Form D Raw Data - Electronic Filing Depository

EFDID: 238213EFD: Raw Data

Issuer: Riverdale Multifamily DST (0001703605) - D/A

Accession: 0001703605-17-000015 () (EDGAR Files) (Form D)

Edgar Posted: Aug. 28, 2017
EFD Posted: Aug. 29, 2017

- < edgarSubmission >

< schemaVersion > X0708 </ schemaVersion >

< submissionType > D/A </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001703605 </ cik >

< entityName > Riverdale Multifamily DST </ entityName >

- < issuerAddress >

< street1 > C/- INLAND PRIVATE CAPITAL CORPORATION </ street1 >

< street2 > 2901 BUTTERFIELD ROAD </ street2 >

< city > OAK BROOK </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60523 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 6302184916 </ issuerPhoneNumber >

< jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Business Trust </ entityType >

- < yearOfInc >

< withinFiveYears > true </ withinFiveYears >

< value > 2016 </ value >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > N/A </ firstName >

< lastName > Inland Private Capital Corporation </ 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 > Sponsor of the Issuer </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > N/A </ firstName >

< lastName > Riverdale Multifamily Exchange, LLC </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > c/o Inland Private Capital Corporation </ street1 >

< street2 > 2901 Butterfield Road </ street2 >

< city > Oak Brook </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60523 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Signatory Trustee of the Issuer </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > N/A </ firstName >

< lastName > IPCC Multifamily Depositor DST </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > c/o Inland Private Capital Corporation </ street1 >

< street2 > 2901 Butterfield Road </ street2 >

< city > Oak Brook </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60523 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Depositor of the Issuer </ 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 > 0001703605-17-000014 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2017-04-26 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > false </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isEquityType > true </ isEquityType >

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- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 25000 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > Huntwicke Securities LLC </ recipientName >

< recipientCRDNumber > 146993 </ recipientCRDNumber >

< associatedBDName > Peter Finnigan </ associatedBDName >

< associatedBDCRDNumber > 1336798 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 65 Washington Street </ street1 >

< city > Hanover </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 02339 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Westpark Capital Inc </ recipientName >

< recipientCRDNumber > 39914 </ recipientCRDNumber >

< associatedBDName > David Levinson </ associatedBDName >

< associatedBDCRDNumber > 705929 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 18872 MacArthur Blvd </ street1 >

< street2 > 1st Floor </ street2 >

< city > Irvine </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92612 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Silver Portal Capital LLC </ recipientName >

< recipientCRDNumber > 114290 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12265 El Camino Real </ street1 >

< street2 > Suite 230 </ street2 >

< city > San Diego </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92130 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MN </ state >

< description > MINNESOTA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Primex </ recipientName >

< recipientCRDNumber > 29394 </ recipientCRDNumber >

< associatedBDName > Christina Nielson </ associatedBDName >

< associatedBDCRDNumber > 4866971 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 650 Town Center Drive </ street1 >

< street2 > Suite 1400 </ street2 >

< city > Costa Mesa </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92626 </ zipCode >

</ recipientAddress >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > American Portfolios Financial Services, Inc </ recipientName >

< recipientCRDNumber > 18487 </ recipientCRDNumber >

< associatedBDName > Timothy Harley </ associatedBDName >

< associatedBDCRDNumber > 1096498 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4250 Verterans Memorial Hwy </ street1 >

< city > Holbrook </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 11741 </ zipCode >

</ recipientAddress >

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< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Colorado Financial Service Corp </ recipientName >

< recipientCRDNumber > 104343 </ recipientCRDNumber >

< associatedBDName > Chay Lapin </ associatedBDName >

< associatedBDCRDNumber > 6275140 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2516 Via Tejon </ street1 >

< street2 > Suite 210 </ street2 >

< city > Palos Verdes Estates </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90274 </ zipCode >

</ recipientAddress >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Concorde Investment Services, LLC </ recipientName >

< recipientCRDNumber > 151604 </ recipientCRDNumber >

< associatedBDName > Nathan Kuhn </ associatedBDName >

< associatedBDCRDNumber > 4624143 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 120 W Eastman </ street1 >

< street2 > Suite 300 </ street2 >

< city > Arlington Heights </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60004 </ zipCode >

</ recipientAddress >

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< state > MA </ state >

< description > MASSACHUSETTS </ description >

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< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Concorde Investment Services, LLC </ recipientName >

< recipientCRDNumber > 151604 </ recipientCRDNumber >

< associatedBDName > Daniel Raupp </ associatedBDName >

< associatedBDCRDNumber > 4079107 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 417 East Main Street </ street1 >

< street2 > 3rd Floor </ street2 >

< city > Port Jefferson </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 11777 </ zipCode >

</ recipientAddress >

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< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Calton & Associates </ recipientName >

< recipientCRDNumber > 20999 </ recipientCRDNumber >

< associatedBDName > Marc Seeherman </ associatedBDName >

< associatedBDCRDNumber > 1131557 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 32 West 40th Street </ street1 >

< street2 > 2nd Floor </ street2 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10018 </ zipCode >

</ recipientAddress >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Nationwide Planning Associates, Inc </ recipientName >

< recipientCRDNumber > 31029 </ recipientCRDNumber >

< associatedBDName > Eric Bicknese </ associatedBDName >

< associatedBDCRDNumber > 2829451 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 975 Route 32 </ street1 >

< city > Central Valley </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10917 </ zipCode >

</ recipientAddress >

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< state > NC </ state >

< description > NORTH CAROLINA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Nationwide Planning Associates, Inc </ recipientName >

< recipientCRDNumber > 31029 </ recipientCRDNumber >

< associatedBDName > Adam Young </ associatedBDName >

< associatedBDCRDNumber > 6640146 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 440 Park Avenue South </ street1 >

< street2 > 3rd Floor </ street2 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10016 </ zipCode >

</ recipientAddress >

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< state > NC </ state >

< description > NORTH CAROLINA </ description >

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< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Summit Brokerage Services, Inc </ recipientName >

< recipientCRDNumber > 13475 </ recipientCRDNumber >

< associatedBDName > Keith Herman </ associatedBDName >

< associatedBDCRDNumber > 2322605 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 323 Haddon Ave </ street1 >

< city > Haddon </ city >

< stateOrCountry > NJ </ stateOrCountry >

< stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >

< zipCode > 08108 </ zipCode >

</ recipientAddress >

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< state > NJ </ state >

< description > NEW JERSEY </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Summit Brokerage Services, Inc </ recipientName >

< recipientCRDNumber > 13475 </ recipientCRDNumber >

< associatedBDName > David Chalmers </ associatedBDName >

< associatedBDCRDNumber > 2943921 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 323 Haddon Ave </ street1 >

< city > Haddon </ city >

< stateOrCountry > NJ </ stateOrCountry >

< stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >

< zipCode > 08108 </ zipCode >

</ recipientAddress >

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< state > NJ </ state >

< description > NEW JERSEY </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > DFPG Investments, Inc </ recipientName >

< recipientCRDNumber > 155576 </ recipientCRDNumber >

< associatedBDName > Mike Bendix </ associatedBDName >

< associatedBDCRDNumber > 5379777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 9017 S Riverside Drive </ street1 >

< street2 > Suite 210 </ street2 >

< city > Sandy </ city >

< stateOrCountry > UT </ stateOrCountry >

< stateOrCountryDescription > UTAH </ stateOrCountryDescription >

< zipCode > 84070 </ zipCode >

</ recipientAddress >

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< state > OH </ state >

< description > OHIO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > First Allied Securities Inc </ recipientName >

< recipientCRDNumber > 32444 </ recipientCRDNumber >

< associatedBDName > Ron Selik </ associatedBDName >

< associatedBDCRDNumber > 1616960 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 30100 Telegraph Road </ street1 >

< street2 > Suite #414 </ street2 >

< city > Bingham Farms </ city >

< stateOrCountry > MI </ stateOrCountry >

< stateOrCountryDescription > MICHIGAN </ stateOrCountryDescription >

< zipCode > 48025 </ zipCode >

</ recipientAddress >

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< state > MI </ state >

< description > MICHIGAN </ description >

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< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Independent Financial Group, LLC </ recipientName >

< recipientCRDNumber > 7717 </ recipientCRDNumber >

< associatedBDName > Joshua Koehnen </ associatedBDName >

< associatedBDCRDNumber > 4551444 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12531 High Bluff Drive #110 </ street1 >

< city > San Diego </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92130 </ zipCode >

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< state > CA </ state >

< description > CALIFORNIA </ description >

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< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Independent Financial Group, LLC </ recipientName >

< recipientCRDNumber > 7717 </ recipientCRDNumber >

< associatedBDName > Armando Roman </ associatedBDName >

< associatedBDCRDNumber > 4414526 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 7373 F Doubletree Ranch Road </ street1 >

< street2 > Suite 170 </ street2 >

< city > Scottsdale </ city >

< stateOrCountry > AZ </ stateOrCountry >

< stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >

< zipCode > 85258 </ zipCode >

</ recipientAddress >

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< state > AZ </ state >

< description > ARIZONA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Northland Securities, Inc </ recipientName >

< recipientCRDNumber > 40258 </ recipientCRDNumber >

< associatedBDName > Roger Tadsen </ associatedBDName >

< associatedBDCRDNumber > 1053510 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 45 South 7th Street 20th Floor </ street1 >

< city > Minneapolis </ city >

< stateOrCountry > MN </ stateOrCountry >

< stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >

< zipCode > 55402 </ zipCode >

</ recipientAddress >

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< state > MN </ state >

< description > MINNESOTA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Silver Portal Capital LLC </ recipientName >

< recipientCRDNumber > 114290 </ recipientCRDNumber >

< associatedBDName > April Guinchard </ associatedBDName >

< associatedBDCRDNumber > 1729146 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12265 El Camino Real </ street1 >

< street2 > Suite 230 </ street2 >

< city > San Diego </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92130 </ zipCode >

</ recipientAddress >

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< state > CA </ state >

< description > CALIFORNIA </ description >

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< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > First Allied Securities Inc </ recipientName >

< recipientCRDNumber > 32444 </ recipientCRDNumber >

< associatedBDName > Dustin Tenbroeck </ associatedBDName >

< associatedBDCRDNumber > 5019784 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12626 High Bluff Drive </ street1 >

< street2 > Suite 440 </ street2 >

< city > San Diego </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92130 </ zipCode >

</ recipientAddress >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Sagepoint Financial, Inc </ recipientName >

< recipientCRDNumber > 133763 </ recipientCRDNumber >

< associatedBDName > Maxwell Phillips </ associatedBDName >

< associatedBDCRDNumber > 4953387 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3700 State Street </ street1 >

< street2 > Suite 310 </ street2 >

< city > Santa Barbara </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93105 </ zipCode >

</ recipientAddress >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > DFPG Investments, Inc </ recipientName >

< recipientCRDNumber > 155576 </ recipientCRDNumber >

< associatedBDName > Scott Sheehan </ associatedBDName >

< associatedBDCRDNumber > 2328614 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2 Orr Hatch Drive </ street1 >

< city > Cornwall </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 12518 </ zipCode >

</ recipientAddress >

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< state > MD </ state >

< description > MARYLAND </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Royal Alliance Associates, Inc </ recipientName >

< recipientCRDNumber > 23131 </ recipientCRDNumber >

< associatedBDName > Dan Meyerovitz </ associatedBDName >

< associatedBDCRDNumber > 4395492 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5001 Spring Valley Road </ street1 >

< street2 > Suite 1120E </ street2 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75244 </ zipCode >

</ recipientAddress >

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< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Royal Alliance Associates, Inc </ recipientName >

< recipientCRDNumber > 23131 </ recipientCRDNumber >

< associatedBDName > Darryl Meyerovitz </ associatedBDName >

< associatedBDCRDNumber > 857839 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5001 Spring Valley Road </ street1 >

< street2 > Suite 1120E </ street2 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75244 </ zipCode >

</ recipientAddress >

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< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Primex Prime Electronic Execution Inc </ recipientName >

< recipientCRDNumber > 29394 </ recipientCRDNumber >

< associatedBDName > Michael Steinthal </ associatedBDName >

< associatedBDCRDNumber > 435071 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 54 West 21st Street </ street1 >

< street2 > 12th floor </ street2 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10010 </ zipCode >

</ recipientAddress >

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< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Investacorp,Inc </ recipientName >

< recipientCRDNumber > 7684 </ recipientCRDNumber >

< associatedBDName > John Chess </ associatedBDName >

< associatedBDCRDNumber > 4812430 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4263 Gavin Lane </ street1 >

< city > Columbus </ city >

< stateOrCountry > OH </ stateOrCountry >

< stateOrCountryDescription > OHIO </ stateOrCountryDescription >

< zipCode > 43220 </ zipCode >

</ recipientAddress >

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< state > OH </ state >

< description > OHIO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Concorde Investment Services, LLC </ recipientName >

< recipientCRDNumber > 151604 </ recipientCRDNumber >

< associatedBDName > Eric Scaff </ associatedBDName >

< associatedBDCRDNumber > 5281210 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 300 Montomery Street </ street1 >

< street2 > Suite 631 </ street2 >

< city > San Francisco </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94101 </ zipCode >

</ recipientAddress >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > First Allied Securities Inc </ recipientName >

< recipientCRDNumber > 32444 </ recipientCRDNumber >

< associatedBDName > Robert Cheney </ associatedBDName >

< associatedBDCRDNumber > 2825660 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 158 Goya Road </ street1 >

< city > Portola Valley </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94028 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Lincoln Financial Advisors </ recipientName >

< recipientCRDNumber > 3978 </ recipientCRDNumber >

< associatedBDName > David Stone </ associatedBDName >

< associatedBDCRDNumber > 2280955 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1013 Galleria Boulevard </ street1 >

< street2 > Suite 270 </ street2 >

< city > Roseville </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95678 </ zipCode >

</ recipientAddress >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > DFPG Investments, Inc </ recipientName >

< recipientCRDNumber > 155576 </ recipientCRDNumber >

< associatedBDName > Joseph Broadbent </ associatedBDName >

< associatedBDCRDNumber > 3132498 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 9017 S Riverside Drive </ street1 >

< street2 > Suite 200 </ street2 >

< city > Sandy </ city >

< stateOrCountry > UT </ stateOrCountry >

< stateOrCountryDescription > UTAH </ stateOrCountryDescription >

< zipCode > 84070 </ zipCode >

</ recipientAddress >

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< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Sagepoint Financial, Inc </ recipientName >

< recipientCRDNumber > 133763 </ recipientCRDNumber >

< associatedBDName > Michael D'Epagnier </ associatedBDName >

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< associatedBDName > Raoul Dubery </ associatedBDName >

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< associatedBDName > Gregg Kiefer </ associatedBDName >

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< recipientCRDNumber > 29394 </ recipientCRDNumber >

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< recipientCRDNumber > 152550 </ recipientCRDNumber >

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< recipientCRDNumber > 30833 </ recipientCRDNumber >

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< recipientName > National Securities Corp. </ recipientName >

< recipientCRDNumber > 7569 </ recipientCRDNumber >

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< street1 > 181 East Jericho Turnpike </ street1 >

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< recipientCRDNumber > 7569 </ recipientCRDNumber >

< associatedBDName > Deborah O'Connell </ associatedBDName >

< associatedBDCRDNumber > 1760230 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 35-30 Francis Lewis Blvd </ street1 >

< city > Flushing </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 11358 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Concorde Investment Services, LLC </ recipientName >

< recipientCRDNumber > 151604 </ recipientCRDNumber >

< associatedBDName > Jeffrey Kiesnoski </ associatedBDName >

< associatedBDCRDNumber > 2688017 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 417 East Main Street </ street1 >

< city > Port Jefferson </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 11777 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Lincoln Financial Advisors </ recipientName >

< recipientCRDNumber > 3978 </ recipientCRDNumber >

< associatedBDName > Donald Garcia </ associatedBDName >

< associatedBDCRDNumber > 1782485 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 18400 Von Karman Avenue </ street1 >

< city > Irvine </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92612-5011 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Independent Financial Group LLC </ recipientName >

< recipientCRDNumber > 7717 </ recipientCRDNumber >

< associatedBDName > Robert Vonderharr </ associatedBDName >

< associatedBDCRDNumber > 1556834 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3098 Highland Drive </ street1 >

< street2 > Suite 490 </ street2 >

< city > Salt Lake City </ city >

< stateOrCountry > UT </ stateOrCountry >

< stateOrCountryDescription > UTAH </ stateOrCountryDescription >

< zipCode > 84106 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > UT </ state >

< description > UTAH </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Independent Financial Group LLC </ recipientName >

< recipientCRDNumber > 7717 </ recipientCRDNumber >

< associatedBDName > Richard Wagner </ associatedBDName >

< associatedBDCRDNumber > 4575603 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3098 Highland Drive </ street1 >

< street2 > Suite 490 </ street2 >

< city > Salt Lake City </ city >

< stateOrCountry > UT </ stateOrCountry >

< stateOrCountryDescription > UTAH </ stateOrCountryDescription >

< zipCode > 84106 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > UT </ state >

< description > UTAH </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Commonwealth Financial Network </ recipientName >

