This is the Primary Document downloaded from EDGAR on 8/24/2015 11:26:39 AM EST for EFDID 147299 and Accession Number 0001650543-15-000002.
Please note that this is not the current Accession Number for this EFDId.
SEC FORM D/A
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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.
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM D
Notice of Exempt Offering of Securities
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| OMB APPROVAL |
| OMB Number: |
3235-0076 |
| Estimated average burden |
| hours per response: |
4.00 |
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1. Issuer's Identity
| CIK (Filer ID Number) |
Previous Names |
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Entity Type |
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0001650543
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Corporation |
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Limited Partnership |
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Limited Liability Company |
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General Partnership |
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Business Trust |
| X |
Other (Specify) |
Delaware Statutory Trust |
| Name of Issuer |
| Bi-Coastal Home Improvement DST |
| Jurisdiction of Incorporation/Organization |
| DELAWARE |
| Year of Incorporation/Organization |
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Over Five Years Ago |
| X |
Within Last Five Years (Specify Year) |
2015 |
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Yet to Be Formed |
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2. Principal Place of Business and Contact Information
| Name of Issuer |
| Bi-Coastal Home Improvement DST |
| Street Address 1 |
Street Address 2 |
| 2901 BUTTERFIELD ROAD |
| City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
| OAK BROOK |
ILLINOIS |
60523 |
630-218-8000 |
3. Related Persons
| Last Name |
First Name |
Middle Name |
| Inland Private |
Capital Corporation |
| Street Address 1 |
Street Address 2 |
| 2901 Butterfield Road |
| City |
State/Province/Country |
ZIP/PostalCode |
| Oak Brook |
ILLINOIS |
60523 |
| Relationship: |
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Executive Officer |
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Director |
X |
Promoter |
Clarification of Response (if Necessary):
Sponsor of the Issuer.
| Last Name |
First Name |
Middle Name |
| Bi-Coastal Home |
Improvement, L.L.C. |
| Street Address 1 |
Street Address 2 |
| 2901 Butterfield Road |
| City |
State/Province/Country |
ZIP/PostalCode |
| Oak Brook |
ILLINOIS |
60523 |
| Relationship: |
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Executive Officer |
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Director |
X |
Promoter |
Clarification of Response (if Necessary):
Depositor of the Issuer.
| Last Name |
First Name |
Middle Name |
| Bi-Coastal Home |
Improvement Exchange, L.L.C. |
| Street Address 1 |
Street Address 2 |
| 2901 Butterfield Road |
| City |
State/Province/Country |
ZIP/PostalCode |
| Oak Brook |
ILLINOIS |
60523 |
| Relationship: |
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Executive Officer |
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Director |
X |
Promoter |
Clarification of Response (if Necessary):
Signatory Trustee of the Issuer.
4. Industry Group
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Agriculture |
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Banking & Financial Services |
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Commercial Banking |
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Insurance |
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Investing |
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Investment Banking |
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Pooled Investment Fund |
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Is the issuer registered as an investment company under the Investment Company Act of 1940? |
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Other Banking & Financial Services |
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Business Services |
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Energy |
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Health Care |
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Manufacturing |
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Real Estate |
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Retailing |
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Restaurants |
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Technology |
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Travel |
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Tourism & Travel Services |
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Other |
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5. Issuer Size
| Revenue Range |
OR |
Aggregate Net Asset Value Range |
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No Revenues |
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No Aggregate Net Asset Value |
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$1 - $1,000,000 |
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$1 - $5,000,000 |
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$1,000,001 - $5,000,000 |
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$5,000,001 - $25,000,000 |
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$5,000,001 - $25,000,000 |
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$25,000,001 - $50,000,000 |
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$25,000,001 - $100,000,000 |
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$50,000,001 - $100,000,000 |
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Over $100,000,000 |
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Over $100,000,000 |
| X |
Decline to Disclose |
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Decline to Disclose |
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Not Applicable |
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Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
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Rule 504(b)(1) (not (i), (ii) or (iii)) |
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Rule 504 (b)(1)(i) |
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Rule 504 (b)(1)(ii) |
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Rule 504 (b)(1)(iii) |
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Rule 505 |
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| X |
Rule 506(b) |
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Rule 506(c) |
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Securities Act Section 4(a)(5) |
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Investment Company Act Section 3(c) |
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Section 3(c)(1) |
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Section 3(c)(9) |
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Section 3(c)(2) |
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Section 3(c)(10) |
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Section 3(c)(3) |
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Section 3(c)(11) |
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Section 3(c)(4) |
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Section 3(c)(12) |
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Section 3(c)(5) |
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Section 3(c)(13) |
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Section 3(c)(6) |
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Section 3(c)(14) |
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7. Type of Filing
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New Notice |
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Date of First Sale |
2015-07-30 |
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First Sale Yet to Occur |
| X |
Amendment |
8. Duration of Offering
| Does the Issuer intend this offering to last more than one year? |
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9. Type(s) of Securities Offered (select all that apply)
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Equity |
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Pooled Investment Fund Interests |
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Debt |
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Tenant-in-Common Securities |
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Option, Warrant or Other Right to Acquire Another Security |
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Mineral Property Securities |
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Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
X |
Other (describe) |
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Beneficial interests in Delaware Statutory Trust reflecting beneficial interests in real estate. |
10. Business Combination Transaction
| Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
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Clarification of Response (if Necessary):
11. Minimum Investment
| Minimum investment accepted from any outside investor |
$25,000 |
USD |
12. Sales Compensation
| Recipient |
| Recipient CRD Number |
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None |
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| John G. Chess |
4812430 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Investacorp, Inc. |
7684 |
| Street Address 1 |
Street Address 2 |
| 4263 Gavin Lane |
| City |
State/Province/Country |
ZIP/Postal Code |
| Columbus |
OHIO |
43220 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Jennifer J. Homman |
4303375 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Harbour Investments, Inc. |
19258 |
| Street Address 1 |
Street Address 2 |
| 321 North Main Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Deforest |
WISCONSIN |
53532 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| James J. Panzer, Jr. |
2099482 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Investacorp, Inc. |
7684 |
| Street Address 1 |
Street Address 2 |
| 709 Broadmeadow, Unit H |
| City |
State/Province/Country |
ZIP/Postal Code |
| Rantoul |
ILLINOIS |
61866 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Michael G. Steinthal |
435071 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Primex |
29394 |
| Street Address 1 |
Street Address 2 |
| 45 Knollwood Road, 4th Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| Elmsford |
NEW YORK |
10523 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Jean-Louis Guinchard |
1983431 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Silver Portal Capital LLC |
114290 |
| Street Address 1 |
Street Address 2 |
| 12265 El Camino Real, Suite 230 |
| 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 |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Robert R. Tweed |
2339324 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Concorde Investment Services, LLC |
151604 |
| Street Address 1 |
Street Address 2 |
| 2060 Huntington Drive, Suite 1 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Marino |
CALIFORNIA |
91108 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Patrick R. Conway |
1337831 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Investacorp, Inc. |
7684 |
| Street Address 1 |
Street Address 2 |
| 2901 Butterfield Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Oak Brook |
ILLINOIS |
60523 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Donald R. Hehir, Jr. |
1571539 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Commonwealth Financial Network |
8032 |
| Street Address 1 |
Street Address 2 |
| 180 East main Street, Suite 202 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Smithtown |
NEW YORK |
11787 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Hagop (Jacob) S. Tujian |
4605467 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Independent Financial Group, LLC |
7717 |
| Street Address 1 |
Street Address 2 |
| 825 Colorado Boulevard, Suite 201 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Los Angeles |
CALIFORNIA |
90041 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Alexandro L. Filippini |
5043549 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Silver Portal Capital LLC |
114290 |
| Street Address 1 |
Street Address 2 |
| 12265 El Camino Real, Suite 230 |
| 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 |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Jason H. Freeman |
2995587 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Triad Advisors, Inc. |
25803 |
| Street Address 1 |
Street Address 2 |
| 8 Pelham Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Greenville |
SOUTH CAROLINA |
29615 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Robert E. Burns |
4066393 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| VSR Financial Services, Inc. |
14503 |
| Street Address 1 |
Street Address 2 |
| 5350 South Roslyn Street, Suite 370 |
| 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 |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| David T. Marshall |
2843252 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Independent Financial Group, LLC |
7717 |
| Street Address 1 |
Street Address 2 |
| 1586 Moffett Street, Suite F |
| City |
State/Province/Country |
ZIP/Postal Code |
| Salinas |
CALIFORNIA |
93905 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Jay M. Diamond |
1293312 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Commonwealth FInancial Network |
8032 |
| Street Address 1 |
Street Address 2 |
| 6580 Main Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Stratford |
CONNECTICUT |
06614 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Scott D. Offerman |
4619093 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Concorde Investment Services, LLC |
151604 |
| Street Address 1 |
Street Address 2 |
| 28 West 44th Street, Suite 902 |
| City |
State/Province/Country |
ZIP/Postal Code |
| New York |
NEW YORK |
10036 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Dwight K. Kay |
5376903 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Colorado Financial Service Corporation |
104343 |
| Street Address 1 |
Street Address 2 |
| 304 Inverness Way South, Suite 355 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Centennial |
COLORADO |
80112 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Timothy J. Warren |
4093611 |
| (Associated) Broker or Dealer |
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None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| 1st Global Capital Corp. |
30349 |
| Street Address 1 |
Street Address 2 |
| 1200 Paseo Camarillo, Suite 150 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Camarillo |
CALIFORNIA |
93010 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Robert S. Smith |
1412333 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
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None |
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| Concorde Investment Services, LLC |
151604 |
| Street Address 1 |
Street Address 2 |
| 5000 Meadows Road, Suite 230 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lake Oswego |
OREGON |
97035 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Christina S. Nielson |
4866971 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Primex |
29394 |
| Street Address 1 |
Street Address 2 |
| 650 Town Center Drive, Suite 1400 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Costa Mesa |
CALIFORNIA |
92626 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Eric S. Scaff |
5281210 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Concorde Investment Services, LLC |
151604 |
| Street Address 1 |
Street Address 2 |
| 300 Montgomery Street, Suite 631 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Francisco |
CALIFORNIA |
94101 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Kerri M. Sullivan-Kreiss |
2141713 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Commonwealth Financial Network |
8032 |
| Street Address 1 |
Street Address 2 |
| 225 Cedar Hill Street, Suite 200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Marlborough |
MASSACHUSETTS |
01752 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| Recipient |
| Recipient CRD Number |
|
None |
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| Eric J. Glassbrenner |
4160645 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Center Street Securities, Inc. |
26898 |
| Street Address 1 |
Street Address 2 |
| 8150 Perry Highway, Suite 208 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Pittsburgh |
PENNSYLVANIA |
15237 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| Recipient |
| Recipient CRD Number |
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None |
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| Anthony Nori |
1238551 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| Centaurus Financial, Inc. |
30833 |
| Street Address 1 |
Street Address 2 |
| 6505 Knollwood Drive |
| City |
State/Province/Country |
ZIP/Postal Code |
| McKinney |
TEXAS |
75070 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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| Recipient |
| Recipient CRD Number |
|
None |
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| Daniel R. Mueller |
4464268 |
| (Associated) Broker or Dealer |
|
None |
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| (Associated) Broker or Dealer CRD Number |
|
None |
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| 1st Global Capital Corp. |
30349 |
| Street Address 1 |
Street Address 2 |
| 5635 NE Elam Young Parkway, Suite 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Hillsboro |
OREGON |
97124 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
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| Recipient |
| Recipient CRD Number |
|
None |
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| Lawrence L. Bushnell |
1553497 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
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| Independent Financial Group, LLC |
7717 |
| Street Address 1 |
Street Address 2 |
| 1551 Livingston Avenue, Suite 102 |
| City |
State/Province/Country |
ZIP/Postal Code |
| West Saint Paul |
MINNESOTA |
55127 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
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|
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| Recipient |
| Recipient CRD Number |
|
None |
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| James A. Davenport |
2200818 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
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| Triad Advisors, Inc. |
25803 |
| Street Address 1 |
Street Address 2 |
| 505 Olive Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Winston-Salem |
NORTH CAROLINA |
27103 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
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|
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| Recipient |
| Recipient CRD Number |
|
None |
|
| Gregory C. Mottau |
341596 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| FSC Securities Corporation |
7461 |
| Street Address 1 |
Street Address 2 |
| 3819 NE Columbia Boulevard |
| City |
State/Province/Country |
ZIP/Postal Code |
| Portland |
OREGON |
97211 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Ann H. Stewart |
2388888 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Cambridge Investment Research, Inc. |
39543 |
| Street Address 1 |
Street Address 2 |
| 2114 North Lincoln Avenue, Suite 206 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Loveland |
COLORADO |
80538 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Sterling D. Neblett |
4972455 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Spire Securities, LLC |
144131 |
| Street Address 1 |
Street Address 2 |
| 7901 Jones Branch Drive, Suite 800 |
| City |
State/Province/Country |
ZIP/Postal Code |
| McLean |
VIRGINIA |
22102 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Wendy A. Payne |
5083969 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Spire Securities, LLC |
144131 |
| Street Address 1 |
Street Address 2 |
| 7901 Jones Branch Drive, Suite 800 |
| City |
State/Province/Country |
ZIP/Postal Code |
| McLean |
VIRGINIA |
22102 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Mark D. Pedersen |
1283866 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Sandlapper Securities, LLC |
137906 |
| Street Address 1 |
Street Address 2 |
| 800 East North Avenue, 2nd Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| Greenville |
SOUTH CAROLINA |
29601 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Mark J. Rychel |
2262582 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Lincoln Financial Advisors Corporation |
3870 |
| Street Address 1 |
Street Address 2 |
| 2000 Corporate Drive, Suite 350 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Wexford |
PENNSYLVANIA |
15090 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Samuel W. Watters |
2519478 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Woodbury Financial Services, Inc. |
421 |
| Street Address 1 |
Street Address 2 |
| 4001 West Park Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| Orange |
TEXAS |
77630 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Samuel W. Waters, Jr. |
4823728 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Woodbury Financial Services, Inc. |
421 |
| Street Address 1 |
Street Address 2 |
| 4001 Park Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| Orange |
TEXAS |
77630 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Craig E. Lewelling |
2402982 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Sagepoint Financial, Inc. |
133763 |
| Street Address 1 |
Street Address 2 |
| 900 Washington Street, Suite 840 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Vancouver |
WASHINGTON |
98660 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Habib M. Iskander |
2326918 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Sagepoint Financial, Inc. |
133763 |
| Street Address 1 |
Street Address 2 |
| 7700 Irvine Center Drive, Suite 800 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Irvine |
CALIFORNIA |
92618 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Darren C. Brooks |
2601668 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Commonwealth Financial Network |
8032 |
| Street Address 1 |
Street Address 2 |
| 7201 Center Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Mentor |
OHIO |
44060 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Peter D. Fisher |
1259923 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Investacorp, Inc. |
7684 |
| Street Address 1 |
Street Address 2 |
| 2901 Butterfield Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Oak Brook |
ILLINOIS |
60523 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Kathleen C. Kovar |
4666755 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| 1st Global Capital Corp. |
30349 |
| Street Address 1 |
Street Address 2 |
| 3800 Blackhawk Road, Suite 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Danville |
CALIFORNIA |
94506 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Stephanie A. Menke |
4548579 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Cambridge Investment Research, Inc. |
39543 |
| Street Address 1 |
Street Address 2 |
| 4500 Bob Billings Parkway, Suite 109 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lawrence |
KANSAS |
66049 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Brian D. Vosberg |
4476509 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Centaurus Financial, Inc. |
30833 |
| Street Address 1 |
Street Address 2 |
| 715 West Foothill Boulevard |
| City |
State/Province/Country |
ZIP/Postal Code |
| Glendora |
CALIFORNIA |
91741 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Timothy W. Greer |
731658 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Triad Advisors, Inc. |
25803 |
| Street Address 1 |
Street Address 2 |
| 100 Winners Circle North, Suite 105 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Brentwood |
TENNESSEE |
37027-1064 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Thomas F. Mengel |
706823 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Cetera Financial Specialists LLC |
10358 |
| Street Address 1 |
Street Address 2 |
| 12213 Big Bend Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Kirkwood |
MISSOURI |
63122 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Nicholas Mengel |
5154776 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Cetera Financial Specialists LLC |
10358 |
| Street Address 1 |
Street Address 2 |
| 12213 Big Bend Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Kirkwood |
MISSOURI |
63122 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Carl M. Strozyk |
2317341 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Cambridge Investment Research, Inc. |
39543 |
| Street Address 1 |
Street Address 2 |
| 139 North Main Street, Suite 300 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Bel Air |
MARYLAND |
21014 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Brion P. Harris |
3199095 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Summit Brokerage Services, Inc. |
34643 |
| Street Address 1 |
Street Address 2 |
| 115 West Street, Suite 400 |
| 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 |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Christopher A. Pratt |
1043894 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Sagepoint Financial, Inc. |
133763 |
| Street Address 1 |
Street Address 2 |
| 6390 Greenwich Drive, Suite 230 |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Diego |
CALIFORNIA |
92122 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Robert W. Bruner |
2260319 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Questar Capital Corporation |
43100 |
| Street Address 1 |
Street Address 2 |
| 22 West Main Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Mountville |
PENNSYLVANIA |
17554 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Jack W. Ellison |
2584997 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Independent Financial Group, LLC |
7717 |
| Street Address 1 |
Street Address 2 |
| 490 South Farrel Drive, Suite C201 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Palm Springs |
CALIFORNIA |
92262 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Karl L. Hambrecht |
844047 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Royal Alliance Securities, Inc. |
23131 |
| Street Address 1 |
Street Address 2 |
| 139 Indian Hill Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| West Newbury |
MASSACHUSETTS |
01985 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Chay T. Lapin |
6275140 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Colorado Financial Service Corporation |
104343 |
| Street Address 1 |
Street Address 2 |
| 2516 Via Tejon, Suite 210 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Palos Verdes Estates |
CALIFORNIA |
90274 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Roger T. Tadsen |
1053510 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Northland Securities, Inc. |
40258 |
| Street Address 1 |
Street Address 2 |
| 45 South 7th Street, 20th Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| Minneapolis |
MINNESOTA |
55402 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| John T. Christy |
4573758 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Royal Alliance Securities, Inc. |
23131 |
| Street Address 1 |
Street Address 2 |
| 5950 North Oak Trafficway, Suite 201 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Kansas City |
MISSOURI |
64118 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Delmar V. McKinney, II |
1186853 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| First Allied Securities, Inc. |
32444 |
| Street Address 1 |
Street Address 2 |
| 700 North Main Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Taylor |
TEXAS |
76574 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Maurice W. McKinney |
1036808 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| First Allied Securities, Inc. |
32444 |
| Street Address 1 |
Street Address 2 |
| 700 North Main Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Taylor |
TEXAS |
76574 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Gerrin P. DeGroot |
4817044 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| 1st Global Capital Corp. |
30349 |
| Street Address 1 |
Street Address 2 |
| 824 Pine Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Klamath Falls |
OREGON |
97601-6039 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Spencer L. Weston |
1482772 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Questar Capital Corporation |
43100 |
| Street Address 1 |
Street Address 2 |
| 3420 Coach Lane, Suite 14 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Cameron Park |
CALIFORNIA |
95682 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
|
13. Offering and Sales Amounts
| Total Offering Amount |
$59,186,571 |
USD |
|
| Total Amount Sold |
$23,927,724 |
USD |
| Total Remaining to be Sold |
$35,258,847 |
USD |
|
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: |
|
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 |
$2,959,329 |
USD |
|
| Finders' Fees |
$0 |
USD |
|
Clarification of Response (if Necessary):
This response is based on the assumption that the full amount of the potential sales commissions will be earned and paid.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.
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 it in any place subject to the jurisdiction of the United States, if the
action, proceeding or arbitration (a) arises out of any activity in connection with the
offering of securities that is the subject of this notice, and (b) is founded, directly or
indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange
Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the
Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii)
the laws of the State in which the issuer maintains its principal place of business or any State
in which this notice is filed.
- Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Regulation D for one of the reasons stated in Rule 505(b)(2)(iii) 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 |
| Bi-Coastal Home Improvement DST |
/s/ Keith Lampi |
Keith Lampi |
President of the Member of the Signatory Trustee |
2015-08-17 |
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.