Form D Raw Data - Electronic Filing Depository

EFDID: 259558EFD: Raw Data

Issuer: Colorado Multifamily Portfolio IV DST (0001734673) - D/A

Accession: 0001726600-18-000020 () (EDGAR Files) (Form D)

Edgar Posted: Sep. 24, 2018
EFD Posted: Sep. 24, 2018

- < edgarSubmission >

< schemaVersion > X0708 </ schemaVersion >

< submissionType > D/A </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001734673 </ cik >

< entityName > Colorado Multifamily Portfolio IV 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 > 2017 </ value >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > n/a </ firstName >

< lastName > Inland Private Capital Corporation </ lastName >

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- < 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 >

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- < relatedPersonInfo >

- < relatedPersonName >

< firstName > N/A </ firstName >

< lastName > Colorado Multifamily Portfolio IV Exchange, L.L.C </ lastName >

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< 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 > Colorado Multifamily Portfolio IV, L.L.C. </ lastName >

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< 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 >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Catherine </ firstName >

< middleName > L </ middleName >

< lastName > Lynch </ lastName >

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< street1 > 2901 Butterfield Road </ street1 >

< city > Oak Brook </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60523 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Director of the Sponsor </ relationshipClarification >

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- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Mitchell </ firstName >

< middleName > A </ middleName >

< lastName > Sabshon </ lastName >

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< street1 > 2901 Butterfield Road </ street1 >

< city > Oak Brook </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60523 </ zipCode >

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- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Director and Chairman of the Board of the Sponsor </ relationshipClarification >

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- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Keith </ firstName >

< middleName > D </ middleName >

< lastName > Lampi </ lastName >

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< 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 > Director, President and Chief Operating Officer of the Sponsor </ relationshipClarification >

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- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Rahul </ firstName >

< lastName > Sehgal </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 2901 Butterfield Road </ street1 >

< city > Oak Brook </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60523 </ zipCode >

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- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

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< relationshipClarification > Director and Chief Investment Officer of the Sponsor </ relationshipClarification >

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- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Daniel </ firstName >

< middleName > L </ middleName >

< lastName > Goodwin </ lastName >

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< street1 > 2901 Butterfield Road </ street1 >

< city > Oak Brook </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60523 </ zipCode >

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- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

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< relationshipClarification > Director of the Sponsor </ relationshipClarification >

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- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Roberta </ firstName >

< middleName > S </ middleName >

< lastName > Matlin </ lastName >

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< street1 > 2901 Butterfield Road </ street1 >

< city > Oak Brook </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60523 </ zipCode >

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< relationshipClarification > Director of the Sponsor </ relationshipClarification >

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< firstName > Robert </ firstName >

< middleName > D </ middleName >

< lastName > Parks </ lastName >

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< street1 > 2901 Butterfield Road </ street1 >

< city > Oak Brook </ city >

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< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60523 </ zipCode >

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< relationship > Director </ relationship >

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< relationshipClarification > Director of the Sponsor </ relationshipClarification >

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- < 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 > 0001747750-18-000005 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2018-02-28 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > false </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isEquityType > true </ isEquityType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 25000 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > Michael Franklin </ recipientName >

< recipientCRDNumber > 5390262 </ recipientCRDNumber >

< associatedBDName > DFPG Investments, Inc. </ associatedBDName >

< associatedBDCRDNumber > 155576 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 9017 S RIVERSIDE DRIVE </ street1 >

< street2 > SUITE 210 </ street2 >

< city > SANDY </ city >

< stateOrCountry > UT </ stateOrCountry >

< stateOrCountryDescription > UTAH </ stateOrCountryDescription >

< zipCode > 84070 </ zipCode >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Gregory Mankey </ recipientName >

< recipientCRDNumber > 4848080 </ recipientCRDNumber >

< associatedBDName > Investment Planners, Inc. </ associatedBDName >

< associatedBDCRDNumber > 18557 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 226 W. ELDORADO STREET </ street1 >

< city > DECATUR </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 62522 </ zipCode >

</ recipientAddress >

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< state > IN </ state >

< description > INDIANA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Iaian Filippini </ recipientName >

< recipientCRDNumber > 4708877 </ recipientCRDNumber >

< associatedBDName > RCX Capital Group LLC </ associatedBDName >

< associatedBDCRDNumber > 114290 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12707 HIGH BLUFF DRIVE </ street1 >

< street2 > SUITE #200 </ 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 > Jennifer Wildman </ recipientName >

< recipientCRDNumber > 4973672 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12750 MERIT DRIVE </ street1 >

< street2 > SUITE 1200 </ street2 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75251 </ zipCode >

</ recipientAddress >

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< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > David Levinson </ recipientName >

< recipientCRDNumber > 705929 </ recipientCRDNumber >

< associatedBDName > Westpark Capital Inc </ associatedBDName >

< associatedBDCRDNumber > 39914 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1900 AVENUE OF THE STARS </ street1 >

< street2 > SUITE 310 </ street2 >

< city > LOS ANGELES </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90067 </ zipCode >

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< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Mark Baran </ recipientName >

< recipientCRDNumber > 870541 </ recipientCRDNumber >

< associatedBDName > Silber Bennett Financial, Inc. </ associatedBDName >

< associatedBDCRDNumber > 156435 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 16133 VENTURA BLVD., SUITE 700 </ street1 >

< city > Encino </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 91436 </ zipCode >

</ recipientAddress >

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< state > CT </ state >

< description > CONNECTICUT </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Joseph Broadbent </ recipientName >

< recipientCRDNumber > 3132498 </ recipientCRDNumber >

< associatedBDName > DFPG Investments, Inc. </ associatedBDName >

< associatedBDCRDNumber > 155576 </ 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 > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Cynthia Shelton </ recipientName >

< recipientCRDNumber > 3063251 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12750 MERIT DRIVE </ street1 >

< street2 > SUITE 1200 </ street2 >

< city > DALLAS </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75251 </ zipCode >

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< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Christina Nielson </ recipientName >

< recipientCRDNumber > 4866971 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 29394 </ 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 >

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< state > NY </ state >

< description > NEW YORK </ description >

< state > NM </ state >

< description > NEW MEXICO </ description >

< state > MN </ state >

< description > MINNESOTA </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

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< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Kenneth Tanaka </ recipientName >

< recipientCRDNumber > 2108701 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12750 MERIT DRIVE </ street1 >

< street2 > SUITE 1200 </ street2 >

< city > DALLAS </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75251 </ zipCode >

</ recipientAddress >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Edward Fernandez </ recipientName >

< recipientCRDNumber > 2956661 </ recipientCRDNumber >

< associatedBDName > Capulent LLC </ associatedBDName >

< associatedBDCRDNumber > 155155 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4144 N 44TH STREET </ street1 >

< street2 > STE 3 </ street2 >

< city > PHOENIX </ city >

< stateOrCountry > AZ </ stateOrCountry >

< stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >

< zipCode > 85018 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MO </ state >

< description > MISSOURI </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Justin Lowy </ recipientName >

< recipientCRDNumber > 5935993 </ recipientCRDNumber >

< associatedBDName > Crown Capital Securities L.P. </ associatedBDName >

< associatedBDCRDNumber > 6312 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 725 TOWN & COUNTRY ROAD </ street1 >

< street2 > SUITE 530 </ 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 > Kirk Dobson </ recipientName >

< recipientCRDNumber > 4049865 </ recipientCRDNumber >

< associatedBDName > Ameritas Investment Corp. </ associatedBDName >

< associatedBDCRDNumber > 14869 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5900 "O" STREET </ street1 >

< city > LINCOLN </ city >

< stateOrCountry > NE </ stateOrCountry >

< stateOrCountryDescription > NEBRASKA </ stateOrCountryDescription >

< zipCode > 68510-2234 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Christopher Riel </ recipientName >

< recipientCRDNumber > 6222615 </ recipientCRDNumber >

< associatedBDName > Ameritas Investment Corp. </ associatedBDName >

< associatedBDCRDNumber > 14869 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5900 "O" STREET </ street1 >

< city > LINCOLN </ city >

< stateOrCountry > NE </ stateOrCountry >

< stateOrCountryDescription > NEBRASKA </ stateOrCountryDescription >

< zipCode > 68510-2234 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Roger Coit </ recipientName >

< recipientCRDNumber > 50331 </ recipientCRDNumber >

< associatedBDName > American Investors Co Lsy Dba </ associatedBDName >

< associatedBDCRDNumber > 38 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2440 CAMINO RAMON, SUITE 103 </ street1 >

< city > SAN RAMON </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94583 </ zipCode >

</ recipientAddress >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Alex Kowalski </ recipientName >

< recipientCRDNumber > 4495275 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 19500 VICTOR PARKWAY </ street1 >

< street2 > SUITE 550 </ street2 >

< city > LIVONIA </ city >

< stateOrCountry > MI </ stateOrCountry >

< stateOrCountryDescription > MICHIGAN </ stateOrCountryDescription >

< zipCode > 48152 </ zipCode >

</ recipientAddress >

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< state > WI </ state >

< description > WISCONSIN </ description >

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< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Troy Thomas </ recipientName >

< recipientCRDNumber > 4691720 </ recipientCRDNumber >

< associatedBDName > Mc Dermott Investment Services, LLC </ associatedBDName >

< associatedBDCRDNumber > 154926 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > ONE WEST BROAD STREET </ street1 >

< street2 > 11TH FLOOR </ street2 >

< city > BETHLEHEM </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 18018 </ zipCode >

</ recipientAddress >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Stuart Valentine </ recipientName >

< recipientCRDNumber > 1646981 </ recipientCRDNumber >

< associatedBDName > Vanderbilt Securities </ associatedBDName >

< associatedBDCRDNumber > 5953 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 125 FROEHLICH FARM BLVD. </ street1 >

< city > WOODBURY </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 11797 </ zipCode >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Tom Velken </ recipientName >

< recipientCRDNumber > 1600404 </ recipientCRDNumber >

< associatedBDName > Sigma Financial Corporation </ associatedBDName >

< associatedBDCRDNumber > 14303 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 300 PARKLAND PLAZA </ street1 >

< city > ANN ARBOR </ city >

< stateOrCountry > MI </ stateOrCountry >

< stateOrCountryDescription > MICHIGAN </ stateOrCountryDescription >

< zipCode > 48103-9508 </ zipCode >

</ recipientAddress >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Edwin Suzuki </ recipientName >

< recipientCRDNumber > 4851317 </ recipientCRDNumber >

< associatedBDName > Westpark Capital Inc </ associatedBDName >

< associatedBDCRDNumber > 39914 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1900 AVENUE OF THE STARS </ street1 >

< street2 > SUITE 310 </ street2 >

< city > LOS ANGELES </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90067 </ zipCode >

</ recipientAddress >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Carl Benedict </ recipientName >

< recipientCRDNumber > 1178319 </ recipientCRDNumber >

< associatedBDName > United Planners' Financial Services </ associatedBDName >

< associatedBDCRDNumber > 20804 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 7333 E. DOUBLETREE RANCH ROAD #120 </ street1 >

< city > SCOTTSDALE </ city >

< stateOrCountry > AZ </ stateOrCountry >

< stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >

< zipCode > 85258-2023 </ zipCode >

</ recipientAddress >

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< state > LA </ state >

< description > LOUISIANA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jordan Murray </ recipientName >

< recipientCRDNumber > 5830451 </ recipientCRDNumber >

< associatedBDName > Lincoln Financial Advisors </ associatedBDName >

< associatedBDCRDNumber > 3978 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1300 SOUTH CLINTON STREET </ street1 >

< street2 > SUITE 150 </ street2 >

< city > FORT WAYNE </ city >

< stateOrCountry > IN </ stateOrCountry >

< stateOrCountryDescription > INDIANA </ stateOrCountryDescription >

< zipCode > 46802 </ zipCode >

</ recipientAddress >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Paul Getty </ recipientName >

< recipientCRDNumber > 6470002 </ recipientCRDNumber >

< associatedBDName > Lightpath Capital Inc. </ associatedBDName >

< associatedBDCRDNumber > 34617 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1453 THIRD STREET PROMENADE </ street1 >

< street2 > SUITE 315 </ street2 >

< city > LOS ANGELES </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90401 </ zipCode >

</ recipientAddress >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Chay Lapin </ recipientName >

< recipientCRDNumber > 6275140 </ recipientCRDNumber >

< associatedBDName > WealthForge Securities LLC </ associatedBDName >

< associatedBDCRDNumber > 152550 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6800 PARAGON PLACE </ street1 >

< street2 > SUITE 200 </ street2 >

< city > RICHMOND </ city >

< stateOrCountry > VA </ stateOrCountry >

< stateOrCountryDescription > VIRGINIA </ stateOrCountryDescription >

< zipCode > 23230 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NV </ state >

< description > NEVADA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Raymond DeWitt </ recipientName >

< recipientCRDNumber > 2894063 </ recipientCRDNumber >

< associatedBDName > Sigma Financial Corporation </ associatedBDName >

< associatedBDCRDNumber > 14303 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 300 PARKLAND PLAZA </ street1 >

< city > ANN ARBOR </ city >

< stateOrCountry > MI </ stateOrCountry >

< stateOrCountryDescription > MICHIGAN </ stateOrCountryDescription >

< zipCode > 48103-9508 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > UT </ state >

< description > UTAH </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > David Hays </ recipientName >

< recipientCRDNumber > 2434893 </ recipientCRDNumber >

< associatedBDName > J.W. Cole Financial, Inc. </ associatedBDName >

< associatedBDCRDNumber > 124583 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4301 ANCHOR PLAZA PARKWAY </ street1 >

< street2 > SUITE # 450 </ street2 >

< city > TAMPA </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33634 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IN </ state >

< description > INDIANA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jason Salmon </ recipientName >

< recipientCRDNumber > 6081963 </ recipientCRDNumber >

< associatedBDName > WealthForge Securities LLC </ associatedBDName >

< associatedBDCRDNumber > 152550 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6800 PARAGON PLACE </ street1 >

< street2 > SUITE 200 </ street2 >

< city > RICHMOND </ city >

< stateOrCountry > VA </ stateOrCountry >

< stateOrCountryDescription > VIRGINIA </ stateOrCountryDescription >

< zipCode > 23230 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > WI </ state >

< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Gordon Hamilton </ recipientName >

< recipientCRDNumber > 5028789 </ recipientCRDNumber >

< associatedBDName > Parkland Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 115368 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 300 PARKLAND PLAZA </ street1 >

< city > Ann Arbor </ city >

< stateOrCountry > MI </ stateOrCountry >

< stateOrCountryDescription > MICHIGAN </ stateOrCountryDescription >

< zipCode > 48103 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Josh Griffin </ recipientName >

< recipientCRDNumber > 4664355 </ recipientCRDNumber >

< associatedBDName > Parkland Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 115368 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 300 PARKLAND PLAZA </ street1 >

< city > Ann Arbor </ city >

< stateOrCountry > MI </ stateOrCountry >

< stateOrCountryDescription > MICHIGAN </ stateOrCountryDescription >

< zipCode > 48103 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Craig Rollins </ recipientName >

< recipientCRDNumber > 1896698 </ recipientCRDNumber >

< associatedBDName > DFPG Investments, Inc </ associatedBDName >

< associatedBDCRDNumber > 155576 </ 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 >

- < statesOfSolicitationList >

< state > UT </ state >

< description > UTAH </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Andrew Friedman </ recipientName >

< recipientCRDNumber > 1038517 </ recipientCRDNumber >

< associatedBDName > American Portfolios Financial Svcs </ associatedBDName >

< associatedBDCRDNumber > 18487 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4250 VETERANS MEMORIAL HIGHWAY </ street1 >

< street2 > 4TH FLOOR EAST </ street2 >

< city > HOLBROOK </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 11741 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Robert Binkele </ recipientName >

< recipientCRDNumber > 2393598 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1900 AVENUE OF THE STARS </ street1 >

< street2 > SUITE 310 </ street2 >

< city > LOS ANGELES </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90067 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > SC </ state >

< description > SOUTH CAROLINA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jack Creighton </ recipientName >

< recipientCRDNumber > 1495897 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 19500 VICTOR PARKWAY </ street1 >

< street2 > SUITE 550 </ street2 >

< city > LIVONIA </ city >

< stateOrCountry > MI </ stateOrCountry >

< stateOrCountryDescription > MICHIGAN </ stateOrCountryDescription >

< zipCode > 48152 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > ME </ state >

< description > MAINE </ description >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Bryon Martinsen </ recipientName >

< recipientCRDNumber > 1621649 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1900 AVENUE OF THE STARS </ street1 >

< street2 > SUITE 310 </ street2 >

< city > LOS ANGELES </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90067 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NJ </ state >

< description > NEW JERSEY </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Clint Potts </ recipientName >

< recipientCRDNumber > 5366136 </ recipientCRDNumber >

< associatedBDName > Sigma Financial Corporation </ associatedBDName >

< associatedBDCRDNumber > 14303 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 300 PARKLAND PLAZA </ street1 >

< city > ANN ARBOR </ city >

< stateOrCountry > MI </ stateOrCountry >

< stateOrCountryDescription > MICHIGAN </ stateOrCountryDescription >

< zipCode > 48103-9508 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Michael Puls </ recipientName >

< recipientCRDNumber > 2671882 </ recipientCRDNumber >

< associatedBDName > Woodbury Financial Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 421 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 7755 3RD STREET NORTH </ street1 >

< city > OAKDALE </ city >

< stateOrCountry > MN </ stateOrCountry >

< stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >

< zipCode > 55128 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > William Herford </ recipientName >

< recipientCRDNumber > 2066018 </ recipientCRDNumber >

< associatedBDName > Triad Advisors, Inc. </ associatedBDName >

< associatedBDCRDNumber > 118583 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3623 N. ELM STREET SUITE 102 </ street1 >

< city > Greensboro </ city >

< stateOrCountry > NC </ stateOrCountry >

< stateOrCountryDescription > NORTH CAROLINA </ stateOrCountryDescription >

< zipCode > 27455 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Scott Sheehan </ recipientName >

< recipientCRDNumber > 2328614 </ recipientCRDNumber >

< associatedBDName > DFPG Investments, Inc. </ associatedBDName >

< associatedBDCRDNumber > 155576 </ 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 >

- < statesOfSolicitationList >

< state > RI </ state >

< description > RHODE ISLAND </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > David Kangas </ recipientName >

< recipientCRDNumber > 6591398 </ recipientCRDNumber >

< associatedBDName > Sandlapper Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 137906 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > SANDLAPPER FINANCIAL CENTER </ street1 >

< street2 > 800 E. NORTH STREET, 2ND FLOOR </ street2 >

< city > GREENVILLE </ city >

< stateOrCountry > SC </ stateOrCountry >

< stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >

< zipCode > 29601 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > OK </ state >

< description > OKLAHOMA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jason Santos </ recipientName >

< recipientCRDNumber > 4138976 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1900 AVENUE OF THE STARS </ street1 >

< street2 > SUITE 310 </ street2 >

< city > LOS ANGELES </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90067 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Toni Sutherland </ recipientName >

< recipientCRDNumber > 2729672 </ recipientCRDNumber >

< associatedBDName > Sandlapper Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 137906 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > SANDLAPPER FINANCIAL CENTER </ street1 >

< street2 > 800 E. NORTH STREET, 2ND FLOOR </ street2 >

< city > GREENVILLE </ city >

< stateOrCountry > SC </ stateOrCountry >

< stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >

< zipCode > 29601 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Dieter Thurow </ recipientName >

< recipientCRDNumber > 1435375 </ recipientCRDNumber >

< associatedBDName > NPB Financial Group, LLC </ associatedBDName >

< associatedBDCRDNumber > 137743 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3500 W. OLIVE AVENUE </ street1 >

< street2 > THIRD FLOOR </ street2 >

< city > BURBANK </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 91505 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Neil McAuliffe </ recipientName >

< recipientCRDNumber > 1787693 </ recipientCRDNumber >

< associatedBDName > Crown Capital Securities L.P. </ associatedBDName >

< associatedBDCRDNumber > 6312 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 725 TOWN & COUNTRY ROAD </ street1 >

< street2 > SUITE 530 </ 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 > Michael Stieglitz </ recipientName >

< recipientCRDNumber > 4623788 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12750 MERIT DRIVE </ street1 >

< street2 > SUITE 1200 </ street2 >

< city > DALLAS </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75251 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NJ </ state >

< description > NEW JERSEY </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Scott Parker Inabnet </ recipientName >

< recipientCRDNumber > 4603481 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12750 MERIT DRIVE </ street1 >

< street2 > SUITE 1200 </ street2 >

< city > DALLAS </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75251 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Ronald Manso </ recipientName >

< recipientCRDNumber > 1354467 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12750 MERIT DRIVE </ street1 >

< street2 > SUITE 1200 </ street2 >

< city > DALLAS </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75251 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IL </ state >

< description > ILLINOIS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Ronald Myers </ recipientName >

< recipientCRDNumber > 2719227 </ recipientCRDNumber >

< associatedBDName > Investacorp, Inc. </ associatedBDName >

< associatedBDCRDNumber > 7684 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4400 BISCAYNE BLVD </ street1 >

< street2 > 11TH FLOOR </ street2 >

< city > MIAMI </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33137 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Robert Smith </ recipientName >

< recipientCRDNumber > 1412333 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 19500 VICTOR PARKWAY </ street1 >

< street2 > SUITE 550 </ street2 >

< city > LIVONIA </ city >

< stateOrCountry > MI </ stateOrCountry >

< stateOrCountryDescription > MICHIGAN </ stateOrCountryDescription >

< zipCode > 48152 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NV </ state >

< description > NEVADA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Robert Schultz </ recipientName >

< recipientCRDNumber > 4163450 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 23131 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 10 EXCHANGE PLACE </ street1 >

< street2 > SUITE 1410 </ street2 >

< city > JERSEY CITY </ city >

< stateOrCountry > NJ </ stateOrCountry >

< stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >

< zipCode > 07302 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > David Anderson </ recipientName >

< recipientCRDNumber > 1218186 </ recipientCRDNumber >

< associatedBDName > FSC Securities Corporation </ associatedBDName >

< associatedBDCRDNumber > 7461 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2300 WINDY RIDGE PKWY </ street1 >

< street2 > SUITE 1100 </ street2 >

< city > ATLANTA </ city >

< stateOrCountry > GA </ stateOrCountry >

< stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >

< zipCode > 30339 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MN </ state >

< description > MINNESOTA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Aaron Broz </ recipientName >

< recipientCRDNumber > 4685895 </ recipientCRDNumber >

< associatedBDName > Securities America Inc. </ associatedBDName >

< associatedBDCRDNumber > 10205 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12325 PORT GRACE BLVD. </ street1 >

< city > LAVISTA </ city >

< stateOrCountry > NE </ stateOrCountry >

< stateOrCountryDescription > NEBRASKA </ stateOrCountryDescription >

< zipCode > 68128 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NE </ state >

< description > NEBRASKA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Mark Gillelen </ recipientName >

< recipientCRDNumber > 1868626 </ recipientCRDNumber >

< associatedBDName > First Allied Securities Inc. </ associatedBDName >

< associatedBDCRDNumber > 32444 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 655 WEST BROADWAY 12TH FLOOR </ street1 >

< city > SAN DIEGO </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92101 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > OR </ state >

< description > OREGON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Milan Madhani </ recipientName >

< recipientCRDNumber > 4365064 </ recipientCRDNumber >

< associatedBDName > H.D. Vest Investment Securites Inc </ associatedBDName >

< associatedBDCRDNumber > 13686 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6333 NORTH STATE HIGHWAY 161 </ street1 >

< street2 > 4TH FLOOR </ street2 >

< city > IRVING </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75038-2200 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Michael Moomaw </ recipientName >

< recipientCRDNumber > 6236376 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12750 MERIT DRIVE </ street1 >

< street2 > SUITE 1200 </ street2 >

< city > DALLAS </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75251 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Damian Dering </ recipientName >

< recipientCRDNumber > 2854253 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 19500 VICTOR PARKWAY </ street1 >

< street2 > SUITE 550 </ street2 >

< city > LIVONIA </ city >

< stateOrCountry > MI </ stateOrCountry >

< stateOrCountryDescription > MICHIGAN </ stateOrCountryDescription >

< zipCode > 48152 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Benjamin Horn </ recipientName >

< recipientCRDNumber > 5245495 </ recipientCRDNumber >

< associatedBDName > Lincoln Financial Advisors </ associatedBDName >

< associatedBDCRDNumber > 3978 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1300 SOUTH CLINTON STREET </ street1 >

< street2 > SUITE 150 </ street2 >

< city > FORT WAYNE </ city >

< stateOrCountry > IN </ stateOrCountry >

< stateOrCountryDescription > INDIANA </ stateOrCountryDescription >

< zipCode > 46802 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Shao-Tsung Tseng </ recipientName >

< recipientCRDNumber > 5704440 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 12671 HIGH BLUFF DRIVE </ street1 >

< street2 > SUITE 200 </ street2 >

< 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 > John Weiss </ recipientName >

< recipientCRDNumber > 1097536 </ recipientCRDNumber >

< associatedBDName > Crown Capital Securities L.P </ associatedBDName >

< associatedBDCRDNumber > 6312 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 725 TOWN & COUNTRY ROAD </ street1 >

< street2 > SUITE 530 </ street2 >

< city > ORANGE </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92868 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IA </ state >

< description > IOWA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Christopher Haberl </ recipientName >

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< street1 > 1900 AVENUE OF THE STARS </ street1 >

< street2 > SUITE 310 </ street2 >

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< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92868 </ zipCode >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

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< recipientName > Ann Stewart </ recipientName >

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< street1 > 1776 PLEASANT PLAIN RD. </ street1 >

< city > FAIRFIELD </ city >

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< stateOrCountryDescription > IOWA </ stateOrCountryDescription >

< zipCode > 52556-8757 </ zipCode >

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< state > CO </ state >

< description > COLORADO </ description >

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< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

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

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

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< associatedBDName > JRL Capital Corporation </ associatedBDName >

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< street2 > SUITE A-140 </ street2 >

< city > NEWPORT BEACH </ city >

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< zipCode > 92660 </ zipCode >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

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</ recipient >

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< recipientCRDNumber > 5440204 </ recipientCRDNumber >

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< zipCode > 52556-8757 </ zipCode >

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< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

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</ recipient >

- < recipient >

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< recipientCRDNumber > 4610456 </ recipientCRDNumber >

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< street2 > SUITE 1200 </ street2 >

< city > Dallas </ city >

< stateOrCountry > TX </ stateOrCountry >

< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75251 </ zipCode >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

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< recipientCRDNumber > 4919629 </ recipientCRDNumber >

< associatedBDName > Crown Capital Securities L.P. </ associatedBDName >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

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< recipientCRDNumber > 869337 </ recipientCRDNumber >

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

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< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92868 </ zipCode >

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< state > ID </ state >

< description > IDAHO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

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< recipientCRDNumber > 5732470 </ recipientCRDNumber >

< associatedBDName > DFPG Investments, Inc. </ associatedBDName >

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< city > SANDY </ city >

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< stateOrCountryDescription > UTAH </ stateOrCountryDescription >

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< description > OREGON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

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< recipientCRDNumber > 1778039 </ recipientCRDNumber >

< associatedBDName > Questar Capital </ associatedBDName >

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< stateOrCountry > MN </ stateOrCountry >

< stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

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< recipientCRDNumber > 114290 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

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< description > WISCONSIN </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

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< state > CA </ state >

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</ statesOfSolicitationList >

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</ recipient >

- < recipient >

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< recipientCRDNumber > 5095868 </ recipientCRDNumber >

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

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

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</ recipient >

- < recipient >

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< recipientCRDNumber > 1673702 </ recipientCRDNumber >

< associatedBDName > Ameritas Investment Corp. </ associatedBDName >

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< description > OHIO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

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< recipientCRDNumber > 3278327 </ recipientCRDNumber >

< associatedBDName > Securities America Inc. </ associatedBDName >

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< city > LAVISTA </ city >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

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< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

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</ recipient >

- < recipient >

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< stateOrCountryDescription > TEXAS </ stateOrCountryDescription >

< zipCode > 75038-2200 </ zipCode >

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< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

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< recipientCRDNumber > 2053884 </ recipientCRDNumber >

< associatedBDName > Crown Capital Securities L.P. </ associatedBDName >

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< zipCode > 92868 </ zipCode >

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</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

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< street1 > SANDLAPPER FINANCIAL CENTER </ street1 >

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</ statesOfSolicitationList >

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</ recipient >

- < recipient >

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< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

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< recipientCRDNumber > 1278618 </ recipientCRDNumber >

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

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< street1 > 1900 AVENUE OF THE STARS </ street1 >

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< zipCode > 92868 </ zipCode >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

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</ recipient >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

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</ recipient >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

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</ recipient >

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< recipientCRDNumber > 6544942 </ recipientCRDNumber >

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< street1 > 1300 SOUTH CLINTON STREET </ street1 >

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< stateOrCountry > IN </ stateOrCountry >

< stateOrCountryDescription > INDIANA </ stateOrCountryDescription >

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< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

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< recipientCRDNumber > 1754938 </ recipientCRDNumber >

< associatedBDName > Investacorp, Inc. </ associatedBDName >

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< zipCode > 33137 </ zipCode >

</ recipientAddress >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

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< recipientCRDNumber > 4322420 </ recipientCRDNumber >

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< zipCode > 75251 </ zipCode >

</ recipientAddress >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

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</ recipient >

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< street1 > 1300 SOUTH CLINTON STREET </ street1 >

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< stateOrCountry > IN </ stateOrCountry >

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< zipCode > 46802 </ zipCode >

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< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

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< stateOrCountry > IN </ stateOrCountry >

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< zipCode > 46802 </ zipCode >

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< state > CA </ state >

< description > CALIFORNIA </ description >

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< recipientCRDNumber > 1931547 </ recipientCRDNumber >

< associatedBDName > Investment Architects, Inc. </ associatedBDName >

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< zipCode > 94952-3079 </ zipCode >

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< state > CA </ state >

< description > CALIFORNIA </ description >

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< recipientCRDNumber > 4485672 </ recipientCRDNumber >

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

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< stateOrCountry > TX </ stateOrCountry >

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< zipCode > 75251 </ zipCode >

</ recipientAddress >

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< state > LA </ state >

< description > LOUISIANA </ description >

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< recipientCRDNumber > 2526113 </ recipientCRDNumber >

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

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< state > CA </ state >

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</ statesOfSolicitationList >

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

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< stateOrCountry > CA </ stateOrCountry >

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< state > CA </ state >

< description > CALIFORNIA </ description >

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</ recipient >

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< recipientCRDNumber > 5043611 </ recipientCRDNumber >

< associatedBDName > Cambridge Investment Research </ associatedBDName >

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< street1 > 1776 PLEASANT PLAIN RD. </ street1 >

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< zipCode > 52556-8757 </ zipCode >

</ recipientAddress >

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< state > CO </ state >

< description > COLORADO </ description >

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< recipientName > Ann Stewart </ recipientName >

< recipientCRDNumber > 2388888 </ recipientCRDNumber >

< associatedBDName > Cambridge Investment Research </ associatedBDName >

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< street1 > 1776 PLEASANT PLAIN RD </ street1 >

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< zipCode > 52556-8757 </ zipCode >

</ recipientAddress >

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< state > CO </ state >

< description > COLORADO </ description >

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</ recipient >

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< recipientCRDNumber > 2774511 </ recipientCRDNumber >

< associatedBDName > FSC Securities Corporation </ associatedBDName >

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< street1 > 2300 WINDY RIDGE PKWY </ street1 >

< street2 > SUITE 1100 </ street2 >

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< stateOrCountry > GA </ stateOrCountry >

< stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >

< zipCode > 30339 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Loren Kagan </ recipientName >

< recipientCRDNumber > 5758418 </ recipientCRDNumber >

< associatedBDName > Parkland Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 115368 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 300 PARKLAND PLAZA </ street1 >

< city > ANN ARBOR </ city >

< stateOrCountry > MI </ stateOrCountry >

< stateOrCountryDescription > MICHIGAN </ stateOrCountryDescription >

< zipCode > 48103 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Nathan Kuhn </ recipientName >

< recipientCRDNumber > 4624143 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 19500 VICTOR PARKWAY </ street1 >

< street2 > SUITE 550 </ street2 >

< city > LIVONIA </ city >

< stateOrCountry > MI </ stateOrCountry >

< stateOrCountryDescription > MICHIGAN </ stateOrCountryDescription >

< zipCode > 48152 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IN </ state >

< description > INDIANA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jack Thomas </ recipientName >

< recipientCRDNumber > 2773136 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1900 AVENUE OF THE STARS </ street1 >

< street2 > SUITE 310 </ street2 >

< city > ORANGE </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92868 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > ID </ state >

< description > IDAHO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Biho Cha </ recipientName >

< recipientCRDNumber > 4330839 </ recipientCRDNumber >

< associatedBDName > Mc Dermott Investment Services, LLC </ associatedBDName >

< associatedBDCRDNumber > 154926 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > ONE WEST BROAD STREET </ street1 >

< street2 > 11TH FLOOR </ street2 >

< city > BETHLEHEM </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 18018 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Donovan Kelly </ recipientName >

< recipientCRDNumber > 2622366 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1900 AVENUE OF THE STARS </ street1 >

< street2 > SUITE 310 </ street2 >

< city > ORANGE </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92868 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MT </ state >

< description > MONTANA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Matthew Roberson </ recipientName >

< recipientCRDNumber > 3090052 </ recipientCRDNumber >

< associatedBDName > Lincoln Financial Advisors </ associatedBDName >

< associatedBDCRDNumber > 3978 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1300 SOUTH CLINTON STREET </ street1 >

< street2 > SUITE 150 </ street2 >

< city > FORT WAYNE </ city >

< stateOrCountry > IN </ stateOrCountry >

< stateOrCountryDescription > INDIANA </ stateOrCountryDescription >

< zipCode > 46802 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

< over100RecipientFlag > true </ over100RecipientFlag >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 115374057 </ totalOfferingAmount >

< totalAmountSold > 114618138 </ totalAmountSold >

< totalRemaining > 755919 </ totalRemaining >

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

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 331 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 10268292 </ 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 > 5277282 </ 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 > Colorado Multifamily Portfolio IV 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 > 2018-09-24 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >