All Securities Law, Franchise Law, and Take-Over Law Filings for 1/1/2017 through 1/7/2017
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1 Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 KNIGHTSCOPE INC Securities Law Exemption Filings Made with DFI s Securities Number of Exemption Filings: 1 MOUNTAIN VIEW, CA 1/3/ Filed 1745 ADVISORS CORPORATE TR NAVELLIER DIAL HIGH INCOME OPPORTUNITY PORTFOLIO SERIES BLUE CHIP COVERED CALL PORTFOLIO SERIES Q 1760 GLOBAL TECHNOLOGY PORTFOLIO SERIES MONUMENT, CO 1/6/ Registered MONUMENT, CO 1/6/ Registered MONUMENT, CO 1/6/ Registered 1761 INCOME QUALITY COVERED CALL PORTFOLIO SERIES Q MONUMENT, CO 1/6/ Registered FUND CLASS A SHARES 1/6/ Pending-Cleared FUND CLASS C SHARES 1/6/ Pending-Cleared Page 1 of 7
2 FUND INSTITUTIONAL SHARES FUND CLASS R6 SHARES 1/6/ Pending-Cleared 1/6/ Pending-Cleared FEDERATED INCOME SECURITIES TR FEDERATED SHORT TERM INCOME FUND CLASS R6 SHARES 1/6/ Pending-Cleared GUGGEEIM DEFINED PORTFOLIOS SERIES 1554 ENERGY PORTFOLIO SERIES 22 LISLE, IL 1/6/ Registered FUND CLASS A SHARES 1/6/ Registered FUND CLASS C SHARES 1/6/ Registered FUND CLASS I SHARES 1/6/ Registered FUND CLASS R6 SHARES 1/6/ Registered FUND CLASS Y SHARES 1/6/ Registered NUVEEN UNIT INVESTMENT TR SERIES 178 NUVEEN NWQ DIVERSIFIED INCOME PORTFOLIO 1Q 2017 MANAGED PORTFOLIO SERIES JACKSON SQUARE SMID CAP GROWTH FUND IS CLASS CHICAGO, IL 1/6/ Registered MILWAUKEE, WI 1/5/ Registered Page 2 of 7
3 1758 BALANCED PORTFOLIO SERIES MONUMENT, CO 1/4/ Registered 1758 COHEN & STEERS EQUITY DIVIDEND & INCOME CLOSED END PORTFOLIO SERIES ALPS SERIES TR CLARKSTON FOUNDERS FUND ALPS SERIES TR CLARKSTON SELECT FUND INSTITUTIONAL CLASS FT 6449 CORE 3 CLOSED END ALLOCATION PORTFOLIO SERIES 27 FT 6450 EQUITY CLOSED END PORTFOLIO SERIES 43 FT 6451 BALANCED INCOME PORTFOLIO SERIES 55 FT 6452 TAX ADVANTAGED MUNICIL CLOSED END PORTFOLIO SERIES 50 FT 6462 CONTENT LEADERS PORTFOLIO SERIES 4 FT 6472 D A DAVIDSON TOP INSTITUTIONAL PICKS 2017 MONUMENT, CO 1/4/ Registered DENVER, CO 1/4/ Registered DENVER, CO 1/4/ Registered WHEATON, IL 1/4/ Registered WHEATON, IL 1/4/ Registered WHEATON, IL 1/4/ Registered WHEATON, IL 1/4/ Registered WHEATON, IL 1/4/ Registered WHEATON, IL 1/4/ Registered FT 6485 RICHARD BERNSTEIN ADVISORS TACTICAL SERIES JAN OPPORTUNITIES PORTFOLIO GUGGEEIM DEFINED PORTFOLIOS SERIES 1552 EANCED QUALITY 16 STRATEGY PORTFOLIO SERIES 6 WHEATON, IL 1/4/ Registered LISLE, IL 1/4/ Registered Page 3 of 7
4 GUGGEEIM DEFINED PORTFOLIOS SERIES 1552 S&P GLOBAL DIVIDEND ARISTOCRATS SELECT 25 STRATEGY PORTFOLIO SERIES 2 GUGGEEIM DEFINED PORTFOLIOS SERIES 1553 STRATEGIC INCOME PORTFOLIO SERIES 96 All Securities Law, Franchise Law, and Take-Over Law Filings LISLE, IL 1/4/ Registered LISLE, IL 1/4/ Registered NUVEEN UNIT INVESTMENT TR SERIES 173 NUVEEN TIAA ESG GLOBAL DIVIDEND PORTFOLIO 1Q 2017 SMART TR 288 SMART TR MORNINGSTAR DIVIDEND YIELD FOCUS TR SERIES 16 SMART TR 289 SMART TR DORSEY WRIGHT INTERNATIONAL MOMENTUM TR SERIES 6 LAZARD FUNDS INC LAZARD REAL ASSETS & PRICING OPPORTUNITIES PORTFOLIO INSTITUTIONAL SHARES NEEDHAM FUNDS INC NEEDHAM AGGRESSIVE GROWTH FUND NEEDHAM FUNDS INC NEEDHAM GROWTH FUND NEEDHAM FUNDS INC NEEDHAM SMALL CAP GROWTH FUND CHICAGO, IL 1/4/ Registered RSIPNY, NJ 1/4/ Registered RSIPNY, NJ 1/4/ Registered NEW YORK, NY 1/3/ Registered MILWAUKEE, WI 1/3/ Registered MILWAUKEE, WI 1/3/ Registered MILWAUKEE, WI 1/3/ Registered TR I X CORE BOND FUND INDIVIDUAL INVESTOR CLASS 1/3/ Registered Page 4 of 7
5 TR I X CORE BOND FUND 1/3/ Registered TR I X ESG BETA DIVIDEND FUND INDIVIDUAL INVESTOR CLASS TR I X ESG BETA DIVIDEND FUND TR I X LARGE CAP FUND INDIVIDUAL INVESTOR CLASS 1/3/ Registered 1/3/ Registered 1/3/ Registered TR I X LARGE CAP FUND 1/3/ Registered SUNAMERICA SPECIALTY SERIES AIG ESG DIVIDEND FUND CLASS A SUNAMERICA SPECIALTY SERIES AIG ESG DIVIDEND FUND CLASS C SUNAMERICA SPECIALTY SERIES AIG ESG DIVIDEND FUND CLASS W JERSEY CITY, NJ 1/3/ Registered JERSEY CITY, NJ 1/3/ Registered JERSEY CITY, NJ 1/3/ Registered USA MUTUALS USA MUTUALS CARBON BEACH DEEP VALUE FUND SHARES Number of Investment Company Filings: 48 MILWAUKEE, WI 1/3/ Registered Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities CLOVERLAY FUND 1 LP FALFURRIAS CAPITAL RTNERS 3 LP CONSHOHOCKE N, 1/6/ Filed CHARLOTTE, NC 1/6/ Filed Page 5 of 7
6 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities FDS 1007 EVANSTON LLC ARLINGTON, VA 1/6/ Filed FORESTLINE RTNERS LP CHICAGO, IL 1/6/ Filed QUEEN'S COVE HOLDINGS LLC ATLANTA, GA 1/6/ Filed RE MIXERS INC MADISON, WI 1/6/ Filed REI BAKKEN ACQUISITION & DEVELOPMENT FUND LP RICHARDSON, TX 1/6/ Filed SHALE ENERGY GROUP INC MANDEVILLE, LA 1/6/ Filed SUMMIT RTNERS GROWTH EQUITY FUND 9 LP BOSTON, MA 1/6/ Filed WARBURG PINCUS CHINA LP NEW YORK, NY 1/6/ Filed WATERWAY GROVE HOLDINGS LLC ATLANTA, GA 1/6/ Filed 14 WALNUT LLC LONG LAKE, MN 1/5/ Filed FRED SYNERGY LLC MILWAUKEE, WI 1/3/ Filed Number of Regulation D Notice Filings: 13 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date MMI-CPR, LLC / Cell Phone Repair (Area Rep) Independence, OH 1/6/ Registered Fyzical, LLC / Fyzical Sarasota, FL 1/6/ Registered Soldierfit Franchise, LLC / Soldierfit Nurse Next Door Home Healthcare Services (USA) Inc. / Nurse Next Door GrowlerU Franco, LLC / "Growler USA" Ijamsville, MD 1/5/ Registered Vancouver, BC 1/5/ Registered Centennial, CO 1/4/ Registered Page 6 of 7
7 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date Alloy Wheel Repair Specialists, LLC Number of Franchise Filings: 6 Norcross, GA 1/3/ Registered Corporate Take-Over Law Filings Made with DFI s Securities Takeover Filing Reference Number of Takeover Filings: 0 Date Page 7 of 7
All Securities Law, Franchise Law, and Take-Over Law Filings for 11/12/2017 through 11/18/2017
Securities Law Registration Filings Made with DFI s Securities SOLERA NATIONAL BANCORP INC Number of Registration Filings: 1 LAKEWOOD, CO 11/13/2017 00821024-01 Pending Securities Law Exemption Filings
All Securities Law, Franchise Law, and Take-Over Law Filings for 12/2/2018 through 12/8/2018
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities Number of Exemption Filings: 0 FT 7689 (Preferred
All Securities Law, Franchise Law, and Take-Over Law Filings for 2/12/2017 through 2/18/2017
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities TRILINC GLOBAL IMPACT FUND LLC MANHATTAN BEACH,
All Securities Law, Franchise Law, and Take-Over Law Filings for 1/28/2018 through 2/3/2018
CNL HEALTHCARE PROPERTIES 2 INC Securities Law Registration Filings Made with DFI s Securities ORLANDO, FL 2/2/2018 00832026-01 Registered BLACK CREEK DIVERSIFIED PROPERTY FUND INC DENVER, CO 1/29/2018
All Securities Law, Franchise Law, and Take-Over Law Filings for 10/29/2017 through 11/4/2017
Securities Law Registration Filings Made with DFI s Securities GRACEPOINT CHURCH BREMERTON, WA 11/1/2017 00819517-02 Pending Number of Registration Filings: 1 Securities Law Exemption Filings Made with
All Securities Law, Franchise Law, and Take-Over Law Filings for 6/3/2018 through 6/9/2018
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities Number of Exemption Filings: 0 ALPS SERIES TR
All Securities Law, Franchise Law, and Take-Over Law Filings for 10/28/2018 through 11/3/2018
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities Number of Exemption Filings: 0 Securities Law
All Securities Law, Franchise Law, and Take-Over Law Filings for 8/12/2018 through 8/18/2018
Securities Law Registration Filings Made with DFI s Securities BLACKSTONE GSO FLOATING RATE ENHANCED INCOME FUND ADVISORY CLASS D NEW YORK, NY 8/17/2018 00844968-01 Registered FS MULTI ALTERNATIVE INCOME
All Securities Law, Franchise Law, and Take-Over Law Filings for 1/14/2018 through 1/20/2018
Securities Law Registration Filings Made with DFI s Securities JONES LANG LASALLE INCOME PROPERTY TR INC CHICAGO, IL 1/19/2018 00830973-01 Pending Number of Registration Filings: 1 Securities Law Exemption
All Securities Law, Franchise Law, and Take-Over Law Filings for 1/15/2017 through 1/21/2017
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities RED RIBBON RANCH LLC LA CANADA, CA 1/20/2017
All Securities Law, Franchise Law, and Take-Over Law Filings for 9/16/2018 through 9/22/2018
Securities Law Registration Filings Made with DFI s Securities Division AIP ALTERNATIVE LENDING FUND A AIP ALTERNATIVE LENDING FUND P AMERICAN BEACON APOLLO TOTAL RETURN FUND CLASS Y SHARES PROSPER FUNDING
All Securities Law, Franchise Law, and Take-Over Law Filings for 12/16/2018 through 12/22/2018
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities Hayes Brokerage Opportunity Fund #1, LLC Number
All Securities Law, Franchise Law, and Take-Over Law Filings for 8/5/2018 through 8/11/2018
All Securities Law, Franchise Law, and Take-Over Law Filings Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with
All Securities Law, Franchise Law, and Take-Over Law Filings for 1/7/2018 through 1/13/2018
Securities Law Registration Filings Made with DFI s Securities BLACKSTONE GSO FLOATING RATE ENHANCED INCOME FUND INSTITUTIONAL CLASS I Number of Registration Filings: 1 NEW YORK, NY 1/12/2018 00829869-01
All Securities Law, Franchise Law, and Take-Over Law Filings for 1/29/2017 through 2/4/2017
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities MEAD & HUNT COMPANIES INC MIDDLETON, WI 2/3/2017
All Securities Law, Franchise Law, and Take-Over Law Filings for 12/9/2018 through 12/15/2018
Securities Law Registration Filings Made with DFI s Securities Bethel Presbyterian Church Marlborough, MA 12/12/2018 849526-02 Pending Number of Registration Filings: 1 Securities Law Exemption Filings
All Securities Law, Franchise Law, and Take-Over Law Filings for 8/27/2017 through 9/2/2017
Securities Law Registration Filings Made with DFI s Securities FS CREDIT INCOME FUND I HEART CHURCH CHURCH IN WV INC Number of Registration Filings: 2 PHILADELPHIA, PA MOUNT HOPE, WV 8/28/2017 00812789-01
All Securities Law, Franchise Law, and Take-Over Law Filings for 11/26/2017 through 12/2/2017
Securities Law Registration Filings Made with DFI s Securities ANGEL OAK STRATEGIC CREDIT FUND Number of Registration Filings: 1 MILWAUKEE, WI 12/1/2017 00824070-01 Registered Securities Law Exemption
All Securities Law, Franchise Law, and Take-Over Law Filings for 9/30/2018 through 10/6/2018
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities Number of Exemption Filings: 0 Securities Law
All Securities Law, Franchise Law, and Take-Over Law Filings for 8/20/2017 through 8/26/2017
Securities Law Registration Filings Made with DFI s Securities HINES GLOBAL REIT 2 INC HOUSTON, TX 8/23/2017 00812947-01 Pending Number of Registration Filings: 1 Securities Law Exemption Filings Made
All Securities Law, Franchise Law, and Take-Over Law Filings for 6/10/2018 through 6/16/2018
Securities Law Registration Filings Made with DFI s Securities BLACKSTONE REAL ESTATE INCOME TR INC Number of Registration Filings: 1 NEW YORK, NY 6/14/2018 00840772-01 Pending Securities Law Exemption
All Securities Law, Franchise Law, and Take-Over Law Filings for 5/20/2018 through 5/26/2018
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities WESLEYAN INVESTMENT FOUNDATION INC Number of
All Securities Law, Franchise Law, and Take-Over Law Filings for 2/5/2017 through 2/11/2017
Securities Law Registration Filings Made with DFI s Securities GRACE REDEEMER CHURCH NY NONPROFIT CORP TEANECK, NJ 2/8/2017 00797023-02 Pending PHILLIPS EDISON GROCERY CENTER REIT 3 INC CINCINNATI, OH
All Securities Law, Franchise Law, and Take-Over Law Filings for 8/26/2018 through 9/1/2018
Securities Law Registration Filings Made with DFI s Securities OFI RLYLE PRIVATE CREDIT FUND CLASS I CENTENNIAL, CO 8/29/2018 00845871-01 Registered OFI RLYLE PRIVATE CREDIT FUND CLASS L OFI RLYLE PRIVATE
All Securities Law, Franchise Law, and Take-Over Law Filings for 4/8/2018 through 4/14/2018
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities FORWARD COMMUNITY INVESTMENTS INC Number of
All Securities Law, Franchise Law, and Take-Over Law Filings for 8/19/2018 through 8/25/2018
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities FUNDRISE GROWTH EREIT 2, DC 8/23/2018 00845559-25
All Securities Law, Franchise Law, and Take-Over Law Filings for 5/14/2017 through 5/20/2017
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,
All Securities Law, Franchise Law, and Take-Over Law Filings for 9/23/2018 through 9/29/2018
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities SIERRA INCOME CORP NEW YORK, NY 9/24/2018 848612-08
All Securities Law, Franchise Law, and Take-Over Law Filings for 7/1/2018 through 7/7/2018
Securities Law Registration Filings Made with DFI s Securities PREDEX PREDEX CLASS I HAUPPAUGE, NY 7/3/2018 00841912-01 Registered AMERIN BEACON SOUND POINT ENHANCED INCOME FUND Y CLASS IRVING, TX 7/2/2018
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Securities Law Registration Filings Made with DFI s Securities ACCESS FUND INC ACCESS FUND I SHARES ACCESS FUND INC ACCESS FUND W SHARES Number of Registration Filings: 2 ROCHESTER, NY 2/9/2018 00832143-01
All Securities Law, Franchise Law, and Take-Over Law Filings for 8/6/2017 through 8/12/2017
Securities Law Registration Filings Made with DFI s Securities GRIFFIN INSTITUTIONAL ACCESS CREDIT FUND CLASS L SHARES EL SEGUNDO, 8/11/2017 00811784-01 Registered OAKTREE REAL ESTATE INCOME TR INC LOS
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Securities Law Registration Filings Made with DFI s Securities HEDGE FUND GUIDED PORTFOLIO SOLUTION Number of Registration Filings: 1 CHICAGO, IL 7/13/2018 00842088-01 Pending-Cleared Securities Law Exemption
All Securities Law, Franchise Law, and Take-Over Law Filings for 11/25/2018 through 12/1/2018
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities Number of Exemption Filings: 0 Securities Law
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