This is the Primary Document downloaded from EDGAR on 9/29/2015 1:42:06 PM EST for EFDID 147299 and Accession Number 0001650543-15-000004.

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
0001650543
   Corporation
   Limited Partnership
   Limited Liability Company
   General Partnership
   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
   Over Five Years Ago
X Within Last Five Years (Specify Year) 2015
   Yet to Be Formed

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:    Executive Officer    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:    Executive Officer    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:    Executive Officer    Director X Promoter

Clarification of Response (if Necessary):

Signatory Trustee of the Issuer.
Last Name First Name Middle Name
Lampi Keith
Street Address 1 Street Address 2
2901 Butterfield Road
City State/Province/Country ZIP/PostalCode
Oak Brook ILLINOIS 60523
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Mr. Lampi is the President of Inland Private Capital Corporation, the Member of Bi-Coastal Home Improvement Exchange, L.L.C., the Signatory Trustee of Bi-Coastal Home Improvement DST.

4. Industry Group

   Agriculture
Banking & Financial Services
   Commercial Banking
   Insurance
   Investing
   Investment Banking
   Pooled Investment Fund
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940?
   Yes    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
X 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
X Decline to Disclose    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)
   Rule 505
X Rule 506(b)
   Rule 506(c)
   Securities Act Section 4(a)(5)
   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)
   Section 3(c)(7)

7. Type of Filing

   New Notice Date of First Sale 2015-07-30    First Sale Yet to Occur
X Amendment

8. Duration of Offering

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

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

   Equity    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 X Other (describe)
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?
   Yes X No

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    None
John G. Chess 4812430
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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		    All States
   Foreign/non-US
OHIO
Recipient
Recipient CRD Number    None
Jennifer J. Homman 4303375
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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		    All States
   Foreign/non-US
WISCONSIN
Recipient
Recipient CRD Number    None
James J. Panzer, Jr. 2099482
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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		    All States
   Foreign/non-US
ILLINOIS
Recipient
Recipient CRD Number    None
Michael G. Steinthal 435071
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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		    All States
   Foreign/non-US
NEW YORK
Recipient
Recipient CRD Number    None
Jean-Louis Guinchard 1983431
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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		    All States
   Foreign/non-US
ARKANSAS
Recipient
Recipient CRD Number    None
Robert R. Tweed 2339324
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Patrick R. Conway 1337831
(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
   Foreign/non-US
ILLINOIS
Recipient
Recipient CRD Number    None
Donald R. Hehir, Jr. 1571539
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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		    All States
   Foreign/non-US
NEW YORK
Recipient
Recipient CRD Number    None
Hagop (Jacob) S. Tujian 4605467
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Alexandro L. Filippini 5043549
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Jason H. Freeman 2995587
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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		    All States
   Foreign/non-US
WASHINGTON
Recipient
Recipient CRD Number    None
Robert E. Burns 4066393
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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		    All States
   Foreign/non-US
COLORADO
Recipient
Recipient CRD Number    None
David T. Marshall 2843252
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Jay M. Diamond 1293312
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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
   Foreign/non-US
MASSACHUSETTS
Recipient
Recipient CRD Number    None
Scott D. Offerman 4619093
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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
   Foreign/non-US
NEW YORK
Recipient
Recipient CRD Number    None
Dwight K. Kay 5376903
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Timothy J. Warren 4093611
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Robert S. Smith 1412333
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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
   Foreign/non-US
NEVADA
OREGON
Recipient
Recipient CRD Number    None
Christina S. Nielson 4866971
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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
   Foreign/non-US
NEW JERSEY
Recipient
Recipient CRD Number    None
Eric S. Scaff 5281210
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Kerri M. Sullivan-Kreiss 2141713
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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
   Foreign/non-US
MASSACHUSETTS
Recipient
Recipient CRD Number    None
Eric J. Glassbrenner 4160645
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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
   Foreign/non-US
PENNSYLVANIA
Recipient
Recipient CRD Number    None
Anthony Nori 1238551
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Daniel R. Mueller 4464268
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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
   Foreign/non-US
OREGON
Recipient
Recipient CRD Number    None
Lawrence L. Bushnell 1553497
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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
   Foreign/non-US
MINNESOTA
Recipient
Recipient CRD Number    None
James A. Davenport 2200818
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
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
   Foreign/non-US
NORTH CAROLINA
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
   Foreign/non-US
OREGON
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
   Foreign/non-US
COLORADO
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
   Foreign/non-US
MARYLAND
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
   Foreign/non-US
MARYLAND
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
   Foreign/non-US
NEW YORK
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
   Foreign/non-US
NEW JERSEY
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
   Foreign/non-US
TEXAS
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
   Foreign/non-US
TEXAS
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
   Foreign/non-US
OREGON
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
   Foreign/non-US
CALIFORNIA
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
   Foreign/non-US
OHIO
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
   Foreign/non-US
ILLINOIS
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
   Foreign/non-US
CALIFORNIA
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
   Foreign/non-US
KANSAS
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
   Foreign/non-US
CALIFORNIA
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
   Foreign/non-US
TENNESSEE
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)
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   Foreign/non-US
ILLINOIS
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)
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   Foreign/non-US
ILLINOIS
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)
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   Foreign/non-US
MARYLAND
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)
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   Foreign/non-US
MARYLAND
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)
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   Foreign/non-US
CALIFORNIA
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)
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   Foreign/non-US
PENNSYLVANIA
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)
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   Foreign/non-US
CALIFORNIA
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)
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   Foreign/non-US
MASSACHUSETTS
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)
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   Foreign/non-US
NEVADA
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)
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   Foreign/non-US
WISCONSIN
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)
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   Foreign/non-US
MISSOURI
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)
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   Foreign/non-US
TEXAS
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)
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   Foreign/non-US
TEXAS
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)