< recipientCRDNumber > 8032 </ recipientCRDNumber >

< associatedBDName > Robert Condon </ associatedBDName >

< associatedBDCRDNumber > 823679 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1312 9th Street </ street1 >

< city > Berkeley </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94710 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Commonwealth Financial Network </ recipientName >

< recipientCRDNumber > 8032 </ recipientCRDNumber >

< associatedBDName > Hiro Kagiyama </ associatedBDName >

< associatedBDCRDNumber > 5443419 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1312 9th Street </ street1 >

< city > Berkeley </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94710 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Parkland Securities, LLC </ recipientName >

< recipientCRDNumber > 115368 </ recipientCRDNumber >

< associatedBDName > Josh Griffin </ associatedBDName >

< associatedBDCRDNumber > 4664355 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6312 South Fiddlers Green Circle 300 E </ street1 >

< city > Greenwood Village </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80111 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > First Allied Securities Inc </ recipientName >

< recipientCRDNumber > 32444 </ recipientCRDNumber >

< associatedBDName > Frisco Escudero </ associatedBDName >

< associatedBDCRDNumber > 2794899 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 333 S.Anita Drive </ street1 >

< street2 > Suite 700 </ street2 >

< city > Orange </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92868 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > 1st Global Capital Corporation </ recipientName >

< recipientCRDNumber > 44870 </ recipientCRDNumber >

< associatedBDName > Julie Bradsher </ associatedBDName >

< associatedBDCRDNumber > 5230771 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 105 East Annandale Road </ street1 >

< street2 > Suite 215 </ street2 >

< city > Falls Church </ city >

< stateOrCountry > VA </ stateOrCountry >

< stateOrCountryDescription > VIRGINIA </ stateOrCountryDescription >

< zipCode > 22046 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Lincoln Financial Advisors </ recipientName >

< recipientCRDNumber > 3978 </ recipientCRDNumber >

< associatedBDName > Roberto J Duran </ associatedBDName >

< associatedBDCRDNumber > 4120580 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 18400 Von Karman Avenue </ street1 >

< street2 > Suite 550 </ street2 >

< city > Irvine </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92612 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Lincoln Financial Advisors </ recipientName >

< recipientCRDNumber > 3978 </ recipientCRDNumber >

< associatedBDName > Rostam Atefi </ associatedBDName >

< associatedBDCRDNumber > 5774433 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 18400 Von Karman Avenue </ street1 >

< street2 > Suite 550 </ street2 >

< city > Irvine </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92612 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Centaurus Financial, Inc. </ recipientName >

< recipientCRDNumber > 30833 </ recipientCRDNumber >

< associatedBDName > Timothy McVey </ associatedBDName >

< associatedBDCRDNumber > 1535662 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6700 E. Pacific Coast Hwy. </ street1 >

< street2 > Suite 105 </ street2 >

< city > Long Beach </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90803 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Royal Alliance Associates, Inc. </ recipientName >

< recipientCRDNumber > 23131 </ recipientCRDNumber >

< associatedBDName > Denise Peterson </ associatedBDName >

< associatedBDCRDNumber > 2016985 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 73 Preda Street </ street1 >

< city > San Leandro </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94577 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > HI </ state >

< description > HAWAII </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Lincoln Financial Advisors </ recipientName >

< recipientCRDNumber > 3978 </ recipientCRDNumber >

< associatedBDName > Edward Rusnak </ associatedBDName >

< associatedBDCRDNumber > 4981734 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3000 Executive Parkway Suites 400 & 500 </ street1 >

< city > San Ramon </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94583 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > 1st Global Capital Corporation </ recipientName >

< recipientCRDNumber > 44870 </ recipientCRDNumber >

< associatedBDName > Michael Stieglitz </ associatedBDName >

< associatedBDCRDNumber > 4623788 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 336 Sparta Avenue </ street1 >

< city > Sparta </ city >

< stateOrCountry > NJ </ stateOrCountry >

< stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >

< zipCode > 07871-1760 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NJ </ state >

< description > NEW JERSEY </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Lincoln Financial Advisors </ recipientName >

< recipientCRDNumber > 3978 </ recipientCRDNumber >

< associatedBDName > Duncan Eng </ associatedBDName >

< associatedBDCRDNumber > 2536048 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2105 S. Bascom Avenue </ street1 >

< street2 > Suite 300 </ street2 >

< city > Campbell </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95008 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Concorde Investment Services, LLC </ recipientName >

< recipientCRDNumber > 151604 </ recipientCRDNumber >

< associatedBDName > Bryan Hakola </ associatedBDName >

< associatedBDCRDNumber > 4161289 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 10 Copps Hill </ street1 >

< city > Laguna Nigel </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92677 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > FSC Securities Corporation </ recipientName >

< recipientCRDNumber > 7461 </ recipientCRDNumber >

< associatedBDName > Michael Schano </ associatedBDName >

< associatedBDCRDNumber > 5071180 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 229 West Main Street </ street1 >

< street2 > Suite 205 </ street2 >

< city > Frankfort </ city >

< stateOrCountry > KY </ stateOrCountry >

< stateOrCountryDescription > KENTUCKY </ stateOrCountryDescription >

< zipCode > 40601 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > KY </ state >

< description > KENTUCKY </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Centaurus Financial, Inc </ recipientName >

< recipientCRDNumber > 30833 </ recipientCRDNumber >

< associatedBDName > Robert Krakower </ associatedBDName >

< associatedBDCRDNumber > 2075184 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 7777 Center Avenue </ street1 >

< street2 > Suite #120 </ street2 >

< city > Huntington Beach </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92647 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Concorde Investment Services, LLC </ recipientName >

< recipientCRDNumber > 151604 </ recipientCRDNumber >

< associatedBDName > Jeffrey Kiesnoski </ associatedBDName >

< associatedBDCRDNumber > 2688017 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 417 East Main Street </ street1 >

< street2 > 3rd Floor </ street2 >

< city > Port Jefferson </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 11777 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > 1st Global Capital Corporation </ recipientName >

< recipientCRDNumber > 44870 </ recipientCRDNumber >

< associatedBDName > Kevin Sweeney </ associatedBDName >

< associatedBDCRDNumber > 4281256 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3800 Blackhawk Road </ street1 >

< street2 > Suite 100 </ street2 >

< city > Danvill </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94506 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Investacorp, Inc </ recipientName >

< recipientCRDNumber > 7684 </ recipientCRDNumber >

< associatedBDName > Peter Fisher </ associatedBDName >

< associatedBDCRDNumber > 1259923 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2901 Butterfield Rd </ 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 > Concorde Investment Services, LLC </ recipientName >

< recipientCRDNumber > 151604 </ recipientCRDNumber >

< associatedBDName > Alan Lichtenstein </ associatedBDName >

< associatedBDCRDNumber > 1877017 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 417 East Main Street </ street1 >

< street2 > 3rd Floor </ street2 >

< city > Port Jefferson </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 11777 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > National Securities Corp </ recipientName >

< recipientCRDNumber > 7569 </ recipientCRDNumber >

< associatedBDName > Steven Jennings </ associatedBDName >

< associatedBDCRDNumber > 2472408 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 33 Wood Avenue, S. 4th Floor </ street1 >

< city > Iselin </ city >

< stateOrCountry > NJ </ stateOrCountry >

< stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >

< zipCode > 08830 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > FSC Securities Corporation </ recipientName >

< recipientCRDNumber > 7461 </ recipientCRDNumber >

< associatedBDName > Laurence Iannarelli </ associatedBDName >

< associatedBDCRDNumber > 1221062 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3277 Fruitville Road </ street1 >

< street2 > Building B </ street2 >

< city > Sarasota </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 34237 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Centaurus Financial, Inc </ recipientName >

< recipientCRDNumber > 30833 </ recipientCRDNumber >

< associatedBDName > John Scully </ associatedBDName >

< associatedBDCRDNumber > 803539 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 450 Skokie Blvd </ street1 >

< street2 > Suite #301 </ street2 >

< 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 >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 32937608 </ totalOfferingAmount >

< totalAmountSold > 32342169 </ totalAmountSold >

< totalRemaining > 595439 </ totalRemaining >

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

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 122 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 2602071 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse > 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. </ clarificationOfResponse >

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 1633619 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ grossProceedsUsed >

< clarificationOfResponse > 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. </ clarificationOfResponse >

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > Riverdale Multifamily DST </ issuerName >

< signatureName > /s/ Keith D. Lampi </ signatureName >

< nameOfSigner > Keith D. Lampi </ nameOfSigner >

< signatureTitle > President of Member of Signatory Trustee of the Issuer </ signatureTitle >

< signatureDate > 2017-08-28 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >