All Securities Law, Franchise Law, and Take-Over Law Filings for 2/12/2017 through 2/18/2017
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1 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, CA 2/17/ Not Disallowed KEEN HOME INC NEW YORK, NY 2/13/ Filed Number of Exemption Filings: 2 AMERICAFIRST QUANTITATIVE FUNDS AMERICAFIRST LARGE CAP SHARE BUYBACK FUND CLASS U HAUPPAUGE, NY 2/17/ Registered AMERICAFIRST QUANTITATIVE FUNDS AMERICAFIRST LARGE CAP SHARE BUYBACK FUND CLASS I AMERICAFIRST QUANTITATIVE FUNDS AMERICAFIRST LARGE CAP SHARE BUYBACK FUND CLASS A PORTFOLIOS SERIES 1572 DIVIDEND STRENGTH PORTFOLIO SERIES 24 PORTFOLIOS SERIES 1572 LARGE CAP CORE PORTFOLIO SERIES 30 HAUPPAUGE, NY 2/17/ Registered HAUPPAUGE, NY 2/17/ Registered LISLE, IL 2/17/ Registered LISLE, IL 2/17/ Registered Page 1 of 8
2 PORTFOLIOS SERIES 1573 TOTAL INCOME PORTFOLIO SERIES 9 LISLE, IL 2/17/ Registered PORTFOLIOS SERIES 1574 GUGGENHEIM EMERGING MARKETS DIVIDEND STRATEGY PORTFOLIO SERIES 21 PORTFOLIOS SERIES 1574 UNDERVALUED TOP PICKS PORTFOLIO SERIES 12 NUVEEN UNIT INVESTMENT TR SERIES 183 NUVEEN ARGUS INTERNATIONAL DIVIDEND SEEKER PORTFOLIO 1Q 2017 NUVEEN UNIT INVESTMENT TR SERIES 185 NUVEEN PROSPECT ENERGY & POWER INCOME PORTFOLIO 1Q 2017 NUVEEN UNIT INVESTMENT TR SERIES 185 NUVEEN PROSPECT INCOME FINANCE PORTFOLIO 1Q ST TR COMBINED SERIES 551 INVESTMENT GRADE MULTI ASSET INCOME PORTFOLIO INTERMEDIATE SERIES ADVISORS CORPORATE TR NAVELLIER DIAL HIGH INCOME OPPORTUNITIES PORTFOLIO SERIES ADVISORS CORE EQUITY STRATEGY PORTFOLIO SERIES Q LISLE, IL 2/17/ Registered LISLE, IL 2/17/ Registered CHICAGO, IL 2/17/ Registered CHICAGO, IL 2/17/ Registered CHICAGO, IL 2/17/ Registered WHEATON, IL 2/15/ Registered MONUMENT, CO 2/15/ Registered MONUMENT, CO 2/15/ Registered Page 2 of 8
3 1770 BAHL & GAYNOR INCOME GROWTH PORTFOLIO SERIES Q MONUMENT, CO 2/15/ Registered 1770 DIVIDEND ADVANTAGE PORTFOLIO SERIES Q 1770 DOW VALUE 10 PORTFOLIO SERIES Q 1770 EUROPEAN SELECT PORTFOLIO SERIES Q CJL PORTFOLIO 1770 INTERNATIONAL HIGH 30 DIVIDEND PORTFOLIO SERIES Q 1770 MINIMUM VOLATILITY EQUITY INCOME PORTFOLIO SERIES Q HIMCO PORTFOLIO 1770 STRATEGIC HIGH 80 DIVIDEND PORTFOLIO SERIES Q ADVISORS INNER CIRCLE FUND 3 SGA INTERNATIONAL EQUITY FUND INSTITUTIONAL ADVISORS INNER CIRCLE FUND 3 SGA INTERNATIONAL EQUITY FUND INVESTOR FT 6502 DORSEY WRIGHT RELATIVE STRENGTH DIVIDEND PORTFOLIO SERIES 25 MONUMENT, CO 2/15/ Registered MONUMENT, CO 2/15/ Registered MONUMENT, CO 2/15/ Registered MONUMENT, CO 2/15/ Registered MONUMENT, CO 2/15/ Registered MONUMENT, CO 2/15/ Registered OAKS, PA 2/15/ Registered OAKS, PA 2/15/ Registered WHEATON, IL 2/15/ Registered Page 3 of 8
4 FT 6503 MLP CLOSED END FUND & ENERGY PORTFOLIO SERIES 53 WHEATON, IL 2/15/ Registered FT 6504 UTILITIES SELECT PORTFOLIO SERIES 41 FT 6513 SABRIENT DIVIDEND PORTFOLIO SERIES 17 FT 6528 PREFERRED INCOME PORTFOLIO SERIES 88 FT 6531 CHAIKIN LOW BETA GROWTH PORTFOLIO SERIES 6 FT 6536 INTERNATIONAL HIGH DIVIDEND EQUITY PORTFOLIO SERIES 28 FT 6537 MEGA CAP PORTFOLIO SERIES 43 FT 6560 CORE 3 CLOSED END ALLOCATION PORTFOLIO SERIES 28 FT 6561 SENIOR LOAN & LTD DURATION OPPORTUNITIES CLOSED END PORTFOLIO SERIES 44 FT 6566 SENIOR LOAN & LTD DURATION CLOSED END PORTFOLIO SERIES 72 TOUCHSTONE FUNDS GROUP TR TOUCHSTONE HIGH YIELD FUND INSTITUTIONAL CLASS PUTNAM FUNDS TR PUTNAM MORTGAGE OPPORTUNITIES FUND CLASS I WILLIAMSBURG INVESTMENT TR DAVENPORT SMALL CAP FOCUS FUND WHEATON, IL 2/15/ Registered WHEATON, IL 2/15/ Registered WHEATON, IL 2/15/ Registered WHEATON, IL 2/15/ Registered WHEATON, IL 2/15/ Registered WHEATON, IL 2/15/ Registered WHEATON, IL 2/15/ Registered WHEATON, IL 2/15/ Registered WHEATON, IL 2/15/ Registered CINCINNATI, OH 2/15/ Registered BOSTON, MA 2/14/ Registered CINCINNATI, OH 2/14/ Registered Page 4 of 8
5 FT 6494 DIVIDEND INCOME PLUS PORTFOLIO SERIES 26 WHEATON, IL 2/13/ Registered FT 6495 EUROPEAN DEEP VALUE DIVIDEND PORTFOLIO SERIES 13 FT 6496 FINANCIALS SELECT PORTFOLIOS SERIES 58 FT 6497 HEALTH CARE SELECT PORTFOLIO SERIES 44 FT 6533 INTEREST RATE HEDGE & ETF PORTFOLIO SERIES 15 FT 6559 BALANCED INCOME SELECT PORTFOLIO SERIES 65 SMART TR 297 SMART TR SUSTAINABLE IMPACT INVESTING TR SERIES 9 SMART TR 298 SMART TR DYNAMIC SECTOR INCOME TR SERIES 17 UNDISCOVERED MANAGERS FUNDS JPMORGAN REALTY INCOME FUND SELECT CLASS UNDISCOVERED MANAGERS FUNDS UNDISCOVERED MANAGERS BEHAVIORAL VALUE FUND CLASS R4 UNDISCOVERED MANAGERS FUNDS UNDISCOVERED MANAGERS BEHAVIORAL VALUE FUND CLASS R5 WHEATON, IL 2/13/ Registered WHEATON, IL 2/13/ Registered WHEATON, IL 2/13/ Registered WHEATON, IL 2/13/ Registered WHEATON, IL 2/13/ Registered PARSIPPANY, NJ 2/13/ Registered PARSIPPANY, NJ 2/13/ Pending-Cleared NEW YORK, NY 2/13/ Registered NEW YORK, NY 2/13/ Registered NEW YORK, NY 2/13/ Registered Page 5 of 8
6 UNDISCOVERED MANAGERS FUNDS UNDISCOVERED MANAGERS BEHAVIORAL VALUE FUND CLASS R3 Number of Investment Company Filings: 49 NEW YORK, NY 2/13/ Registered Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities AMCRETE EDISON LLC AMCRETE WEST VILLAGE LLC NORTHRIDGE, CA NORTHRIDGE, CA 2/17/ Filed 2/17/ Filed CUNAT MULTI FAMILY INVESTMENT FUND 1 LLC MCHENRY, IL 2/17/ Filed DEMETER CAPITAL GROUP LP SAN FRANCISCO, CA 2/17/ Filed EBULLIENT INC MADISON, WI 2/17/ Filed EMPIRE RESIDENTIAL COMMUNITIES FUND 4 LLC SCOTTSDALE, AZ 2/17/ Filed FIDUS EQUITY OPPORTUNITIES FUND LP LAZARUS BEHAVORIAL FINANCE FUND 2 LP EVANSTON, IL 2/17/ Filed DENVER, CO 2/17/ Filed MICRONOTES INC CAMBRIDGE, MA 2/17/ Filed PARTNERS GROUP PRIVATE EQUITY MASTER FUND LLC NEW YORK, NY 2/17/ Filed QUANTITATIVE EQUITIES SERIES OF BLUEARC ALTERNATIVES FUND LLC ATLANTA, GA 2/17/ Filed RS LENDING INC SAN FRANCISCO, CA 2/17/ Filed Page 6 of 8
7 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities SE PEARLAND DST CHICAGO, IL 2/17/ Filed TT PARTNERS 9 LLC INDIANAPOLIS, IN 2/17/ Filed TWIN CITIES HOSPITALITY PARTNERS HOLDINGS LLC CONSHOHOCKE N, PA 2/17/ Filed XOR DATA EXCHANGE INC AUSTIN, TX 2/17/ Filed BBH WEALTH STRATEGIES LLC BARINGS LOAN SERIES NEW YORK, NY 2/15/ Filed ARTHUR VENTURES FUND 3 A LP FARGO, ND 2/14/ Filed Number of Regulation D Notice Filings: 18 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date Restoration 1 Franchise Holding, LLC / Restoration 1 Certa ProPainters, Ltd. / CertaPro Painters LEADING EDGE MARKETING, INC. / ProSource Wholesale Floorcoverings Dough Pac, Inc. / Sam & Louie's Pizzeria Ultimate Fitness Group LLC / Orange Theory Area Representative Franchise Ultimate Fitness Group LLC / Orange Theory Unit Franchise Home-Grown Industries of Georgia, Inc. / Mellow Mushroom Pizza Rita's Franchise Company, LLC / Ritas Ice Custard Happiness Number of Franchise Filings: 8 Waco, TX 2/18/ Registered Oaks, PA 2/16/ Registered St. Louis, MO 2/16/ Registered Elkhorn, NE 2/16/ Registered Fort Lauderdale, FL Fort Lauderdale, FL 2/16/ Registered 2/16/ Registered Atlanta, GA 2/14/ Registered Trevose, PA 2/13/ Registered Page 7 of 8
8 Corporate Take-Over Law Filings Made with DFI s Securities Takeover Filing Reference Number of Takeover Filings: 0 Date Page 8 of 8
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 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 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 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 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 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 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 12/2/2018 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 1/1/2017 through 1/7/2017
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:
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 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 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 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 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 2/4/2018 through 2/10/2018
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
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 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 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 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 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 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 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
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 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 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 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
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 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 5/21/2017 through 5/27/2017
Securities Law Registration Filings Made with DFI s Securities MERCY HILL CHURCH IRONWOOD INSTITUTIONAL MULTI STRATEGY FUND LLC GREENSBORO, NC SAN FRANCISCO, CA 5/26/2017 00806164-02 Pending 5/25/2017
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 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 7/8/2018 through 7/14/2018
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 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 3/18/2018 through 3/24/2018
Securities Law Registration Filings Made with DFI s Securities Division DESTRA INTERNATIONAL & EVENT DRIVEN CREDIT FUND CHICAGO, IL 3/21/2018 00835564-01 Pending RIVER CHRISTIAN CENTER INC DBA RIVER CHRISTIAN
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