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   Foreign/non-US
OREGON
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)
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   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Bart P. Allard 4588093
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
1st Global Capital Corp. 30349
Street Address 1 Street Address 2
107 North 37th Street
City State/Province/Country ZIP/Postal Code
Rogers ARKANSAS 72756
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Shannon M. Markle 4358151
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research, Inc. 39543
Street Address 1 Street Address 2
506 South 21st Street
City State/Province/Country ZIP/Postal Code
Laramie WYOMING 82070
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
WYOMING
Recipient
Recipient CRD Number    None
James M. Raine 2360466
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Questar Capital Corporation 43100
Street Address 1 Street Address 2
1220 West Ash Street, Suite E
City State/Province/Country ZIP/Postal Code
Windsor COLORADO 80550
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
COLORADO
Recipient
Recipient CRD Number    None
Hugh O. Barndollar, Sr. 2084783
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Crown Capital Securities, L.P. 6312
Street Address 1 Street Address 2
2719 Letap Court, Suite 102
City State/Province/Country ZIP/Postal Code
Land O'Lakes FLORIDA 34638
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
MONTANA
Recipient
Recipient CRD Number    None
Yiping M. Ma 4473131
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cetera Financial Specialists LLC 10358
Street Address 1 Street Address 2
211-08 35th Avenue
City State/Province/Country ZIP/Postal Code
Bayside NEW YORK 11361
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
NEW YORK
Recipient
Recipient CRD Number    None
Michael T. Janis 5308832
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Madison Avenue Securities, LLC 23224
Street Address 1 Street Address 2
3655 Torrance Boulevard, Suite 250
City State/Province/Country ZIP/Postal Code
Torrance CALIFORNIA 90503
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Christopher J. Passero 2517681
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Money Concepts Capital Corp. 12963
Street Address 1 Street Address 2
3979 Teays Valley Road
City State/Province/Country ZIP/Postal Code
Hurricane WEST VIRGINIA 25526
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
WEST VIRGINIA
Recipient
Recipient CRD Number    None
Cynthia A. Selfridge 4215878
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lincoln Financial Advisors Corporation 3978
Street Address 1 Street Address 2
5001 California Avenue, Suite 125
City State/Province/Country ZIP/Postal Code
Bakerfield CALIFORNIA 93309
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Matthew E. Roberson 3090052
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lincoln Financial Advisors Corporation 3978
Street Address 1 Street Address 2
2105 South Bascom Avenue, Suite 300
City State/Province/Country ZIP/Postal Code
Campbell CALIFORNIA 95008
State(s) of Solicitation (select all that apply)
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   Foreign/non-US
CALIFORNIA
TEXAS
Recipient
Recipient CRD Number    None
William S. Sheehan 2328614
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
DFPG Investments, Inc. 155576
Street Address 1 Street Address 2
2 Orr Hatch Drive
City State/Province/Country ZIP/Postal Code
Cornwall NEW YORK 12518
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW YORK
Recipient
Recipient CRD Number    None
Kirk D. Dobson 4049865
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Ameritas Investment Corp. 14869
Street Address 1 Street Address 2
3150 Crow Canyon Place, Suite 200
City State/Province/Country ZIP/Postal Code
San Ramon CALIFORNIA 94583
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
Donald P. Westerhoff 2367692
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Commonwealth Financial Network 8032
Street Address 1 Street Address 2
5550 26th Street West, Suite 3
City State/Province/Country ZIP/Postal Code
Bradenton FLORIDA 34207
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
Recipient
Recipient CRD Number    None
Jeffrey L. Davis 1344594
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Michigan Securities, Inc. 101600
Street Address 1 Street Address 2
166 South Kalamazoo Mall, Suite B
City State/Province/Country ZIP/Postal Code
Kalamazoo MICHIGAN 49007
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MICHIGAN
Recipient
Recipient CRD Number    None
Lyn F. Boening 2592999
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cetera Advisor Networks LLC 13572
Street Address 1 Street Address 2
820 North 5th Street
City State/Province/Country ZIP/Postal Code
Jacksonville OREGON 97530
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OREGON
Recipient
Recipient CRD Number    None
James D. Warring 3198200
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Triad Advisors, Inc. 25803
Street Address 1 Street Address 2
11 North Washington Street, Suite 720
City State/Province/Country ZIP/Postal Code
Rockville MARYLAND 20850
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MARYLAND
Recipient
Recipient CRD Number    None
Bruce A. Carroll 1319858
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Harbour Investments, Inc. 19258
Street Address 1 Street Address 2
125 South Main Street, Suite 2
City State/Province/Country ZIP/Postal Code
Verona WISCONSIN 53593
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WISCONSIN
Recipient
Recipient CRD Number    None
Marco A. Scalco 5610626
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
1st Global Capital Corp. 30349
Street Address 1 Street Address 2
3561 Howard Avenue, Suite 100
City State/Province/Country ZIP/Postal Code
Los Alamitos CALIFORNIA 90720
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
HAWAII
Recipient
Recipient CRD Number    None
Philip J. Deangelo 4204841
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Securities America, Inc. 10205
Street Address 1 Street Address 2
216 State Route 299, Suite 5
City State/Province/Country ZIP/Postal Code
Highland NEW YORK 12528-2524
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW YORK
Recipient
Recipient CRD Number    None
Molly M. Grubb 5647291
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research, Inc. 39543
Street Address 1 Street Address 2
4656 Executive Drive, Suite 100
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		    All States
   Foreign/non-US
OHIO
Recipient
Recipient CRD Number    None
Steve J. Aguiar 2335990
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
FSC Securities Corporation 7461
Street Address 1 Street Address 2
2855 Mitchell Drive, Suite 203
City State/Province/Country ZIP/Postal Code
Walnut Creek CALIFORNIA 94598
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
Kelly B. Yamamoto 4476560
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
FSC Securities Corporation 7461
Street Address 1 Street Address 2
2855 Mitchell Drive, Suite 203
City State/Province/Country ZIP/Postal Code
Walnut Creek CALIFORNIA 94598
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
Gerald J. Whyte 1330046
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Crown Capital Securities, L.P. 6312
Street Address 1 Street Address 2
10370 Commerce Center Drive, Suite B130
City State/Province/Country ZIP/Postal Code
Rancho Cucamonga CALIFORNIA 91730
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
Matthew C. Weinheimer 2917501
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Ameritas Investment Corp. 14869
Street Address 1 Street Address 2
4101 Parkstone Heights Drive, Suite 210
City State/Province/Country ZIP/Postal Code
Austin TEXAS 78746
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
Eric A. Bicknese 2829451
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Nationwide Planning Associates Inc. 31029
Street Address 1 Street Address 2
375 Route 32
City State/Province/Country ZIP/Postal Code
Central Valley NEW YORK 10917
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
Recipient
Recipient CRD Number    None
Ivar N. Jones, Jr. 2729076
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Ameritas Investment Corp. 14869
Street Address 1 Street Address 2
847 Sansome Street, 4th Floor
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
Recipient
Recipient CRD Number    None
Larry K. Manuel 1698280
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lincoln Financial Advisors Corporation 3978
Street Address 1 Street Address 2
4250 Executive Square, Suite 700
City State/Province/Country ZIP/Postal Code
La Jolla CALIFORNIA 92037
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
Darrin W. Gustafson 3227510
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lincoln Financial Advisors Corporation 3978
Street Address 1 Street Address 2
4250 Executive Square, Suite 700
City State/Province/Country ZIP/Postal Code
La Jolla CALIFORNIA 92037
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
David M. Nelson 2120855
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research, Inc. 39543
Street Address 1 Street Address 2
880 13th Avenue North
City State/Province/Country ZIP/Postal Code
Clinton IOWA 52732
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
UTAH
Recipient
Recipient CRD Number    None
Kenneth M Nelson 3231051
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Reserach, Inc. 39543
Street Address 1 Street Address 2
880 13th Avenue North
City State/Province/Country ZIP/Postal Code
Clinton IOWA 52732
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
UTAH
Recipient
Recipient CRD Number    None
Jarrod F. Hirschfeld 4666092
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Ameritas Investment Corp. 14869
Street Address 1 Street Address 2
3400 Executive Parkway
City State/Province/Country ZIP/Postal Code
Toledo OHIO 43606
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OHIO
Recipient
Recipient CRD Number    None
Karl R. Brantley 2274283
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lincoln Financial Advisors Corporation 3978
Street Address 1 Street Address 2
1600 Valley River Drive, Suite 150
City State/Province/Country ZIP/Postal Code
Eugene OREGON 97401
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OREGON
Recipient
Recipient CRD Number    None
Gregg E. Kiefer 3230611
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
1st Global Capital Corp. 30349
Street Address 1 Street Address 2
1675 Richmond Road
City State/Province/Country ZIP/Postal Code
Staten Island NEW YORK 10304-2317
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW YORK
Recipient
Recipient CRD Number    None
Matthew T. Rubis 5863109
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Parkland Securities, LLC 115368
Street Address 1 Street Address 2
1131 Westrac Drive, Suite 204
City State/Province/Country ZIP/Postal Code
Fargo NORTH DAKOTA 58103
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NORTH DAKOTA
Recipient
Recipient CRD Number    None
Daniel A. Prisciotta, Jr. 1190025
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lincoln Financial Advisors Corporation 3978
Street Address 1 Street Address 2
61 South Paramus Road, Suite 425
City State/Province/Country ZIP/Postal Code
Paramus NEW JERSEY 07652
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW YORK
Recipient
Recipient CRD Number    None
Fred C. Scheller 1063971
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sagepoint Financial, Inc. 133763
Street Address 1 Street Address 2
12909 SW 68th Parkway, Suite 150
City State/Province/Country ZIP/Postal Code
Portland OREGON 97223
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
IDAHO
Recipient
Recipient CRD Number    None
Ross A. Pedersen 1201067
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Royal Alliance Securities, Inc. 23131
Street Address 1 Street Address 2
2269 Dahlk Circle
City State/Province/Country ZIP/Postal Code
Verona WISCONSIN 53593
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WISCONSIN
Recipient
Recipient CRD Number    None
Joseph G. Michaletz 1327534
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Triad Advisors, Inc. 25803
Street Address 1 Street Address 2
150 St. Andrews Court, Suite 210
City State/Province/Country ZIP/Postal Code
Mankata MINNESOTA 56001
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
IOWA
Recipient
Recipient CRD Number    None
Robert J. Binkele 2393598
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
J.P. Turner & Company, L.L.C. 43177
Street Address 1 Street Address 2
45110 Club Drive, Suite B
City State/Province/Country ZIP/Postal Code
Indian Wells CALIFORNIA 92210
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
Gordon T. Hamilton 5028789
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Parkland Securities, LLC 115368
Street Address 1 Street Address 2
5875 Lehman Drive, Suite 201E
City State/Province/Country ZIP/Postal Code
Colorado Springs COLORADO 80918
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
Recipient
Recipient CRD Number    None
Kevin P. Fitzgerald 1754938
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Investacorp, Inc. 7684
Street Address 1 Street Address 2
268 East Hamilton Avenue, Suite E
City State/Province/Country ZIP/Postal Code
Campbell CALIFORNIA 95008
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
Stephen M. Whyte 5941423
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Crown Capital Securities, L.P. 6312
Street Address 1 Street Address 2
10370 Commerce Center Drive, Suite B130
City State/Province/Country ZIP/Postal Code
Rancho Cucamonga CALIFORNIA 91730
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
Mitchal D. O'Hare 4561108
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Transamerica Financial Advisors, Inc. 16164
Street Address 1 Street Address 2
515 South Howes Street
City State/Province/Country ZIP/Postal Code
Fort Collins COLORADO 80521
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEBRASKA
Recipient
Recipient CRD Number    None
Sigrid D. Daugaard 5481583
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Transamerica Financial Advisors, Inc. 16164
Street Address 1 Street Address 2
515 South Howes Street
City State/Province/Country ZIP/Postal Code
Fort Collins COLORADO 80521
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEBRASKA

13. Offering and Sales Amounts

Total Offering Amount $59,186,571 USD
or    Indefinite
Total Amount Sold $41,247,618 USD
Total Remaining to be Sold $17,938,953 USD
or    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:
118

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
X Estimate
Finders' Fees $0 USD
   Estimate

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.

$4,089,510 USD
X 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 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 2015-09-17

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.