Form D Raw Data - Electronic Filing Depository

EFDID: 283941EFD: Raw Data

Issuer: Healthcare Portfolio V DST (0001754156) - D/A

Accession: 0001754156-18-000002 () (EDGAR Files) (Form D)

Edgar Posted: Oct. 17, 2018
EFD Posted: Oct. 17, 2018

- < edgarSubmission >

< schemaVersion > X0708 </ schemaVersion >

< submissionType > D/A </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001754156 </ cik >

< entityName > Healthcare Portfolio V DST </ entityName >

- < issuerAddress >

< street1 > 2901 BUTTERFIELD ROAD </ street1 >

< city > OAK BROOK </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60523 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 8886711031 </ issuerPhoneNumber >

< jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Business Trust </ entityType >

- < yearOfInc >

< withinFiveYears > true </ withinFiveYears >

< value > 2018 </ value >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > N/A </ firstName >

< lastName > Inland Private Capital Corporation </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 2901 Butterfield Road </ street1 >

< city > Oak Brook </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60523 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Promoter </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Sponsor of the Issuer </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > N/A </ firstName >

< lastName > Healthcare Portfolio V, L.L.C. </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 2901 Butterfield Road </ street1 >

< city > Oak Brook </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60523 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Promoter </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Depositor of the Issuer </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > N/A </ firstName >

< lastName > Healthcare Portfolio V Exchange, L.L.C. </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 2901 Butterfield Road </ street1 >

< city > Oak Brook </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60523 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Promoter </ relationship >

</ relatedPersonRelationshipList >

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

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Keith </ firstName >

< lastName > Lampi </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 2901 Butterfield Road </ street1 >

< city > Oak Brook </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60523 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Mr. Lampi is the President of Inland Private Capital Corporation, the Member of Healthcare Portfolio V Exchange. L.L.C, the Signatory Trustee of Issuer. </ relationshipClarification >

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Other Real Estate </ industryGroupType >

</ industryGroup >

- < issuerSize >

< revenueRange > Decline to Disclose </ revenueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06b </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > true </ isAmendment >

< previousAccessionNumber > 0001754156-18-000001 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2018-08-29 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > false </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isOtherType > true </ isOtherType >

< descriptionOfOtherType > Beneficial interests in Delaware Statutory Trust reflecting beneficial interests in real estate. </ descriptionOfOtherType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 25000 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > RCX CAPITAL GROUP, LLC </ recipientName >

< recipientCRDNumber > 114290 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ 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 >

- < statesOfSolicitationList >

< state > IL </ state >

< description > ILLINOIS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Bruce Wellings </ recipientName >

< recipientCRDNumber > 4436815 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 695 OAK GROVE AVENUE SUITE 100 </ street1 >

< city > MENLO PARK </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94025 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< 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 > 819 North Harbor Drive Suite 400 </ street1 >

< city > Redondo Beach </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90277 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Daniel Nemeth </ recipientName >

< recipientCRDNumber > 6150953 </ recipientCRDNumber >

< associatedBDName > MCDERMOTT INVESTMENT SERVICES, LLC </ associatedBDName >

< associatedBDCRDNumber > 154926 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 44 EAST BROAD STREET 2ND FLOOR </ street1 >

< city > BETHLEHEM </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 18018 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > David Eurton </ recipientName >

< recipientCRDNumber > 3203522 </ recipientCRDNumber >

< associatedBDName > WESTPARK CAPITAL, INC. </ associatedBDName >

< associatedBDCRDNumber > 39914 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1600 Dove Street Suite 250 </ street1 >

< city > Newport Beach </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92660 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > David Levinson </ recipientName >

< recipientCRDNumber > 705929 </ recipientCRDNumber >

< associatedBDName > WESTPARK CAPITAL, INC. </ associatedBDName >

< associatedBDCRDNumber > 39914 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1600 Dove Street Suite 250 </ street1 >

< city > Newport Beach </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92660 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > KY </ state >

< description > KENTUCKY </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Elizabeth Friant </ recipientName >

< recipientCRDNumber > 2122446 </ recipientCRDNumber >

< associatedBDName > WEALTHFORGE SECURITIES, LLC </ associatedBDName >

< associatedBDCRDNumber > 152550 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1101 Pennsylvania Avenue N.W. Suite 300 </ street1 >

