The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM D

Notice of Exempt Offering of Securities
OMB APPROVAL
OMB Number: 3235-0076
Estimated average burden
hours per response: 4.00

1. Issuer's Identity

CIK (Filer ID Number) Previous Names
X None
Entity Type
0001757500
   Corporation
   Limited Partnership
   Limited Liability Company
   General Partnership
X Business Trust
   Other (Specify)

Name of Issuer
National Multifamily Portfolio IV DST
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
   Over Five Years Ago
X Within Last Five Years (Specify Year) 2018
   Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
National Multifamily Portfolio IV DST
Street Address 1 Street Address 2
C/- INLAND PRIVATE CAPITAL CORPORATION 2901 BUTTERFIELD ROAD
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
OAK BROOK ILLINOIS 60523 8886711031

3. Related Persons

Last Name First Name Middle Name
Inland Private Capital Corporation N/A
Street Address 1 Street Address 2
2901 Butterfield Road
City State/Province/Country ZIP/PostalCode
Oak Brook ILLINOIS 60523
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Sponsor of the Issuer
Last Name First Name Middle Name
National Multifamily Portfolio IV Exchange, L.L.C. n/a
Street Address 1 Street Address 2
2901 Butterfield Road
City State/Province/Country ZIP/PostalCode
Oak Brook ILLINOIS 60523
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Signatory Trustee of the Issuer
Last Name First Name Middle Name
National Multifamily Portfolio IV, L.L.C. n/a
Street Address 1 Street Address 2
2901 Butterfield Road
City State/Province/Country ZIP/PostalCode
Oak Brook ILLINOIS 60523
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Depositor of the Issuer
Last Name First Name Middle Name
Sabshon Mitchell L
Street Address 1 Street Address 2
2901 Butterfield Road
City State/Province/Country ZIP/PostalCode
Oak Brook ILLINOIS 60523
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Director and Chairman of the Board of the Sponsor
Last Name First Name Middle Name
Lampi Keith D.
Street Address 1 Street Address 2
2901 Butterfield Road
City State/Province/Country ZIP/PostalCode
Oak Brook ILLINOIS 60523
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Director, President and Chief Operating Officer of the Sponsor
Last Name First Name Middle Name
Sehgal Rahul
Street Address 1 Street Address 2
2901 Butterfield Road
City State/Province/Country ZIP/PostalCode
Oak Brook ILLINOIS 60523
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Director and Chief Investment Officer of the Sponsor
Last Name First Name Middle Name
Goodwin Daniel L
Street Address 1 Street Address 2
2901 Butterfield Road
City State/Province/Country ZIP/PostalCode
Oak Brook ILLINOIS 60523
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Director of the Sponsor
Last Name First Name Middle Name
Lynch Catherine L
Street Address 1 Street Address 2
2901 Butterfield Road
City State/Province/Country ZIP/PostalCode
Oak Brook ILLINOIS 60523
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Director of the Sponsor
Last Name First Name Middle Name
Matlin Roberta S
Street Address 1 Street Address 2
2901 Butterfield Road
City State/Province/Country ZIP/PostalCode
Oak Brook ILLINOIS 60523
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Director of the Sponsor
Last Name First Name Middle Name
Parks Robert D
Street Address 1 Street Address 2
2901 Butterfield Road
City State/Province/Country ZIP/PostalCode
Oak Brook ILLINOIS 60523
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Director of the Sponsor

4. Industry Group

   Agriculture
Banking & Financial Services
   Commercial Banking
   Insurance
   Investing
   Investment Banking
   Pooled Investment Fund
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940?
   Yes    No
   Other Banking & Financial Services
   Business Services
Energy
   Coal Mining
   Electric Utilities
   Energy Conservation
   Environmental Services
   Oil & Gas
   Other Energy
Health Care
   Biotechnology
   Health Insurance
   Hospitals & Physicians
   Pharmaceuticals
   Other Health Care
   Manufacturing
Real Estate
   Commercial
   Construction
   REITS & Finance
   Residential
X Other Real Estate
  
 Retailing
  
 Restaurants
Technology
   Computers
   Telecommunications
   Other Technology
Travel
   Airlines & Airports
   Lodging & Conventions
   Tourism & Travel Services
   Other Travel
  
 Other

5. Issuer Size

Revenue Range OR Aggregate Net Asset Value Range
   No Revenues    No Aggregate Net Asset Value
   $1 - $1,000,000    $1 - $5,000,000
   $1,000,001 - $5,000,000    $5,000,001 - $25,000,000
   $5,000,001 - $25,000,000    $25,000,001 - $50,000,000
   $25,000,001 - $100,000,000    $50,000,001 - $100,000,000
   Over $100,000,000    Over $100,000,000
X Decline to Disclose    Decline to Disclose
   Not Applicable    Not Applicable

6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)

   Rule 504(b)(1) (not (i), (ii) or (iii))
   Rule 504 (b)(1)(i)
   Rule 504 (b)(1)(ii)
   Rule 504 (b)(1)(iii)
X Rule 506(b)
   Rule 506(c)
   Securities Act Section 4(a)(5)
   Investment Company Act Section 3(c)
   Section 3(c)(1)    Section 3(c)(9)  
   Section 3(c)(2)    Section 3(c)(10)
   Section 3(c)(3)    Section 3(c)(11)
   Section 3(c)(4)    Section 3(c)(12)
   Section 3(c)(5)    Section 3(c)(13)
   Section 3(c)(6)    Section 3(c)(14)
   Section 3(c)(7)

7. Type of Filing

   New Notice Date of First Sale 2018-10-15    First Sale Yet to Occur
X Amendment

8. Duration of Offering

Does the Issuer intend this offering to last more than one year?
   Yes X No

9. Type(s) of Securities Offered (select all that apply)

X Equity    Pooled Investment Fund Interests
   Debt    Tenant-in-Common Securities
   Option, Warrant or Other Right to Acquire Another Security    Mineral Property Securities
   Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security    Other (describe)

10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer?
   Yes X No

Clarification of Response (if Necessary):

11. Minimum Investment

Minimum investment accepted from any outside investor $25,000 USD

12. Sales Compensation

Recipient
Recipient CRD Number    None
Daniel Raupp 4079107
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Concorde Investment Services, LLC 151604
Street Address 1 Street Address 2
19500 Victor Parkway Suite 550
City State/Province/Country ZIP/Postal Code
Livonia MICHIGAN 48152
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WASHINGTON
Recipient
Recipient CRD Number    None
Christina Nielson 4866971
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Primex Prime Electronic Execution Inc 29394
Street Address 1 Street Address 2
54 West 21st Street 12th Floor
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10010
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
Recipient
Recipient CRD Number    None
David Dahill 6581024
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
WealthForge Securities LLC 152550
Street Address 1 Street Address 2
6800 Paragon Place Suite 200
City State/Province/Country ZIP/Postal Code
Richmond VIRGINIA 23230
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
PENNSYLVANIA
Recipient
Recipient CRD Number    None
Hugo Grimaldi 4626118
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Money Concepts Capital Corp. 12963
Street Address 1 Street Address 2
11440 North Jog Road
City State/Province/Country ZIP/Postal Code
Palm Beach Gardens FLORIDA 33418
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OREGON
Recipient
Recipient CRD Number    None
Scott Sheehan 2328614
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
DFPG Investments, Inc. 155576
Street Address 1 Street Address 2
9017 S. Riverside Drive Suite 210
City State/Province/Country ZIP/Postal Code
Sandy UTAH 84070
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ILLINOIS
NEW YORK
CONNECTICUT
DISTRICT OF COLUMBIA
Recipient
Recipient CRD Number    None
Gene Williams 851665
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Questar Capital Corp. 43100
Street Address 1 Street Address 2
5701 Golden Hills Drive
City State/Province/Country ZIP/Postal Code
Minneapolis MINNESOTA 55416
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Gena Mickschl 4464215
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Questar Capital Corp. 43100
Street Address 1 Street Address 2
5701 Golden Hills Drive
City State/Province/Country ZIP/Postal Code
Minneapolis MINNESOTA 55416
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Edward Fernandez 2956661
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Capulent LLC 115115
Street Address 1 Street Address 2
4144 N. 44th Street Ste. 3
City State/Province/Country ZIP/Postal Code
Phoenix ARIZONA 85018
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
VIRGINIA
CONNECTICUT
Recipient
Recipient CRD Number    None
Justin Bachman 6412695
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Capulent LLC 155155
Street Address 1 Street Address 2
4144 N. 44th Street Ste. 3
City State/Province/Country ZIP/Postal Code
Phoneix ARIZONA 85018
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
VIRGINIA
Recipient
Recipient CRD Number    None
David Launder 2239910
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Woodbury Financial Services, Inc. 421
Street Address 1 Street Address 2
7755 3RD STREET NORTH
City State/Province/Country ZIP/Postal Code
OAKDALE MINNESOTA 55128
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OREGON
Recipient
Recipient CRD Number    None
Michael Markey 320042
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
American Investors Co Lsy Dba 38
Street Address 1 Street Address 2
2440 CAMINO RAMON SUITE 103
City State/Province/Country ZIP/Postal Code
SAN RAMON CALIFORNIA 94583
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Spencer Weston 1482772
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Questar Capital Corp. 43100
Street Address 1 Street Address 2
5701 GOLDEN HILLS DRIVE
City State/Province/Country ZIP/Postal Code
MINNEAPOLIS MINNESOTA 55416
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Matt Rubis 5863109
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Parkland Securities, LLC 115368
Street Address 1 Street Address 2
300 PARKLAND PLAZA
City State/Province/Country ZIP/Postal Code
ANN ARBOR MICHIGAN 48103
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NORTH DAKOTA
Recipient
Recipient CRD Number    None
Stephen Norton 2132723
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Money Concepts Capital Corp. 12963
Street Address 1 Street Address 2
11440 NORTH JOG ROAD
City State/Province/Country ZIP/Postal Code
PALM BEACH GARDENS FLORIDA 33418
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OREGON
Recipient
Recipient CRD Number    None
Michael Curley 3259110
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research 39543
Street Address 1 Street Address 2
1776 PLEASANT PLAIN RD.
City State/Province/Country ZIP/Postal Code
FAIRFIELD IOWA 52556
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
KENTUCKY
Recipient
Recipient CRD Number    None
Maxwell Phillips 4953387
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sagepoint Financial, Inc. 133763
Street Address 1 Street Address 2
20 E THOMAS RD SUITE 2000
City State/Province/Country ZIP/Postal Code
PHOENIX ARIZONA 85012
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Michael Feldman 1200174
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
APW Capital Inc 43814
Street Address 1 Street Address 2
100 ENTERPRISE DRIVE SUITE 504
City State/Province/Country ZIP/Postal Code
ROCKAWAY NEW JERSEY 07866
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
PENNSYLVANIA
Recipient
Recipient CRD Number    None
John Kwee 1531077
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sagepoint Financial, Inc. 133763
Street Address 1 Street Address 2
20 E THOMAS RD SUITE 2000
City State/Province/Country ZIP/Postal Code
PHOENIX ARIZONA 85012
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
HAWAII
Recipient
Recipient CRD Number    None
David Ebner 2917646
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Independent Financial Group, LLC 7717
Street Address 1 Street Address 2
12671 HIGH BLUFF DRIVE SUITE 200
City State/Province/Country ZIP/Postal Code
SAN DIEGO CALIFORNIA 92130
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Joseph Hagler 2630055
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Royal Alliance Associates, Inc. 23131
Street Address 1 Street Address 2
10 EXCHANGE PLACE SUITE 1410
City State/Province/Country ZIP/Postal Code
JERSEY CITY NEW JERSEY 07302
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Michael Puls 2671882
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Woodbury Financial Services, Inc. 421
Street Address 1 Street Address 2
7755 3RD STREET NORTH
City State/Province/Country ZIP/Postal Code
OAKDALE MINNESOTA 55128
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEBRASKA
Recipient
Recipient CRD Number    None
David Rodriguez 2645831
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sagepoint Financial, Inc. 133763
Street Address 1 Street Address 2
20 E THOMAS RD SUITE 2000
City State/Province/Country ZIP/Postal Code
PHOENIX ARIZONA 85012
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
Troy Wada 5636479
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sagepoint Financial, Inc. 133763
Street Address 1 Street Address 2
20 E THOMAS RD SUITE 2000
City State/Province/Country ZIP/Postal Code
PHOENIX ARIZONA 85012
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
HAWAII
Recipient
Recipient CRD Number    None
Benjamin Disalle 2030953
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Summit Brokerage Services, Inc 34643
Street Address 1 Street Address 2
595 S. FEDERAL HIGHWAY SUITE 500
City State/Province/Country ZIP/Postal Code
BOCA RATON FLORIDA 33432
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
Recipient
Recipient CRD Number    None
Lucas Dipietro 5565637
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Centaurus Financial, Inc. 30833
Street Address 1 Street Address 2
2300 E. KATELLA AVENUE SUITE #200
City State/Province/Country ZIP/Postal Code
ANAHEIM CALIFORNIA 92806
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Ahmad Husami 2362818
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
1st Global Capital Corporation 30349
Street Address 1 Street Address 2
12750 MERIT DRIVE SUITE 1200
City State/Province/Country ZIP/Postal Code
DALLAS TEXAS 75251
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Mike Bendix 5379777
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
DFPG Investments, Inc. 155576
Street Address 1 Street Address 2
9017 S RIVERSIDE DRIVE SUITE 210
City State/Province/Country ZIP/Postal Code
SANDY UTAH 84070
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW YORK
DISTRICT OF COLUMBIA
CALIFORNIA
Recipient
Recipient CRD Number    None
Matthew Nielsen 2762423
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Stonecrest Capital Markets, Inc 39616
Street Address 1 Street Address 2
300 W. 6th St. Suite 1520
City State/Province/Country ZIP/Postal Code
Austin TEXAS 78701
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Deborah Stackpole 4969850
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Stonecrest Capital Markets, Inc 39616
Street Address 1 Street Address 2
300 W. 6th St. Suite 1520
City State/Province/Country ZIP/Postal Code
Austin TEXAS 78701
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Edward Kasperavich 4970038
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Stonecrest Capital Markets, Inc 39616
Street Address 1 Street Address 2
300 W. 6th St. Suite 1520
City State/Province/Country ZIP/Postal Code
Austin TEXAS 78701
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
S. Paul Lorusso 5838694
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
FSC Securities Corporation 7461
Street Address 1 Street Address 2
2300 Windy Ridge Pkwy Suite 750
City State/Province/Country ZIP/Postal Code
Atlanta GEORGIA 30339
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NORTH CAROLINA
Recipient
Recipient CRD Number    None
James Warring 3198200
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Triad Advisors, Inc. 25803
Street Address 1 Street Address 2
5155 Peachtree Parkway Suite 3220
City State/Province/Country ZIP/Postal Code
Norcross GEORGIA 30092
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
VIRGINIA
Recipient
Recipient CRD Number    None
Patrick Conway 1337831
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Investacorp, Inc. 7684
Street Address 1 Street Address 2
4400 Biscayne Blvd 11th Floor
City State/Province/Country ZIP/Postal Code
Miami FLORIDA 33137
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ILLINOIS
FLORIDA
Recipient
Recipient CRD Number    None
N. William Vertrees 454413
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Royal Alliance Associates, Inc. 23131
Street Address 1 Street Address 2
10 Exchange Place Suite 1410
City State/Province/Country ZIP/Postal Code
Jersey City NEW JERSEY 07302
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Kevin Ryan 4255125
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Royal Alliance Associates, Inc. 23131
Street Address 1 Street Address 2
10 Exchange Place Suite 1410
City State/Province/Country ZIP/Postal Code
Jersey City NEW JERSEY 07302
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Derrigan Sheedy 4842385
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Royal Alliance Associates, Inc. 23131
Street Address 1 Street Address 2
10 Exchange Place Suite 1410
City State/Province/Country ZIP/Postal Code
Jersey City NEW JERSEY 07302
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
William Upson 1241673
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Royal Alliance Associates, Inc. 23131
Street Address 1 Street Address 2
10 Exchange Place Suite 1410
City State/Province/Country ZIP/Postal Code
Jersey City NEW JERSEY 07302
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Injil Muhammad 2843907
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
H D Vest Investment Securites Inc 13686
Street Address 1 Street Address 2
6333 NORTH STATE HIGHWAY 161 4TH FLOOR
City State/Province/Country ZIP/Postal Code
Irving TEXAS 75038-2200
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW YORK
CALIFORNIA
Recipient
Recipient CRD Number    None
Troy Thomas 4691720
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Mc Dermott Investment Services, LLC 154926
Street Address 1 Street Address 2
44 East Broad Street 2nd Floor
City State/Province/Country ZIP/Postal Code
Bethlehem PENNSYLVANIA 18018
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Byron Ishiwata 4610456
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
1st Global Capital Corporation 30349
Street Address 1 Street Address 2
12750 MERIT DRIVE SUITE 1200
City State/Province/Country ZIP/Postal Code
DALLAS TEXAS 75251
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Kevin Hughes 1073729
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Westpark Capital Inc 39914
Street Address 1 Street Address 2
11900 AVENUE OF THE STARS SUITE 310
City State/Province/Country ZIP/Postal Code
LOS ANGELES CALIFORNIA 90067
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Edward Waldron 2216457
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lincoln Financial Advisors 3978
Street Address 1 Street Address 2
1300 SOUTH CLINTON STREET SUITE 150
City State/Province/Country ZIP/Postal Code
FORT WAYNE INDIANA 46802
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MASSACHUSETTS
Recipient
Recipient CRD Number    None
Eric Scaff 5281210
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Concorde Investment Services, LLC 151604
Street Address 1 Street Address 2
19500 VICTOR PARKWAY SUITE 550
City State/Province/Country ZIP/Postal Code
LIVONIA MICHIGAN 48152
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Anthony Urban 3181241
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
FSC Securities Corporation 7461
Street Address 1 Street Address 2
2300 WINDY RIDGE PKWY SUITE 750
City State/Province/Country ZIP/Postal Code
ATLANTA GEORGIA 30339
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NORTH CAROLINA
Recipient
Recipient CRD Number    None
Barry Ozer 5727882
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
FSC Securities Corporation 7461
Street Address 1 Street Address 2
2300 WINDY RIDGE PKWY SUITE 750
City State/Province/Country ZIP/Postal Code
ATLANTA GEORGIA 30339
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NORTH CAROLINA
Recipient
Recipient CRD Number    None
Kirk Dobson 4049865
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Ameritas Investment Corp. 14869
Street Address 1 Street Address 2
5900 "O" STREET
City State/Province/Country ZIP/Postal Code
LINCOLN NEBRASKA 68510-2234
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Christopher Riel 6222615
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Ameritas Investment Corp. 14869
Street Address 1 Street Address 2
5900 "O" STREET
City State/Province/Country ZIP/Postal Code
LINCOLN NEBRASKA 68510-2234
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Robert Fagan 1572927
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Madison Avenue Securities, LLC 23224
Street Address 1 Street Address 2
15050 AVENUE OF SCIENCE SUITE 150
City State/Province/Country ZIP/Postal Code
SAN DIEGO CALIFORNIA 92128
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
George Pitra 2796552
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Independent Financial Group, LLC 7717
Street Address 1 Street Address 2
12671 HIGH BLUFF DRIVE SUITE 200
City State/Province/Country ZIP/Postal Code
SAN DIEGO CALIFORNIA 92130
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
Recipient
Recipient CRD Number    None
John Cahill 3268820
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Questar Capital Corp 43100
Street Address 1 Street Address 2
5701 GOLDEN HILLS DRIVE
City State/Province/Country ZIP/Postal Code
MINNEAPOLIS MINNESOTA 55416
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW YORK
Recipient
Recipient CRD Number    None
Carmen Morrone 1898874
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Muriel Siebert & Co., Inc 5376
Street Address 1 Street Address 2
120 WALL STREET 25TH FLOOR
City State/Province/Country ZIP/Postal Code
NEW YORK, NEW YORK 10005
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW YORK
Recipient
Recipient CRD Number    None
Barry Le May 306332
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Concorde Investment Services, LLC 151604
Street Address 1 Street Address 2
19500 VICTOR PARKWAY SUITE 550
City State/Province/Country ZIP/Postal Code
LIVONIA MICHIGAN 48152
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
James Guare 1071734
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research 39543
Street Address 1 Street Address 2
1776 PLEASANT PLAIN RD.
City State/Province/Country ZIP/Postal Code
FAIRFIELD IOWA 52556
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
Recipient
Recipient CRD Number    None
Jonathan Khalavsky 5285296
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Tfs Securities, Inc. 20626
Street Address 1 Street Address 2
437 NEWMAN SPRINGS ROAD
City State/Province/Country ZIP/Postal Code
LINCROFT NEW JERSEY 07738
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEW JERSEY
Recipient
Recipient CRD Number    None
Ronald Gay 5647263
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cambridge Investment Research 39543
Street Address 1 Street Address 2
1776 PLEASANT PLAIN RD.
City State/Province/Country ZIP/Postal Code
FAIRFIELD IOWA 52556
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
Ryan Haag 2432783
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lincoln Financial Advisors 3978
Street Address 1 Street Address 2
1300 SOUTH CLINTON STREET SUITE 150
City State/Province/Country ZIP/Postal Code
FORT WAYNE INDIANA 46802
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MINNESOTA
Recipient
Recipient CRD Number    None
Jack Morrison 3258182
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
1st Global Capital Corporation 30349
Street Address 1 Street Address 2
12750 MERIT DRIVE SUITE 1200
City State/Province/Country ZIP/Postal Code
DALLAS TEXAS 75251
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
RCX Capital Group LLC 114290
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
2002 TIMBERLOCH PLACE SUITE 200
City State/Province/Country ZIP/Postal Code
THE WOODLANDS TEXAS 77380
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Richard Holtan 2410936
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Crown Capital Securities L.P 6312
Street Address 1 Street Address 2
725 TOWN & COUNTRY ROAD SUITE 530
City State/Province/Country ZIP/Postal Code
Orange CALIFORNIA 92868
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEVADA
Recipient
Recipient CRD Number    None
Thomas Prieur 4296010
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lincoln Financial Advisors 3978
Street Address 1 Street Address 2
1300 SOUTH CLINTON STREET SUITE 150
City State/Province/Country ZIP/Postal Code
FORT WAYNE INDIANA 46802
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WASHINGTON
Recipient
Recipient CRD Number    None
J David Bayarena 4129147
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
1st Global Capital Corporation 30349
Street Address 1 Street Address 2
12750 MERIT DRIVE SUITE 1200
City State/Province/Country ZIP/Postal Code
DALLAS TEXAS 75251
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS
Recipient
Recipient CRD Number    None
Thomas Scheiman 1508288
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Independence Capital Co, Inc. 24723
Street Address 1 Street Address 2
5579 PEARL ROAD, SUITE 100
City State/Province/Country ZIP/Postal Code
Parma OHIO 44129
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OHIO
Recipient
Recipient CRD Number    None
Brian Vosberg 4476509
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Centaurus Financial, Inc. 30833
Street Address 1 Street Address 2
2300 E. KATELLA AVENUE SUITE #200
City State/Province/Country ZIP/Postal Code
ANAHEIM CALIFORNIA 92806
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Roger Smith 1964274
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
First Allied Securities Inc. 32444
Street Address 1 Street Address 2
655 WEST BROADWAY 12TH FLOOR
City State/Province/Country ZIP/Postal Code
San Diego CALIFORNIA 92101
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CONNECTICUT
Recipient
Recipient CRD Number    None
Jared Sutton 5600742
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Voya Financial Advisors 2882
Street Address 1 Street Address 2
699 WALNUT STREET Suite 1000
City State/Province/Country ZIP/Postal Code
Des Moines IOWA 50309
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
INDIANA
Recipient
Recipient CRD Number    None
Benjamin Hill 2983275
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Galt Financial Group, Inc. 146976
Street Address 1 Street Address 2
2815 TOWNSGATE RD SUITE 100
City State/Province/Country ZIP/Postal Code
West Lake Village CALIFORNIA 91361
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Lois Leynse 2949395
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
H D Vest Investment Securities Inc 13686
Street Address 1 Street Address 2
6333 NORTH STATE HIGHWAY 161 4TH FLOOR
City State/Province/Country ZIP/Postal Code
IRVING TEXAS 75038-2200
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
John Ochsner 1502183
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cetera Advisors, LLC 10299
Street Address 1 Street Address 2
4600 SOUTH SYRACUSE STREET Suite 600
City State/Province/Country ZIP/Postal Code
Denver COLORADO 80237
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WASHINGTON
Recipient
Recipient CRD Number    None
Brett Jenson 4048577
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lincoln Financial Advisors 3978
Street Address 1 Street Address 2
1300 SOUTH CLINTON STREET SUITE 150
City State/Province/Country ZIP/Postal Code
FORT WAYNE INDIANA 46802
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
UTAH
Recipient
Recipient CRD Number    None
Nathaniel Edie 4278231
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cetera Advisors, LLC 10299
Street Address 1 Street Address 2
4600 SOUTH SYRACUSE STREET Suite 600
City State/Province/Country ZIP/Postal Code
Denver COLORADO 80237
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NEBRASKA
Recipient
Recipient CRD Number    None
Peter Fisher 1259923
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Investacorp, Inc. 7684
Street Address 1 Street Address 2
4400 BISCAYNE BLVD 11TH FLOOR
City State/Province/Country ZIP/Postal Code
MIAMI FLORIDA 33137
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
CALIFORNIA
Recipient
Recipient CRD Number    None
Grant Conness 4778193
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Madison Avenue Securities, LLC 23224
Street Address 1 Street Address 2
15050 AVENUE OF SCIENCE SUITE 150
City State/Province/Country ZIP/Postal Code
SAN DIEGO CALIFORNIA 92128
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
Recipient
Recipient CRD Number    None
Vernon Henifin 2986399
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Centaurus Financial, Inc. 30833
Street Address 1 Street Address 2
2300 E. KATELLA AVENUE SUITE #200
City State/Province/Country ZIP/Postal Code
ANAHEIM CALIFORNIA 92806
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OREGON
Recipient
Recipient CRD Number    None
Bhavin Mehta 2233753
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Securities America Inc. 10205
Street Address 1 Street Address 2
12325 PORT GRACE BLVD.
City State/Province/Country ZIP/Postal Code
Lavista NEBRASKA 68128
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Kirk Miller 5004970
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Western International Secs Inc 39262
Street Address 1 Street Address 2
70 SOUTH LAKE AVENUE SUITE 700
City State/Province/Country ZIP/Postal Code
Pasadena CALIFORNIA 91101
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Jeff Morris 2478499
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Moloney Securities Co 38535
Street Address 1 Street Address 2
13537 BARRETT PARKWAY DRIVE #300
City State/Province/Country ZIP/Postal Code
Manchester MISSOURI 63021
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
Recipient
Recipient CRD Number    None
Randall Kaup 5173095
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
1st Global Capital Corporation 30349
Street Address 1 Street Address 2
12750 MERIT DRIVE SUITE 1200
City State/Province/Country ZIP/Postal Code
DALLAS TEXAS 75251
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OHIO
Recipient
Recipient CRD Number    None
Gregory Hunter 2867265
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
1st Global Capital Corporation 30349
Street Address 1 Street Address 2
12750 MERIT DRIVE SUITE 1200
City State/Province/Country ZIP/Postal Code
DALLAS TEXAS 75251
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Tim Clairmont 2847591
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lion Street Financial, LLC 165828
Street Address 1 Street Address 2
515 CONGRESS AVE SUITE 2500
City State/Province/Country ZIP/Postal Code
Austin TEXAS 78701
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OREGON
Recipient
Recipient CRD Number    None
Jeffrey Bangerter 1687028
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Berthel Fisher & Co Financial Svcs 13609
Street Address 1 Street Address 2
4201 42ND STREET NE SUITE 100
City State/Province/Country ZIP/Postal Code
Cedar Rapids MICHIGAN 52402
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Brian Long 5270961
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Voya Financial Advisors 2882
Street Address 1 Street Address 2
699 WALNUT STREET Suite 1000
City State/Province/Country ZIP/Postal Code
Des Moines IOWA 50309
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OHIO
Recipient
Recipient CRD Number    None
William Tufts 2053884
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Crown Capital Securities L.P. 6312
Street Address 1 Street Address 2
725 TOWN & COUNTRY ROAD SUITE 530
City State/Province/Country ZIP/Postal Code
Orange CALIFORNIA 92868
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OREGON
Recipient
Recipient CRD Number    None
Max Larsen 1406283
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Triad Advisors, Inc. 25803
Street Address 1 Street Address 2
5155 PEACHTREE PARKWAY SUITE 3220
City State/Province/Country ZIP/Postal Code
NORCROSS GEORGIA 30092
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
Recipient
Recipient CRD Number    None
Mark Bonhard 2209747
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Triad Advisors, Inc. 25803
Street Address 1 Street Address 2
5155 PEACHTREE PARKWAY SUITE 3220
City State/Province/Country ZIP/Postal Code
NORCROSS GEORGIA 30092
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OHIO
Recipient
Recipient CRD Number    None
Joseph Nugent 4019776
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Concorde Investment Services, LLC 151604
Street Address 1 Street Address 2
19500 VICTOR PARKWAY SUITE 550
City State/Province/Country ZIP/Postal Code
LIVONIA MICHIGAN 48152
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
Recipient
Recipient CRD Number    None
Gary Benson 1182211
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NPB Financial Group, LLC 137743
Street Address 1 Street Address 2
3500 W. OLIVE AVENUE THIRD FLOOR
City State/Province/Country ZIP/Postal Code
Burbank CALIFORNIA 91505
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Thomas Povinelli 1326492
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Royal Alliance Associates, Inc. 23131
Street Address 1 Street Address 2
10 EXCHANGE PLACE SUITE 1410
City State/Province/Country ZIP/Postal Code
JERSEY CITY NEW JERSEY 07302
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CONNECTICUT
Recipient
Recipient CRD Number    None
Kelly Clyde 4825839
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Independent Financial Group, LLC 7717
Street Address 1 Street Address 2
12671 HIGH BLUFF DRIVE SUITE 200
City State/Province/Country ZIP/Postal Code
SAN DIEGO CALIFORNIA 92130
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Jeffrey Gustafson 5653082
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lincoln Financial Advisors 3978
Street Address 1 Street Address 2
1300 SOUTH CLINTON STREET SUITE 150
City State/Province/Country ZIP/Postal Code
FORT WAYNE INDIANA 46802
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Anders Haugen 5227103
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cetera Advisor Networks, LLC 13572
Street Address 1 Street Address 2
200 N PACIFIC COAST HWY STE 1300
City State/Province/Country ZIP/Postal Code
EL SEGUNDO CALIFORNIA 90245-5672
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MINNESOTA
Recipient
Recipient CRD Number    None
Alex Kowalski 4495275
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Concorde Investment Services, LLC 151604
Street Address 1 Street Address 2
19500 VICTOR PARKWAY SUITE 550
City State/Province/Country ZIP/Postal Code
LIVONIA MICHIGAN 48152
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
WISCONSIN
Recipient
Recipient CRD Number    None
Richard Park 4557055
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Royal Alliance Associates, Inc. 23131
Street Address 1 Street Address 2
10 EXCHANGE PLACE SUITE 1410
City State/Province/Country ZIP/Postal Code
JERSEY CITY NEW JERSEY 07302
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
HAWAII
Recipient
Recipient CRD Number    None
Jeffrey Baker 2102752
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Vanderbilt Securities, LLC 5953
Street Address 1 Street Address 2
125 FROEHLICH FARM BLVD.
City State/Province/Country ZIP/Postal Code
WOODBURY NEW JERSEY 11797
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
HAWAII
Recipient
Recipient CRD Number    None
John Orito 2008254
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Summit Brokerage Services, Inc 34643
Street Address 1 Street Address 2
595 S. FEDERAL HIGHWAY SUITE 500
City State/Province/Country ZIP/Postal Code
BOCA RATON FLORIDA 33432
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Scott Brown 4322420
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Royal Alliance Associates, Inc. 23131
Street Address 1 Street Address 2
10 EXCHANGE PLACE SUITE 1410
City State/Province/Country ZIP/Postal Code
JERSEY CITY NEW JERSEY 07302
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Caleb Tsang 5711828
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
1st Global Capital Corporation 30349
Street Address 1 Street Address 2
12750 MERIT DRIVE SUITE 1200
City State/Province/Country ZIP/Postal Code
DALLAS TEXAS 75251
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Gene Alvin Brehm 2815437
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Saxony Securities 115547
Street Address 1 Street Address 2
7401 WATSON ROAD SUITE 86
City State/Province/Country ZIP/Postal Code
St.Louis MISSOURI 63119
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TEXAS

13. Offering and Sales Amounts

Total Offering Amount $138,158,359 USD
or    Indefinite
Total Amount Sold $83,721,579 USD
Total Remaining to be Sold $54,436,780 USD
or    Indefinite

Clarification of Response (if Necessary):

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

14. Investors

  
 Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering.
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering:
114

15. Sales Commissions & Finder's Fees Expenses

Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.

Sales Commissions $12,296,094 USD
X Estimate
Finders' Fees $0 USD
   Estimate

Clarification of Response (if Necessary):

Sales Commissions include estimates of the maximum amount of Selling Commissions, Dealer Fees and Placement Agent Fee that may be paid to one or more Related Persons.

16. Use of Proceeds

Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.

$6,735,667 USD
X Estimate

Clarification of Response (if Necessary):

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.

Signature and Submission

Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.

Terms of Submission

In submitting this notice, each issuer named above is:
  • Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, in the accordance with applicable law, the information furnished to offerees.*
  • Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against the issuer in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of:  (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.
  • Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) or Rule 506(d).

Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.

For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.

Issuer Signature Name of Signer Title Date
National Multifamily Portfolio IV DST /s/ Rahul Sehgal Rahul Sehgal CIO of Member of Signatory Trustee of the Issuer 2019-01-16

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.

* This undertaking does not affect any limits Section 102(a) of the National Securities Markets Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot routinely require offering materials under this undertaking or otherwise and can require offering materials only to the extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.