All Securities Law, Franchise Law, and Take-Over Law Filings for 5/14/2017 through 5/20/2017
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1 All Securities Law, Franchise Law, and Take-Over Law Filings Securities Law Registration Filings Made with DFI s Securities UNITED METHODIST DEVELOPMENT FUND Number of Registration Filings: 1 PHILADELPHIA, PA 5/17/ Pending Securities Law Exemption Filings Made with DFI s Securities FUNDRISE EQUITY REIT LLC WASHINGTON, DC 5/15/ Filed FUNDRISE REAL ESTATE INVESTMENT TR LLC WASHINGTON, DC 5/15/ Filed Number of Exemption Filings: 2 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities 1501 ADVISORS CORPORATE TR NAVELLIER DIAL HIGH INCOME OPPORTUNITIES PORTFOLIO SERIES 120 GUGGENHEIM DEFINED PORTFOLIOS SERIES 1605 DIVIDEND GROWTH PORTFOLIO SERIES 11 MONUMENT, CO 5/19/ Registered LISLE, IL 5/19/ Registered GUGGENHEIM DEFINED PORTFOLIOS SERIES 1605 GUGGENHEIM EMERGING MARKETS DIVIDEND STRATEGY PORTFOLIO SERIES 22 GUGGENHEIM DEFINED PORTFOLIOS SERIES 1605 UNDERVALUED TOP PICKS PORTFOLIO SERIES 13 LISLE, IL 5/19/ Registered LISLE, IL 5/19/ Registered Page 1 of 8
2 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities GUGGENHEIM DEFINED PORTFOLIOS SERIES 1606 DIVIDEND STRENGTH PORTFOLIO SERIES 25 All Securities Law, Franchise Law, and Take-Over Law Filings LISLE, IL 5/19/ Registered TIMOTHY PLAN EMERGING MARKETS FUND CLASS I FT 6640 DIVIDEND INCOME TR SERIES 15 FT 6647 HEALTH RE SELECT PORTFOLIO SERIES 45 FT 6648 EUROPEAN DEEP VALUE DIVIDEND PORTFOLIO SERIES 14 FT 6651 RICHARD BERNSTEIN ADVISORS GLOBAL DIVIDEND KINGS SERIES 22 FT 6659 UTILITIES SELECT PORTFOLIO SERIES 42 FT 6691 US EQUITY CLOSED END PORTFOLIO SERIES 23 HAUPPAUGE, NY 5/19/ Registered WHEATON, IL 5/17/ Registered WHEATON, IL 5/17/ Registered WHEATON, IL 5/17/ Registered WHEATON, IL 5/17/ Registered WHEATON, IL 5/17/ Registered WHEATON, IL 5/17/ Registered FT 6693 BALANCED INCOME EQUITY & ETF PORTFOLIO SERIES 26 FT 6718 TACTIL INCOME PORTFOLIO SERIES 47 FT 6723 GLOBAL EQUITY INCOME CLOSED END PORTFOLIO SERIES 54 FT 6727 BALANCED INCOME SELECT PORTFOLIO SERIES 68 FT 6729 MUNICIPAL INCOME SELECT CLOSED END PORTFOLIO SERIES 85 WHEATON, IL 5/17/ Registered WHEATON, IL 5/17/ Registered WHEATON, IL 5/17/ Registered WHEATON, IL 5/17/ Registered WHEATON, IL 5/17/ Registered Page 2 of 8
3 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities FUNDVANTAGE TR ARABESQUE SYSTEMATIC USA FUND INSTITUTIONAL CLASS All Securities Law, Franchise Law, and Take-Over Law Filings WILMINGTON, DE 5/17/ Registered MUTUAL FUND SERIES TR DAY HAGAN HEDGED STRATEGY FUND CLASS A HAUPPAUGE, NY 5/16/ Registered NORTHERN LIGHTS FUND TR 3 NEWFOUND RISK MANAGED US SECTORS FUND CLASS A SHARES NORTHERN LIGHTS FUND TR 3 NEWFOUND RISK MANAGED US SECTORS FUND CLASS C SHARES NORTHERN LIGHTS FUND TR 4 MEASURED RISK STRATEGY FUND CLASS A SHARES 1ST TR COMBINED SERIES 558 INVESTMENT GRADE MULTI ASSET INCOME PORTFOLIO YEAR SERIES ADVISORS CORE EQUITY STRATEGY PORTFOLIO Q 1793 BAHL & GAYNOR INCOME GROWTH PORTFOLIO Q 1793 DIVIDEND ADVANTAGE PORTFOLIO Q 1793 DOW VALUE 10 PORTFOLIO Q HAUPPAUGE, NY 5/16/ Registered HAUPPAUGE, NY 5/16/ Registered OMAHA, NE 5/16/ Registered WHEATON, IL 5/15/ Registered MONUMENT, CO 5/15/ Registered MONUMENT, CO 5/15/ Registered MONUMENT, CO 5/15/ Registered MONUMENT, CO 5/15/ Registered Page 3 of 8
4 All Securities Law, Franchise Law, and Take-Over Law Filings Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities 1793 EUROPEAN SELECT PORTFOLIO Q CJL PORTFOLIO MONUMENT, CO 5/15/ Registered 1793 INTERNATIONAL HIGH 30 DIVIDEND PORTFOLIO Q 1793 MINIMUM VOLATILITY EQUITY INCOME PORTFOLIO Q HIMCO PORTFOLIO 1793 STRATEGIC HIGH 80 DIVIDEND PORTFOLIO Q 1794 AEROSPACE DEFENSE OPPORTUNITIES PORTFOLIO 1794 BLUE CHIP PORTFOLIO 1794 COHEN & STEERS COVERED LL & INCOME STRATEGIES CLOSED END PORTFOLIO 1794 COHEN & STEERS GLOBAL COVERED LL & INCOME STRATEGIES CLOSED END PORTFOLIO 1794 ENERGY OPPORTUNITIES PORTFOLIO MONUMENT, CO 5/15/ Registered MONUMENT, CO 5/15/ Registered MONUMENT, CO 5/15/ Registered MONUMENT, CO 5/15/ Registered MONUMENT, CO 5/15/ Registered MONUMENT, CO 5/15/ Registered MONUMENT, CO 5/15/ Registered MONUMENT, CO 5/15/ Registered Page 4 of 8
5 All Securities Law, Franchise Law, and Take-Over Law Filings Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities 1794 STRATEGIC FOUNDATIONS OF GROWTH PORTFOLIO MONUMENT, CO 5/15/ Registered 1794 TACTIL INCOME CLOSED END PORTFOLIO FT 6641 SABRIENT BAKERS DOZEN PORTFOLIO MAY 2017 SERIES FT 6646 FINANCIALS SELECT PORTFOLIO SERIES 59 FT 6658 DORSEY WRIGHT RELATIVE STRENGTH DIVIDEND PORTFOLIO SERIES 26 FT 6689 CORE 3 CLOSED END ALLOTION PORTFOLIO SERIES 30 FT 6690 INTERNATIONAL HIGH DIVIDEND EQUITY PORTFOLIO SERIES 29 MONUMENT, CO 5/15/ Registered WHEATON, IL 5/15/ Registered WHEATON, IL 5/15/ Registered WHEATON, IL 5/15/ Registered WHEATON, IL 5/15/ Registered WHEATON, IL 5/15/ Registered Number of Investment Company Filings: 43 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities 939 FLAMINGO VENTURE LLC SAN FRANCISCO, 5/19/ Filed BLUE STAR SERVICE SOLUTIONS INC BLUEARC QUANTITATIVE EQUITY SERIES TE LTD ROCKVILLE, MD 5/19/ Filed ATLANTA, GA 5/19/ Filed Page 5 of 8
6 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities YON DISTRESSED OPPORTUNITY FUND 2 DELEWARE LP All Securities Law, Franchise Law, and Take-Over Law Filings CENTURY CITY, 5/19/ Filed DIGITECH VENTURE PITAL FUND INC DINOVA PARENT HOLDINGS INC HOUSTON, TX 5/19/ Filed CHARLOTTE, NC 5/19/ Filed FOSSIL RECORDS LLC NAPA, 5/19/ Filed ICONIQ ACCESS 61 LP NINETEEN77 GLOBAL MERGER ARBITRAGE LLC PA DIRECT CREDIT OPPORTUNITIES FUND 2 LP SAN FRANCISCO, 5/19/ Filed CHIGO, IL 5/19/ Filed DARIEN, CT 5/19/ Filed PHARMACIELO LTD TORONTO, M5X 1E2, ON 5/19/ Filed POLYVERSE CORP KIRKLAND, WA 5/19/ Filed SQN VENTURE INCOME FUND LP TREACE MEDIL CONCEPTS INC WALL STREET, NY PONTE VEDRA BEACH, FL 5/19/ Filed 5/19/ Filed URGENT RE PARTNERS INC CONCORD, 5/19/ Filed FRED FORTE LLC MILWAUKEE, WI 5/18/ Filed LLR EQUITY PARTNERS 5 LP CHRISTIANA, DE 5/18/ Filed AATS STORES LLC MORRISTOWN, NJ 5/17/ Filed BLUE CLOUD VENTURES 3 LP NEW YORK, NY 5/17/ Filed ROSEN HEDGED INDEX FUND LP RANCHO PARK, 5/16/ Filed Page 6 of 8
7 All Securities Law, Franchise Law, and Take-Over Law Filings Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities STRIVE TECH INC SEATTLE, WA 5/16/ Filed FRESH MAT INC RACON GLOBAL TACTIL ALLOTION FUND LP SAN FRANCISCO, 5/15/ Filed MILWAUKEE, WI 5/15/ Filed Number of Regulation D Notice Filings: 23 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date DaVi Nails Salon and Spa, LLC / DaVi Nails Sculpture Hospitality, LLC / Sculpture Hospitality Outback GutterVac Franchising, LLC ADVENTURES IN ADVERTISING FRANCHISE LLC Englert, Inc. / Englert LeafGuard Gutter System West Valley City, UT 5/20/ Registered Louisville, KY 5/19/ Registered Atlanta, GA 5/19/ Registered NEENAH, WI 5/19/ Registered Perth Amboy, NJ 5/19/ Registered SCJS Franchising, Inc. / Izsam Omaha, NE 5/19/ Registered Christian Bros Automotive Corp / Christian Brothers Automotive Duck Donuts Franchising Company, LLC / Duck Donuts Measure Nationwide, LLC / Measure Astral Health & Beauty, Inc. / ALOETTE MCCOLLA ENTERPRISES LTD / Street Corner Capriotti's Sandwich Shop, Inc. / Capriotti's Sandwich Shop and Capriotti's INTERIM HEALTHRE INC. / INTERIM HEALTHRE HOSPICE Interim Healthcare Inc. / INTERIM HEALTHRE Healthy Acquisitions Corp. / Healthy Acquisitions Corp.; UFood Grill Houston, TX 5/19/ Registered Mechanicsburg, PA 5/19/ Registered Washington, DC 5/18/ Registered Atlanta, GA 5/18/ Registered TOPEKA, KS 5/18/ Registered Las Vegas, NV 5/17/ Registered SUNRISE, FL 5/17/ Registered Sunrise, FL 5/17/ Registered Burlington, MA 5/16/ Registered Page 7 of 8
8 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date JFE Franchising, Inc. / JFE Snowfox Houston, TX 5/16/ Registered Tire Pros Francorp / Tire Pros Huntersville, NC 5/16/ Registered ADVICOACH FRANCHISING, LLC / ADVICOACH FSC Franchise Co., LLC / Beef 'O' Brady's Family Sports Pubs Brass Tap Franchisor, LLC / The Brass Tap SOUTHBURY, CT 5/16/ Registered Tampa, FL 5/16/ Registered Tampa, FL 5/16/ Registered Tint World, LLC Boca Raton, FL 5/16/ Registered Ville-Marie Collection Inc. / XAVIER ARTISAN Pizza Studio Franchise Company, LLC / Pizza Studio Executive Home Care Franchising LLC / Executive Care Your Home Care Company Monkburger Franchise Group LLC / Monk's Bar and Grill Fujisan Franchising Corp. / FujiSan Asian Bar Kiosks All Securities Law, Franchise Law, and Take-Over Law Filings Ben's Soft Pretzels Franchising Corporation / BEN'S SOFT PRETZELS Number of Franchise Filings: 27 Newark, DE 5/16/ Registered Westlake Village, 5/15/ Registered Hackensack, NJ 5/15/ Registered Wisconsin Dells, WI Santa Fe Springs, 5/15/ Registered 5/15/ Registered Goshen, IN 5/15/ Registered Corporate Take-Over Law Filings Made with DFI s Securities Takeover Filing Reference Number of Takeover Filings: 0 Date Page 8 of 8
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