< city > Washington, D.C. </ city >

< stateOrCountry > DC </ stateOrCountry >

< stateOrCountryDescription > DISTRICT OF COLUMBIA </ stateOrCountryDescription >

< zipCode > 20004 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > CONCORDE INVESTMENT SERVICES, LLC </ recipientName >

< recipientCRDNumber > 151604 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 300 MONTOMERY STREET SUITE 631 </ street1 >

< city > SAN FRANCISCO </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94101 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > ID </ state >

< description > IDAHO </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > NC </ state >

< description > NORTH CAROLINA </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Kurt Hill </ recipientName >

< recipientCRDNumber > 4140227 </ recipientCRDNumber >

< associatedBDName > CFD INVESTMENTS, INC. </ associatedBDName >

< associatedBDCRDNumber > 25427 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 25 Garnsey Ave </ street1 >

< city > Bakersfield </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93309 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Marla Ringling </ recipientName >

< recipientCRDNumber > 4084148 </ recipientCRDNumber >

< associatedBDName > CAMBRIDGE INVESTMENT RESEARCH, INC. </ associatedBDName >

< associatedBDCRDNumber > 39543 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 802 N. LINCOLN ST. </ street1 >

< city > POST FALLS </ city >

< stateOrCountry > ID </ stateOrCountry >

< stateOrCountryDescription > IDAHO </ stateOrCountryDescription >

< zipCode > 83854 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > ID </ state >

< description > IDAHO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Matthew Myers </ recipientName >

< recipientCRDNumber > 2506930 </ recipientCRDNumber >

< associatedBDName > PRIVATE CLIENT SERVICES, LLC </ associatedBDName >

< associatedBDCRDNumber > 120222 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 10811 MAIN STREET </ street1 >

< city > BELLEVUE </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98004 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Neil Schmerling </ recipientName >

< recipientCRDNumber > 4075729 </ recipientCRDNumber >

< associatedBDName > 1ST GLOBAL CAPITAL CORP. </ associatedBDName >

< associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 261 OLD YORK ROAD SUITE 514 </ street1 >

< city > JENKINTOWN </ city >

< stateOrCountry > PA </ stateOrCountry >

< stateOrCountryDescription > PENNSYLVANIA </ stateOrCountryDescription >

< zipCode > 19046 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > PA </ state >

< description > PENNSYLVANIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Norma Nisbet </ recipientName >

< recipientCRDNumber > 5590290 </ recipientCRDNumber >

< associatedBDName > COLORADO FINANCIAL SERVICE CORPORATION </ associatedBDName >

< associatedBDCRDNumber > 104343 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 5649 HILLCAMP COURT </ street1 >

< city > ST LOUIS </ city >

< stateOrCountry > MO </ stateOrCountry >

< stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >

< zipCode > 63128 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MO </ state >

< description > MISSOURI </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Ronald York </ recipientName >

< recipientCRDNumber > 4308987 </ recipientCRDNumber >

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

< associatedBDCRDNumber > 25803 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4814 OUTLOOK DRIVE SUITE 104 </ street1 >

< city > WALL </ city >

< stateOrCountry > NJ </ stateOrCountry >

< stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >

< zipCode > 07753 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NJ </ state >

< description > NEW JERSEY </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Richard Berger </ recipientName >

< recipientCRDNumber > 702839 </ recipientCRDNumber >

< associatedBDName > TRIAD ADVISORS LLC </ associatedBDName >

< associatedBDCRDNumber > 25803 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4814 OUTLOOK DRIVE SUITE 104 </ street1 >

< city > WALL </ city >

< stateOrCountry > NJ </ stateOrCountry >

< stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >

< zipCode > 07753 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NJ </ state >

< description > NEW JERSEY </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Steven Tellar </ recipientName >

< recipientCRDNumber > 6012496 </ recipientCRDNumber >

< associatedBDName > AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. </ associatedBDName >

< associatedBDCRDNumber > 18487 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2 BRIDGEWATER ROAD SUITE 104 </ street1 >

< city > FARMINGTON </ city >

< stateOrCountry > CT </ stateOrCountry >

< stateOrCountryDescription > CONNECTICUT </ stateOrCountryDescription >

< zipCode > 06032 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > RI </ state >

< description > RHODE ISLAND </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Troy Thomas </ recipientName >

< recipientCRDNumber > 4691720 </ recipientCRDNumber >

< associatedBDName > MCDERMOTT INVESTMENT SERVICES, LLC </ associatedBDName >

< associatedBDCRDNumber > 154926 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 101 MAIN STREET SUITE 260 </ street1 >

< city > HUNTINGTON BEACH </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92648 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TX </ state >

< description > TEXAS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > KEVIN MICHAEL SWEENEY </ recipientName >

< recipientCRDNumber > 4281256 </ recipientCRDNumber >

< associatedBDName > 1ST GLOBAL CAPITAL CORP. </ associatedBDName >

< associatedBDCRDNumber > 30349 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3800 BLACKHAWK ROAD SUITE 100 </ street1 >

< city > DANVILLE </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94506 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > GARY EARL CONLEY </ recipientName >

< recipientCRDNumber > 52159 </ recipientCRDNumber >

< associatedBDName > AMERICAN INVESTORS COMPANY </ associatedBDName >

< associatedBDCRDNumber > 38 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1600 VALLEY RIVER DRIVE, SUITE 385 </ street1 >

< city > EUGENE </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97401 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MT </ state >

< description > MONTANA </ description >

< state > OR </ state >

< description > OREGON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > DAVID ALEXANDER VILENO </ recipientName >

< recipientCRDNumber > 5848435 </ recipientCRDNumber >

< associatedBDName > AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. </ associatedBDName >

< associatedBDCRDNumber > 18487 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1700 66th Street No Suite 209 </ street1 >

< city > St. Petersburg </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33710 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > SAMUEL A JULIAN </ recipientName >

< recipientCRDNumber > 4488869 </ recipientCRDNumber >

< associatedBDName > AUSDAL FINANCIAL PARTNERS, INC. </ associatedBDName >

< associatedBDCRDNumber > 7995 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 445 N. PENNSYLVANIA STREET, SUITE 810 </ street1 >

< city > INDIANAPOLIS </ city >

< stateOrCountry > IN </ stateOrCountry >

< stateOrCountryDescription > INDIANA </ stateOrCountryDescription >

< zipCode > 46204 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IN </ state >

< description > INDIANA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jeffrey Bangerter </ recipientName >

< recipientCRDNumber > 1687028 </ recipientCRDNumber >

< associatedBDName > BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. </ associatedBDName >

< associatedBDCRDNumber > 13609 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 7777 Greenback Lane Suite 206 </ street1 >

< 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 > SHANNON MICHAEL MARKLE </ recipientName >

< recipientCRDNumber > 4358151 </ recipientCRDNumber >

< associatedBDName > CAMBRIDGE INVESTMENT RESEARCH, INC. </ associatedBDName >

< associatedBDCRDNumber > 39543 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 506 S 21ST ST. Suite 101 </ street1 >

< city > LARAMIE </ city >

< stateOrCountry > WY </ stateOrCountry >

< stateOrCountryDescription > WYOMING </ stateOrCountryDescription >

< zipCode > 82070 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > ANN HOLLAND STEWART </ recipientName >

< recipientCRDNumber > 2388888 </ recipientCRDNumber >

< associatedBDName > CAMBRIDGE INVESTMENT RESEARCH, INC. </ associatedBDName >

< associatedBDCRDNumber > 39543 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2114 N. LINCOLN AVE. #206 </ street1 >

< city > LOVELAND </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80538 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > DANIEL MICHAEL MCDERMOTT </ recipientName >

< recipientCRDNumber > 1691317 </ recipientCRDNumber >

< associatedBDName > CAMBRIDGE INVESTMENT RESEARCH, INC. </ associatedBDName >

< associatedBDCRDNumber > 39543 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3520 SILVERSIDE RD STE 25 </ street1 >

< city > WILMINGTON </ city >

< stateOrCountry > DE </ stateOrCountry >

< stateOrCountryDescription > DELAWARE </ stateOrCountryDescription >

< zipCode > 19810 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > RYAN DAVID FINCH </ recipientName >

< recipientCRDNumber > 6379871 </ recipientCRDNumber >

< associatedBDName > COLORADO FINANCIAL SERVICE CORPORATION </ associatedBDName >

< associatedBDCRDNumber > 104343 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 7600 E Eastman Ave Suite 410 </ street1 >

< city > Denver </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80231 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > KERRI M SULLIVAN-KREISS </ recipientName >

< recipientCRDNumber > 2141713 </ recipientCRDNumber >

< associatedBDName > COMMONWEALTH FINANCIAL NETWORK </ associatedBDName >

< associatedBDCRDNumber > 8032 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 225 CEDAR HILL STREET SUITE 200 </ street1 >

< city > MARLBOROUGH </ city >

< stateOrCountry > MA </ stateOrCountry >

< stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >

< zipCode > 01752 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MA </ state >

< description > MASSACHUSETTS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > ADAM DANIEL GALLEGOS </ recipientName >

< recipientCRDNumber > 4444399 </ recipientCRDNumber >

< associatedBDName > COMMONWEALTH FINANCIAL NETWORK </ associatedBDName >

< associatedBDCRDNumber > 8032 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1312 9th Street </ street1 >

< city > BERKELEY </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94710 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > HIRO ROBERT KAGIYAMA </ recipientName >

< recipientCRDNumber > 5443419 </ recipientCRDNumber >

< associatedBDName > COMMONWEALTH FINANCIAL NETWORK </ associatedBDName >

< associatedBDCRDNumber > 8032 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1312 9th Street </ street1 >

< city > BERKELEY </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94710 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > MICHAEL DAVID FRANKLIN </ recipientName >

< recipientCRDNumber > 5390262 </ recipientCRDNumber >

< associatedBDName > DFPG INVESTMENTS, INC. </ associatedBDName >

< associatedBDCRDNumber > 155576 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 903 SPRINGWOOD LANE </ street1 >

< city > ENCINITAS </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92024 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > CRAIG KENNEDY SPAWN </ recipientName >

< recipientCRDNumber > 2247795 </ recipientCRDNumber >

< associatedBDName > HD VEST INVESTMENT SERVICES </ associatedBDName >

< associatedBDCRDNumber > 13686 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6016 Poplar Court </ street1 >

< city > Bellvue </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80512 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CO </ state >

< description > COLORADO </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > BARRY D MORRIS </ recipientName >

< recipientCRDNumber > 5622917 </ recipientCRDNumber >

< associatedBDName > HD VEST INVESTMENT SERVICES </ associatedBDName >

< associatedBDCRDNumber > 13686 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6016 Poplar Court </ street1 >

< city > Bellvue </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80512 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > NJ </ state >

< description > NEW JERSEY </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Jennifer Goralski </ recipientName >

< recipientCRDNumber > 6737853 </ recipientCRDNumber >

< associatedBDName > HARBOUR INVESTMENTS, INC. </ associatedBDName >

< associatedBDCRDNumber > 19258 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2198 E Camelback Rd. Ste 315 </ street1 >

< city > Phoenix </ city >

< stateOrCountry > AZ </ stateOrCountry >

< stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >

< zipCode > 85016 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > DANIEL TUAN KIEN LOY </ recipientName >

< recipientCRDNumber > 3029654 </ recipientCRDNumber >

< associatedBDName > INDEPENDENT FINANCIAL GROUP, LLC </ associatedBDName >

< associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 360 Fairview Way </ 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 > George Pitra </ recipientName >

< recipientCRDNumber > 2796552 </ recipientCRDNumber >

< associatedBDName > INDEPENDENT FINANCIAL GROUP, LLC </ associatedBDName >

< associatedBDCRDNumber > 7717 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 360 Fairview Way </ street1 >

< city > Milpitas </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95035 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > OK </ state >

< description > OKLAHOMA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > PATRICK ROBERT CONWAY </ recipientName >

< recipientCRDNumber > 1337831 </ recipientCRDNumber >

< associatedBDName > INVESTACORP, INC. </ associatedBDName >

< associatedBDCRDNumber > 7684 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2901 BUTTERFIELD RD. </ street1 >

< city > OAKBROOK </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60523 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > PETER DANIEL FISHER </ recipientName >

< recipientCRDNumber > 1259923 </ recipientCRDNumber >

< associatedBDName > INVESTACORP, INC. </ associatedBDName >

< associatedBDCRDNumber > 7684 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2901 BUTTERFIELD RD. </ street1 >

< city > OAKBROOK </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60523 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IL </ state >

< description > ILLINOIS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > RENA BONNIE MORRIS </ recipientName >

< recipientCRDNumber > 4867589 </ recipientCRDNumber >

< associatedBDName > LIGHTHOUSE CAPITAL GROUP, LLC </ associatedBDName >

< associatedBDCRDNumber > 169135 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1055 E. COLORADO BLVD., SUITE 310 </ street1 >

< city > PASADENA </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 91106 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > John Ferguson </ recipientName >

< recipientCRDNumber > 4947624 </ recipientCRDNumber >

< associatedBDName > LIGHTHOUSE CAPITAL GROUP, LLC </ associatedBDName >

< associatedBDCRDNumber > 169135 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1055 E. COLORADO BLVD., SUITE 310 </ street1 >

< city > PASADENA </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 91106 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > VA </ state >

< description > VIRGINIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Dan Werry </ recipientName >

< recipientCRDNumber > 4721789 </ recipientCRDNumber >

< associatedBDName > LIGHTHOUSE CAPITAL GROUP, LLC </ associatedBDName >

< associatedBDCRDNumber > 169135 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1055 E. COLORADO BLVD., SUITE 310 </ street1 >

< city > PASADENA </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 91106 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > PAUL M GETTY </ recipientName >

< recipientCRDNumber > 6470002 </ recipientCRDNumber >

< associatedBDName > LIGHTPATH CAPITAL, INC </ associatedBDName >

< associatedBDCRDNumber > 34617 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2025 Gateway Place, Ste. 485 </ street1 >

< city > San Jose </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95110 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > DAVID CLARK GOSSLING </ recipientName >

< recipientCRDNumber > 2545451 </ recipientCRDNumber >

< associatedBDName > LINCOLN FINANCIAL ADVISORS CORPORATION </ associatedBDName >

< associatedBDCRDNumber > 3978 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 4900 N SCOTTSDALE ROAD SUITE 3700 </ street1 >

< city > SCOTTSDALE </ city >

< stateOrCountry > AZ </ stateOrCountry >

< stateOrCountryDescription > ARIZONA </ stateOrCountryDescription >

< zipCode > 85251 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > WILLIAM HUGH BLACK </ recipientName >

< recipientCRDNumber > 709696 </ recipientCRDNumber >

< associatedBDName > LION STREET FINANCIAL, LLC </ associatedBDName >

< associatedBDCRDNumber > 165828 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 341 Cool Springs Blvd Ste 210 </ street1 >

< city > Franklin </ city >

< stateOrCountry > TN </ stateOrCountry >

< stateOrCountryDescription > TENNESSEE </ stateOrCountryDescription >

< zipCode > 37067 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > TN </ state >

< description > TENNESSEE </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Robert Alan Horning </ recipientName >

< recipientCRDNumber > 2311640 </ recipientCRDNumber >

< associatedBDName > MCDERMOTT INVESTMENT SERVICES, LLC </ associatedBDName >

< associatedBDCRDNumber > 154926 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6633 S. Halm Ave. </ street1 >

< city > Los Angeles </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90056 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > HUGO GRIMALDI </ recipientName >

< recipientCRDNumber > 4626118 </ recipientCRDNumber >

< associatedBDName > MONEY CONCEPTS CAPITAL CORP </ associatedBDName >

< associatedBDCRDNumber > 12963 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 8800 SE Sunnyside Road ste. 107n </ street1 >

< city > Clackamas </ city >

< stateOrCountry > OR </ stateOrCountry >

< stateOrCountryDescription > OREGON </ stateOrCountryDescription >

< zipCode > 97015 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > OR </ state >

< description > OREGON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > ERIC ARTHUR BICKNESE </ recipientName >

< recipientCRDNumber > 2829451 </ recipientCRDNumber >

< associatedBDName > NATIONWIDE PLANNING ASSOCIATES INC. </ associatedBDName >

< associatedBDCRDNumber > 31029 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 440 PARK AVENUE SOUTH 3RD FLOOR </ street1 >

< city > NEW YORK </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10016 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > CHRISTINA SUZANNE NIELSON </ recipientName >

< recipientCRDNumber > 4866971 </ recipientCRDNumber >

< associatedBDName > PRIMEX </ associatedBDName >

< associatedBDCRDNumber > 29394 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 650 Town Center Drive Suite 1400 </ street1 >

< city > COSTA MESA </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92626 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AZ </ state >

< description > ARIZONA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > SPENCER LUND WESTON </ recipientName >

< recipientCRDNumber > 1482772 </ recipientCRDNumber >

< associatedBDName > QUESTAR CAPITAL CORPORATION </ associatedBDName >

< associatedBDCRDNumber > 43100 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 3420 COACH LANE SUITE 3 </ street1 >

< city > CAMERON PARK </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95682 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > JOHN TARKINGTON CHRISTY </ recipientName >

< recipientCRDNumber > 4573758 </ recipientCRDNumber >

< associatedBDName > ROYAL ALLIANCE ASSOCIATES, INC. </ associatedBDName >

< associatedBDCRDNumber > 23131 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1535 WALNUT STREET SUITE 107 </ street1 >

< city > KANSAS CITY </ city >

< stateOrCountry > MO </ stateOrCountry >

< stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >

< zipCode > 64108 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MO </ state >

< description > MISSOURI </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > ANDREA JEAN WILT </ recipientName >

< recipientCRDNumber > 5902573 </ recipientCRDNumber >

< associatedBDName > ROYAL ALLIANCE ASSOCIATES, INC. </ associatedBDName >

< associatedBDCRDNumber > 23131 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1535 WALNUT STREET SUITE 107 </ street1 >

< city > KANSAS CITY </ city >

< stateOrCountry > MO </ stateOrCountry >

< stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >

< zipCode > 64108 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > MO </ state >

< description > MISSOURI </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > CONNIE LYNN HEIER </ recipientName >

< recipientCRDNumber > 4428370 </ recipientCRDNumber >

< associatedBDName > ROYAL ALLIANCE ASSOCIATES, INC. </ associatedBDName >

< associatedBDCRDNumber > 23131 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1535 WALNUT STREET SUITE 107 </ street1 >

< city > KANSAS CITY </ city >

< stateOrCountry > MO </ stateOrCountry >

< stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >

< zipCode > 64108 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > IL </ state >

< description > ILLINOIS </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > TIMOTHY JOHN SHERER </ recipientName >

< recipientCRDNumber > 833618 </ recipientCRDNumber >

< associatedBDName > SANDLAPPER SECURITIES, LLC </ associatedBDName >

< associatedBDCRDNumber > 137906 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 455 Los Gatos Blvd Suite 206 </ street1 >

< city > Los Gatos </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95032 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > RYAN JONATHAN SHERER </ recipientName >

< recipientCRDNumber > 5952617 </ recipientCRDNumber >

< associatedBDName > SANDLAPPER SECURITIES, LLC </ associatedBDName >

< associatedBDCRDNumber > 137906 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 455 Los Gatos Blvd Suite 206 </ street1 >

< city > Los Gatos </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 95032 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > TOMAS JUHAN VELKEN </ recipientName >

< recipientCRDNumber > 1600404 </ recipientCRDNumber >

< associatedBDName > SIGMA FINANCIAL CORPORATION </ associatedBDName >

< associatedBDCRDNumber > 14303 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1078 CAROL LANE #203 </ street1 >

< city > LAFAYETTE </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 94549 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > CA </ state >

< description > CALIFORNIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > JEFFREY JOHN MCKAY </ recipientName >

< recipientCRDNumber > 818303 </ recipientCRDNumber >

< associatedBDName > VOYA FINANCIAL ADVISORS, INC. </ associatedBDName >

< associatedBDCRDNumber > 2882 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 6000 SOUTHCENTER BLVD STE 70 </ street1 >

< city > TUKWILA </ city >

< stateOrCountry > WA </ stateOrCountry >

< stateOrCountryDescription > WASHINGTON </ stateOrCountryDescription >

< zipCode > 98188 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > JASON ANDREW SALMON </ recipientName >

< recipientCRDNumber > 6081963 </ recipientCRDNumber >

< associatedBDName > WEALTHFORGE SECURITIES, LLC </ associatedBDName >

< associatedBDCRDNumber > 152550 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 104 West 40th Street 5th Floor </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10018 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > FL </ state >

< description > FLORIDA </ description >

< state > GA </ state >

< description > GEORGIA </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 59879155 </ totalOfferingAmount >

< totalAmountSold > 39114786 </ totalAmountSold >

< totalRemaining > 20764369 </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 79 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 2993958 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse />

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 3589701 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ grossProceedsUsed >

< clarificationOfResponse > Estimate of certain fees, including the Dealer Fee, Placement Agent Fee, and offering and organizational expenses that may accrue to one or more Related Persons. </ clarificationOfResponse >

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > Healthcare Portfolio V DST </ issuerName >

< signatureName > Keith Lampi </ signatureName >

< nameOfSigner > Keith Lampi </ nameOfSigner >

< signatureTitle > President of the Sole Member of the Signatory Trustee of t </ signatureTitle >

< signatureDate > 2018-10-17 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >