This is the Primary Document downloaded from EDGAR on 6/5/2018 5:18:12 PM EST for EFDID 251425 and Accession Number 0001723415-18-000012.

Please note that this is not the current Accession Number for this EFDId.

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
0001723415
   Corporation
   Limited Partnership
   Limited Liability Company
   General Partnership
X Business Trust
   Other (Specify)

Name of Issuer
Colorado Multifamily Portfolio III DST
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
   Over Five Years Ago
X Within Last Five Years (Specify Year) 2017
   Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
Colorado Multifamily Portfolio III DST
Street Address 1 Street Address 2
C/- INLAND PRIVATE CAPITAL CORPORATION 2901 BUTTERFIELD ROAD
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
OAK BROOK ILLINOIS 60523 35227118000

3. Related Persons

Last Name First Name Middle Name
Inland Private Capital Corporation N/A
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):

Sponsor of the Issuer
Last Name First Name Middle Name
Colorado Multifamily Portfolio III Exchange, L.L.C N/A
Street Address 1 Street Address 2
c/o Inland Private Capital Corporation 2901 Butterfield Road
City State/Province/Country ZIP/PostalCode
Oak Brook ILLINOIS 60523
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Signatory Trustee of the Issuer
Last Name First Name Middle Name
Colorado Multifamily Portfolio III, L.L.C. N/A
Street Address 1 Street Address 2
c/o Inland Private Capital Corporation 2901 Butterfield Road
City State/Province/Country ZIP/PostalCode
Oak Brook ILLINOIS 60523
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Depositor of the Issuer
Last Name First Name Middle Name
Sabshon Mitchell A
Street Address 1 Street Address 2
2901 Butterfield Road
City State/Province/Country ZIP/PostalCode
Oak Brook ILLINOIS 60523
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Director and Chairman of the Board of the Sponsor
Last Name First Name Middle Name
Lampi Keith D
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):

Director, President and Chief Operating Officer of the Sponsor
Last Name First Name Middle Name
Sehgal Rahul
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):

Director and Chief Investment Officer of the Sponsor
Last Name First Name Middle Name
Goodwin Daniel L
Street Address 1 Street Address 2
2901 Butterfield Road
City State/Province/Country ZIP/PostalCode
Oak Brook ILLINOIS 60523
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Director of the Sponsor
Last Name First Name Middle Name
Lynch Catherine L
Street Address 1 Street Address 2
2901 Butterfield Road
City State/Province/Country ZIP/PostalCode
Oak Brook ILLINOIS 60523
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Director of the Sponsor
Last Name First Name Middle Name
Matlin Roberta S
Street Address 1 Street Address 2
2901 Butterfield Road
City State/Province/Country ZIP/PostalCode
Oak Brook ILLINOIS 60523
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Director of the Sponsor
Last Name First Name Middle Name
Parks Robert G
Street Address 1 Street Address 2
2901 Butterfield Road
City State/Province/Country ZIP/PostalCode
Oak Brook ILLINOIS 60523
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Director of the Sponsor

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)
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 2017-11-15    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)

X 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    Other (describe)

10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer?
   Yes X No

Clarification of Response (if Necessary):

