EFDID: 170360EFD: Raw Data

Issuer: Ft. Collins Multifamily III DST (0001680369) - D/A

Accession: 0001680369-16-000005 () (EDGAREDGAR Files) (Form DForm D)

Edgar Posted: Sep. 29, 2016
EFD Posted: Sep. 29, 2016
- < edgarSubmission >
  < schemaVersion > X0707 </ schemaVersion >
  < submissionType > D/A </ submissionType >
  < testOrLive > LIVE </ testOrLive >
- < primaryIssuer >
  < cik > 0001680369 </ cik >
  < entityName > Ft. Collins Multifamily III DST </ entityName >
- < issuerAddress >
  < street1 > 2901 BUTTERFIELD ROAD </ street1 >
  < city > OAK BROOK </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60523 </ zipCode >
  </ issuerAddress >
  < issuerPhoneNumber > 630-218-8000 </ issuerPhoneNumber >
  < jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >
- < issuerPreviousNameList >
  < value > None </ value >
  </ issuerPreviousNameList >
- < edgarPreviousNameList >
  < value > None </ value >
  </ edgarPreviousNameList >
  < entityType > Other </ entityType >
  < entityTypeOtherDesc > Delaware Statutory Trust </ entityTypeOtherDesc >
- < yearOfInc >
  < withinFiveYears > true </ withinFiveYears >
  < value > 2016 </ value >
  </ yearOfInc >
  </ primaryIssuer >
- < relatedPersonsList >
- < relatedPersonInfo >
- < relatedPersonName >
  < firstName > Capital Corporation </ firstName >
  < lastName > Inland Private </ lastName >
  </ relatedPersonName >
- < relatedPersonAddress >
  < street1 > 2901 Butterfield Road </ street1 >
  < city > Oak Brook </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60523 </ zipCode >
  </ relatedPersonAddress >
- < relatedPersonRelationshipList >
  < relationship > Promoter </ relationship >
  </ relatedPersonRelationshipList >
  < relationshipClarification > Sponsor of the Issuer. </ relationshipClarification >
  </ relatedPersonInfo >
- < relatedPersonInfo >
- < relatedPersonName >
  < firstName > III, L.L.C. </ firstName >
  < lastName > Ft. Collins Multifamily </ lastName >
  </ relatedPersonName >
- < relatedPersonAddress >
  < street1 > 2901 Butterfield Road </ street1 >
  < city > Oak Brook </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60523 </ zipCode >
  </ relatedPersonAddress >
- < relatedPersonRelationshipList >
  < relationship > Promoter </ relationship >
  </ relatedPersonRelationshipList >
  < relationshipClarification > Depositor of the Issuer. </ relationshipClarification >
  </ relatedPersonInfo >
- < relatedPersonInfo >
- < relatedPersonName >
  < firstName > Exchange, L.L.C. </ firstName >
  < lastName > Ft. Collins Multifamily III </ lastName >
  </ relatedPersonName >
- < relatedPersonAddress >
  < street1 > 2901 Butterfield Road </ street1 >
  < city > Oak Brook </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60523 </ zipCode >
  </ relatedPersonAddress >
- < relatedPersonRelationshipList >
  < relationship > Promoter </ relationship >
  </ relatedPersonRelationshipList >
  < relationshipClarification > Signatory Trustee of the Issuer. </ relationshipClarification >
  </ relatedPersonInfo >
- < relatedPersonInfo >
- < relatedPersonName >
  < firstName > Keith </ firstName >
  < lastName > Lampi </ lastName >
  </ relatedPersonName >
- < relatedPersonAddress >
  < street1 > 2901 Butterfield Road </ street1 >
  < city > Oak Brook </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60523 </ zipCode >
  </ relatedPersonAddress >
- < relatedPersonRelationshipList >
  < relationship > Executive Officer </ relationship >
  </ relatedPersonRelationshipList >
  < relationshipClarification > Mr. Lampi is the President of Inland Private Capital Corporation, the Member of Ft. Collins Multifamily III Exchange, L.L.C., the Signatory Trustee of Ft. Collins Multifamily III DST. </ relationshipClarification >
  </ relatedPersonInfo >
  </ relatedPersonsList >
- < offeringData >
- < industryGroup >
  < industryGroupType > Other Real Estate </ industryGroupType >
  </ industryGroup >
- < issuerSize >
  < revenueRange > Decline to Disclose </ revenueRange >
  </ issuerSize >
- < federalExemptionsExclusions >
  < item > 06b </ item >
  </ federalExemptionsExclusions >
- < typeOfFiling >
- < newOrAmendment >
  < isAmendment > true </ isAmendment >
  < previousAccessionNumber > 0001680369-16-000004 </ previousAccessionNumber >
  </ newOrAmendment >
- < dateOfFirstSale >
  < value > 2016-07-28 </ value >
  </ dateOfFirstSale >
  </ typeOfFiling >
- < durationOfOffering >
  < moreThanOneYear > false </ moreThanOneYear >
  </ durationOfOffering >
- < typesOfSecuritiesOffered >
  < isOtherType > true </ isOtherType >
  < descriptionOfOtherType > Beneficial interests in Delaware Statutory Trust reflecting beneficial interests in real estate. </ descriptionOfOtherType >
  </ typesOfSecuritiesOffered >
- < businessCombinationTransaction >
  < isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >
  < clarificationOfResponse />
  </ businessCombinationTransaction >
  < minimumInvestmentAccepted > 25000 </ minimumInvestmentAccepted >
- < salesCompensationList >
- < recipient >
  < recipientName > Inland Securities Corporation </ recipientName >
  < recipientCRDNumber > 15807 </ recipientCRDNumber >
  < associatedBDName > Inland Securities Corporation </ associatedBDName >
  < associatedBDCRDNumber > 15807 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2901 Butterfield Road </ street1 >
  < city > Oak Brook </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60523 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > IL </ state >
  < description > ILLINOIS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Thomas M. Hess </ recipientName >
  < recipientCRDNumber > 4957892 </ recipientCRDNumber >
  < associatedBDName > DFPG Investments, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 155576 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2104 Vista Laredo </ street1 >
  < city > Newport Beach </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92660 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Marcia A. Geltman </ recipientName >
  < recipientCRDNumber > 5540688 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 200 Valley Road, Suite 300 </ street1 >
  < city > Mount Arlington </ city >
  < stateOrCountry > NJ </ stateOrCountry >
  < stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >
  < zipCode > 07856 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CO </ state >
  < description > COLORADO </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Jonathan R. Creighton </ recipientName >
  < recipientCRDNumber > 1495897 </ recipientCRDNumber >
  < associatedBDName > Concorde Investment Services, LLC </ associatedBDName >
  < associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 350 Lincoln Street, Suite 2400 </ street1 >
  < city > Hingham </ city >
  < stateOrCountry > MA </ stateOrCountry >
  < stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >
  < zipCode > 02043 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MA </ state >
  < description > MASSACHUSETTS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > John S. Weiss </ recipientName >
  < recipientCRDNumber > 1097536 </ recipientCRDNumber >
  < associatedBDName > Crown Capital Securities, L.P. </ associatedBDName >
  < associatedBDCRDNumber > 6312 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 29222 Rancho Viejo Rd, Suite 126-B </ street1 >
  < city > San Juan Capistrano </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92675 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > AZ </ state >
  < description > ARIZONA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Christina S. Nielson </ recipientName >
  < recipientCRDNumber > 4866971 </ recipientCRDNumber >
  < associatedBDName > Primex </ associatedBDName >
  < associatedBDCRDNumber > 29394 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 650 Town Center Drive, Suite 1400 </ street1 >
  < city > Costa Mesa </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92626 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > William S. Sheehan </ recipientName >
  < recipientCRDNumber > 2328614 </ recipientCRDNumber >
  < associatedBDName > DFPG Investments, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 155576 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2 Orr Hatch Drive </ street1 >
  < city > Conrwall </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 12518 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MA </ state >
  < description > MASSACHUSETTS </ description >
  < state > NY </ state >
  < description > NEW YORK </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Craig M. Rollins </ recipientName >
  < recipientCRDNumber > 1896698 </ recipientCRDNumber >
  < associatedBDName > DFPG Investments, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 155576 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 742 N 530 E </ street1 >
  < city > Orem </ city >
  < stateOrCountry > UT </ stateOrCountry >
  < stateOrCountryDescription > UTAH </ stateOrCountryDescription >
  < zipCode > 84097 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > OH </ state >
  < description > OHIO </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Michael A. Bendix </ recipientName >
  < recipientCRDNumber > 5379777 </ recipientCRDNumber >
  < associatedBDName > Cedar Crest Advisors, LLC </ associatedBDName >
  < associatedBDCRDNumber > 187514 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 406 W S Jordan Pkwy #200 </ street1 >
  < city > South Jordan </ city >
  < stateOrCountry > UT </ stateOrCountry >
  < stateOrCountryDescription > UTAH </ stateOrCountryDescription >
  < zipCode > 84095 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > FL </ state >
  < description > FLORIDA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Robert S. Smith </ recipientName >
  < recipientCRDNumber > 1412333 </ recipientCRDNumber >
  < associatedBDName > Concorde Investment Services, LLC </ associatedBDName >
  < associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 5000 Meadows Road, Suite 230 </ street1 >
  < city > Lake Oswego </ city >
  < stateOrCountry > OR </ stateOrCountry >
  < stateOrCountryDescription > OREGON </ stateOrCountryDescription >
  < zipCode > 97035 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > OR </ state >
  < description > OREGON </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Ronald W. Manning II </ recipientName >
  < recipientCRDNumber > 4493368 </ recipientCRDNumber >
  < associatedBDName > Colorado Financial Service Corporation </ associatedBDName >
  < associatedBDCRDNumber > 104343 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 320655 Castle Ct, Suite 300 </ street1 >
  < city > Evergreen </ city >
  < stateOrCountry > CO </ stateOrCountry >
  < stateOrCountryDescription > COLORADO </ stateOrCountryDescription >
  < zipCode > 80439 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CO </ state >
  < description > COLORADO </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Edwin A, Day </ recipientName >
  < recipientCRDNumber > 2469775 </ recipientCRDNumber >
  < associatedBDName > Heritage Benefits Financial Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 45797 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 11820 Northup Way Suite E200 </ street1 >
  < city > Bellevue </ city >
  < stateOrCountry > WA </ stateOrCountry >
  < stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >
  < zipCode > 98005 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > WA </ state >
  < description > WASHINGTON </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Brian R. Bennett </ recipientName >
  < recipientCRDNumber > 821115 </ recipientCRDNumber >
  < associatedBDName > The Strategic Financial Alliance, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 126514 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 731 N. Tejon Street </ street1 >
  < city > Colorado Springs </ city >
  < stateOrCountry > CO </ stateOrCountry >
  < stateOrCountryDescription > COLORADO </ stateOrCountryDescription >
  < zipCode > 80903 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CO </ state >
  < description > COLORADO </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Joseph G. Michaletz </ recipientName >
  < recipientCRDNumber > 1327534 </ recipientCRDNumber >
  < associatedBDName > Concorde Investment Services, LLC </ associatedBDName >
  < associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 150 St. Andrews Ct., Suite 210 </ street1 >
  < city > Mankato </ city >
  < stateOrCountry > MN </ stateOrCountry >
  < stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >
  < zipCode > 56001 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MN </ state >
  < description > MINNESOTA </ description >
  < state > MO </ state >
  < description > MISSOURI </ description >
  < state > NV </ state >
  < description > NEVADA </ description >
  < state > TX </ state >
  < description > TEXAS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Blayne A. Andersen </ recipientName >
  < recipientCRDNumber > 5727397 </ recipientCRDNumber >
  < associatedBDName > Parkland Securities, LLC </ associatedBDName >
  < associatedBDCRDNumber > 115368 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 810 Pancheri Drive </ street1 >
  < city > Idaho Falls </ city >
  < stateOrCountry > ID </ stateOrCountry >
  < stateOrCountryDescription > IDAHO </ stateOrCountryDescription >
  < zipCode > 83402 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > John G. Chess </ recipientName >
  < recipientCRDNumber > 4812430 </ recipientCRDNumber >
  < associatedBDName > Investacorp, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 7684 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 4263 Gavin Lane </ street1 >
  < city > Columbus </ city >
  < stateOrCountry > OH </ stateOrCountry >
  < stateOrCountryDescription > OHIO </ stateOrCountryDescription >
  < zipCode > 43220 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > FL </ state >
  < description > FLORIDA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Timothy W. Murphrey </ recipientName >
  < recipientCRDNumber > 1667025 </ recipientCRDNumber >
  < associatedBDName > Woodbury Financial Service, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 421 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 701 Fulton Ave, Suite B </ street1 >
  < city > Sacramento </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 95825 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Joshua C. Koehnen </ recipientName >
  < recipientCRDNumber > 4551444 </ recipientCRDNumber >
  < associatedBDName > Independent Financial Group, LLC </ associatedBDName >
  < associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 12760 High Bluff Drive #240 </ street1 >
  < city > San Diego </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92130 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Jonathan D. Keller </ recipientName >
  < recipientCRDNumber > 4344114 </ recipientCRDNumber >
  < associatedBDName > Sagepoint Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 133763 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 3340-A Bee Ridge Road </ street1 >
  < city > Sarasota </ city >
  < stateOrCountry > FL </ stateOrCountry >
  < stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >
  < zipCode > 34231 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > FL </ state >
  < description > FLORIDA </ description >
  < state > MA </ state >
  < description > MASSACHUSETTS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Chay T. Lapin </ recipientName >
  < recipientCRDNumber > 6275140 </ recipientCRDNumber >
  < associatedBDName > Colorado Financial Service Corporation </ associatedBDName >
  < associatedBDCRDNumber > 104343 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2516 Via Tejon, Suite 210 </ street1 >
  < city > Palos Verdes Estates </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 90274 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > MO </ state >
  < description > MISSOURI </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Robert C. Straton </ recipientName >
  < recipientCRDNumber > 3213397 </ recipientCRDNumber >
  < associatedBDName > DFPG Investments, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 155576 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 8215 SW Tualatin-Sherwood Rd, Suite 200 </ street1 >
  < city > Tualatin </ city >
  < stateOrCountry > OR </ stateOrCountry >
  < stateOrCountryDescription > OREGON </ stateOrCountryDescription >
  < zipCode > 97062 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > OR </ state >
  < description > OREGON </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Tom Velken </ recipientName >
  < recipientCRDNumber > 1600404 </ recipientCRDNumber >
  < associatedBDName > Sigma Financial Corporation </ associatedBDName >
  < associatedBDCRDNumber > 14303 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1078 Carol Lane, #203 </ street1 >
  < city > Lafayette </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 94549 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Jeff W. Graumlich </ recipientName >
  < recipientCRDNumber > 4816380 </ recipientCRDNumber >
  < associatedBDName > Colorado Financial Service Corporation </ associatedBDName >
  < associatedBDCRDNumber > 104343 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 304 Inverness Way South, Suite 355 </ street1 >
  < city > Centinnial </ city >
  < stateOrCountry > CO </ stateOrCountry >
  < stateOrCountryDescription > COLORADO </ stateOrCountryDescription >
  < zipCode > 80112 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > KY </ state >
  < description > KENTUCKY </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > James M. Gambaccini </ recipientName >
  < recipientCRDNumber > 4619759 </ recipientCRDNumber >
  < associatedBDName > The Strategic Financial Alliance, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 126514 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1875 Campus Commons Drive, Suite 100 </ street1 >
  < city > Reston </ city >
  < stateOrCountry > VA </ stateOrCountry >
  < stateOrCountryDescription > VIRGINIA </ stateOrCountryDescription >
  < zipCode > 20191 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > VA </ state >
  < description > VIRGINIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Eric S. Scaff </ recipientName >
  < recipientCRDNumber > 5281210 </ recipientCRDNumber >
  < associatedBDName > Concorde Investment Services, LLC </ associatedBDName >
  < associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 300 Montomery Street, Suite 631 </ street1 >
  < city > San Francisco </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 94101 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > David B. Levinson </ recipientName >
  < recipientCRDNumber > 705929 </ recipientCRDNumber >
  < associatedBDName > Westpark Capital, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 39914 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 18872 MacArthur Blvd., 1st Floor </ street1 >
  < city > Irvine </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92612 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > FL </ state >
  < description > FLORIDA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Thomas J. Ealy </ recipientName >
  < recipientCRDNumber > 863042 </ recipientCRDNumber >
  < associatedBDName > Investment Planners, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 18557 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2911 Crossing Court #102 </ street1 >
  < city > Champaign </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 61822 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MA </ state >
  < description > MASSACHUSETTS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Kent A. Cooper </ recipientName >
  < recipientCRDNumber > 2678690 </ recipientCRDNumber >
  < associatedBDName > Centaurus Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 490 Alabama Street, Suite #101 </ street1 >
  < city > Redlands </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92373 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Leslie A. Cannon </ recipientName >
  < recipientCRDNumber > 5254882 </ recipientCRDNumber >
  < associatedBDName > Centaurus Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 23741 SE 18th Street </ street1 >
  < city > Sammamish </ city >
  < stateOrCountry > WA </ stateOrCountry >
  < stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >
  < zipCode > 98075 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > WA </ state >
  < description > WASHINGTON </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > James T. Walesa </ recipientName >
  < recipientCRDNumber > 10612109 </ recipientCRDNumber >
  < associatedBDName > Triad Advisors, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 25803 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1460 Renaissance Dr., Suite 212 </ street1 >
  < city > Park Ridge </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60068 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > IL </ state >
  < description > ILLINOIS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > William A. Meloy </ recipientName >
  < recipientCRDNumber > 1653157 </ recipientCRDNumber >
  < associatedBDName > Proequities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 15708 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 226 Inverness Lane </ street1 >
  < city > Schererville </ city >
  < stateOrCountry > IN </ stateOrCountry >
  < stateOrCountryDescription > INDIANA </ stateOrCountryDescription >
  < zipCode > 46375 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > IL </ state >
  < description > ILLINOIS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Jeffrey M. Warren </ recipientName >
  < recipientCRDNumber > 5616071 </ recipientCRDNumber >
  < associatedBDName > Crown Capital Securites, L.P. </ associatedBDName >
  < associatedBDCRDNumber > 6312 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 29222 Rancho Viejo Rd., Suite 126-B </ street1 >
  < city > San Juan Capistrano </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92675 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > John H. Scully </ recipientName >
  < recipientCRDNumber > 803539 </ recipientCRDNumber >
  < associatedBDName > Centaurus Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 450 Skokie Blvd., Suite #310 </ street1 >
  < city > Northbrook </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60062 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > IL </ state >
  < description > ILLINOIS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > James M. Gambacinni </ recipientName >
  < recipientCRDNumber > 4619759 </ recipientCRDNumber >
  < associatedBDName > The Strategic Financial Alliance, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 126514 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1875 Camous Commons Drive, Suite 100 </ street1 >
  < city > Reston </ city >
  < stateOrCountry > VA </ stateOrCountry >
  < stateOrCountryDescription > VIRGINIA </ stateOrCountryDescription >
  < zipCode > 020191 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CT </ state >
  < description > CONNECTICUT </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > David G. Meacham </ recipientName >
  < recipientCRDNumber > 1045678 </ recipientCRDNumber >
  < associatedBDName > Centaurus Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 16571 N. 109th Street </ street1 >
  < city > Scottsdale </ city >
  < stateOrCountry > AZ </ stateOrCountry >
  < stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >
  < zipCode > 85255 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > AZ </ state >
  < description > ARIZONA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Carl F. Worden III </ recipientName >
  < recipientCRDNumber > 3130121 </ recipientCRDNumber >
  < associatedBDName > Centaurus Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 3031 Tisch Way, Suite #901 </ street1 >
  < city > San Jose </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 95128 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > AZ </ state >
  < description > ARIZONA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Joral T. Schmalle </ recipientName >
  < recipientCRDNumber > 4491484 </ recipientCRDNumber >
  < associatedBDName > Sigma Financial Corporation </ associatedBDName >
  < associatedBDCRDNumber > 14303 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1009 Amito Drive </ street1 >
  < city > Berkeley </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 14303 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Robert W. Bruner </ recipientName >
  < recipientCRDNumber > 2260319 </ recipientCRDNumber >
  < associatedBDName > Questar Capital Corporation </ associatedBDName >
  < associatedBDCRDNumber > 43100 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 22 W Main Street </ street1 >
  < city > Mountville </ city >
  < stateOrCountry > PA </ stateOrCountry >
  < stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >
  < zipCode > 14554 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > PA </ state >
  < description > PENNSYLVANIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Richard Zuvella </ recipientName >
  < recipientCRDNumber > 5207826 </ recipientCRDNumber >
  < associatedBDName > Colorado Financial Service Corporation </ associatedBDName >
  < associatedBDCRDNumber > 104343 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 304 Inversness Way South, Suite 355 </ street1 >
  < city > Centennial </ city >
  < stateOrCountry > CO </ stateOrCountry >
  < stateOrCountryDescription > COLORADO </ stateOrCountryDescription >
  < zipCode > 80112 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > ME </ state >
  < description > MAINE </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > James M. Raine </ recipientName >
  < recipientCRDNumber > 2360466 </ recipientCRDNumber >
  < associatedBDName > Questar Capital Corporation </ associatedBDName >
  < associatedBDCRDNumber > 43100 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1220 W Ash St, Suite E </ street1 >
  < city > Windsor </ city >
  < stateOrCountry > CO </ stateOrCountry >
  < stateOrCountryDescription > COLORADO </ stateOrCountryDescription >
  < zipCode > 80550 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CO </ state >
  < description > COLORADO </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Joesph R. Broadbent </ recipientName >
  < recipientCRDNumber > 3132498 </ recipientCRDNumber >
  < associatedBDName > DFPG Investments, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 155576 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 406 W. South Jordan Pkwy, Suite 200 </ street1 >
  < city > South Jordan </ city >
  < stateOrCountry > UT </ stateOrCountry >
  < stateOrCountryDescription > UTAH </ stateOrCountryDescription >
  < zipCode > 84095 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Marcel Pahmer </ recipientName >
  < recipientCRDNumber > 456391 </ recipientCRDNumber >
  < associatedBDName > Centaurus Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2900 Bristol Street, Suite# B-104 </ street1 >
  < city > Costa Mesa </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92626 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > ID </ state >
  < description > IDAHO </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Brian D. Vosberg </ recipientName >
  < recipientCRDNumber > 4476509 </ recipientCRDNumber >
  < associatedBDName > Centaurus Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 715 W. Foothill Blvd. </ street1 >
  < city > Glendora </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 91747 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Adam J. Bryan </ recipientName >
  < recipientCRDNumber > 5443986 </ recipientCRDNumber >
  < associatedBDName > Centaurus Financial, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 6633 S. Halm Avenue </ street1 >
  < city > Los Angeles </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 90056 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > CO </ state >
  < description > COLORADO </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Aaron J. Fulton </ recipientName >
  < recipientCRDNumber > 3234089 </ recipientCRDNumber >
  < associatedBDName > Proequities, Inc, </ associatedBDName >
  < associatedBDCRDNumber > 15708 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 13911 Ridgedale Drive, Suite 135 </ street1 >
  < city > Minnetonka </ city >
  < stateOrCountry > MN </ stateOrCountry >
  < stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >
  < zipCode > 55305 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > AR </ state >
  < description > ARKANSAS </ description >
  < state > MN </ state >
  < description > MINNESOTA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Tim D. Clairmont </ recipientName >
  < recipientCRDNumber > 2847591 </ recipientCRDNumber >
  < associatedBDName > Woodbury Financial Serivices, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 421 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 3 Centerpointe Dr, Suite 160 </ street1 >
  < city > Lake Osewgo </ city >
  < stateOrCountry > OR </ stateOrCountry >
  < stateOrCountryDescription > OREGON </ stateOrCountryDescription >
  < zipCode > 97035 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > OR </ state >
  < description > OREGON </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Kerry E. Taylor </ recipientName >
  < recipientCRDNumber > 731888 </ recipientCRDNumber >
  < associatedBDName > Investacorp, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 7684 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1141 S. Allante Ave, Suite 102 </ street1 >
  < city > Biose </ city >
  < stateOrCountry > ID </ stateOrCountry >
  < stateOrCountryDescription > IDAHO </ stateOrCountryDescription >
  < zipCode > 83709 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > UT </ state >
  < description > UTAH </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Mark L. Bain </ recipientName >
  < recipientCRDNumber > 3139332 </ recipientCRDNumber >
  < associatedBDName > Purshe Kaplan Sterling Investments </ associatedBDName >
  < associatedBDCRDNumber > 35747 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 885 Lancaster Drive SE, Suite C </ street1 >
  < city > Salem </ city >
  < stateOrCountry > OR </ stateOrCountry >
  < stateOrCountryDescription > OREGON </ stateOrCountryDescription >
  < zipCode > 97317 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > OR </ state >
  < description > OREGON </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Robert R. Tweed </ recipientName >
  < recipientCRDNumber > 2339324 </ recipientCRDNumber >
  < associatedBDName > Cabot Lodge Securities LLC </ associatedBDName >
  < associatedBDCRDNumber > 159712 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2060 Huntington Drive, Suite 1 </ street1 >
  < city > San Marino </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 91108 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Richard M. Waters Jr </ recipientName >
  < recipientCRDNumber > 2421557 </ recipientCRDNumber >
  < associatedBDName > Infinex Investments, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 35371 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 14033 8th Street </ street1 >
  < city > Dade City </ city >
  < stateOrCountry > FL </ stateOrCountry >
  < stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >
  < zipCode > 33525 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > FL </ state >
  < description > FLORIDA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Deirdre M. Hartmann </ recipientName >
  < recipientCRDNumber > 6576881 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 200 Valley Road, Suite 300 </ street1 >
  < city > Mount Arlington </ city >
  < stateOrCountry > NJ </ stateOrCountry >
  < stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >
  < zipCode > 07856 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > VA </ state >
  < description > VIRGINIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Ross A. Pedersen </ recipientName >
  < recipientCRDNumber > 1201067 </ recipientCRDNumber >
  < associatedBDName > Royal Alliance Associates, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 23131 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2269 Dahlk Circle </ street1 >
  < city > Verona </ city >
  < stateOrCountry > WI </ stateOrCountry >
  < stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >
  < zipCode > 53593 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > KS </ state >
  < description > KANSAS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Adam E. Buchanan </ recipientName >
  < recipientCRDNumber > 6276246 </ recipientCRDNumber >
  < associatedBDName > 1st Global Capital Corp. </ associatedBDName >
  < associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1500 Sunday Drive, Suite 300 </ street1 >
  < city > Raleigh </ city >
  < stateOrCountry > NC </ stateOrCountry >
  < stateOrCountryDescription > NORTH CAROLINA </ stateOrCountryDescription >
  < zipCode > 27607 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NC </ state >
  < description > NORTH CAROLINA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
  </ salesCompensationList >
- < offeringSalesAmounts >
  < totalOfferingAmount > 21715585 </ totalOfferingAmount >
  < totalAmountSold > 19247933 </ totalAmountSold >
  < totalRemaining > 2467652 </ totalRemaining >
  < clarificationOfResponse />
  </ offeringSalesAmounts >
- < investors >
  < hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >
  < totalNumberAlreadyInvested > 79 </ totalNumberAlreadyInvested >
  </ investors >
- < salesCommissionsFindersFees >
- < salesCommissions >
  < dollarAmount > 1085779 </ dollarAmount >
  < isEstimate > true </ isEstimate >
  </ salesCommissions >
- < findersFees >
  < dollarAmount > 0 </ dollarAmount >
  </ findersFees >
  < clarificationOfResponse > This response is based on the assumption that the full amount of the potential sales commissions will be earned and paid. </ clarificationOfResponse >
  </ salesCommissionsFindersFees >
- < useOfProceeds >
- < grossProceedsUsed >
  < dollarAmount > 1714619 </ dollarAmount >
  < isEstimate > true </ isEstimate >
  </ grossProceedsUsed >
  < clarificationOfResponse />
  </ useOfProceeds >
- < signatureBlock >
  < authorizedRepresentative > false </ authorizedRepresentative >
- < signature >
  < issuerName > Ft. Collins Multifamily III DST </ issuerName >
  < signatureName > /s/ Keith Lampi </ signatureName >
  < nameOfSigner > Keith Lampi </ nameOfSigner >
  < signatureTitle > President of the Member of the Signatory Trustee </ signatureTitle >
  < signatureDate > 2016-09-29 </ signatureDate >
  </ signature >
  </ signatureBlock >
  </ offeringData >
  </ edgarSubmission >
Edgar Posted: Sep. 29, 2016
EFD Posted: Sep. 29, 2016