh
Deidre
Street Address 1Street Address 2
 c/o Eaton Vance Management 
 One Post Office Square
CityState/Province/CountryZIP/Postal Code
 Boston
 MASSACHUSETTS
 02109
 
Relationship:Checkbox checkedExecutive OfficerCheckbox not checkedDirectorCheckbox not checkedPromoter
Clarification of Response (if Necessary)
Executive Officer of Funds Manager, Eaton Vance Management


Last NameFirst NameMiddle Name
Barton
Yana
S.
Street Address 1Street Address 2
 c/o Eaton Vance Management 
 One Post Office Square
CityState/Province/CountryZIP/Postal Code
 Boston
 MASSACHUSETTS
 02109
 
Relationship:Checkbox checkedExecutive OfficerCheckbox not checkedDirectorCheckbox not checkedPromoter
Clarification of Response (if Necessary)
Executive Officer of Funds Manager, Eaton Vance Management




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 checked Pooled Investment Fund

*Is the issuer registered as an investment company under the Investment Company Act of 1940?
Radio button not checked Yes  Radio button checkedNo
 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 not 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 not checked Decline to Disclose Radio button 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 checkedInvestment Company Act Section 3(c)
Checkbox not checkedSection 3(c)(1)Checkbox not checkedSection 3(c)(9)
Checkbox not checkedSection 3(c)(2)Checkbox not checkedSection 3(c)(10)
Checkbox not checkedSection 3(c)(3)Checkbox not checkedSection 3(c)(11)
Checkbox not checkedSection 3(c)(4)Checkbox not checkedSection 3(c)(12)
Checkbox not checkedSection 3(c)(5)Checkbox not checkedSection 3(c)(13)
Checkbox not checkedSection 3(c)(6)Checkbox not checkedSection 3(c)(14)
Checkbox checkedSection 3(c)(7)
 
 

7. Type of Filing
Checkbox not checked New Notice Date of First Sale 
2024-09-24
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 checked Yes Radio button not checked No
 
 
9. Type(s) of Securities Offered (select all that apply)
Checkbox checkedPooled Investment Fund InterestsCheckbox not 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$
 1000000
USD

12. Sales Compensation
Recipient Recipient CRD NumberCheckbox not checkedNone
 Deutsche Bank Securities Inc.
 2525
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
1 Columbus Circle
 
City State/Province/CountryZIP/Postal Code
 New York
 NEW YORK
 10019
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Glenmede Trust Company
 108165
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
 Glenmede Advisers
  
Street Address 1      Street Address 2
1650 Market Street
Suite 1200
City State/Province/CountryZIP/Postal Code
 Philadelphia
 PENNSYLVANIA
 19103
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
DELAWARE
HAWAII
PUERTO RICO
TEXAS
MASSACHUSETTS
MARYLAND
IOWA
MAINE
IDAHO
MICHIGAN
UTAH
MINNESOTA
MISSOURI
ILLINOIS
INDIANA
MISSISSIPPI
MONTANA
ALASKA
VIRGINIA
ARKANSAS
NORTH CAROLINA
NORTH DAKOTA
NEBRASKA
RHODE ISLAND
ARIZONA
NEW HAMPSHIRE
NEW JERSEY
VERMONT
NEW MEXICO
FLORIDA
NEVADA
WASHINGTON
NEW YORK
SOUTH CAROLINA
SOUTH DAKOTA
WISCONSIN
OHIO
GEORGIA
OKLAHOMA
CALIFORNIA
WEST VIRGINIA
WYOMING
OREGON
KANSAS
COLORADO
KENTUCKY
CONNECTICUT
PENNSYLVANIA
LOUISIANA
TENNESSEE
DISTRICT OF COLUMBIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Commonwealth Financial Network
 8032
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
29 Sawyer Road
 
City State/Province/CountryZIP/Postal Code
 Waltham
 MASSACHUSETTS
 02453
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Bank of Oklahoma Financial Securities
 17530
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
One Williams Center
Plaza Southeast
City State/Province/CountryZIP/Postal Code
 Tulsa
 OKLAHOMA
 74172
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Northern Trust Securities, Inc.
 7927
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
50 South LaSalle Street
 
City State/Province/CountryZIP/Postal Code
 Chicago
 ILLINOIS
 60603
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Charles Schwab & Co., Inc.
 5393
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
3000 Schwab Way
 
City State/Province/CountryZIP/Postal Code
 Westgate
 TEXAS
 76262
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Fifth Third Securities
 628
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Fifth Third Wealth Advisors
 313015
Street Address 1      Street Address 2
34 Fountain Square Plaza
MD-1090AM
City State/Province/CountryZIP/Postal Code
 Cincinnati
 OHIO
 45202
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
DELAWARE
HAWAII
PUERTO RICO
TEXAS
MASSACHUSETTS
MARYLAND
IOWA
MAINE
IDAHO
MICHIGAN
UTAH
MINNESOTA
MISSOURI
ILLINOIS
INDIANA
MISSISSIPPI
MONTANA
ALASKA
VIRGINIA
ARKANSAS
NORTH CAROLINA
NORTH DAKOTA
NEBRASKA
RHODE ISLAND
ARIZONA
NEW HAMPSHIRE
NEW JERSEY
VERMONT
NEW MEXICO
FLORIDA
NEVADA
WASHINGTON
NEW YORK
SOUTH CAROLINA
SOUTH DAKOTA
WISCONSIN
OHIO
GEORGIA
OKLAHOMA
CALIFORNIA
WEST VIRGINIA
WYOMING
OREGON
KANSAS
COLORADO
KENTUCKY
CONNECTICUT
PENNSYLVANIA
LOUISIANA
TENNESSEE
DISTRICT OF COLUMBIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 JP Morgan Securities
 79
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
388 Madison Avenue
 
City State/Province/CountryZIP/Postal Code
 New York
 NEW YORK
 10179
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 JP Morgan Securities
 79
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 First Republic Investment Management
 108559
Street Address 1      Street Address 2
111 Pine Street
 
City State/Province/CountryZIP/Postal Code
 San Francisco
 CALIFORNIA
 94111
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Raymond James & Associates, Inc.
 705
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
880 Carillon Parkway
 
City State/Province/CountryZIP/Postal Code
 St. Petersburg
 FLORIDA
 33716
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Sanford C. Bernstein & Co. Inc.
 104474
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
1345 Avenue of the Americas
 
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
 RBC Capital Markets LLC
 31194
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
3 World Financial Center
200 Vesey Street
City State/Province/CountryZIP/Postal Code
 New York
 NEW YORK
 10281
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 CIBC Private Wealth Advisors Inc
 109644
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
181 West Madison Street
36th Floor
City State/Province/CountryZIP/Postal Code
 Chicago
 ILLINOIS
 60602
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
DELAWARE
HAWAII
PUERTO RICO
TEXAS
MASSACHUSETTS
MARYLAND
IOWA
MAINE
IDAHO
MICHIGAN
UTAH
MINNESOTA
MISSOURI
ILLINOIS
INDIANA
MISSISSIPPI
MONTANA
ALASKA
VIRGINIA
ARKANSAS
NORTH CAROLINA
NORTH DAKOTA
NEBRASKA
RHODE ISLAND
ARIZONA
NEW HAMPSHIRE
NEW JERSEY
VERMONT
NEW MEXICO
FLORIDA
NEVADA
WASHINGTON
NEW YORK
SOUTH CAROLINA
SOUTH DAKOTA
WISCONSIN
OHIO
GEORGIA
OKLAHOMA
CALIFORNIA
WEST VIRGINIA
WYOMING
OREGON
KANSAS
COLORADO
KENTUCKY
CONNECTICUT
PENNSYLVANIA
LOUISIANA
TENNESSEE
DISTRICT OF COLUMBIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Janney Montgomery Scott LLC
 463
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
1717 Arch Street
 
City State/Province/CountryZIP/Postal Code
 Philadelphia
 PENNSYLVANIA
 19103
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Northwestern Mutual Investment Services LLC
 2881
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
720 East Wisconsin Avenue
 
City State/Province/CountryZIP/Postal Code
 Milwaukee
 WISCONSIN
 53202
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Morgan Stanley
 149777
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
2000 Westchester Avenue
 
City State/Province/CountryZIP/Postal Code
 Purchase
 NEW YORK
 10577
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Robert W. Baird
 8158
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
777 E. Wisconsin Avenue
 
City State/Province/CountryZIP/Postal Code
 Milwaukee
 WISCONSIN
 53202
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Plante Moran
 112158
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
3000 Town Center
Suite 100
City State/Province/CountryZIP/Postal Code
 Southfield
 MICHIGAN
 48075
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
PUERTO RICO
TEXAS
FLORIDA
NEVADA
WASHINGTON
NEW YORK
SOUTH CAROLINA
WISCONSIN
MASSACHUSETTS
MARYLAND
OHIO
GEORGIA
MICHIGAN
CALIFORNIA
MINNESOTA
WYOMING
ILLINOIS
OREGON
INDIANA
VIRGINIA
COLORADO
KENTUCKY
CONNECTICUT
PENNSYLVANIA
LOUISIANA
NORTH CAROLINA
NEBRASKA
ARIZONA
NEW HAMPSHIRE
TENNESSEE
NEW JERSEY
Recipient Recipient CRD NumberCheckbox not checkedNone
 Sentry Advisors
 174042
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
100 Pine Street
Suite 1250
City State/Province/CountryZIP/Postal Code
 San Francisco
 CALIFORNIA
 94111
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
WYOMING
TEXAS
WASHINGTON
NEW YORK
VIRGINIA
COLORADO
CALIFORNIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Leo Wealth LLC
 283891
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
860 Airport Freeway
Suite 402
City State/Province/CountryZIP/Postal Code
 Hurst
 TEXAS
 76054
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
MINNESOTA
TEXAS
INDIANA
FLORIDA
NEVADA
NEW YORK
VIRGINIA
COLORADO
CONNECTICUT
PENNSYLVANIA
MASSACHUSETTS
LOUISIANA
NORTH CAROLINA
MARYLAND
NEBRASKA
IOWA
ARIZONA
GEORGIA
NEW HAMPSHIRE
MICHIGAN
NEW JERSEY
OKLAHOMA
CALIFORNIA
NEW MEXICO
Recipient Recipient CRD NumberCheckbox not checkedNone
 Ameriprise Financial Services Inc
 6363
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
707 2nd Ave. South
 
City State/Province/CountryZIP/Postal Code
 Minneapolis
 MINNESOTA
 55402
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Osaic Wealth Inc.
 23131
(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
18700 N. Hayden Rd.
Suite 255
City State/Province/CountryZIP/Postal Code
 Scottsdale
 ARIZONA
 85255
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
DELAWARE
HAWAII
PUERTO RICO
TEXAS
MASSACHUSETTS
MARYLAND
IOWA
MAINE
IDAHO
MICHIGAN
UTAH
MINNESOTA
MISSOURI
ILLINOIS
INDIANA
MISSISSIPPI
MONTANA
ALASKA
VIRGINIA
ARKANSAS
NORTH CAROLINA
NORTH DAKOTA
NEBRASKA
RHODE ISLAND
ARIZONA
NEW HAMPSHIRE
NEW JERSEY
VERMONT
NEW MEXICO
FLORIDA
NEVADA
WASHINGTON
NEW YORK
SOUTH CAROLINA
SOUTH DAKOTA
WISCONSIN
OHIO
GEORGIA
OKLAHOMA
CALIFORNIA
WEST VIRGINIA
WYOMING
OREGON
KANSAS
COLORADO
KENTUCKY
CONNECTICUT
PENNSYLVANIA
LOUISIANA
TENNESSEE
DISTRICT OF COLUMBIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Osaic Wealth Inc.
 23131
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Osaic Institutions, Inc
 35371
Street Address 1      Street Address 2
18700 N. Hayden Rd.
Suite 255
City State/Province/CountryZIP/Postal Code
 Scottsdale
 ARIZONA
 85255
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Baker Street Advisors LLC
 128066
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
575 Market Street
Suite 600
City State/Province/CountryZIP/Postal Code
 San Francisco
 CALIFORNIA
 94105
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
OREGON
MASSACHUSETTS
TEXAS
FLORIDA
ARIZONA
WASHINGTON
NEW YORK
COLORADO
CALIFORNIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 BluePointe capital Management LLC
 140262
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
1300 El Camino Real
Suite 100
City State/Province/CountryZIP/Postal Code
 Menlo Park
 CALIFORNIA
 94025
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 CapFinancial Partners LLC (DBA CapTrust)
 175112
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
4208 Six Forks Rd
Suite 1700
City State/Province/CountryZIP/Postal Code
 Raleigh
 NORTH CAROLINA
 27609
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
DELAWARE
HAWAII
PUERTO RICO
TEXAS
MASSACHUSETTS
MARYLAND
IOWA
MAINE
IDAHO
MICHIGAN
UTAH
MINNESOTA
MISSOURI
ILLINOIS
INDIANA
MISSISSIPPI
MONTANA
ALASKA
VIRGINIA
ARKANSAS
NORTH CAROLINA
NORTH DAKOTA
NEBRASKA
RHODE ISLAND
ARIZONA
NEW HAMPSHIRE
NEW JERSEY
VERMONT
NEW MEXICO
FLORIDA
NEVADA
WASHINGTON
NEW YORK
SOUTH CAROLINA
SOUTH DAKOTA
WISCONSIN
OHIO
GEORGIA
OKLAHOMA
CALIFORNIA
WEST VIRGINIA
WYOMING
OREGON
KANSAS
COLORADO
KENTUCKY
CONNECTICUT
PENNSYLVANIA
LOUISIANA
TENNESSEE
DISTRICT OF COLUMBIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 D.A. Davidson & Co, Inc
 199
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
8 Third St. North
 
City State/Province/CountryZIP/Postal Code
 Great Falls
 MONTANA
 59401
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 HB Wealth Management LLC (aka Homrich Berg)
 316731
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
3550 Lenox Rd.
Suite 2700
City State/Province/CountryZIP/Postal Code
 Atlanta
 GEORGIA
 30326
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
TEXAS
FLORIDA
NEVADA
WASHINGTON
NEW YORK
SOUTH CAROLINA
WISCONSIN
MASSACHUSETTS
MARYLAND
OHIO
GEORGIA
IDAHO
MICHIGAN
CALIFORNIA
UTAH
WEST VIRGINIA
MINNESOTA
MISSOURI
ILLINOIS
OREGON
INDIANA
MISSISSIPPI
MONTANA
KANSAS
COLORADO
KENTUCKY
ARKANSAS
CONNECTICUT
PENNSYLVANIA
NORTH CAROLINA
NEBRASKA
RHODE ISLAND
ARIZONA
NEW HAMPSHIRE
TENNESSEE
NEW JERSEY
DISTRICT OF COLUMBIA
NEW MEXICO
Recipient Recipient CRD NumberCheckbox not checkedNone
 HighTower Advisors LLC
 145323
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 HighTower Securities
 116681
Street Address 1      Street Address 2
200 W. Madison St.
Suite 2500
City State/Province/CountryZIP/Postal Code
 Chicago
 ILLINOIS
 60606
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 ICONIQ Capital
 159198
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
50 Beale St.
Suite 2300
City State/Province/CountryZIP/Postal Code
 San Francisco
 CALIFORNIA
 94105
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
TEXAS
FLORIDA
NEW YORK
CALIFORNIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Kukui Tree Capital Management
 330374
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
545 Middlefield Rd.
Suite 205
City State/Province/CountryZIP/Postal Code
 Menlo Park
 CALIFORNIA
 94025
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 MDRN Capital
 325950
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
1997 Annapolis Exchange Parkway
Suite 300
City State/Province/CountryZIP/Postal Code
 Annapolis
 MARYLAND
 21401
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
DELAWARE
MISSOURI
ILLINOIS
TEXAS
FLORIDA
NEW YORK
VIRGINIA
COLORADO
PENNSYLVANIA
LOUISIANA
NORTH CAROLINA
MARYLAND
ARIZONA
OHIO
GEORGIA
NEW HAMPSHIRE
MICHIGAN
NEW JERSEY
CALIFORNIA
UTAH
Recipient Recipient CRD NumberCheckbox not checkedNone
 Northwestern Mutual Investment Services LLC
 2881
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
720 East Wisconsin Ave
 
City State/Province/CountryZIP/Postal Code
 Milwaukee
 WISCONSIN
 53202
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
DELAWARE
HAWAII
TEXAS
MASSACHUSETTS
MARYLAND
IOWA
MAINE
IDAHO
MICHIGAN
UTAH
MINNESOTA
MISSOURI
ILLINOIS
INDIANA
MISSISSIPPI
MONTANA
ALASKA
ALABAMA
VIRGINIA
ARKANSAS
NORTH CAROLINA
NORTH DAKOTA
NEBRASKA
RHODE ISLAND
ARIZONA
NEW HAMPSHIRE
NEW JERSEY
VERMONT
NEW MEXICO
FLORIDA
NEVADA
WASHINGTON
NEW YORK
SOUTH CAROLINA
SOUTH DAKOTA
WISCONSIN
OHIO
GEORGIA
OKLAHOMA
CALIFORNIA
WEST VIRGINIA
OREGON
KANSAS
COLORADO
KENTUCKY
CONNECTICUT
PENNSYLVANIA
LOUISIANA
TENNESSEE
DISTRICT OF COLUMBIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Partners Capital Investment Group LLP
 120663
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
600 Atlantic Ave, 30th Fl
 
City State/Province/CountryZIP/Postal Code
 Boston
 MASSACHUSETTS
 02110
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
MASSACHUSETTS
TEXAS
FLORIDA
NEW YORK
CALIFORNIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Spirepoint Private Client LLC
 327350
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
3111Cardinal Drive
Suite 2 West
City State/Province/CountryZIP/Postal Code
 Vero Beach
 FLORIDA
 32963
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
PENNSYLVANIA
ILLINOIS
TEXAS
LOUISIANA
NORTH CAROLINA
FLORIDA
NEW YORK
Recipient Recipient CRD NumberCheckbox not checkedNone
 Stevens Capital Partners Inc.
 317517
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
15514 Spaulding Plaza
Suite D02
City State/Province/CountryZIP/Postal Code
 Omaha
 NEBRASKA
 86116
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
MINNESOTA
PENNSYLVANIA
ILLINOIS
TEXAS
NORTH CAROLINA
FLORIDA
NEBRASKA
IOWA
GEORGIA
NEW YORK
CALIFORNIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Summit Trail Advisors LLC
 220529
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Summit Trail Securities LLC
 285784
Street Address 1      Street Address 2
2 Grand Central Tower, 140 E 45th St.
28th Floor
City State/Province/CountryZIP/Postal Code
 New York
 NEW YORK
 10017
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
DELAWARE
HAWAII
PUERTO RICO
TEXAS
FLORIDA
NEVADA
WASHINGTON
NEW YORK
SOUTH CAROLINA
SOUTH DAKOTA
WISCONSIN
MASSACHUSETTS
MARYLAND
OHIO
GEORGIA
MICHIGAN
OKLAHOMA
CALIFORNIA
UTAH
MINNESOTA
MISSOURI
WYOMING
ILLINOIS
OREGON
INDIANA
VIRGINIA
COLORADO
CONNECTICUT
PENNSYLVANIA
LOUISIANA
NORTH CAROLINA
RHODE ISLAND
ARIZONA
NEW HAMPSHIRE
TENNESSEE
NEW JERSEY
Recipient Recipient CRD NumberCheckbox checkedNone
 Truist Bank NA
  
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Truist Securities
 6271
Street Address 1      Street Address 2
3333 Peachtree Rd,
South Tower, 9th Fl
City State/Province/CountryZIP/Postal Code
 Atlanta
 GEORGIA
 30326
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox checkedNone
 Truist Bank NA
  
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Truist Advisory Services
 283390
Street Address 1      Street Address 2
3333 Peachtree Rd,
South Tower, 9th Fl
City State/Province/CountryZIP/Postal Code
 Atlanta
 GEORGIA
 30326
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
DELAWARE
HAWAII
PUERTO RICO
TEXAS
MASSACHUSETTS
MARYLAND
IOWA
MAINE
IDAHO
MICHIGAN
UTAH
MINNESOTA
MISSOURI
ILLINOIS
INDIANA
MISSISSIPPI
MONTANA
ALASKA
VIRGINIA
ARKANSAS
NORTH CAROLINA
NORTH DAKOTA
NEBRASKA
RHODE ISLAND
ARIZONA
NEW HAMPSHIRE
NEW JERSEY
VERMONT
NEW MEXICO
FLORIDA
NEVADA
WASHINGTON
NEW YORK
SOUTH CAROLINA
SOUTH DAKOTA
WISCONSIN
OHIO
GEORGIA
OKLAHOMA
CALIFORNIA
WEST VIRGINIA
WYOMING
OREGON
KANSAS
COLORADO
KENTUCKY
CONNECTICUT
PENNSYLVANIA
LOUISIANA
TENNESSEE
DISTRICT OF COLUMBIA
Recipient Recipient CRD NumberCheckbox checkedNone
 BMO Bank NA
  
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 BMO Family Office LLC
 110264
Street Address 1      Street Address 2
320 south Canal St.
Floor 12
City State/Province/CountryZIP/Postal Code
 Chicago
 ILLINOIS
 60606
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
MINNESOTA
ILLINOIS
OREGON
MASSACHUSETTS
TEXAS
FLORIDA
ARIZONA
NEW HAMPSHIRE
WASHINGTON
COLORADO
CALIFORNIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 New Edge Wealth
 307771
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
2200 Atlantic St
Suite 200
City State/Province/CountryZIP/Postal Code
 Stamford
 CONNECTICUT
 06902
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
DELAWARE
HAWAII
PUERTO RICO
TEXAS
MASSACHUSETTS
MARYLAND
IOWA
MAINE
IDAHO
MICHIGAN
UTAH
MINNESOTA
MISSOURI
ILLINOIS
INDIANA
MISSISSIPPI
MONTANA
ALASKA
VIRGINIA
ARKANSAS
NORTH CAROLINA
NORTH DAKOTA
NEBRASKA
RHODE ISLAND
ARIZONA
NEW HAMPSHIRE
NEW JERSEY
VERMONT
NEW MEXICO
FLORIDA
NEVADA
WASHINGTON
NEW YORK
SOUTH CAROLINA
SOUTH DAKOTA
WISCONSIN
OHIO
GEORGIA
OKLAHOMA
CALIFORNIA
WEST VIRGINIA
WYOMING
OREGON
KANSAS
COLORADO
KENTUCKY
CONNECTICUT
PENNSYLVANIA
LOUISIANA
TENNESSEE
DISTRICT OF COLUMBIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Ameriprise Financial
 6363
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
707 2nd Ave South
 
City State/Province/CountryZIP/Postal Code
 Minneapolis
 MINNESOTA
 55402
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox checkedNone
 Cetera Financial
  
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Cetera Advisor Networks LLC
 13572
Street Address 1      Street Address 2
2301 Rosecrans Avenue
#5100
City State/Province/CountryZIP/Postal Code
 El Segundo
 CALIFORNIA
 90245
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox checkedNone
 Cetera Financial
  
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Cetera Financial Specialists LLC
 10358
Street Address 1      Street Address 2
1450 American Lane
Suite 650
City State/Province/CountryZIP/Postal Code
 Schaumburg
 ILLINOIS
 60173
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox checkedNone
 Cetera Financial
  
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Cetera Investment Services LLC
 15340
Street Address 1      Street Address 2
1450 American Lane
Suite 650
City State/Province/CountryZIP/Postal Code
 Schaumburg
 ILLINOIS
 60173
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox checkedNone
 Cetera Financial
  
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox not checkedNone
 Cetera Advisors LLC
 10299
Street Address 1      Street Address 2
5299 DTC Blvd
#800
City State/Province/CountryZIP/Postal Code
 Greenwood Village
 COLORADO
 80111
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 5C Capital Management, LLC
 284213
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
50 Tice Boulevard
Suite A32
City State/Province/CountryZIP/Postal Code
 Woodcliff Lake
 NEW JERSEY
 07677
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
SOUTH CAROLINA
CONNECTICUT
PENNSYLVANIA
MASSACHUSETTS
TEXAS
LOUISIANA
NORTH CAROLINA
FLORIDA
NEW YORK
VIRGINIA
NEW JERSEY
CALIFORNIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Alphacore Capital LLC
 174346
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
1200 Prospect St
Suite 200
City State/Province/CountryZIP/Postal Code
 La Jolla
 CALIFORNIA
 92037
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
DELAWARE
HAWAII
TEXAS
FLORIDA
NEVADA
WASHINGTON
NEW YORK
SOUTH CAROLINA
WISCONSIN
MASSACHUSETTS
MARYLAND
IOWA
MAINE
OHIO
GEORGIA
IDAHO
MICHIGAN
OKLAHOMA
CALIFORNIA
UTAH
MINNESOTA
WYOMING
ILLINOIS
OREGON
INDIANA
MONTANA
KANSAS
ALASKA
ALABAMA
VIRGINIA
COLORADO
KENTUCKY
ARKANSAS
CONNECTICUT
PENNSYLVANIA
LOUISIANA
NORTH CAROLINA
NEBRASKA
RHODE ISLAND
ARIZONA
NEW HAMPSHIRE
TENNESSEE
NEW JERSEY
VERMONT
DISTRICT OF COLUMBIA
NEW MEXICO
Recipient Recipient CRD NumberCheckbox not checkedNone
 Archway Wealth Management, LLC
 326816
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
10900 Manchester Rd
Suite 203
City State/Province/CountryZIP/Postal Code
 Kirkwood
 MISSOURI
 63122
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
MISSOURI
WISCONSIN
ILLINOIS
TEXAS
LOUISIANA
FLORIDA
NEW JERSEY
Recipient Recipient CRD NumberCheckbox not checkedNone
 Argos Wealth Advisors, LLC
 144481
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
5930 South Land Park Dr
#22459
City State/Province/CountryZIP/Postal Code
 Sacramento
 CALIFORNIA
 95822
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
CONNECTICUT
PENNSYLVANIA
ILLINOIS
TEXAS
FLORIDA
NEW YORK
COLORADO
NEW JERSEY
CALIFORNIA
UTAH
Recipient Recipient CRD NumberCheckbox not checkedNone
 Clearstead Advisory Solutions
 105674
(Associated) Broker or DealerCheckbox not checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
 Clearstead Hartland & Co
  
Street Address 1      Street Address 2
1100 Superior Ave East
Suite 700
City State/Province/CountryZIP/Postal Code
 Cleveland
 OHIO
 44114
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 CoastEdge Partners LLC
 149685
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
4655 Executive Drive
Suite 325
City State/Province/CountryZIP/Postal Code
 San Diego
 CALIFORNIA
 92121
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
MINNESOTA
TEXAS
FLORIDA
NEW YORK
CALIFORNIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Coldstream Wealth Management
 108805
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
One 100th Avenue NE
Suite 102
City State/Province/CountryZIP/Postal Code
 Bellevue
 WASHINGTON
 98004
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
DELAWARE
HAWAII
TEXAS
FLORIDA
NEVADA
WASHINGTON
NEW YORK
SOUTH CAROLINA
MASSACHUSETTS
MARYLAND
OHIO
GEORGIA
IDAHO
CALIFORNIA
UTAH
MINNESOTA
MISSOURI
WYOMING
ILLINOIS
OREGON
MISSISSIPPI
MONTANA
ALASKA
VIRGINIA
COLORADO
CONNECTICUT
PENNSYLVANIA
LOUISIANA
NORTH CAROLINA
ARIZONA
NEW HAMPSHIRE
TENNESSEE
NEW JERSEY
NEW MEXICO
Recipient Recipient CRD NumberCheckbox not checkedNone
 Compak Asset Management
 109930
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
1801 Dove Street
 
City State/Province/CountryZIP/Postal Code
 Newport Beach
 CALIFORNIA
 92660
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
HAWAII
TEXAS
FLORIDA
NEVADA
WASHINGTON
NEW YORK
WISCONSIN
MARYLAND
IOWA
OHIO
GEORGIA
IDAHO
MICHIGAN
CALIFORNIA
MINNESOTA
MISSOURI
ILLINOIS
OREGON
INDIANA
VIRGINIA
COLORADO
NORTH CAROLINA
ARIZONA
TENNESSEE
NEW JERSEY
NEW MEXICO
Recipient Recipient CRD NumberCheckbox not checkedNone
 Edward Jones
 250
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
12555 Manchester Road
 
City State/Province/CountryZIP/Postal Code
 St Louis
 MISSOURI
 93131
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Ehrenkranz Partners LP
 131728
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
375 Park Ave.
 
City State/Province/CountryZIP/Postal Code
 New York
 NEW YORK
 10152
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
CONNECTICUT
ILLINOIS
MASSACHUSETTS
LOUISIANA
NORTH CAROLINA
FLORIDA
MARYLAND
WASHINGTON
ALABAMA
NEW YORK
NEW JERSEY
CALIFORNIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Equitable Advisors
 6627
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
1345 Ave. Of the Americas
 
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
 GlenEagles Investment Advisors
 312306
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
3715 Northside Pkwy
Northcreek 200
City State/Province/CountryZIP/Postal Code
 Atlanta
 GEORGIA
 30327
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
GEORGIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 HSBC Securities USA Inc
 19585
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
66 Hudson Blvd
 
City State/Province/CountryZIP/Postal Code
 New York
 NEW YORK
 10001
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Kelson Capital LLC
 149477
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
2 Ravenglass Dr
2nd floor
City State/Province/CountryZIP/Postal Code
 Stamford
 CONNECTICUT
 06903
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ILLINOIS
TEXAS
FLORIDA
NEW YORK
VIRGINIA
CONNECTICUT
PENNSYLVANIA
WISCONSIN
MASSACHUSETTS
LOUISIANA
NORTH CAROLINA
MARYLAND
OHIO
TENNESSEE
NEW JERSEY
CALIFORNIA
DISTRICT OF COLUMBIA
Recipient Recipient CRD NumberCheckbox not checkedNone
 Laird Norton Wetherby Wealth Mgt
 107341
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
801 Second Ave
Suite 1600
City State/Province/CountryZIP/Postal Code
 Seattle
 WASHINGTON
 98104
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
TEXAS
FLORIDA
NEVADA
WASHINGTON
NEW YORK
WISCONSIN
MASSACHUSETTS
MARYLAND
OHIO
IDAHO
MICHIGAN
CALIFORNIA
UTAH
MINNESOTA
ILLINOIS
OREGON
ALASKA
VIRGINIA
COLORADO
CONNECTICUT
PENNSYLVANIA
NORTH CAROLINA
ARIZONA
NEW HAMPSHIRE
NEW JERSEY
NEW MEXICO
Recipient Recipient CRD NumberCheckbox not checkedNone
 MAI Capital Management
 109807
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
6050 Oak Tree Blvd
Suite 500
City State/Province/CountryZIP/Postal Code
 Cleveland
 OHIO
 44131
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Marquis Wealth Management Group
 116604
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
6208 Whiskey Creek Dr
 
City State/Province/CountryZIP/Postal Code
 Ft Meyers
 FLORIDA
 33909
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
TEXAS
LOUISIANA
NORTH CAROLINA
FLORIDA
MICHIGAN
Recipient Recipient CRD NumberCheckbox not checkedNone
 Mercer Global Wealth Advisors
 147363
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
1200 17th Street
Suite 2000
City State/Province/CountryZIP/Postal Code
 Denver
 COLORADO
 80202
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Moneta Group Investment Advisors
 104727
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
190 Carondelet Plaza
Suite 1200
City State/Province/CountryZIP/Postal Code
 St Louis
 MISSOURI
 63105
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 OpenArc Corporate Advisory
 336837
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
3550 Pearchtree Road NE
Floor 7
City State/Province/CountryZIP/Postal Code
 Atlanta
 GEORGIA
 30326
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
ILLINOIS
TEXAS
FLORIDA
GEORGIA
NEW JERSEY
Recipient Recipient CRD NumberCheckbox not checkedNone
 Prospera Financial Services Inc
 10740
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
5429 LBJ Reeeway
Suite 750
City State/Province/CountryZIP/Postal Code
 Dallas
 TEXAS
 75240
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 
Recipient Recipient CRD NumberCheckbox not checkedNone
 Requisite Capital Management LLC
 283107
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
4001 Maple Avenue
Suite 290
City State/Province/CountryZIP/Postal Code
 Dallas
 TEXAS
 75219
State(s) of SolicitationCheckbox not checkedAll StatesCheckbox not checkedForeign/Non-US
 
TEXAS
LOUISIANA
ARIZONA
ALABAMA
COLORADO
Recipient Recipient CRD NumberCheckbox not checkedNone
 RWA Wealth Partners
 156984
(Associated) Broker or DealerCheckbox checkedNone(Associated) Broker or Dealer CRD Number Checkbox checkedNone
  
  
Street Address 1      Street Address 2
800 Boylston St
 
City State/Province/CountryZIP/Postal Code
 Boston
 MASSACHUSETTS
 02199
State(s) of SolicitationCheckbox checkedAll StatesCheckbox not checkedForeign/Non-US
 



13. Offering and Sales Amounts
 
Total Offering Amount $
 
USDCheckbox checkedIndefinite
Total Amount Sold $
3957381042
USD
Total Remaining to be Sold $
 
USDCheckbox 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:
1534
 
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$
14726849
USDCheckbox not 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
Belnova Capital Fund LLC/s/ James KirchnerJames KirchnerVice President of Manager2026-03-05