11. Minimum Investment

Minimum investment accepted from any outside investor $25,000 USD

12. Sales Compensation

Recipient
Recipient CRD Number    None
Scott Sheehan 2328614
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
DFPG Investments, Inc. 155576
Street Address 1 Street Address 2
9017 S RIVERSIDE DRIVE
City State/Province/Country ZIP/Postal Code
Sandy UTAH 84070
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
Edward Fernandez 2956661
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Capulent LLC 155155
Street Address 1 Street Address 2
4144 N 44TH STREET Suite 3
City State/Province/Country ZIP/Postal Code
Phoenix ARIZONA 85018
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MISSOURI
Recipient
Recipient CRD Number    None
Robert 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
19500 VICTOR PARKWAY Suite 550
City State/Province/Country ZIP/Postal Code
LIVONIA MICHIGAN 48152
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WASHINGTON
OREGON
Recipient
Recipient CRD Number    None
Tim Clairmont 2847591
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lion Street Financial, LLC 165828
Street Address 1 Street Address 2
515 CONGRESS AVE Suite 2500
City State/Province/Country ZIP/Postal Code
Austin TEXAS 78701
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
Christina Nielson 4866971
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Primex Prime Electronic Execution Inc 29394
Street Address 1 Street Address 2
54 WEST 21ST STREET 12TH FLOOR
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10010
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WASHINGTON
NEW YORK
CALIFORNIA
Recipient
Recipient CRD Number    None
Tom Velken 1600404
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sigma Financial Corporation 14303
Street Address 1 Street Address 2
300 PARKLAND PLAZA
City State/Province/Country ZIP/Postal Code
Ann Arbor MICHIGAN 48103-9508
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
Michelle Herickhoff 6388484
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Voya Financial Advisors 2882
Street Address 1 Street Address 2
699 WALNUT STREET SUITE 1000
City State/Province/Country ZIP/Postal Code
Des Moines IOWA 50309
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
Jeremy Willner 2435220
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Voya Financial Advisors 2882
Street Address 1 Street Address 2
699 WALNUT STREET SUITE 1000
City State/Province/Country ZIP/Postal Code
Des Moines IOWA 50309
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
Brian Hagen 5189815
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
D H Hill Securities 41528
Street Address 1 Street Address 2
1543 GREEN OAK PLACE suite 100
City State/Province/Country ZIP/Postal Code
Kingwood TEXAS 77339
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
Justin Bachman 6412695
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Capulent LLC 155155
Street Address 1 Street Address 2
4144 N 44TH STREET STE 3
City State/Province/Country ZIP/Postal Code
Phoenix ARIZONA 85018
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
James Walesa 1061209
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Triad Advisors, Inc. 25803
Street Address 1 Street Address 2
5155 PEACHTREE PARKWAY SUITE 3220
City State/Province/Country ZIP/Postal Code
Norcros GEORGIA 30092
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ILLINOIS
TEXAS
Recipient
Recipient CRD Number    None
Frank Richardson 721293
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Investacorp, Inc. 7684
Street Address 1 Street Address 2
4400 BISCAYNE BLVD 11th floor
City State/Province/Country ZIP/Postal Code
Miami FLORIDA 33137
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
David Dahill 6581024
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
WealthForge Securities LLC 152550
Street Address 1 Street Address 2
6800 PARAGON PLACE suite 200
City State/Province/Country ZIP/Postal Code
Richmond VIRGINIA 23230
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
Iaian Filippini 4708877
(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
WASHINGTON
NEVADA
Recipient
Recipient CRD Number    None
Robert Pecha 5579770
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Concorde Investment Services, LLC 151604
Street Address 1 Street Address 2
19500 VICTOR PARKWAY SUITE 550
City State/Province/Country ZIP/Postal Code
Livonia FLORIDA 48152
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
Craig Sickler 4222992
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
1st Global Capital Corporation 30349
Street Address 1 Street Address 2
12750 MERIT DRIVE suite 1200
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75251
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
Douglas Bertke 5446244
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
1st Global Capital Corporation 30349
Street Address 1 Street Address 2
12750 MERIT DRIVE suite 1200
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75251
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
Paul Manese 4642565
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Emerson Equity LLC 130032
Street Address 1 Street Address 2
155 BOVET ROAD, SUITE 725
City State/Province/Country ZIP/Postal Code
SAN MATEO CALIFORNIA 94402
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
Davin Carey 5413012
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
H.D. Vest Investment Securities Inc 13686
Street Address 1 Street Address 2
6333 NORTH STATE HIGHWAY 161 4TH FLOOR
City State/Province/Country ZIP/Postal Code
Irving CALIFORNIA 75038-2200
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEVADA
CALIFORNIA
NORTH CAROLINA
Recipient
Recipient CRD Number    None
Bruce Wellings 4436815
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
1st Global Capital Corporation 30349
Street Address 1 Street Address 2
12750 MERIT DRIVE SUITE 1200
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75251
