EFDID: 363228EFD: Raw Data

Issuer: CX Evergreens at Mahan, DST (0001842343) - D/A

Accession: 0001842343-21-000008 () (EDGAREDGAR Files) (Form DForm D)

Edgar Posted: Apr. 1, 2021
EFD Posted: Apr. 1, 2021
- < edgarSubmission >
  < schemaVersion > X0708 </ schemaVersion >
  < submissionType > D/A </ submissionType >
  < testOrLive > LIVE </ testOrLive >
- < primaryIssuer >
  < cik > 0001842343 </ cik >
  < entityName > CX Evergreens at Mahan, DST </ entityName >
- < issuerAddress >
  < street1 > 4890 WEST KENNEDY BOULEVARD </ street1 >
  < street2 > SUITE 200 </ street2 >
  < city > TAMPA </ city >
  < stateOrCountry > FL </ stateOrCountry >
  < stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >
  < zipCode > 33609 </ zipCode >
  </ issuerAddress >
  < issuerPhoneNumber > (813) 281-1023 </ issuerPhoneNumber >
  < jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >
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  < value > None </ value >
  </ issuerPreviousNameList >
- < edgarPreviousNameList >
  < value > None </ value >
  </ edgarPreviousNameList >
  < entityType > Other </ entityType >
  < entityTypeOtherDesc > Delaware Statutory Trust </ entityTypeOtherDesc >
- < yearOfInc >
  < withinFiveYears > true </ withinFiveYears >
  < value > 2020 </ value >
  </ yearOfInc >
  </ primaryIssuer >
- < relatedPersonsList >
- < relatedPersonInfo >
- < relatedPersonName >
  < firstName > John </ firstName >
  < middleName > E. </ middleName >
  < lastName > Carter </ lastName >
  </ relatedPersonName >
- < relatedPersonAddress >
  < street1 > 4890 West Kennedy Boulevard </ street1 >
  < street2 > Suite 200 </ street2 >
  < city > Tampa </ city >
  < stateOrCountry > FL </ stateOrCountry >
  < stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >
  < zipCode > 33609 </ zipCode >
  </ relatedPersonAddress >
- < relatedPersonRelationshipList >
  < relationship > Executive Officer </ relationship >
  </ relatedPersonRelationshipList >
  < relationshipClarification > President of the Manager of the Issuer </ relationshipClarification >
  </ relatedPersonInfo >
- < relatedPersonInfo >
- < relatedPersonName >
  < firstName > N/A </ firstName >
  < lastName > Carter Exchange Fund Management Company, LLC </ lastName >
  </ relatedPersonName >
- < relatedPersonAddress >
  < street1 > 4890 West Kennedy Boulevard </ street1 >
  < street2 > Suite 200 </ street2 >
  < city > Tampa </ city >
  < stateOrCountry > FL </ stateOrCountry >
  < stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >
  < zipCode > 33609 </ zipCode >
  </ relatedPersonAddress >
- < relatedPersonRelationshipList >
  < relationship > Executive Officer </ relationship >
  </ relatedPersonRelationshipList >
  < relationshipClarification > Sponsor of the Issuer </ relationshipClarification >
  </ relatedPersonInfo >
- < relatedPersonInfo >
- < relatedPersonName >
  < firstName > N/A </ firstName >
  < lastName > CX Evergreens at Mahan Manager, LLC </ lastName >
  </ relatedPersonName >
- < relatedPersonAddress >
  < street1 > 4890 West Kennedy Boulevard </ street1 >
  < street2 > Suite 200 </ street2 >
  < city > Tampa </ city >
  < stateOrCountry > FL </ stateOrCountry >
  < stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >
  < zipCode > 33609 </ zipCode >
  </ relatedPersonAddress >
- < relatedPersonRelationshipList >
  < relationship > Executive Officer </ relationship >
  </ relatedPersonRelationshipList >
  < relationshipClarification > Manager and Signatory Trustee of the Issuer </ relationshipClarification >
  </ relatedPersonInfo >
- < relatedPersonInfo >
- < relatedPersonName >
  < firstName > N/A </ firstName >
  < lastName > CX Evergreens at Mahan Depositor, LLC </ lastName >
  </ relatedPersonName >
- < relatedPersonAddress >
  < street1 > 4890 West Kennedy Boulevard </ street1 >
  < street2 > Suite 200 </ street2 >
  < city > Tampa </ city >
  < stateOrCountry > FL </ stateOrCountry >
  < stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >
  < zipCode > 33609 </ zipCode >
  </ relatedPersonAddress >
- < relatedPersonRelationshipList >
  < relationship > Executive Officer </ relationship >
  </ relatedPersonRelationshipList >
  < relationshipClarification > Depositor of the Issuer </ relationshipClarification >
  </ relatedPersonInfo >
  </ relatedPersonsList >
- < offeringData >
- < industryGroup >
  < industryGroupType > Other Real Estate </ industryGroupType >
  </ industryGroup >
- < issuerSize >
  < revenueRange > Decline to Disclose </ revenueRange >
  </ issuerSize >
- < federalExemptionsExclusions >
  < item > 06b </ item >
  </ federalExemptionsExclusions >
- < typeOfFiling >
- < newOrAmendment >
  < isAmendment > true </ isAmendment >
  < previousAccessionNumber > 0001842343-21-000007 </ previousAccessionNumber >
  </ newOrAmendment >
- < dateOfFirstSale >
  < value > 2021-01-20 </ value >
  </ dateOfFirstSale >
  </ typeOfFiling >
- < durationOfOffering >
  < moreThanOneYear > false </ moreThanOneYear >
  </ durationOfOffering >
- < typesOfSecuritiesOffered >
  < isEquityType > true </ isEquityType >
  < isPooledInvestmentFundType > true </ isPooledInvestmentFundType >
  </ typesOfSecuritiesOffered >
- < businessCombinationTransaction >
  < isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >
  < clarificationOfResponse />
  </ businessCombinationTransaction >
  < minimumInvestmentAccepted > 100000 </ minimumInvestmentAccepted >
- < salesCompensationList >
- < recipient >
  < recipientName > Roger Boggess </ recipientName >
  < recipientCRDNumber > 5007422 </ recipientCRDNumber >
  < associatedBDName > Great Point Capital LLC </ associatedBDName >
  < associatedBDCRDNumber > 114203 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 200 W. Jackson Boulevard </ street1 >
  < street2 > Suite 1000 </ street2 >
  < city > Chicago </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60606 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MD </ state >
  < description > MARYLAND </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Peter Dorn </ recipientName >
  < recipientCRDNumber > 1089858 </ recipientCRDNumber >
  < associatedBDName > Cape Securities Inc. </ associatedBDName >
  < associatedBDCRDNumber > 7072 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1600 Pennsylvania Avenue </ street1 >
  < city > McDonough </ city >
  < stateOrCountry > GA </ stateOrCountry >
  < stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >
  < zipCode > 30253 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > IA </ state >
  < description > IOWA </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Deborah Stackpole </ recipientName >
  < recipientCRDNumber > 4969850 </ recipientCRDNumber >
  < associatedBDName > Stonecrest Capital Markets, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 39616 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 45 N. Broad Street </ street1 >
  < street2 > Suite 401 </ street2 >
  < city > Ridgewood </ city >
  < stateOrCountry > NJ </ stateOrCountry >
  < stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >
  < zipCode > 07450 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NJ </ state >
  < description > NEW JERSEY </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Edward Kasperavich </ recipientName >
  < recipientCRDNumber > 4970038 </ recipientCRDNumber >
  < associatedBDName > Stonecrest Capital Markets, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 396616 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 45 N. Broad Street </ street1 >
  < street2 > Suite 401 </ street2 >
  < city > Ridgewood </ city >
  < stateOrCountry > NJ </ stateOrCountry >
  < stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >
  < zipCode > 07450 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NJ </ state >
  < description > NEW JERSEY </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Robert Langhorst </ recipientName >
  < recipientCRDNumber > 1832998 </ recipientCRDNumber >
  < associatedBDName > Dempsey Lord Smith, LLC </ associatedBDName >
  < associatedBDCRDNumber > 141238 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 276 Curtis Parkway </ street1 >
  < city > Calhoun </ city >
  < stateOrCountry > GA </ stateOrCountry >
  < stateOrCountryDescription > GEORGIA </ stateOrCountryDescription >
  < zipCode > 30701 </ zipCode >
  </ recipientAddress >
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  < state > MO </ state >
  < description > MISSOURI </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Benjamin Carmona </ recipientName >
  < recipientCRDNumber > 5120428 </ recipientCRDNumber >
  < associatedBDName > Emerson Equity LLC </ associatedBDName >
  < associatedBDCRDNumber > 130032 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 9940 Research Drive </ street1 >
  < street2 > Suite 200 </ street2 >
  < city > Irvine </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92618 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > David Levinson </ recipientName >
  < recipientCRDNumber > 705929 </ recipientCRDNumber >
  < associatedBDName > American Trust Investment Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 3001 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 4722 Main Street </ street1 >
  < city > Lisle </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60532 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Kyle Cowand </ recipientName >
  < recipientCRDNumber > 2317710 </ recipientCRDNumber >
  < associatedBDName > Coastal Equities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 23769 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 12304 Alcanza Drive </ street1 >
  < city > Austin </ city >
  < stateOrCountry > TX </ stateOrCountry >
  < stateOrCountryDescription > TEXAS </ stateOrCountryDescription >
  < zipCode > 78739 </ zipCode >
  </ recipientAddress >
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  < state > TX </ state >
  < description > TEXAS </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
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- < recipient >
  < recipientName > Frank Piscitelli </ recipientName >
  < recipientCRDNumber > 6935623 </ recipientCRDNumber >
  < associatedBDName > Lightpath Capital, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 34617 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 848 Prospect Street </ street1 >
  < street2 > Suite B </ street2 >
  < city > La Jolla </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92037 </ zipCode >
  </ recipientAddress >
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  < state > NV </ state >
  < description > NEVADA </ description >
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  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Betty Friant </ recipientName >
  < recipientCRDNumber > 2122446 </ recipientCRDNumber >
  < associatedBDName > Growth Capital Services </ associatedBDName >
  < associatedBDCRDNumber > 152550 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1101 Pennsylvania Avenue NW </ street1 >
  < street2 > Suite 300 </ street2 >
  < city > Washington </ city >
  < stateOrCountry > DC </ stateOrCountry >
  < stateOrCountryDescription > DISTRICT OF COLUMBIA </ stateOrCountryDescription >
  < zipCode > 20004 </ zipCode >
  </ recipientAddress >
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  < state > MA </ state >
  < description > MASSACHUSETTS </ description >
  < state > SC </ state >
  < description > SOUTH CAROLINA </ description >
  < state > VA </ state >
  < description > VIRGINIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Joseph Michaletz </ recipientName >
  < recipientCRDNumber > 1327534 </ recipientCRDNumber >
  < associatedBDName > DAI Securities, LLC </ associatedBDName >
  < associatedBDCRDNumber > 36673 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 150 St. Andrews Court </ street1 >
  < street2 > Suite 210 </ street2 >
  < city > Mankato </ city >
  < stateOrCountry > MN </ stateOrCountry >
  < stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >
  < zipCode > 56001 </ zipCode >
  </ recipientAddress >
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  < state > IL </ state >
  < description > ILLINOIS </ description >
  < state > MN </ state >
  < description > MINNESOTA </ description >
  < state > OR </ state >
  < description > OREGON </ description >
  < state > TX </ state >
  < description > TEXAS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Mike O'Toole </ recipientName >
  < recipientCRDNumber > 6336251 </ recipientCRDNumber >
  < associatedBDName > DAI Securities, LLC </ associatedBDName >
  < associatedBDCRDNumber > 36673 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 150 St. Andrews Court </ street1 >
  < street2 > Suite 210 </ street2 >
  < city > Mankato </ city >
  < stateOrCountry > MN </ stateOrCountry >
  < stateOrCountryDescription > MINNESOTA </ stateOrCountryDescription >
  < zipCode > 56001 </ zipCode >
  </ recipientAddress >
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  < state > IL </ state >
  < description > ILLINOIS </ description >
  < state > MN </ state >
  < description > MINNESOTA </ description >
  < state > OR </ state >
  < description > OREGON </ description >
  < state > TX </ state >
  < description > TEXAS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Jason Finley </ recipientName >
  < recipientCRDNumber > 6602034 </ recipientCRDNumber >
  < associatedBDName > Stax Capital </ associatedBDName >
  < associatedBDCRDNumber > 300607 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 4901 Morena Boulevard </ street1 >
  < street2 > Suite 121 </ street2 >
  < city > San Diego </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92117 </ zipCode >
  </ recipientAddress >
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  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Stacey Morimoto </ recipientName >
  < recipientCRDNumber > 4420782 </ recipientCRDNumber >
  < associatedBDName > Stax Capital </ associatedBDName >
  < associatedBDCRDNumber > 300607 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 4901 Morena Boulevard </ street1 >
  < street2 > Suite 121 </ street2 >
  < city > San Diego </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92117 </ zipCode >
  </ recipientAddress >
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  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > NV </ state >
  < description > NEVADA </ description >
  < state > NY </ state >
  < description > NEW YORK </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Anthony Brown </ recipientName >
  < recipientCRDNumber > 6900485 </ recipientCRDNumber >
  < associatedBDName > Stax Capital </ associatedBDName >
  < associatedBDCRDNumber > 300607 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 4901 Morena Boulevard </ street1 >
  < street2 > Suite 121 </ street2 >
  < city > San Diego </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92117 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > NY </ state >
  < description > NEW YORK </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Trawnegan Gall </ recipientName >
  < recipientCRDNumber > 6266415 </ recipientCRDNumber >
  < associatedBDName > Wealthforge Securities, LLC </ associatedBDName >
  < associatedBDCRDNumber > 152550 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1 City Boulevard West </ street1 >
  < street2 > Suite 870 </ street2 >
  < city > Orange </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92868 </ zipCode >
  </ recipientAddress >
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  < state > FL </ state >
  < description > FLORIDA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Steve Haskell </ recipientName >
  < recipientCRDNumber > 6864948 </ recipientCRDNumber >
  < associatedBDName > Growth Capital Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 152550 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 888 Prospect Street </ street1 >
  < street2 > Suite 200 </ street2 >
  < city > La Jolla </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92037 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Clay Schmidt </ recipientName >
  < recipientCRDNumber > 6920482 </ recipientCRDNumber >
  < associatedBDName > Thornhill Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 22333 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 111 Congress Avenue </ street1 >
  < street2 > Suite 1000 </ street2 >
  < city > Austin </ city >
  < stateOrCountry > TX </ stateOrCountry >
  < stateOrCountryDescription > TEXAS </ stateOrCountryDescription >
  < zipCode > 78701 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Taylor Ashland </ recipientName >
  < recipientCRDNumber > 5732470 </ recipientCRDNumber >
  < associatedBDName > DFPG Investments, LLC </ associatedBDName >
  < associatedBDCRDNumber > 155576 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 670 Superior Court </ street1 >
  < street2 > Suite 210 </ street2 >
  < city > Medford </ city >
  < stateOrCountry > OR </ stateOrCountry >
  < stateOrCountryDescription > OREGON </ stateOrCountryDescription >
  < zipCode > 97504 </ zipCode >
  </ recipientAddress >
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  < state > OR </ state >
  < description > OREGON </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Concorde Investment Services, LLC </ recipientName >
  < recipientCRDNumber > 151604 </ recipientCRDNumber >
  < associatedBDName > None </ associatedBDName >
  < associatedBDCRDNumber > None </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 19500 Victor Parkway </ street1 >
  < street2 > Suite 550 </ street2 >
  < city > Livonia </ city >
  < stateOrCountry > MI </ stateOrCountry >
  < stateOrCountryDescription > MICHIGAN </ stateOrCountryDescription >
  < zipCode > 48152 </ zipCode >
  </ recipientAddress >
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  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > CO </ state >
  < description > COLORADO </ description >
  < state > FL </ state >
  < description > FLORIDA </ description >
  < state > IN </ state >
  < description > INDIANA </ description >
  < state > MD </ state >
  < description > MARYLAND </ description >
  < state > MA </ state >
  < description > MASSACHUSETTS </ description >
  < state > MI </ state >
  < description > MICHIGAN </ description >
  < state > NY </ state >
  < description > NEW YORK </ description >
  < state > NC </ state >
  < description > NORTH CAROLINA </ description >
  < state > PA </ state >
  < description > PENNSYLVANIA </ description >
  < state > TX </ state >
  < description > TEXAS </ description >
  < state > WA </ state >
  < description > WASHINGTON </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Edward Fernandez </ recipientName >
  < recipientCRDNumber > 2956661 </ recipientCRDNumber >
  < associatedBDName > Capulent LLC </ associatedBDName >
  < associatedBDCRDNumber > 155155 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2603 Main Street </ street1 >
  < street2 > Suite 1050 </ street2 >
  < city > Irvine </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92614 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MO </ state >
  < description > MISSOURI </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Daniel Williams </ recipientName >
  < recipientCRDNumber > 5293652 </ recipientCRDNumber >
  < associatedBDName > The Strategic Financial Alliance </ associatedBDName >
  < associatedBDCRDNumber > 126514 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 661 Highland Avenue </ street1 >
  < street2 > Suite 101 </ street2 >
  < city > Needham </ city >
  < stateOrCountry > MA </ stateOrCountry >
  < stateOrCountryDescription > MASSACHUSETTS </ stateOrCountryDescription >
  < zipCode > 02494 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MA </ state >
  < description > MASSACHUSETTS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > David Funes </ recipientName >
  < recipientCRDNumber > 5467419 </ recipientCRDNumber >
  < associatedBDName > Thornhill Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 22333 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 111 Congress Avenue </ street1 >
  < street2 > Suite 1000 </ street2 >
  < city > Austin </ city >
  < stateOrCountry > TX </ stateOrCountry >
  < stateOrCountryDescription > TEXAS </ stateOrCountryDescription >
  < zipCode > 78701 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Jacob Adams </ recipientName >
  < recipientCRDNumber > 4975889 </ recipientCRDNumber >
  < associatedBDName > Thornhill Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 22333 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 111 Congress Avenue </ street1 >
  < street2 > Suite 1000 </ street2 >
  < city > Austin </ city >
  < stateOrCountry > TX </ stateOrCountry >
  < stateOrCountryDescription > TEXAS </ stateOrCountryDescription >
  < zipCode > 78701 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NJ </ state >
  < description > NEW JERSEY </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Dan Werry </ recipientName >
  < recipientCRDNumber > 4721789 </ recipientCRDNumber >
  < associatedBDName > Emerson Equity LLC </ associatedBDName >
  < associatedBDCRDNumber > 130032 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 9940 Research Drive </ street1 >
  < street2 > Suite 200 </ street2 >
  < city > Irvine </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92618 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MN </ state >
  < description > MINNESOTA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Nathan Kuhn </ recipientName >
  < recipientCRDNumber > 4624143 </ recipientCRDNumber >
  < associatedBDName > DAI Securities, LLC </ associatedBDName >
  < associatedBDCRDNumber > 36673 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 120 W. Eastman Street </ street1 >
  < street2 > #300 </ street2 >
  < city > Arlington Heights </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60004 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > IL </ state >
  < description > ILLINOIS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Gregory Hill </ recipientName >
  < recipientCRDNumber > 850818 </ recipientCRDNumber >
  < associatedBDName > Emerson Equity LLC </ associatedBDName >
  < associatedBDCRDNumber > 130032 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 155 Bovet Road </ street1 >
  < street2 > Suite 725 </ street2 >
  < city > San Mateo </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 94402 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MA </ state >
  < description > MASSACHUSETTS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Mel Hertz </ recipientName >
  < recipientCRDNumber > 707875 </ recipientCRDNumber >
  < associatedBDName > The Strategic Finacial Alliance, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 126514 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 237 Kuumele Place </ street1 >
  < city > Kailua </ city >
  < stateOrCountry > HI </ stateOrCountry >
  < stateOrCountryDescription > HAWAII </ stateOrCountryDescription >
  < zipCode > 96734 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > HI </ state >
  < description > HAWAII </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Peter Roberts </ recipientName >
  < recipientCRDNumber > 6982848 </ recipientCRDNumber >
  < associatedBDName > Wealthforge Securities, LLC </ associatedBDName >
  < associatedBDCRDNumber > 152550 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 3015 W. Moore Street </ street1 >
  < street2 > Suite 102 </ street2 >
  < city > Richmond </ city >
  < stateOrCountry > VA </ stateOrCountry >
  < stateOrCountryDescription > VIRGINIA </ stateOrCountryDescription >
  < zipCode > 23230 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > FL </ state >
  < description > FLORIDA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > James Whitson </ recipientName >
  < recipientCRDNumber > 1353438 </ recipientCRDNumber >
  < associatedBDName > Emerson Equity LLC </ associatedBDName >
  < associatedBDCRDNumber > 130032 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 155 Bovet Road </ street1 >
  < street2 > Suite 725 </ street2 >
  < city > San Mateo </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 94402 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Jammie Avila </ recipientName >
  < recipientCRDNumber > 3100097 </ recipientCRDNumber >
  < associatedBDName > Kalos Capital, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 44337 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 1368 Paseo Verde Parkway </ street1 >
  < street2 > Suite 100 </ street2 >
  < city > Henderson </ city >
  < stateOrCountry > NV </ stateOrCountry >
  < stateOrCountryDescription > NEVADA </ stateOrCountryDescription >
  < zipCode > 89012 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NV </ state >
  < description > NEVADA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > John Harvey </ recipientName >
  < recipientCRDNumber > 4227692 </ recipientCRDNumber >
  < associatedBDName > Wealthforge Securities, LLC </ associatedBDName >
  < associatedBDCRDNumber > 152550 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 7051 Heathcote Village Way </ street1 >
  < street2 > Suite 200 </ street2 >
  < city > Gainesville </ city >
  < stateOrCountry > VA </ stateOrCountry >
  < stateOrCountryDescription > VIRGINIA </ stateOrCountryDescription >
  < zipCode > 20169 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Alex Madden </ recipientName >
  < recipientCRDNumber > 7089201 </ recipientCRDNumber >
  < associatedBDName > Growth Capital Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 124658 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 21515 Hawthorne Boulevard </ street1 >
  < street2 > Suite 360 </ street2 >
  < city > Torrance </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 90503 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Rich Zuvella </ recipientName >
  < recipientCRDNumber > 5207826 </ recipientCRDNumber >
  < associatedBDName > Colorado Financial Service Corporation </ associatedBDName >
  < associatedBDCRDNumber > 104343 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 188 Inverness Drive West </ street1 >
  < street2 > Suite 100 </ street2 >
  < city > Centennial </ city >
  < stateOrCountry > CO </ stateOrCountry >
  < stateOrCountryDescription > COLORADO </ stateOrCountryDescription >
  < zipCode > 80112 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Roger Sprouse </ recipientName >
  < recipientCRDNumber > 5483578 </ recipientCRDNumber >
  < associatedBDName > Titan Securities </ associatedBDName >
  < associatedBDCRDNumber > 131392 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 306 SE 3rd Street </ street1 >
  < city > Lee's Summit </ city >
  < stateOrCountry > MO </ stateOrCountry >
  < stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >
  < zipCode > 64063 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MO </ state >
  < description > MISSOURI </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Christina Nielson </ recipientName >
  < recipientCRDNumber > 4866971 </ recipientCRDNumber >
  < associatedBDName > DAI Securities, LLC </ associatedBDName >
  < associatedBDCRDNumber > 36673 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 650 Town Center Drive </ street1 >
  < street2 > Suite 1400 </ street2 >
  < city > Costa Mesa </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92626 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > AZ </ state >
  < description > ARIZONA </ description >
  < state > CO </ state >
  < description > COLORADO </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Corbin Thomas </ recipientName >
  < recipientCRDNumber > 4234748 </ recipientCRDNumber >
  < associatedBDName > McDermott Investment Services, LLC </ associatedBDName >
  < associatedBDCRDNumber > 154926 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 101 Main Street </ street1 >
  < street2 > Suite 260 </ street2 >
  < city > Huntington Beach </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92648 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  < state > NV </ state >
  < description > NEVADA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Chad Kolinsky </ recipientName >
  < recipientCRDNumber > 6414638 </ recipientCRDNumber >
  < associatedBDName > The Strategic Financial Alliance, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 126514 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 500 N. Franklin Turnpike </ street1 >
  < street2 > Suite 104 </ street2 >
  < city > Ramsey </ city >
  < stateOrCountry > NJ </ stateOrCountry >
  < stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >
  < zipCode > 07446 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NJ </ state >
  < description > NEW JERSEY </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Bradford Watt </ recipientName >
  < recipientCRDNumber > 2565438 </ recipientCRDNumber >
  < associatedBDName > Colorado Financial Service Corporation </ associatedBDName >
  < associatedBDCRDNumber > 104343 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 188 Inverness Drive West </ street1 >
  < street2 > Sutie 100 </ street2 >
  < city > Centennial </ city >
  < stateOrCountry > CO </ stateOrCountry >
  < stateOrCountryDescription > COLORADO </ stateOrCountryDescription >
  < zipCode > 80112 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Debra Schleining </ recipientName >
  < recipientCRDNumber > 2768752 </ recipientCRDNumber >
  < associatedBDName > McDermott Investment Services, LLC </ associatedBDName >
  < associatedBDCRDNumber > 154926 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 13530 Parker Street </ street1 >
  < city > Omaha </ city >
  < stateOrCountry > NE </ stateOrCountry >
  < stateOrCountryDescription > NEBRASKA </ stateOrCountryDescription >
  < zipCode > 68154 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NV </ state >
  < description > NEVADA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Leslie Pappas </ recipientName >
  < recipientCRDNumber > 1735372 </ recipientCRDNumber >
  < associatedBDName > Lightpath Capital, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 34617 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 848 Prospect Street </ street1 >
  < street2 > Suite B </ street2 >
  < city > La Jolla </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92037 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > WI </ state >
  < description > WISCONSIN </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Paul Getty </ recipientName >
  < recipientCRDNumber > 6470002 </ recipientCRDNumber >
  < associatedBDName > Lightpath Capital, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 34617 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 97 East Brokaw Road </ street1 >
  < street2 > Suite 350 </ street2 >
  < city > San Jose </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 95112 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > ID </ state >
  < description > IDAHO </ description >
  < state > WA </ state >
  < description > WASHINGTON </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Jason Salmon </ recipientName >
  < recipientCRDNumber > 6081963 </ recipientCRDNumber >
  < associatedBDName > Growth Capital Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 152550 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 104 East 40th Street </ street1 >
  < street2 > 5th Floor </ street2 >
  < city > New York </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 10018 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NY </ state >
  < description > NEW YORK </ description >
  < state > PA </ state >
  < description > PENNSYLVANIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > John Moriarty </ recipientName >
  < recipientCRDNumber > 2720704 </ recipientCRDNumber >
  < associatedBDName > Kalos Capital, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 44337 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 10825 Watson Road </ street1 >
  < street2 > Suite 100 </ street2 >
  < city > Sunset Hills </ city >
  < stateOrCountry > MO </ stateOrCountry >
  < stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >
  < zipCode > 63127 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Jennifer Taylor </ recipientName >
  < recipientCRDNumber > 5886419 </ recipientCRDNumber >
  < associatedBDName > Kalos Capital, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 44337 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 165 Elmhurst </ street1 >
  < street2 > Suite B </ street2 >
  < city > Kyle </ city >
  < stateOrCountry > TX </ stateOrCountry >
  < stateOrCountryDescription > TEXAS </ stateOrCountryDescription >
  < zipCode > 78640 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Vincent Bailey </ recipientName >
  < recipientCRDNumber > 1845517 </ recipientCRDNumber >
  < associatedBDName > Berthel Fisher & Company Financial Services, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 13609 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 22 S. Fourth Street </ street1 >
  < street2 > Suite A-1 </ street2 >
  < city > Geneva </ city >
  < stateOrCountry > IL </ stateOrCountry >
  < stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >
  < zipCode > 60134 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > IL </ state >
  < description > ILLINOIS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Drew Reynolds </ recipientName >
  < recipientCRDNumber > 664813 </ recipientCRDNumber >
  < associatedBDName > Thornhill Securities, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 22333 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 111 Congress Avenue </ street1 >
  < street2 > Suite 1000 </ street2 >
  < city > Austin </ city >
  < stateOrCountry > TX </ stateOrCountry >
  < stateOrCountryDescription > TEXAS </ stateOrCountryDescription >
  < zipCode > 78701 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > NY </ state >
  < description > NEW YORK </ 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 </ street1 >
  < street2 > Suite 260 </ street2 >
  < city > Huntington Beach </ city >
  < stateOrCountry > CA </ stateOrCountry >
  < stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >
  < zipCode > 92648 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > CA </ state >
  < description > CALIFORNIA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Scott Sheehan </ recipientName >
  < recipientCRDNumber > 2328614 </ recipientCRDNumber >
  < associatedBDName > DFPG Investments, LLC </ associatedBDName >
  < associatedBDCRDNumber > 1555756 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 2 Orr Hatch Drive </ street1 >
  < city > Cornwall </ city >
  < stateOrCountry > NY </ stateOrCountry >
  < stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >
  < zipCode > 12518 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MA </ state >
  < description > MASSACHUSETTS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Kyle T. Kadish </ recipientName >
  < recipientCRDNumber > 4864706 </ recipientCRDNumber >
  < associatedBDName > Advisory Group Equity Services Ltd. </ associatedBDName >
  < associatedBDCRDNumber > 15427 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 24 Mitchell Pond Road </ street1 >
  < city > Windham </ city >
  < stateOrCountry > NH </ stateOrCountry >
  < stateOrCountryDescription > NEW HAMPSHIRE </ stateOrCountryDescription >
  < zipCode > 03087 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > MA </ state >
  < description > MASSACHUSETTS </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
- < recipient >
  < recipientName > Patrick Strubbe </ recipientName >
  < recipientCRDNumber > 2845724 </ recipientCRDNumber >
  < associatedBDName > Kalos Capital, Inc. </ associatedBDName >
  < associatedBDCRDNumber > 44337 </ associatedBDCRDNumber >
- < recipientAddress >
  < street1 > 700 Saturn Parkway </ street1 >
  < city > Columbia </ city >
  < stateOrCountry > SC </ stateOrCountry >
  < stateOrCountryDescription > SOUTH CAROLINA </ stateOrCountryDescription >
  < zipCode > 29212 </ zipCode >
  </ recipientAddress >
- < statesOfSolicitationList >
  < state > SC </ state >
  < description > SOUTH CAROLINA </ description >
  </ statesOfSolicitationList >
  < foreignSolicitation > false </ foreignSolicitation >
  </ recipient >
  </ salesCompensationList >
- < offeringSalesAmounts >
  < totalOfferingAmount > 33792545 </ totalOfferingAmount >
  < totalAmountSold > 29510410 </ totalAmountSold >
  < totalRemaining > 4282135 </ totalRemaining >
  < clarificationOfResponse > Regarding Item 11, the Issuer may accept smaller investments in the Issuer's sole discretion. </ clarificationOfResponse >
  </ offeringSalesAmounts >
- < investors >
  < hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >
  < totalNumberAlreadyInvested > 102 </ totalNumberAlreadyInvested >
  </ investors >
- < salesCommissionsFindersFees >
- < salesCommissions >
  < dollarAmount > 3125811 </ dollarAmount >
  < isEstimate > true </ isEstimate >
  </ salesCommissions >
- < findersFees >
  < dollarAmount > 0 </ dollarAmount >
  < isEstimate > true </ isEstimate >
  </ findersFees >
  < clarificationOfResponse > Sales Commissions include estimates of the maximum amount of Selling Commissions, Dealer Fees and Expense Reimbursements that may be paid to one or more Related Persons. </ clarificationOfResponse >
  </ salesCommissionsFindersFees >
- < useOfProceeds >
- < grossProceedsUsed >
  < dollarAmount > 1717925 </ dollarAmount >
  < isEstimate > true </ isEstimate >
  </ grossProceedsUsed >
  < clarificationOfResponse > Item 16 is an estimate of acquisition fees, reimbursements for certain acquisition and financing costs, and offering and organizational expenses that may accrue to one or more Related Persons. </ clarificationOfResponse >
  </ useOfProceeds >
- < signatureBlock >
  < authorizedRepresentative > false </ authorizedRepresentative >
- < signature >
  < issuerName > CX Evergreens at Mahan, DST </ issuerName >
  < signatureName > /s/ Robert Dallas Whitaker, Jr </ signatureName >
  < nameOfSigner > Robert Dallas Whitaker, Jr. </ nameOfSigner >
  < signatureTitle > Vice President of the Manager of the Issuer </ signatureTitle >
  < signatureDate > 2021-04-01 </ signatureDate >
  </ signature >
  </ signatureBlock >
  </ offeringData >
  </ edgarSubmission >
Edgar Posted: Apr. 1, 2021
EFD Posted: Apr. 1, 2021