EFDID: 267382EFD: Raw Data

Issuer: APX New Harmony Partners-C, LP (0001744213) - D/A

Accession: 0001744213-19-000001 () (EDGAREDGAR Files) (Form DForm D)

Edgar Posted: Jan. 29, 2019
EFD Posted: Jan. 29, 2019
- < edgarSubmission >
  < schemaVersion > X0708 </ schemaVersion >
  < submissionType > D/A </ submissionType >
  < testOrLive > LIVE </ testOrLive >
- < primaryIssuer >
  < cik > 0001744213 </ cik >
  < entityName > APX New Harmony Partners-C, LP </ entityName >
- < issuerAddress >
  < street1 > 591 DELAWARE AVENUE </ street1 >
  < city > BUFFALO </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 14202 </ zipCode >
  </ issuerAddress >
  < issuerPhoneNumber > 7168558090 </ issuerPhoneNumber >
  < jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >
- < issuerPreviousNameList >
  < value > None </ value >
  </ issuerPreviousNameList >
- < edgarPreviousNameList >
  < value > None </ value >
  </ edgarPreviousNameList >
  < entityType > Limited Partnership </ entityType >
- < yearOfInc >
  < withinFiveYears > true </ withinFiveYears >
  < value > 2018 </ value >
  </ yearOfInc >
  </ primaryIssuer >
- < relatedPersonsList >
- < relatedPersonInfo >
- < relatedPersonName >
  < firstName > Justin </ firstName >
  < lastName > Reich </ lastName >
  </ relatedPersonName >
- < relatedPersonAddress >
  < street1 > 591 Delaware Avenue </ street1 >
  < city > Buffalo </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 14202 </ zipCode >
  </ relatedPersonAddress >
- < relatedPersonRelationshipList >
  < relationship > Executive Officer </ relationship >
  </ relatedPersonRelationshipList >
  < relationshipClarification > Executive Officer of APX Energy, LLC, the general partner and sponsor of the issuer. </ relationshipClarification >
  </ relatedPersonInfo >
- < relatedPersonInfo >
- < relatedPersonName >
  < firstName > David </ firstName >
  < lastName > Cohen </ lastName >
  </ relatedPersonName >
- < relatedPersonAddress >
  < street1 > 591 Delaware Avenue </ street1 >
  < city > Buffalo </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 14202 </ zipCode >
  </ relatedPersonAddress >
- < relatedPersonRelationshipList >
  < relationship > Executive Officer </ relationship >
  </ relatedPersonRelationshipList >
  < relationshipClarification > Executive Officer of APX Energy, LLC, the general partner and sponsor of the issuer. </ relationshipClarification >
  </ relatedPersonInfo >
- < relatedPersonInfo >
- < relatedPersonName >
  < firstName > Jakob </ firstName >
  < lastName > Campbell </ lastName >
  </ relatedPersonName >
- < relatedPersonAddress >
  < street1 > 591 Delaware Avenue </ street1 >
  < city > Buffalo </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 14202 </ zipCode >
  </ relatedPersonAddress >
- < relatedPersonRelationshipList >
  < relationship > Executive Officer </ relationship >
  </ relatedPersonRelationshipList >
  < relationshipClarification > Executive Officer of APX Energy, LLC, the general partner and sponsor of the issuer. </ relationshipClarification >
  </ relatedPersonInfo >
- < relatedPersonInfo >
- < relatedPersonName >
  < firstName > Josh </ firstName >
  < lastName > Fagan </ lastName >
  </ relatedPersonName >
- < relatedPersonAddress >
  < street1 > 2378 East Hickory Hill Rd </ street1 >
  < city > Argyle </ city >
  < stateOrCountry > TX </ stateOrCountry >
  < stateOrCountryDescription > TEXAS </ stateOrCountryDescription >
  < zipCode > 76226 </ zipCode >
  </ relatedPersonAddress >
- < relatedPersonRelationshipList >
  < relationship > Executive Officer </ relationship >
  </ relatedPersonRelationshipList >
  < relationshipClarification > National Sales Director of APX Energy, LLC, the general partner and sponsor of the issuer. </ relationshipClarification >
  </ relatedPersonInfo >
- < relatedPersonInfo >
- < relatedPersonName >
  < firstName > Kyle </ firstName >
  < lastName > Donnelly </ lastName >
  </ relatedPersonName >
- < relatedPersonAddress >
  < street1 > 5404 Paloma Blanca Dr </ street1 >
  < city > Fort Worth </ city >
  < stateOrCountry > TX </ stateOrCountry >
  < stateOrCountryDescription > TEXAS </ stateOrCountryDescription >
  < zipCode > 76179 </ zipCode >
  </ relatedPersonAddress >
- < relatedPersonRelationshipList >
  < relationship > Executive Officer </ relationship >
  </ relatedPersonRelationshipList >
  < relationshipClarification > Vice President of Sales of APX Energy, LLC the general partner and sponsor of the issuer. </ relationshipClarification >
  </ relatedPersonInfo >
  </ relatedPersonsList >
- < offeringData >
- < industryGroup >
  < industryGroupType > Oil and Gas </ industryGroupType >
  </ industryGroup >
- < issuerSize >
  < revenueRange > No Revenues </ revenueRange >
  </ issuerSize >
- < federalExemptionsExclusions >
  < item > 06b </ item >
  </ federalExemptionsExclusions >
- < typeOfFiling >
- < newOrAmendment >
  < isAmendment > true </ isAmendment >
  < previousAccessionNumber > 0001744213-18-000002 </ previousAccessionNumber >
  </ newOrAmendment >
- < dateOfFirstSale >
  < value > 2018-08-22 </ value >
  </ dateOfFirstSale >
  </ typeOfFiling >
- < durationOfOffering >
  < moreThanOneYear > false </ moreThanOneYear >
  </ durationOfOffering >
- < typesOfSecuritiesOffered >
  < isEquityType > true </ isEquityType >
  </ typesOfSecuritiesOffered >
- < businessCombinationTransaction >
  < isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >
  < clarificationOfResponse />
  </ businessCombinationTransaction >
  < minimumInvestmentAccepted > 5000 </ minimumInvestmentAccepted >
- < salesCompensationList >
- < recipient >
  < recipientName > JCC Advisors, LLC </ recipientName >
  < recipientCRDNumber > 146776 </ recipientCRDNumber >
  < associatedBDName > None </ associatedBDName >
  < associatedBDCRDNumber > None </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 3012 Ivy Glenn Drive </ street1 >
  < street2 > Suite 180 </ street2 >
  < city > Laguna Niguel </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92677 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < value > All States </ value >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > 1st Global Capital Corp </ recipientName >
  < recipientCRDNumber > 30349 </ recipientCRDNumber >
  < associatedBDName > None </ associatedBDName >
  < associatedBDCRDNumber > None </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 12750 Merit Drive </ street1 >
  < city > Dallas </ city >
  < stateOrCountry > TX </ stateOrCountry >
  < stateOrCountryDescription > TEXAS </ stateOrCountryDescription >
  < zipCode > 18487 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > AZ </ state >
  < description > ARIZONA </ description >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > GA </ state >
  < description > GEORGIA </ description >
  < state > NC </ state >
  < description > NORTH CAROLINA </ description >
  < state > OH </ state >
  < description > OHIO </ description >
  < state > PA </ state >
  < description > PENNSYLVANIA </ description >
  < state > TX </ state >
  < description > TEXAS </ description >
  < state > VA </ state >
  < description > VIRGINIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Adam Mark </ recipientName >
  < recipientCRDNumber > 5565839 </ recipientCRDNumber >
  < associatedBDName > American Portfolios </ associatedBDName >
  < associatedBDCRDNumber > 18487 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2000 Winton Rd So </ street1 >
  < street2 > Building 4A Suite 206 </ street2 >
  < city > Rochester </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 14613 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NY </ state >
  < description > NEW YORK </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Douglas Schiffmiller </ recipientName >
  < recipientCRDNumber > 4222388 </ recipientCRDNumber >
  < associatedBDName > American Portfolios </ associatedBDName >
  < associatedBDCRDNumber > 18487 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 9712 3rd Avenue </ street1 >
  < street2 > 1st Fl </ street2 >
  < city > Brooklyn </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 11209 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > FL </ state >
  < description > FLORIDA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Nick Garry </ recipientName >
  < recipientCRDNumber > 5020445 </ recipientCRDNumber >
  < associatedBDName > American Portfolios </ associatedBDName >
  < associatedBDCRDNumber > 18487 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 5015 S. Western </ street1 >
  < street2 > Suite 250 </ street2 >
  < city > Sioux Falls </ city >
  < stateOrCountry > SD </ stateOrCountry >
  < stateOrCountryDescription > SOUTH DAKOTA </ stateOrCountryDescription >
  < zipCode > 57108 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MN </ state >
  < description > MINNESOTA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Patricica F McNeilly </ recipientName >
  < recipientCRDNumber > 724612 </ recipientCRDNumber >
  < associatedBDName > American Portfolios </ associatedBDName >
  < associatedBDCRDNumber > 18487 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 36 Hamilton Road </ street1 >
  < street2 > Suite 4A </ street2 >
  < city > Glen Ridge </ city >
  < stateOrCountry > NJ </ stateOrCountry >
  < stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >
  < zipCode > 07028 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Ameritas Investment Corp </ recipientName >
  < recipientCRDNumber > 14869 </ recipientCRDNumber >
  < associatedBDName > None </ associatedBDName >
  < associatedBDCRDNumber > None </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 5900 "O" Street </ street1 >
  < city > Lincoln </ city >
  < stateOrCountry > NE </ stateOrCountry >
  < stateOrCountryDescription > NEBRASKA </ stateOrCountryDescription >
  < zipCode > 68510 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CO </ state >
  < description > COLORADO </ description >
  < state > IN </ state >
  < description > INDIANA </ description >
  < state > MO </ state >
  < description > MISSOURI </ description >
  < state > NE </ state >
  < description > NEBRASKA </ description >
  < state > SD </ state >
  < description > SOUTH DAKOTA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Jeffrey Bangerter </ recipientName >
  < recipientCRDNumber > 1687028 </ recipientCRDNumber >
  < associatedBDName > Berthel Fisher </ associatedBDName >
  < associatedBDCRDNumber > 13609 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 777 Greenbook Lane </ street1 >
  < street2 > Suite 206 </ street2 >
  < city > Citrus Heights </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 95610 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Robert Hardcastle </ recipientName >
  < recipientCRDNumber > 1101791 </ recipientCRDNumber >
  < associatedBDName > Berthel Fisher </ associatedBDName >
  < associatedBDCRDNumber > 13609 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 16100 Chesterfield Pkwy W </ street1 >
  < street2 > Suite 150 </ street2 >
  < city > Chesterfield </ city >
  < stateOrCountry > MO </ stateOrCountry >
  < stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >
  < zipCode > 63017 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > IL </ state >
  < description > ILLINOIS </ description >
  < state > MO </ state >
  < description > MISSOURI </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Marc Seeherman </ recipientName >
  < recipientCRDNumber > 1131557 </ recipientCRDNumber >
  < associatedBDName > Calton & Associates </ associatedBDName >
  < associatedBDCRDNumber > 20999 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 32 W 40th Street </ street1 >
  < street2 > 2nd Fl </ street2 >
  < city > New York </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 10018 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > FL </ state >
  < description > FLORIDA </ description >
  < state > NJ </ state >
  < description > NEW JERSEY </ description >
  < state > NY </ state >
  < description > NEW YORK </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Gordon Asahara </ recipientName >
  < recipientCRDNumber > 4508110 </ recipientCRDNumber >
  < associatedBDName > Centaurus Financial </ associatedBDName >
  < associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 9 N. Pavahi Street </ street1 >
  < street2 > Suite 200 </ street2 >
  < city > Honolulu </ city >
  < stateOrCountry > HI </ stateOrCountry >
  < stateOrCountryDescription > HAWAII </ stateOrCountryDescription >
  < zipCode > 96817 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > HI </ state >
  < description > HAWAII </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Jane Prugsanapan </ recipientName >
  < recipientCRDNumber > 5270442 </ recipientCRDNumber >
  < associatedBDName > Centaurus Financial </ associatedBDName >
  < associatedBDCRDNumber > 5270442 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 510 De Carli Court </ street1 >
  < 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 > Otto Bohon </ recipientName >
  < recipientCRDNumber > 5677597 </ recipientCRDNumber >
  < associatedBDName > Centaurus Financial </ associatedBDName >
  < associatedBDCRDNumber > 30833 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1660 E. River Drive </ street1 >
  < street2 > Suite 180 </ street2 >
  < city > Tucson </ city >
  < stateOrCountry > AZ </ stateOrCountry >
  < stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >
  < zipCode > 85712 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > AZ </ state >
  < description > ARIZONA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > John Austin </ recipientName >
  < recipientCRDNumber > 844826 </ recipientCRDNumber >
  < associatedBDName > Cetera Advisor Networks </ associatedBDName >
  < associatedBDCRDNumber > 13572 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 21840 New Hampshire Ave </ street1 >
  < city > Brookville </ city >
  < stateOrCountry > MD </ stateOrCountry >
  < stateOrCountryDescription > MARYLAND </ stateOrCountryDescription >
  < zipCode > 20833 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > VA </ state >
  < description > VIRGINIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Pamela Dumonceau </ recipientName >
  < recipientCRDNumber > 1291675 </ recipientCRDNumber >
  < associatedBDName > Cetera Advisor Networks </ associatedBDName >
  < associatedBDCRDNumber > 13572 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1120 N. Causeway Rd </ street1 >
  < street2 > Suite 4 </ street2 >
  < city > Mandeville </ city >
  < stateOrCountry > LA </ stateOrCountry >
  < stateOrCountryDescription > LOUISIANA </ stateOrCountryDescription >
  < zipCode > 70471 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CO </ state >
  < description > COLORADO </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Thomas Baumler </ recipientName >
  < recipientCRDNumber > 1283960 </ recipientCRDNumber >
  < associatedBDName > Cetera Avisor Networks </ associatedBDName >
  < associatedBDCRDNumber > 13572 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1120 N. Causeway Rd </ street1 >
  < street2 > Suite 4 </ street2 >
  < city > Mandeville </ city >
  < stateOrCountry > M7 </ stateOrCountry >
  < stateOrCountryDescription > LAO PEOPLE'S DEMOCRATIC REPUBLIC </ stateOrCountryDescription >
  < zipCode > 70471 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CO </ state >
  < description > COLORADO </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Jeff Chapman </ recipientName >
  < recipientCRDNumber > 2493705 </ recipientCRDNumber >
  < associatedBDName > Cetera Advisors </ associatedBDName >
  < associatedBDCRDNumber > 10299 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1758 Penfield Rd </ street1 >
  < city > Penfield </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 14526 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > FL </ state >
  < description > FLORIDA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Steven Alexander </ recipientName >
  < recipientCRDNumber > 2737576 </ recipientCRDNumber >
  < associatedBDName > Cetera Advisors </ associatedBDName >
  < associatedBDCRDNumber > 10299 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1758 Penfield Rd </ street1 >
  < city > Penfield </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 14526 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > FL </ state >
  < description > FLORIDA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Jeffrey Swearingen </ recipientName >
  < recipientCRDNumber > 4802236 </ recipientCRDNumber >
  < associatedBDName > Cetera Advisors </ associatedBDName >
  < associatedBDCRDNumber > 10290 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2100 S. Utica St </ street1 >
  < street2 > Suite 300 </ street2 >
  < city > Tulsa </ city >
  < stateOrCountry > OK </ stateOrCountry >
  < stateOrCountryDescription > OKLAHOMA </ stateOrCountryDescription >
  < zipCode > 74114 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > TX </ state >
  < description > TEXAS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Frank Chauner </ recipientName >
  < recipientCRDNumber > 735725 </ recipientCRDNumber >
  < associatedBDName > Chauner Securities </ associatedBDName >
  < associatedBDCRDNumber > 10075 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 666 Dundee Rd </ street1 >
  < street2 > Suite 903 </ 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 >
- < recipient >
  < recipientName > Gil Sabatka </ recipientName >
  < recipientCRDNumber > 1229982 </ recipientCRDNumber >
  < associatedBDName > Client One Securities </ associatedBDName >
  < associatedBDCRDNumber > 152974 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 227 Southwind Pl </ street1 >
  < city > Manhattan </ city >
  < stateOrCountry > KS </ stateOrCountry >
  < stateOrCountryDescription > KANSAS </ stateOrCountryDescription >
  < zipCode > 66503 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > KS </ state >
  < description > KANSAS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Eric Amundson </ recipientName >
  < recipientCRDNumber > 44575908 </ recipientCRDNumber >
  < associatedBDName > Concorde Investment Services </ associatedBDName >
  < associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 14749 Westerly Pl </ street1 >
  < city > Chesterfield </ city >
  < stateOrCountry > MO </ stateOrCountry >
  < stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >
  < zipCode > 63017 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MO </ state >
  < description > MISSOURI </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Robin Edgar </ recipientName >
  < recipientCRDNumber > 2017918 </ recipientCRDNumber >
  < associatedBDName > Concorde Investment Services </ associatedBDName >
  < associatedBDCRDNumber > 151604 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 13911 Ridgedale Dr </ street1 >
  < street2 > Suite 375 </ street2 >
  < city > Minnesota </ city >
  < stateOrCountry > MN </ stateOrCountry >
  < stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >
  < zipCode > 55305 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > IA </ state >
  < description > IOWA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Crown Capital Securities </ recipientName >
  < recipientCRDNumber > 6312 </ recipientCRDNumber >
  < associatedBDName > None </ associatedBDName >
  < associatedBDCRDNumber > None </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 725 Town & Country Rd </ 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 >
  < state > NV </ state >
  < description > NEVADA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > First Allied Securities </ recipientName >
  < recipientCRDNumber > 32444 </ recipientCRDNumber >
  < associatedBDName > None </ associatedBDName >
  < associatedBDCRDNumber > None </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 655 Broadway </ street1 >
  < street2 > 12th Fl </ street2 >
  < city > San Diego </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92101 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > AZ </ state >
  < description > ARIZONA </ description >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > IL </ state >
  < description > ILLINOIS </ description >
  < state > IN </ state >
  < description > INDIANA </ description >
  < state > MI </ state >
  < description > MICHIGAN </ description >
  < state > NJ </ state >
  < description > NEW JERSEY </ description >
  < state > TX </ state >
  < description > TEXAS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Jason Freeman </ recipientName >
  < recipientCRDNumber > 2995587 </ recipientCRDNumber >
  < associatedBDName > International Assets Advisory </ associatedBDName >
  < associatedBDCRDNumber > 10645 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 8 Pelham Rd </ street1 >
  < city > Greenville </ city >
  < stateOrCountry > SC </ stateOrCountry >
  < stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >
  < zipCode > 29615 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > SC </ state >
  < description > SOUTH CAROLINA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Independant Financial Corp </ recipientName >
  < recipientCRDNumber > 7717 </ recipientCRDNumber >
  < associatedBDName > None </ associatedBDName >
  < associatedBDCRDNumber > None </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 12671 High Bluff Dr </ street1 >
  < street2 > Suite 200 </ street2 >
  < city > San Diego </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92130 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > AZ </ state >
  < description > ARIZONA </ description >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > FL </ state >
  < description > FLORIDA </ description >
  < state > GA </ state >
  < description > GEORGIA </ description >
  < state > ID </ state >
  < description > IDAHO </ description >
  < state > LA </ state >
  < description > LOUISIANA </ description >
  < state > MD </ state >
  < description > MARYLAND </ description >
  < state > MI </ state >
  < description > MICHIGAN </ description >
  < state > MN </ state >
  < description > MINNESOTA </ description >
  < state > NV </ state >
  < description > NEVADA </ description >
  < state > NJ </ state >
  < description > NEW JERSEY </ description >
  < state > NY </ state >
  < description > NEW YORK </ description >
  < state > PA </ state >
  < description > PENNSYLVANIA </ description >
  < state > TX </ state >
  < description > TEXAS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Kalos Capital Inc </ recipientName >
  < recipientCRDNumber > 44337 </ recipientCRDNumber >
  < associatedBDName > None </ associatedBDName >
  < associatedBDCRDNumber > None </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 11525 Park Woods Circ </ street1 >
  < street2 > Suite 280 </ street2 >
  < city > Alpharetta </ city >
  < stateOrCountry > GA </ stateOrCountry >
  < stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >
  < zipCode > 30005 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MI </ state >
  < description > MICHIGAN </ description >
  < state > MO </ state >
  < description > MISSOURI </ description >
  < state > NJ </ state >
  < description > NEW JERSEY </ description >
  < state > OH </ state >
  < description > OHIO </ description >
  < state > OK </ state >
  < description > OKLAHOMA </ description >
  < state > TN </ state >
  < description > TENNESSEE </ description >
  < state > VA </ state >
  < description > VIRGINIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Landlot Securities </ recipientName >
  < recipientCRDNumber > 28352 </ recipientCRDNumber >
  < associatedBDName > Noel Bragg </ associatedBDName >
  < associatedBDCRDNumber > 1175231 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 41412 N. Highway 83 </ street1 >
  < city > Antioch </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60002 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > HI </ state >
  < description > HAWAII </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > John Michael Hose III </ recipientName >
  < recipientCRDNumber > 5824275 </ recipientCRDNumber >
  < associatedBDName > Madison Avenue Securities </ associatedBDName >
  < associatedBDCRDNumber > 23224 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 11414 Williamsport Pike </ street1 >
  < city > Greencastle </ city >
  < stateOrCountry > PA </ stateOrCountry >
  < stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >
  < zipCode > 17225 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > VA </ state >
  < description > VIRGINIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Gelnn Fiocca </ recipientName >
  < recipientCRDNumber > 2566013 </ recipientCRDNumber >
  < associatedBDName > Newbridge Securities </ associatedBDName >
  < associatedBDCRDNumber > 140605 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 6800 Jericho Turnpike </ street1 >
  < street2 > Suite 204E </ street2 >
  < city > Syosset </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 11791 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NY </ state >
  < description > NEW YORK </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Nicholas Giallourakis </ recipientName >
  < recipientCRDNumber > 4496285 </ recipientCRDNumber >
  < associatedBDName > Newbridge Securities </ associatedBDName >
  < associatedBDCRDNumber > 14605 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 5200 Town Center Circ </ street1 >
  < street2 > Suite 306 </ street2 >
  < city > Boca Raton </ city >
  < stateOrCountry > FL </ stateOrCountry >
  < stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >
  < zipCode > 33486 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > IL </ state >
  < description > ILLINOIS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Bo Wang </ recipientName >
  < recipientCRDNumber > 2394019 </ recipientCRDNumber >
  < associatedBDName > Ni Advisors </ associatedBDName >
  < associatedBDCRDNumber > 134502 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 16 Halls Mill Rd </ street1 >
  < city > Asbury </ city >
  < stateOrCountry > NJ </ stateOrCountry >
  < stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >
  < zipCode > 08802 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NJ </ state >
  < description > NEW JERSEY </ description >
  < state > PA </ state >
  < description > PENNSYLVANIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Neeraj Bhatia </ recipientName >
  < recipientCRDNumber > 4901986 </ recipientCRDNumber >
  < associatedBDName > Ni Advisors </ associatedBDName >
  < associatedBDCRDNumber > 134502 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1138 Cadillac Court </ street1 >
  < city > Milpitas </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 95035 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MI </ state >
  < description > MICHIGAN </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Sui Hock Goy </ recipientName >
  < recipientCRDNumber > 2821380 </ recipientCRDNumber >
  < associatedBDName > Ni Advisors </ associatedBDName >
  < associatedBDCRDNumber > 134502 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1138 Cadillac Court </ street1 >
  < city > Milpitas </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 95035 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Blayne Andersen </ recipientName >
  < recipientCRDNumber > 5727397 </ recipientCRDNumber >
  < associatedBDName > Parkland Securities </ associatedBDName >
  < associatedBDCRDNumber > 115368 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 810 Pancheri Drive </ street1 >
  < city > Idaho Falls </ city >
  < stateOrCountry > ID </ stateOrCountry >
  < stateOrCountryDescription > IDAHO </ stateOrCountryDescription >
  < zipCode > 83402 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > ID </ state >
  < description > IDAHO </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Josh Griffin </ recipientName >
  < recipientCRDNumber > 4664355 </ recipientCRDNumber >
  < associatedBDName > Parkland Securities </ associatedBDName >
  < associatedBDCRDNumber > 115368 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 6312 S. Fiddlers Green Circ </ street1 >
  < street2 > 300E </ street2 >
  < city > Greenwood Village </ city >
  < stateOrCountry > CO </ stateOrCountry >
  < stateOrCountryDescription > COLORADO </ stateOrCountryDescription >
  < zipCode > 80111 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MI </ state >
  < description > MICHIGAN </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Christopher Jacob </ recipientName >
  < recipientCRDNumber > 1501352 </ recipientCRDNumber >
  < associatedBDName > Saxony Securities </ associatedBDName >
  < associatedBDCRDNumber > 115547 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 425 S. Woodsmill Rd </ street1 >
  < street2 > Suite 290 </ street2 >
  < city > Chesterfield </ city >
  < stateOrCountry > MD </ stateOrCountry >
  < stateOrCountryDescription > MARYLAND </ stateOrCountryDescription >
  < zipCode > 63017 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MO </ state >
  < description > MISSOURI </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Josette Smith </ recipientName >
  < recipientCRDNumber > 4403152 </ recipientCRDNumber >
  < associatedBDName > The Strategic Financial Alliance </ associatedBDName >
  < associatedBDCRDNumber > 126514 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2217 Princess Anne Street </ street1 >
  < street2 > Suite 106-1P </ street2 >
  < city > Fredicksburg </ city >
  < stateOrCountry > VA </ stateOrCountry >
  < stateOrCountryDescription > VIRGINIA </ stateOrCountryDescription >
  < zipCode > 22401 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > VA </ state >
  < description > VIRGINIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Roger Sulhoff </ recipientName >
  < recipientCRDNumber > 1057321 </ recipientCRDNumber >
  < associatedBDName > The Strategic Financial Alliance </ associatedBDName >
  < associatedBDCRDNumber > 126514 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 329 Oak Street </ street1 >
  < street2 > Suite 201 </ street2 >
  < city > Gainsville </ city >
  < stateOrCountry > GA </ stateOrCountry >
  < stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >
  < zipCode > 30501 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > GA </ state >
  < description > GEORGIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Richard Young </ recipientName >
  < recipientCRDNumber > 2447198 </ recipientCRDNumber >
  < associatedBDName > The Strategic Financial Alliance </ associatedBDName >
  < associatedBDCRDNumber > 126514 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 329 Oak Street </ street1 >
  < street2 > Suite 201 </ street2 >
  < city > Gainsville </ city >
  < stateOrCountry > GA </ stateOrCountry >
  < stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >
  < zipCode > 30501 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > GA </ state >
  < description > GEORGIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Kristine Howell </ recipientName >
  < recipientCRDNumber > 2214295 </ recipientCRDNumber >
  < associatedBDName > Sigma Financial Corp </ associatedBDName >
  < associatedBDCRDNumber > 14303 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 191 North Avenue </ street1 >
  < street2 > Suite E </ street2 >
  < city > Mountain Clemens </ city >
  < stateOrCountry > MI </ stateOrCountry >
  < stateOrCountryDescription > MICHIGAN </ stateOrCountryDescription >
  < zipCode > 48043 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MI </ state >
  < description > MICHIGAN </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Louis Lobe </ recipientName >
  < recipientCRDNumber > 4314972 </ recipientCRDNumber >
  < associatedBDName > Sigma Financial Corp </ associatedBDName >
  < associatedBDCRDNumber > 14303 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 3575 Koger Blvd </ street1 >
  < street2 > Suite 118 </ street2 >
  < city > Duluth </ city >
  < stateOrCountry > GA </ stateOrCountry >
  < stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >
  < zipCode > 30096 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > GA </ state >
  < description > GEORGIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Matt McDonald </ recipientName >
  < recipientCRDNumber > 2837629 </ recipientCRDNumber >
  < associatedBDName > Sigma Financial Corp </ associatedBDName >
  < associatedBDCRDNumber > 14303 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 126 Walled Lake Drive </ street1 >
  < city > Walled Lake </ city >
  < stateOrCountry > MI </ stateOrCountry >
  < stateOrCountryDescription > MICHIGAN </ stateOrCountryDescription >
  < zipCode > 48390 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MI </ state >
  < description > MICHIGAN </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Summit Brokerage Services </ recipientName >
  < recipientCRDNumber > 34643 </ recipientCRDNumber >
  < associatedBDName > None </ associatedBDName >
  < associatedBDCRDNumber > None </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 595 S. Federal Highway </ street1 >
  < street2 > suite 500 </ street2 >
  < city > Boca Raton </ city >
  < stateOrCountry > FL </ stateOrCountry >
  < stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >
  < zipCode > 33432 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > AL </ state >
  < description > ALABAMA </ description >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > CO </ state >
  < description > COLORADO </ description >
  < state > DE </ state >
  < description > DELAWARE </ description >
  < state > FL </ state >
  < description > FLORIDA </ description >
  < state > MD </ state >
  < description > MARYLAND </ description >
  < state > VA </ state >
  < description > VIRGINIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > United Planners Fin Serv </ recipientName >
  < recipientCRDNumber > 20804 </ recipientCRDNumber >
  < associatedBDName > None </ associatedBDName >
  < associatedBDCRDNumber > None </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 733 E Doubletree Ranch </ street1 >
  < street2 > #120 </ street2 >
  < city > Scottsdale </ city >
  < stateOrCountry > AZ </ stateOrCountry >
  < stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >
  < zipCode > 85258 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > AZ </ state >
  < description > ARIZONA </ description >
  < state > IA </ state >
  < description > IOWA </ description >
  < state > MI </ state >
  < description > MICHIGAN </ description >
  < state > MO </ state >
  < description > MISSOURI </ description >
  < state > UT </ state >
  < description > UTAH </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Thomas Nixon </ recipientName >
  < recipientCRDNumber > 833930 </ recipientCRDNumber >
  < associatedBDName > Trustmont Fin Grp </ associatedBDName >
  < associatedBDCRDNumber > 18312 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 200 Brush Run Road </ street1 >
  < street2 > Suite A </ street2 >
  < city > Greensburg </ city >
  < stateOrCountry > PA </ stateOrCountry >
  < stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >
  < zipCode > 15601 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NY </ state >
  < description > NEW YORK </ description >
  < state > PA </ state >
  < description > PENNSYLVANIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Thomas Nixon </ recipientName >
  < recipientCRDNumber > 833930 </ recipientCRDNumber >
  < associatedBDName > Peter Elish Inv </ associatedBDName >
  < associatedBDCRDNumber > 24409 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 200 Brush Run Rd </ street1 >
  < street2 > Suite A </ street2 >
  < city > Greensburg </ city >
  < stateOrCountry > PA </ stateOrCountry >
  < stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >
  < zipCode > 15601 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > PA </ state >
  < description > PENNSYLVANIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Christopher Dukes </ recipientName >
  < recipientCRDNumber > 4712873 </ recipientCRDNumber >
  < associatedBDName > Westpark Capital </ associatedBDName >
  < associatedBDCRDNumber > 39914 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 650 S. Westlake Rd </ street1 >
  < street2 > Suite 205 </ street2 >
  < city > Thousand Oaks </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 91362 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > David Levinson </ recipientName >
  < recipientCRDNumber > 705929 </ recipientCRDNumber >
  < associatedBDName > Westpark Capital </ associatedBDName >
  < associatedBDCRDNumber > 39914 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1600 Dove St </ street1 >
  < street2 > Suite 250 </ street2 >
  < city > Newpoart Beach </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92660 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Patrick Morehead </ recipientName >
  < recipientCRDNumber > 6661646 </ recipientCRDNumber >
  < associatedBDName > Westpark Capital </ associatedBDName >
  < associatedBDCRDNumber > 39914 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 8107 Loyola Blvd </ street1 >
  < city > Los Angeles </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 90045 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
  </ salesCompensationList >
- < offeringSalesAmounts >
  < totalOfferingAmount > 56421490 </ totalOfferingAmount >
  < totalAmountSold > 23386900 </ totalAmountSold >
  < totalRemaining > 33034590 </ totalRemaining >
  < clarificationOfResponse />
  </ offeringSalesAmounts >
- < investors >
  < hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >
  < totalNumberAlreadyInvested > 297 </ totalNumberAlreadyInvested >
  </ investors >
- < salesCommissionsFindersFees >
- < salesCommissions >
  < dollarAmount > 1710572 </ dollarAmount >
  </ salesCommissions >
- < findersFees >
  < dollarAmount > 0 </ dollarAmount >
  </ findersFees >
  < clarificationOfResponse />
  </ salesCommissionsFindersFees >
- < useOfProceeds >
- < grossProceedsUsed >
  < dollarAmount > 1552950 </ dollarAmount >
  </ grossProceedsUsed >
  < clarificationOfResponse > The managing general partner received an Engineering and Completion Fee in the amount stated above. </ clarificationOfResponse >
  </ useOfProceeds >
- < signatureBlock >
  < authorizedRepresentative > false </ authorizedRepresentative >
- < signature >
  < issuerName > APX New Harmony Partners-C, LP </ issuerName >
  < signatureName > David Cohen </ signatureName >
  < nameOfSigner > David Cohen </ nameOfSigner >
  < signatureTitle > VP, APX Energy, LLC, MGP </ signatureTitle >
  < signatureDate > 2019-01-29 </ signatureDate >
  </ signature >
  </ signatureBlock >
  </ offeringData >
  </ edgarSubmission >
Edgar Posted: Jan. 29, 2019
EFD Posted: Jan. 29, 2019