This is the Primary Document downloaded from EDGAR on 3/4/2025 11:32:55 AM EST for EFDID 512466 and Accession Number 0000945621-25-000249.

SEC FORM D/A

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM D

Notice of Exempt Offering of Securities
OMB APPROVAL
OMB Number: 3235-0076
Estimated average burden
hours per response: 4.00

1. Issuer's Identity

CIK (Filer ID Number) Previous Names
X None
Entity Type
0002000692
   Corporation
   Limited Partnership
X Limited Liability Company
   General Partnership
   Business Trust
   Other (Specify)

Name of Issuer
Clearlane Capital Fund LLC
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
   Over Five Years Ago
X Within Last Five Years (Specify Year) 2022
   Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
Clearlane Capital Fund LLC
Street Address 1 Street Address 2
ONE POST OFFICE SQUARE
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
BOSTON MASSACHUSETTS 02109 617-482-8260

3. Related Persons

Last Name First Name Middle Name
Eaton Vance Management N/A
Street Address 1 Street Address 2
One Post Office Square
City State/Province/Country ZIP/PostalCode
Boston MASSACHUSETTS 02109
Relationship:    Executive Officer    Director X Promoter

Clarification of Response (if Necessary):

Manager
Last Name First Name Middle Name
Walsh Deidre S.
Street Address 1 Street Address 2
c/o Eaton Vance Management One Post Office Square
City State/Province/Country ZIP/PostalCode
Boston MASSACHUSETTS 02109
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Executive Officer of Funds Manager, Eaton Vance Management
Last Name First Name Middle Name
Murphy A. John
Street Address 1 Street Address 2
c/o Eaton Vance Management One Post Office Square
City State/Province/Country ZIP/PostalCode
Boston MASSACHUSETTS 02109
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Executive Officer of Funds Manager, Eaton Vance Management
Last Name First Name Middle Name
Frenette Drew
Street Address 1 Street Address 2
c/o Eaton Vance Management One Post Office Square
City State/Province/Country ZIP/PostalCode
Boston MASSACHUSETTS 02109
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Executive Officer of Funds Manager, Eaton Vance Management
Last Name First Name Middle Name
Kirchner James
Street Address 1 Street Address 2
c/o Eaton Vance Management One Post Office Square
City State/Province/Country ZIP/PostalCode
Boston MASSACHUSETTS 02109
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Executive Officer of Funds Manager, Eaton Vance Management
Last Name First Name Middle Name
Barton Yana S.
Street Address 1 Street Address 2
c/o Eaton Vance Management One Post Office Square
City State/Province/Country ZIP/PostalCode
Boston MASSACHUSETTS 02109
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Executive Officer of Funds Manager, Eaton Vance Management

4. Industry Group

   Agriculture
Banking & Financial Services
   Commercial Banking
   Insurance
   Investing
   Investment Banking
X Pooled Investment Fund
   Hedge Fund
   Private Equity Fund
   Venture Capital Fund
X Other Investment Fund
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940?
   Yes X No
   Other Banking & Financial Services
   Business Services
Energy
   Coal Mining
   Electric Utilities
   Energy Conservation
   Environmental Services
   Oil & Gas
   Other Energy
Health Care
   Biotechnology
   Health Insurance
   Hospitals & Physicians
   Pharmaceuticals
   Other Health Care
   Manufacturing
Real Estate
   Commercial
   Construction
   REITS & Finance
   Residential
   Other Real Estate
  
 Retailing
  
 Restaurants
Technology
   Computers
   Telecommunications
   Other Technology
Travel
   Airlines & Airports
   Lodging & Conventions
   Tourism & Travel Services
   Other Travel
  
 Other

5. Issuer Size

Revenue Range OR Aggregate Net Asset Value Range
   No Revenues    No Aggregate Net Asset Value
   $1 - $1,000,000    $1 - $5,000,000
   $1,000,001 - $5,000,000    $5,000,001 - $25,000,000
   $5,000,001 - $25,000,000    $25,000,001 - $50,000,000
   $25,000,001 - $100,000,000    $50,000,001 - $100,000,000
   Over $100,000,000    Over $100,000,000
   Decline to Disclose X Decline to Disclose
   Not Applicable    Not Applicable

6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)

   Rule 504(b)(1) (not (i), (ii) or (iii))
   Rule 504 (b)(1)(i)
   Rule 504 (b)(1)(ii)
   Rule 504 (b)(1)(iii)
X Rule 506(b)
   Rule 506(c)
   Securities Act Section 4(a)(5)
X Investment Company Act Section 3(c)
   Section 3(c)(1)    Section 3(c)(9)  
   Section 3(c)(2)    Section 3(c)(10)
   Section 3(c)(3)    Section 3(c)(11)
   Section 3(c)(4)    Section 3(c)(12)
   Section 3(c)(5)    Section 3(c)(13)
   Section 3(c)(6)    Section 3(c)(14)
X Section 3(c)(7)

7. Type of Filing

   New Notice Date of First Sale 2024-02-15    First Sale Yet to Occur
X Amendment

8. Duration of Offering

Does the Issuer intend this offering to last more than one year?
X Yes    No

9. Type(s) of Securities Offered (select all that apply)

   Equity X Pooled Investment Fund Interests
   Debt    Tenant-in-Common Securities
   Option, Warrant or Other Right to Acquire Another Security    Mineral Property Securities
   Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security    Other (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?
   Yes X No

Clarification of Response (if Necessary):

11. Minimum Investment

Minimum investment accepted from any outside investor $500,000 USD

12. Sales Compensation

Recipient
Recipient CRD Number    None
American Portfolios Financial Services 18487
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
4250 Veterans Memorial Hwy 4th Fl
City State/Province/Country ZIP/Postal Code
Holbrook NEW YORK 11741
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Ameriprise Financial Services Inc. 6363
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
5221 Ameriprise Financial Center
City State/Province/Country ZIP/Postal Code
Minneapolis MINNESOTA 55474
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
CHARLES SCHWAB & CO., INC. 5393
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3000 Schwab Way
City State/Province/Country ZIP/Postal Code
Westlake TEXAS 76262
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Glenmede Trust Company 108165
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
Glenmede Advisers None
Street Address 1 Street Address 2
1650 Market Street Suite 1200
City State/Province/Country ZIP/Postal Code
Philadelphia PENNSYLVANIA 19103
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
NORTHERN TRUST SECURITIES, INC 7927
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
50 South LaSalle St.
City State/Province/Country ZIP/Postal Code
Chicago ILLINOIS 60603
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Osaic Institutions 35371
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
538 Preston Avenue
City State/Province/Country ZIP/Postal Code
Meriden CONNECTICUT 06450
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Osaic Wealth 23131
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
10 Exchange Place Suite 1410
City State/Province/Country ZIP/Postal Code
Jersey City NEW JERSEY 07302
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Robert W. Baird & Co. Inc. 8158
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
777 E. Wisconsin Ave.
City State/Province/Country ZIP/Postal Code
Miliwaukee WISCONSIN 53202
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Rockefeller Financial LLC 291361
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
45 Rockefeller Plaza 5th Floor
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10111
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Sentry Advisors 174042
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
100 Pine Street Suite 1250
City State/Province/Country ZIP/Postal Code
San Francisco CALIFORNIA 94111
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
COLORADO
DISTRICT OF COLUMBIA
NEW YORK
TEXAS
VIRGINIA
WYOMING
Recipient
Recipient CRD Number    None
American Portfolio Financial Services, Inc. 18487
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
4250 VETERANS MEMORIAL HIGHWAY 4TH FLOOR EAST
City State/Province/Country ZIP/Postal Code
HOLBROOK NEW YORK 11741
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Arkadios Capital 282710
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
2827 Peachtree Rd NE Suite 510
City State/Province/Country ZIP/Postal Code
Atlanta GEORGIA 30305
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Caprock Group, Inc. 124272
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
800 West Main St.
City State/Province/Country ZIP/Postal Code
Bouse IDAHO 83702
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
COLORADO
FLORIDA
IDAHO
ILLINOIS
MICHIGAN
NEW JERSEY
NEW YORK
SOUTH CAROLINA
TEXAS
UTAH
WASHINGTON
WISCONSIN
Recipient
Recipient CRD Number    None
Cresset Asset Management, LLC 288566
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
444 West Lake St. Suite 4700
City State/Province/Country ZIP/Postal Code
Chicago ILLINOIS 60606
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
NewEdge Wealth LLC 307771
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
2200 Atlantic St. Suite 200
City State/Province/Country ZIP/Postal Code
Stamford CONNECTICUT 06902
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Oarsman Capital, Inc. 109993
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
759 North Milwaukee St Suite 605
City State/Province/Country ZIP/Postal Code
Milwaukee WISCONSIN 53202
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
FLORIDA
ILLINOIS
INDIANA
IOWA
MINNESOTA
NORTH CAROLINA
TEXAS
WASHINGTON
WISCONSIN
Recipient
Recipient CRD Number    None
Partners Capital Investment Group, LLP 120663
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
600 Atlantic Ave 30th Floor
City State/Province/Country ZIP/Postal Code
Boston MASSACHUSETTS 02110
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
FLORIDA
MASSACHUSETTS
NEW YORK
TEXAS
Recipient
Recipient CRD Number    None
Plante Moran Financial Advisors 112158
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3000 Town Center Suite 100
City State/Province/Country ZIP/Postal Code
Southfield MICHIGAN 48075
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ARIZONA
CALIFORNIA
COLORADO
CONNECTICUT
FLORIDA
GEORGIA
ILLINOIS
INDIANA
KENTUCKY
LOUISIANA
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
NEBRASKA
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW YORK
NORTH CAROLINA
OHIO
OREGON
PENNSYLVANIA
PUERTO RICO
SOUTH CAROLINA
TENNESSEE
TEXAS
VIRGINIA
WASHINGTON
WISCONSIN
Recipient
Recipient CRD Number    None
Ted Buchan & Company 140722
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
12396 World Trade Drive Suite 112
City State/Province/Country ZIP/Postal Code
San Diego CALIFORNIA 92128
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
GEORGIA
TEXAS
Recipient
Recipient CRD Number    None
&Partners LLC 3767
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
40 Burton Hills Blvd Suite 350
City State/Province/Country ZIP/Postal Code
Nashville TENNESSEE 37215
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
American Portfolios Inc. (Osaic) 23131
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
18700 N Hayden Rd Suite 255
City State/Province/Country ZIP/Postal Code
Scottsdale ARIZONA 85255
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Apollon Wealth Management, LLC 291902
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
111 Coleman Blvd Suite 402
City State/Province/Country ZIP/Postal Code
Mt Pleasant SOUTH CAROLINA 29464
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Appleton Partners, Inc. 110049
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
One Post Office Square 5th Floor
City State/Province/Country ZIP/Postal Code
Boston MASSACHUSETTS 02109
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Arkadios Wealth LLC 288863
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
2827 Peachtree Rd NE Suite 510
City State/Province/Country ZIP/Postal Code
Atlanta GEORGIA 30305
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Baker Street Advisors, LLC 128066
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
575 Market St. Suite 600
City State/Province/Country ZIP/Postal Code
San Francisco CALIFORNIA 94105
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
COLORADO
FLORIDA
LOUISIANA
MASSACHUSETTS
NEW YORK
OREGON
TEXAS
WASHINGTON
Recipient
Recipient CRD Number    None
Balboa Wealth Partners, Inc. 282329
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
6263 North Scottsdale Rd. Suite 265
City State/Province/Country ZIP/Postal Code
Scottsdale ARIZONA 85250
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
COLORADO
FLORIDA
ILLINOIS
NEBRASKA
NEVADA
NEW JERSEY
NEW YORK
OREGON
PENNSYLVANIA
TENNESSEE
TEXAS
UTAH
VIRGINIA
WASHINGTON
Recipient
Recipient CRD Number    None
Balentine LLC 152511
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3344 Peachtree Rd NE Suite 2200
City State/Province/Country ZIP/Postal Code
Atlanta GEORGIA 30325
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ARKANSAS
FLORIDA
GEORGIA
ILLINOIS
LOUISIANA
NEW JERSEY
NEW YORK
NORTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
VIRGINIA
Recipient
Recipient CRD Number    None
BluePointe Capital Management, LLC 140262
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1300 El Camino Real Suite 100
City State/Province/Country ZIP/Postal Code
Menlo Park CALIFORNIA 94025
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
BMO Family Office, LLC 110264
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
320 South Canal St. Floor 12
City State/Province/Country ZIP/Postal Code
CHICAGO ILLINOIS 60606
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
COLORADO
FLORIDA
ILLINOIS
MASSACHUSETTS
MINNESOTA
NEW HAMPSHIRE
OREGON
TEXAS
Recipient
Recipient CRD Number    None
Cambridge Investment Research 39543
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1776 PLEASANT PLAIN RD.
City State/Province/Country ZIP/Postal Code
FAIRFIELD IOWA 52556
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
CapFinancial Partners, LLC dba CAPTRUST 175112
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
4208 Six Forks Rd, Suite 1700
City State/Province/Country ZIP/Postal Code
Raleigh NORTH CAROLINA 27609
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
CapFinancial Securities, LLC 126291
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
4208 Six Forks Rd, Suite 1700
City State/Province/Country ZIP/Postal Code
Raleigh NORTH CAROLINA 27609
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Cetera Advisor Networks LLC 13572
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
2301 ROSECRANS AVE #5100
City State/Province/Country ZIP/Postal Code
EL SEGUNDO CALIFORNIA 90245
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Cetera Advisors LLC 10299
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
5299 DTC BLVD #800
City State/Province/Country ZIP/Postal Code
GREENWOOD VILLAGE COLORADO 80111
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Cetera Financial Specialists LLC 10358
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1450 AMERICAN LANE Suite 650
City State/Province/Country ZIP/Postal Code
Schaumburg ILLINOIS 60173
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Cetera Investment Services LLC 15340
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
400 FIRST ST. S. SUITE 300
City State/Province/Country ZIP/Postal Code
ST. CLOUD MINNESOTA 56301
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Cherrydale Wealth Management, LLC 171541
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
221 River Street 9th Floor
City State/Province/Country ZIP/Postal Code
Hoboken NEW JERSEY 07030
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
NEW JERSEY
NEW YORK
TEXAS
Recipient
Recipient CRD Number    None
Citigroup Global Markets, Inc. 7059
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
388 Greenwich St
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10013
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
ClarFeld (dba Citizens Private Wealth) 106743
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
520 White Plains Road 3rd Floor
City State/Province/Country ZIP/Postal Code
Tarrytown NEW YORK 10591
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Commonwealth Equity Services, LLC, dba Commonwealth Financial Network 8032
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
29 SAWYER ROAD
City State/Province/Country ZIP/Postal Code
Waltham MASSACHUSETTS 02453
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
Recipient
Recipient CRD Number    None
Concurrent Investment Advisors, LLC 323135
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
100 S. Ashley Drive Suite 830
City State/Province/Country ZIP/Postal Code
Tampa FLORIDA 33602
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
ALABAMA
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
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
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
PUERTO RICO
RHODE ISLAND
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
WYOMING
Recipient
Recipient CRD Number    None
Corient Private Wealth LLC 319448
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
830 Brickell Plaza Suite 4800
City State/Province/Country ZIP/Postal Code
Miami FLORIDA 33131
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
Recipient
Recipient CRD Number    None
D.A. Davidson & Co. 199
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
8 Third Street North
City State/Province/Country ZIP/Postal Code
Great Falls MONTANA 59401
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
Recipient
Recipient CRD Number    None
Deutsche Bank Securities, Inc. 2525
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
One Columbus Circle
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10019
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
Recipient
Recipient CRD Number    None
Element Pointe Advisors, LLC (element point family office) 282750
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
333 SE 2nd Ave Suite 2520
City State/Province/Country ZIP/Postal Code
Miami FLORIDA 33131
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
CALIFORNIA
CONNECTICUT
DELAWARE
FLORIDA
TEXAS
Recipient
Recipient CRD Number    None
Everest Management Corp 142945
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
10080 N. Wolfe RD. Suite SW3-200
City State/Province/Country ZIP/Postal Code
Cupertino CALIFORNIA 95014
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
CALIFORNIA
TEXAS
Recipient
Recipient CRD Number    None
Evoke Wealth, LLC 300856
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
10635 Santa Monica Blvd Suite 240
City State/Province/Country ZIP/Postal Code
Los Angeles CALIFORNIA 90025
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
HAWAII
IDAHO
ILLINOIS
INDIANA
KANSAS
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSISSIPPI
MONTANA
NEVADA
NEW JERSEY
NEW YORK
NORTH CAROLINA
OHIO
OREGON
PENNSYLVANIA
RHODE ISLAND
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VIRGINIA
WASHINGTON
WISCONSIN
WYOMING
Recipient
Recipient CRD Number    None
First Foundation Advisors 106075
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1810 Von Karman Ave Suite 700
City State/Province/Country ZIP/Postal Code
Irvine CALIFORNIA 92612
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
ALABAMA
ALASKA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
HAWAII
IDAHO
ILLINOIS
LOUISIANA
MARYLAND
MASSACHUSETTS
MINNESOTA
MISSOURI
NEBRASKA
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
OREGON
PENNSYLVANIA
SOUTH CAROLINA
TENNESSEE
TEXAS
UTAH
VIRGINIA
WASHINGTON
Recipient
Recipient CRD Number    None
Fortis Capital Management, LLC 172198
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3600 136th Pl SE Suite 270
City State/Province/Country ZIP/Postal Code
Bellevue WASHINGTON 98006
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
CALIFORNIA
TEXAS
WASHINGTON
Recipient
Recipient CRD Number    None
Goldman Sachs Custody Solutions (Folio Investments, Inc) 48015
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
8180 GREENSBORO DR 8th Floor
City State/Province/Country ZIP/Postal Code
MCLEAN VIRGINIA 22102
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
Recipient
Recipient CRD Number    None
Goldman Sachs & Co LLC 361
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
200 West St.
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10282
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
Recipient
Recipient CRD Number    None
Greenwood Family Advisors, LLC 304820
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1395 Brickell Ave Suite 800
City State/Province/Country ZIP/Postal Code
Miami FLORIDA 33131
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
FLORIDA
Recipient
Recipient CRD Number    None
GW&K Investment Management, LLC 121942
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
222 Berkeley St. 15th Fl
City State/Province/Country ZIP/Postal Code
Boston MASSACHUSETTS 02116
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
Recipient
Recipient CRD Number    None
Harbor Investment Advisory, LLC 151085
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
2330 W. Joppa Rd Suite 160
City State/Province/Country ZIP/Postal Code
Lutherville MARYLAND 21093
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
ARIZONA
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
ILLINOIS
INDIANA
IOWA
LOUISIANA
MAINE
MARYLAND
MASSACHUSETTS
NEW HAMPSHIRE
NEW JERSEY
NEW YORK
NORTH CAROLINA
OHIO
OREGON
PENNSYLVANIA
SOUTH CAROLINA
TENNESSEE
TEXAS
UTAH
VIRGINIA
WASHINGTON
WEST VIRGINIA
Recipient
Recipient CRD Number    None
HB Wealth Management, LLC (Homrich Berg) 316731
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3550 Lenox Rd Suite 2700
City State/Province/Country ZIP/Postal Code
Atlanta GEORGIA 30326
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Hightower Advisors, LLC 145323
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
200 W. Madison St. Suite 2500
City State/Province/Country ZIP/Postal Code
Chicago ILLINOIS 60606
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Hirtle, Callaghan & Co., LLC 105403
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
300 Barr Harbor Dr 5th Floor
City State/Province/Country ZIP/Postal Code
West Conshohocken PENNSYLVANIA 19428
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
ARIZONA
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
ILLINOIS
INDIANA
KANSAS
KENTUCKY
LOUISIANA
MAINE
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
NEW JERSEY
NEW YORK
NORTH CAROLINA
OHIO
OKLAHOMA
PENNSYLVANIA
SOUTH CAROLINA
TENNESSEE
TEXAS
VIRGINIA
WASHINGTON
WEST VIRGINIA
WYOMING
Recipient
Recipient CRD Number    None
Hudson Valley Investment Advisors, Inc 107387
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
117 Grand St. 2nd Fl
City State/Province/Country ZIP/Postal Code
Goshen NEW YORK 10924
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
COLORADO
CONNECTICUT
FLORIDA
LOUISIANA
MARYLAND
MASSACHUSETTS
NEBRASKA
NEW HAMPSHIRE
NEW JERSEY
NEW YORK
NORTH CAROLINA
PENNSYLVANIA
SOUTH CAROLINA
TENNESSEE
TEXAS
VERMONT
VIRGINIA
Recipient
Recipient CRD Number    None
Huntleigh Advisors, Inc 113412
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
7800 Forsyth Blvd. 5th Floor
City State/Province/Country ZIP/Postal Code
St. Louis MISSOURI 63105
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
ALABAMA
ALASKA
ARIZONA
CALIFORNIA
COLORADO
DELAWARE
FLORIDA
GEORGIA
HAWAII
IDAHO
ILLINOIS
INDIANA
IOWA
KANSAS
KENTUCKY
LOUISIANA
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSISSIPPI
MISSOURI
NEVADA
NEW HAMPSHIRE
NEW MEXICO
NEW YORK
NORTH CAROLINA
OHIO
PENNSYLVANIA
SOUTH CAROLINA
TENNESSEE
TEXAS
VIRGINIA
WASHINGTON
Recipient
Recipient CRD Number    None
iCapital Markets LLC, Institutional Capital Network, Inc 118219
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
60 EAST 42ND STREET 26TH FLOOR
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10165
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
ICONIQ Capital 159198
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
20 Beale St. Suite 2300
City State/Province/Country ZIP/Postal Code
San Francisco CALIFORNIA 94105
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
FLORIDA
NEW YORK
TEXAS
Recipient
Recipient CRD Number    None
IEQ Capital 301819
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
950 Tower Lane Suite 1800
City State/Province/Country ZIP/Postal Code
Foster City CALIFORNIA 94404
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
LOUISIANA
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSOURI
MONTANA
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW YORK
NORTH CAROLINA
OREGON
PENNSYLVANIA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VIRGINIA
WASHINGTON
WISCONSIN
WYOMING
Recipient
Recipient CRD Number    None
Independent Financial Group (IFG) 7717
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
12571 High Vluff Dr. Suite 200
City State/Province/Country ZIP/Postal Code
San Diego CALIFORNIA 92130
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
John Moore & Associates, Inc. 109791
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
8220 San Pedro Dr. NE Suite 310
City State/Province/Country ZIP/Postal Code
Scottsdale ARIZONA 87113
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
COLORADO
GEORGIA
LOUISIANA
NEW MEXICO
NORTH CAROLINA
OREGON
TEXAS
Recipient
Recipient CRD Number    None
Kestra Investment Services, LLC 42046
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
5707 Southwest Parkway Building 2, Suite 400
City State/Province/Country ZIP/Postal Code
Austin TEXAS 78735
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Kukui Tree Capital Management 330374
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
545 Middlefield Rd Suite 205
City State/Province/Country ZIP/Postal Code
Menlo Park CALIFORNIA 94025
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Legacy Capital Wealth Partners, LLC 291960
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
8315 Cantrell RD Suite 200
City State/Province/Country ZIP/Postal Code
Little Rock ARKANSAS 72227
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARKANSAS
ILLINOIS
LOUISIANA
MISSISSIPPI
TEXAS
Recipient
Recipient CRD Number    None
Leo Wealth, LLC 283891
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
860 Airport Freeway Suite 402
City State/Province/Country ZIP/Postal Code
Hurst, TX TEXAS 76054
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
COLORADO
CONNECTICUT
FLORIDA
GEORGIA
INDIANA
IOWA
LOUISIANA
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
NEBRASKA
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
OKLAHOMA
PENNSYLVANIA
TEXAS
VIRGINIA
Recipient
Recipient CRD Number    None
LPL Financial LLC 6413
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1055 LPL WAY
City State/Province/Country ZIP/Postal Code
FORT MILL SOUTH CAROLINA 29715
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
MDRN Capital 325950
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1997 Annapolic Exchange Parkway Suite 300
City State/Province/Country ZIP/Postal Code
Annapolis MARYLAND 21401
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
LOUISIANA
MARYLAND
MICHIGAN
MISSOURI
NORTH CAROLINA
OHIO
PENNSYLVANIA
TEXAS
UTAH
VIRGINIA
Recipient
Recipient CRD Number    None
Monarch Wealth Strategies 136029
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
222 East Carillo St. Suite 208
City State/Province/Country ZIP/Postal Code
Santa Barbara CALIFORNIA 93101
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
LOUISIANA
NEW HAMPSHIRE
TEXAS
Recipient
Recipient CRD Number    None
Morling Financial Advisors, LLC 111819
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
39355 California St Suite 201A
City State/Province/Country ZIP/Postal Code
Fremont CALIFORNIA 94598
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
TENNESSEE
TEXAS
WASHINGTON
Recipient
Recipient CRD Number    None
NRI Wealth Management, LLC 162234
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
5201 Great America Pkwy Suite 350
City State/Province/Country ZIP/Postal Code
Santa Clara CALIFORNIA 95404
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
TEXAS
Recipient
Recipient CRD Number    None
Palo Alto Wealth Advisors, LLC 285326
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
715 Colorado Avenue Suite A
City State/Province/Country ZIP/Postal Code
Palo Alto CALIFORNIA 94303
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
TEXAS
Recipient
Recipient CRD Number    None
Paradigm Wealth Management 148662
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
159 Crocker Park Blvd Suite 100
City State/Province/Country ZIP/Postal Code
Westlake OHIO 44145
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
ILLINOIS
INDIANA
OHIO
Recipient
Recipient CRD Number    None
Paragon Capital Management, LLC 105147
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
999 18th St Suite 1401
City State/Province/Country ZIP/Postal Code
Denver COLORADO 80202
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
COLORADO
FLORIDA
NEW HAMPSHIRE
WASHINGTON
Recipient
Recipient CRD Number    None
Poinciana Advisors Group, LLC 137423
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
3300 PGA Blvd Suite 200
City State/Province/Country ZIP/Postal Code
Palm Beach Gardens FLORIDA 33410
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
TEXAS
Recipient
Recipient CRD Number    None
Private Wealth Asset Management 315819
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1100 Capitol Ave. Suite 200
City State/Province/Country ZIP/Postal Code
Omaha NEBRASKA 68102
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
COLORADO
FLORIDA
ILLINOIS
IOWA
LOUISIANA
MICHIGAN
MINNESOTA
NEBRASKA
NEW HAMPSHIRE
SOUTH CAROLINA
TENNESSEE
TEXAS
WYOMING
Recipient
Recipient CRD Number    None
Promethium Advisors, LLC 329565
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
7272 Wisconsin Ave 10-105
City State/Province/Country ZIP/Postal Code
Bethesda MARYLAND 20814
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
DISTRICT OF COLUMBIA
MARYLAND
NEW YORK
VIRGINIA
Recipient
Recipient CRD Number    None
Prospero Wealth LLC 289966
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
7724 35th Ave NE #15170
City State/Province/Country ZIP/Postal Code
Seattle WASHINGTON 98115
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
OREGON
TEXAS
WASHINGTON
Recipient
Recipient CRD Number    None
Purshe Kaplan Sterling Investments 35747
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
80 STATE STREET
City State/Province/Country ZIP/Postal Code
Albany NEW YORK 12207
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
JP Morgan Private Wealth Advisors LLC 108559
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1 Front Street
City State/Province/Country ZIP/Postal Code
San Francisco CALIFORNIA 94111
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Reshape LLC 330582
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
65 Bay Street Suite 3403
City State/Province/Country ZIP/Postal Code
Jersey City NEW JERSEY 07032
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
COLORADO
CONNECTICUT
FLORIDA
MASSACHUSETTS
NEW JERSEY
NEW YORK
TEXAS
Recipient
Recipient CRD Number    None
Salem Partners Wealth Management, LLC 131359
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
11111 Santa Monica Blvd Suite 2250
City State/Province/Country ZIP/Postal Code
Los Angeles CALIFORNIA 90025
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
TEXAS
Recipient
Recipient CRD Number    None
Sanctuary Advisors, LLC 226606
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sanctuary Securities, Inc 205
Street Address 1 Street Address 2
3815 River Crossing Pkwy Suite 200
City State/Province/Country ZIP/Postal Code
Indianapolis INDIANA 46240
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Sapient Capital, LLC 324899
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
401 Pennsylvania Pkwy Suite100
City State/Province/Country ZIP/Postal Code
Indianapolis INDIANA 46280
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
COLORADO
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
ILLINOIS
INDIANA
KENTUCKY
LOUISIANA
MARYLAND
MASSACHUSETTS
MICHIGAN
NEBRASKA
NEW JERSEY
NEW YORK
NORTH CAROLINA
OHIO
OREGON
PENNSYLVANIA
SOUTH CAROLINA
TEXAS
UTAH
VIRGINIA
WASHINGTON
WISCONSIN
Recipient
Recipient CRD Number    None
Seven Post Investment Office LP 157435
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
One Montgomery St Suite 3150
City State/Province/Country ZIP/Postal Code
San Francisco CALIFORNIA 94105
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ARIZONA
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
FLORIDA
HAWAII
MAINE
NEVADA
NEW YORK
OHIO
OREGON
PENNSYLVANIA
SOUTH DAKOTA
TEXAS
WASHINGTON
WYOMING
Recipient
Recipient CRD Number    None
Signature Estate and Investment Advisors LLC 108163
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
2121 Avenue of the Stars Suite 1600
City State/Province/Country ZIP/Postal Code
Los Angeles CALIFORNIA 90067
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
SpirePoint Private Client 327350
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
830 Azalea Lane
City State/Province/Country ZIP/Postal Code
West Vero Beach FLORIDA 32963
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
ILLINOIS
LOUISIANA
NEW YORK
NORTH CAROLINA
PENNSYLVANIA
TEXAS
Recipient
Recipient CRD Number    None
Stevens Capital Partners Inc. 317517
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
15514 Spaulding Plaza Suite D02
City State/Province/Country ZIP/Postal Code
Omaha NEBRASKA 68116
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
FLORIDA
GEORGIA
ILLINOIS
IOWA
MINNESOTA
NEBRASKA
NEW YORK
NORTH CAROLINA
PENNSYLVANIA
TEXAS
Recipient
Recipient CRD Number    None
Steward Partners Investment Solutions, LLC 283004
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
140 E. 45th St 36th Floor
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10017
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Summit Trail Advisors, LLC 220519
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
140 E. 45th St 28th Floor
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10017
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
GEORGIA
HAWAII
ILLINOIS
INDIANA
LOUISIANA
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSOURI
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW YORK
NORTH CAROLINA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
PUERTO RICO
RHODE ISLAND
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VIRGINIA
WASHINGTON
WISCONSIN
WYOMING
Recipient
Recipient CRD Number    None
Summit Trail Securities, LLC 285784
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
140 E. 45th St
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10017
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALASKA
ARIZONA
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
HAWAII
IDAHO
ILLINOIS
IOWA
LOUISIANA
MAINE
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSOURI
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW MEXICO
NEW YORK
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
RHODE ISLAND
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VERMONT
VIRGINIA
WASHINGTON
WISCONSIN
Recipient
Recipient CRD Number    None
The Portfolio Strategy Group, LLC 166593
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
50 Maine St. Suite 1280
City State/Province/Country ZIP/Postal Code
White Plains NEW YORK 10606
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
COLORADO
CONNECTICUT
FLORIDA
ILLINOIS
LOUISIANA
MARYLAND
MASSACHUSETTS
NEW JERSEY
NEW YORK
PENNSYLVANIA
TEXAS
Recipient
Recipient CRD Number    None
Tiedemann Advisors, LLC 147189
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
22 Vanderbilt Avenue 27th Floor
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10017
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALASKA
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
ILLINOIS
LOUISIANA
MARYLAND
MASSACHUSETTS
MINNESOTA
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW YORK
OREGON
PENNSYLVANIA
TENNESSEE
TEXAS
UTAH
VIRGINIA
WASHINGTON
Recipient
Recipient CRD Number    None
Truist Investment Services, Inc.?(FKA Suntrust Investment Services) 17499
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
303 Peachtree St 2nd Floor
City State/Province/Country ZIP/Postal Code
Atlanta GEORGIA 30308
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
UBS Financial Services, Inc. 8174
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1200 Harbor Blvd
City State/Province/Country ZIP/Postal Code
Weehawken NEW JERSEY 07086
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Wells Fargo Advisors Financial Network, LLC 11025
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
One North Jeffferson Ave H0004-05C
City State/Province/Country ZIP/Postal Code
St Louis MISSOURI 63103
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Wells Fargo Clearing Services, LLC 19616
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
One North Jeffferson Ave H0004-05C
City State/Province/Country ZIP/Postal Code
St Louis MISSOURI 63103
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US

13. Offering and Sales Amounts

Total Offering Amount USD
or X Indefinite
Total Amount Sold $1,262,917,511 USD
Total Remaining to be Sold USD
or X Indefinite

Clarification of Response (if Necessary):

14. Investors

  
 Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the 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:
1,038

15. Sales Commissions & Finder's 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 $7,020,857 USD
   Estimate
Finders' Fees $0 USD
   Estimate

Clarification of Response (if Necessary):

Clarification of Item 12: The recipients listed are in addition to those reported in the filing submitted on 3.4.2024 with the exception of Securities Americas, Inc., Triad Advisors, LLC and Woodbury Financial Services who were intentionally removed.

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 USD
   Estimate

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, in the accordance with applicable law, 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 the issuer 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.

Issuer Signature Name of Signer Title Date
Clearlane Capital Fund LLC /s/ A. John Murphy A. John Murphy Vice President 2025-03-03

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.

* This undertaking does not affect any limits Section 102(a) of the National Securities Markets Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot routinely require offering materials under this undertaking or otherwise and can require offering materials only to the extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.