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
Eric 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
19500 VICTOR PARKWAY SUITE 550
City State/Province/Country ZIP/Postal Code
Livonia MICHIGAN 48152
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
Peter Fisher 1259923
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Investacorp, Inc. 7684
Street Address 1 Street Address 2
4400 BISCAYNE BLVD 11TH FLOOR
City State/Province/Country ZIP/Postal Code
Miami FLORIDA 33137
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
Dirk Jacobs 2209894
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Independent Financial Group, LLC 7717
Street Address 1 Street Address 2
12671 HIGH BLUFF DRIVE SUITE 200
City State/Province/Country ZIP/Postal Code
San Diego CALIFORNIA 92130
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WASHINGTON
Recipient
Recipient CRD Number    None
John Scully 803539
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Centaurus Financial, Inc. 30833
Street Address 1 Street Address 2
2300 E. KATELLA AVENUE SUITE #200
City State/Province/Country ZIP/Postal Code
Anaheim CALIFORNIA 92806
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
Dieter Thurow 1435375
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NPB Financial Group, LLC 137743
Street Address 1 Street Address 2
3500 W. OLIVE AVENUE THIRD FLOOR
City State/Province/Country ZIP/Postal Code
Burbank CALIFORNIA 91505
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 Horning 2311640
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Mc Dermott Investment Services, LLC 154926
Street Address 1 Street Address 2
ONE WEST BROAD STREET 11TH FLOOR
City State/Province/Country ZIP/Postal Code
BETHLEHEM PENNSYLVANIA 18018
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
VIRGINIA
Recipient
Recipient CRD Number    None
Hugh Barndollar 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
725 TOWN & COUNTRY ROAD SUITE 530
City State/Province/Country ZIP/Postal Code
Orange CALIFORNIA 92868
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
Thomas Deichert 1263527
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Commonwealth Financial Network 8032
Street Address 1 Street Address 2
29 SAWYER ROAD
City State/Province/Country ZIP/Postal Code
WALTHAM MASSACHUSETTS 02453-3483
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
John Harvey 4227692
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sandlapper Securities, LLC 137906
Street Address 1 Street Address 2
SANDLAPPER FINANCIAL CENTER 800 E. NORTH STREET, 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
CALIFORNIA
Recipient
Recipient CRD Number    None
William Lapiana 4580411
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Newbridge Securities, Inc 104065
Street Address 1 Street Address 2
5200 TOWN CENTER CIRCLE TOWER 1, SUITE 306
City State/Province/Country ZIP/Postal Code
BOCA RATON FLORIDA 33486
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
Gregg Kiefer 3230611
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
1st Global Capital Corporation 30349
Street Address 1 Street Address 2
12750 MERIT DRIVE SUITE 1200
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75251
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
Steven Kolinsky 1090913
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
American Portfolios Financial Svcs 18487
Street Address 1 Street Address 2
4250 VETERANS MEMORIAL HIGHWAY 4TH FLOOR EAST
City State/Province/Country ZIP/Postal Code
Holbrook NEW YORK 11741
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW YORK
FLORIDA
Recipient
Recipient CRD Number    None
Adam Bryan 5443986
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Mc Dermott Investment Services, LLC 154926
Street Address 1 Street Address 2
ONE WEST BROAD STREET 11TH FLOOR
City State/Province/Country ZIP/Postal Code
BETHLEHEM PENNSYLVANIA 18018
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
Michele Martin 5653595
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cetera Advisor Networks, LLC 13572
Street Address 1 Street Address 2
200 N. SEPULVEDA BLVD SUITE 1300
City State/Province/Country ZIP/Postal Code
EL SEGUNDO CALIFORNIA 90245-5672
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
Karl Norman 349146
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Polar Investment Counsel, Inc. 42847
Street Address 1 Street Address 2
19547 210TH AV NE
City State/Province/Country ZIP/Postal Code
THIEF RIVER FALLS MINNESOTA 56701
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
Silver Portal Capital LLC 114290
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
12707 HIGH BLUFF DRIVE SUITE #200
City State/Province/Country ZIP/Postal Code
SAN DIEGO CALIFORNIA 92130
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WISCONSIN
Recipient
Recipient CRD Number    None
Bryan Hakola 4161289
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Concorde Investment Services, LLC 151604
Street Address 1 Street Address 2
19500 VICTOR PARKWAY SUITE 550
City State/Province/Country ZIP/Postal Code
Livonia MICHIGAN 48152
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
Mike Bendix 5379777
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
DFPG Investments, Inc. 155576
Street Address 1 Street Address 2
9017 S RIVERSIDE DRIVE
City State/Province/Country ZIP/Postal Code
Sandy UTAH 84070
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
James Gambaccini 4619759
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
The Strategic Financial Alliance 126514
Street Address 1 Street Address 2
2200 CENTURY PARKWAY SUITE 500
City State/Province/Country ZIP/Postal Code
Atlanta GEORGIA 30345
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
VIRGINIA
Recipient
Recipient CRD Number    None
AnnMarie Milinazzo 2500498
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
H.D. Vest Investment Securites Inc 13686
Street Address 1 Street Address 2
6333 NORTH STATE HIGHWAY 161 4TH FLOOR
City State/Province/Country ZIP/Postal Code
Irving CALIFORNIA 75038-2200
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
Gregory Hunter 2867265
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
1st Global Capital Corporation 30349
Street Address 1 Street Address 2
12750 MERIT DRIVE SUITE 1200
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75251
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
Kent Porter 1408207
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
FSC Securities Corporation 7461
Street Address 1 Street Address 2
2300 WINDY RIDGE PKWY SUITE 1100
City State/Province/Country ZIP/Postal Code
Atlanta GEORGIA 30339
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
Jack Creighton 1495897
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Concorde Investment Services, LLC 151604
Street Address 1 Street Address 2
19500 VICTOR PARKWAY SUITE 550
City State/Province/Country ZIP/Postal Code
Livonia MICHIGAN 48152
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
Leon Rousso 1012746
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Centaurus Financial, Inc. 30833
Street Address 1 Street Address 2
2300 E. KATELLA AVENUE SUITE #200
City State/Province/Country ZIP/Postal Code
Anaheim CALIFORNIA 92806
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
Aaron Brodt 5017914
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Peachtree Capital Corporation 25590
Street Address 1 Street Address 2
550 PHARR RD, SUITE 700
City State/Province/Country ZIP/Postal Code
Atlanta GEORGIA 30305
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
Recipient
Recipient CRD Number    None
Rey Frimmersdorf 214866
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sandlapper Securities, LLC 137906
Street Address 1 Street Address 2
SANDLAPPER FINANCIAL CENTER 800 E. NORTH STREET, 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
CALIFORNIA
Recipient
Recipient CRD Number    None
Gary Hughes 1700976
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Concorde Investment Services, LLC 151604
Street Address 1 Street Address 2
19500 VICTOR PARKWAY SUITE 550
City State/Province/Country ZIP/Postal Code
Livonia MICHIGAN 48152
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 Conway 1337831
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Investacorp, Inc. 7684
Street Address 1 Street Address 2
4400 BISCAYNE BLVD 11TH FLOOR
City State/Province/Country ZIP/Postal Code
Miami FLORIDA 33137
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
Benjamin Disalle 2030953
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Summit Brokerage Services, Inc 34643
Street Address 1 Street Address 2
595 S. FEDERAL HIGHWAY SUITE 500
City State/Province/Country ZIP/Postal Code
BOCA RATON, FLORIDA 33432
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
Dan Pias 2267643
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Royal Alliance Associates, Inc. 23131
Street Address 1 Street Address 2
10 EXCHANGE PLACE SUITE 1410
City State/Province/Country ZIP/Postal Code
JERSEY CITY NEW JERSEY 07302
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WISCONSIN
Recipient
Recipient CRD Number    None
Chay Lapin 6275140
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
WealthForge Securities LLC 152550
Street Address 1 Street Address 2
6800 PARAGON PLACE SUITE 200
City State/Province/Country ZIP/Postal Code
Richmond VIRGINIA 23230
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
Rylan Rozell 5034877
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sagepoint Financial, Inc. 133763
Street Address 1 Street Address 2
20 E THOMAS RD SUITE 2000
City State/Province/Country ZIP/Postal Code
Phoenix ARIZONA 85012
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
Charles Wagner 2761324
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Concorde Investment Services, LLC 151604
Street Address 1 Street Address 2
19500 VICTOR PARKWAY SUITE 550
City State/Province/Country ZIP/Postal Code
Livonia MICHIGAN 48152
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
Dinesh Gupta 6469999
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lightpath Capital Inc. 34617
Street Address 1 Street Address 2
1453 THIRD STREET PROMENADE SUITE 315
City State/Province/Country ZIP/Postal Code
Los Angeles CALIFORNIA 90401
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
John Marshall 2811801
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lincoln Financial Advisors 3978
Street Address 1 Street Address 2
1300 SOUTH CLINTON STREET SUITE 150
City State/Province/Country ZIP/Postal Code
Fort Wayne INDIANA 46802
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
Rollance (Ron) Verkennis 2766877
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lincoln Financial Advisors 3978
Street Address 1 Street Address 2
1300 SOUTH CLINTON STREET SUITE 150
City State/Province/Country ZIP/Postal Code
Fort Wayne INDIANA 46802
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 Downing 2620904
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
H.D. Vest Investment Securites Inc 13686
Street Address 1 Street Address 2
6333 NORTH STATE HIGHWAY 161 4TH FLOOR
City State/Province/Country ZIP/Postal Code
Irving CALIFORNIA 75038-2200
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
Paul Cese 4558359
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Concorde Investment Services, LLC 151604
Street Address 1 Street Address 2
19500 Victor Parkway Suite 550
City State/Province/Country ZIP/Postal Code
Livonia MICHIGAN 48152
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
Stuart Valentine 1646981
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Vanderbilt Securities, LLC 5953
Street Address 1 Street Address 2
125 Froehlich Farm Blvd
City State/Province/Country ZIP/Postal Code
Woodbury NEW YORK 11797
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW MEXICO
Recipient
Recipient CRD Number    None
Peter Han 4704497
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
First Allied Securities Inc. 32444
Street Address 1 Street Address 2
655 West Broadway 12th Floor
City State/Province/Country ZIP/Postal Code
San Diego CALIFORNIA 92101
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
Hannah Buschborn 5752976
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sagepoint Financial, Inc. 133763
Street Address 1 Street Address 2
20 E THOMAS RD SUITE 2000
City State/Province/Country ZIP/Postal Code
Phoenix ARIZONA 85012
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
Jennifer Wildman 4973672
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
1st Global Capital Corporation 30349
Street Address 1 Street Address 2
12750 Merit Drive Suite 1200
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75251
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
Timothy J Sherer 833618
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sandlapper Securities, LLC 137906
Street Address 1 Street Address 2
Sandlapper FInancial Center 800 E North Street, 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
CALIFORNIA
Recipient
Recipient CRD Number    None
Ryan Sherer 5952617
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sandlapper Securities, LLC 137906
Street Address 1 Street Address 2
Sandlapper FInancial Center 800 E North Street, 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
CALIFORNIA
Recipient
Recipient CRD Number    None
Chris Boynton 4265211
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
1st Global Capital Corporation 30349
Street Address 1 Street Address 2
12750 Merit Drive Suite 1200
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75251
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
Gerrin De Groot 4817044
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
1st Global Capital Corporation 30349
Street Address 1 Street Address 2
12750 Merit Drive Suite 1200
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75251
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
Ralph Waller 3196853
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Woodbury Financial Services, Inc. 421
Street Address 1 Street Address 2
7755 3rd Street North
City State/Province/Country ZIP/Postal Code
Oakdale MINNESOTA 55128
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
GEORGIA
Recipient
Recipient CRD Number    None
Jonathan Keller 4344114
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sagepoint Financial, Inc. 133763
Street Address 1 Street Address 2
20 E THOMAS RD Suite 2000
City State/Province/Country ZIP/Postal Code
Phoenix ARIZONA 85012
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
MASSACHUSETTS
Recipient
Recipient CRD Number    None
Jeffrey McKay 818303
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Voya Financial Advisors 2882
Street Address 1 Street Address 2
699 WALNUT STREET SUITE 1000
City State/Province/Country ZIP/Postal Code
DES MOINES IOWA 50309
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
Eric 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
115 WEST CENTURY ROAD SUITE 360
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
Jeffrey Arburn 1475817
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Woodbury Financial Services, Inc. 421
Street Address 1 Street Address 2
7755 3RD STREET NORTH
City State/Province/Country ZIP/Postal Code
OAKDALE MINNESOTA 55128
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
Nathan Kuhn 4624143
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Concorde Investment Services, LLC 151604
Street Address 1 Street Address 2
19500 VICTOR PARKWAY SUITE 550
City State/Province/Country ZIP/Postal Code
Livonia MICHIGAN 48152
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
James Westermeyer 1983561
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lincoln Financial Advisors 3978
Street Address 1 Street Address 2
1300 SOUTH CLINTON STREET SUITE 150
City State/Province/Country ZIP/Postal Code
FORT WAYNE INDIANA 46802
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
RCX Capital Group LLC 114290
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
12707 High Bluff Drive Suite 200
City State/Province/Country ZIP/Postal Code
San Diego CALIFORNIA 92130
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ILLINOIS
Recipient
Recipient CRD Number    None
Daniel Loy 3029654
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Independent Financial Group, LLC 7717
Street Address 1 Street Address 2
12707 High Bluff Drive Suite 200
City State/Province/Country ZIP/Postal Code
San Diego CALIFORNIA 92130
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Mark Coombe 2733655
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
1st Global Capital Corporation 30349
Street Address 1 Street Address 2
12750 Merit Drive Suite 1200
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75251
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
Scott Park Inabnet 4603481
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
1st Global Capital Corporation 30349
Street Address 1 Street Address 2
12750 Merit Drive Suite 1200
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75251
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
Brent Lee 5436195
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Concorde Investment Services, LLC 151604
Street Address 1 Street Address 2
19500 Victor Parkway Suite 550
City State/Province/Country ZIP/Postal Code
Livonia MICHIGAN 48152
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
Roger Van Pelt 1742560
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cetera Advisors, LLC 10299
Street Address 1 Street Address 2
4600 South Syracuse Street Suite 600
City State/Province/Country ZIP/Postal Code
Denver COLORADO 80237
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
Adam Gallegos 4444399
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Commonwealth Financial Network 8032
Street Address 1 Street Address 2
29 Sawyer Road
City State/Province/Country ZIP/Postal Code
Waltham MASSACHUSETTS 02453-3483
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
Hiro Kaglyama 5443419
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Commonwealth Financial Network 8032
Street Address 1 Street Address 2
29 Sawyer Road
City State/Province/Country ZIP/Postal Code
Waltham MASSACHUSETTS 02453-3483
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
John McKeon 5286647
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Independent Financial Group, LLC 7717
Street Address 1 Street Address 2
12707 High Bluff Drive Suite 200
City State/Province/Country ZIP/Postal Code
San Diego CALIFORNIA 92130
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WASHINGTON
Recipient
Recipient CRD Number    None
Mark Gillelen 1868626
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
First Allied Securities, Inc 32444
Street Address 1 Street Address 2
655 West Broadway 12th Floor
City State/Province/Country ZIP/Postal Code
San Diego CALIFORNIA 92101
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
Benjamin Hill 2983275
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Galt Financial Group, Inc 146976
Street Address 1 Street Address 2
2615 Townsgate Road
City State/Province/Country ZIP/Postal Code
West Lake Village CALIFORNIA 91361
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
Michael Cullen 1222982
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sagepoint Financial, Inc 133763
Street Address 1 Street Address 2
20 E Thomas Rd Suite 2000
City State/Province/Country ZIP/Postal Code
Phoenix ARIZONA 85012
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
Joel Knight 1379212
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
American Investors Co Lay Dba 38
Street Address 1 Street Address 2
2440 Camino Ramon Suite 103
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
Jared Sutton 5600742
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Voya Financial Advisors 2882
Street Address 1 Street Address 2
699 Walnut Street Suite 1000
City State/Province/Country ZIP/Postal Code
Des Moines IOWA 50309
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
Del Londono 2695744
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sagepoint Financial, Inc. 133763
Street Address 1 Street Address 2
20 E THOMAS RD SUITE 2000
City State/Province/Country ZIP/Postal Code
Phoenix ARIZONA 85012
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
Bill Lucas 2355061
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cetera Advisors, LLC 10299
Street Address 1 Street Address 2
4600 South Syracuse Street Suite 600
City State/Province/Country ZIP/Postal Code
Denver COLORADO 80237
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
Duane Swanson 1456892
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Voya Financial Advisors 2882
Street Address 1 Street Address 2
699 WALNUT STREET SUITE 1000
City State/Province/Country ZIP/Postal Code
DES MOINES IOWA 50309
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
Brett Ohlen 6406246
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
H.D. Vest Investment Securites Inc 13686
Street Address 1 Street Address 2
6333 NORTH STATE HIGHWAY 161 4TH FLOOR
City State/Province/Country ZIP/Postal Code
Irving CALIFORNIA 75038-2200
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
Larry Grayson 6249430
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Center Street Securities, Inc. 26898
Street Address 1 Street Address 2
2740 OLD ELM HILL PIKE SUITE 201
City State/Province/Country ZIP/Postal Code
NASHVILLE TENNESSEE 37214
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
KENTUCKY
Recipient
Recipient CRD Number    None
Orest Baransky 2808117
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Royal Alliance Associates, Inc. 23131
Street Address 1 Street Address 2
10 EXCHANGE PLACE SUITE 1410
City State/Province/Country ZIP/Postal Code
JERSEY CITY NEW JERSEY 07302
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
Recipient
Recipient CRD Number    None
Neil Mc Auliffe 1787693
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Crown Capital Securities L.P. 6312
Street Address 1 Street Address 2
725 TOWN & COUNTRY ROAD SUITE 530
City State/Province/Country ZIP/Postal Code
ORANGE CALIFORNIA 92868
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
Christina Orta 3278327
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Securities America Inc. 10205
Street Address 1 Street Address 2
12325 PORT GRACE BLVD.
City State/Province/Country ZIP/Postal Code
LAVISTA NEBRASKA 68128
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
Jeffrey Ross 3119644
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
1st Global Capital Corporation 30349
Street Address 1 Street Address 2
12750 MERIT DRIVE SUITE 1200
City State/Province/Country ZIP/Postal Code
DALLAS TEXAS 75251
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
Duncan Eng 2536048
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lincoln Financial Advisors 3978
Street Address 1 Street Address 2
1300 SOUTH CLINTON STREET SUITE 150
City State/Province/Country ZIP/Postal Code
FORT WAYNE INDIANA 46802
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
Gene Alvin Brehm 2815437
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Saxony Securities 115547
Street Address 1 Street Address 2
7401 WATSON ROAD SUITE 86
City State/Province/Country ZIP/Postal Code
ST. LOUIS MISSOURI 63119
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
Joseph Kovar 4244710
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
1st Global Capital Corporation 30349
Street Address 1 Street Address 2
12750 MERIT DRIVE SUITE 1200
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75251
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 Hovis 6647870
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sagepoint Financial, Inc. 133763
Street Address 1 Street Address 2
20 E THOMAS RD SUITE 2000
City State/Province/Country ZIP/Postal Code
Phoenix ARIZONA 85012
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA

13. Offering and Sales Amounts

Total Offering Amount $91,625,622 USD
or    Indefinite
Total Amount Sold $91,580,456 USD
Total Remaining to be Sold $45,166 USD
or    Indefinite

Clarification of Response (if Necessary):

Regarding Item 11, the Issuer may accept smaller investments in the Sponsor's sole discretion.

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:
188

15. Sales Commissions & Finder's Fees Expenses

Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.

Sales Commissions $7,218,424 USD
X Estimate
Finders' Fees $0 USD
   Estimate

Clarification of Response (if Necessary):

Sales Commissions include estimates of the maximum amount of Selling Commissions, Dealer Fees and Placement Agent Fee that may be paid to one or more Related Persons.

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.

$4,590,850 USD
X Estimate

Clarification of Response (if Necessary):

Item 16 is an estimate of acquisition fees, reimbursements for certain acquisition and financing costs and offering and organizational expenses that may accrue to one or more Related Persons.

Signature and Submission

Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.

Terms of Submission

In submitting this notice, each issuer named above is:
  • Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, in the accordance with applicable law, the information furnished to offerees.*
  • Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against the issuer in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of:  (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.
  • Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) or Rule 506(d).

Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.

For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.

Issuer Signature Name of Signer Title Date
Colorado Multifamily Portfolio III DST /s/ Keith D. Lampi Keith D. Lampi President of Member of Signatory Trustee of the Issuer 2018-06-05

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.