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. |
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM D
Notice of Exempt Offering of Securities
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OMB APPROVAL |
OMB Number: |
3235-0076 |
Estimated average burden |
hours per response: |
4.00 |
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1. Issuer's Identity
CIK (Filer ID Number) |
Previous Names |
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Entity Type |
0001767656 |
Sun Belt Portfolio Multifamily DST |
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Corporation |
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Limited Partnership |
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Limited Liability Company |
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General Partnership |
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Business Trust |
X |
Other (Specify) |
Delaware Statutory Trust |
Name of Issuer |
Sun Belt Multifamily Portfolio 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 |
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2. Principal Place of Business and Contact Information
Name of Issuer |
Sun Belt Multifamily Portfolio DST |
Street Address 1 |
Street Address 2 |
C/O INLAND PRIVATE CAPITAL CORPORATION |
2901 BUTTERFIELD ROAD |
City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
OAK BROOK |
ILLINOIS |
60523 |
(630) 218-4916 |
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 |
Sun Belt Multifamily Portfolio 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 |
Sun Belt Multifamily Portfolio, 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 |
Lampi |
Keith |
D. |
Street Address 1 |
Street Address 2 |
c/o Inland Private Capital Corporation |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
President of the Sole Member of the Signatory Trustee
4. Industry Group
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Agriculture |
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Banking & Financial Services |
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Commercial Banking |
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Insurance |
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Investing |
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Investment Banking |
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Pooled Investment Fund |
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Is the issuer registered as an investment company under the Investment Company Act of 1940? |
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Other Banking & Financial Services |
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Business Services |
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Energy |
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Health Care |
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Manufacturing |
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Real Estate |
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Retailing |
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Restaurants |
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Technology |
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Travel |
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Tourism & Travel Services |
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Other |
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5. Issuer Size
Revenue Range |
OR |
Aggregate Net Asset Value Range |
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No Revenues |
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No Aggregate Net Asset Value |
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$1 - $1,000,000 |
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$1 - $5,000,000 |
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$1,000,001 - $5,000,000 |
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$5,000,001 - $25,000,000 |
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$5,000,001 - $25,000,000 |
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$25,000,001 - $50,000,000 |
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$25,000,001 - $100,000,000 |
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$50,000,001 - $100,000,000 |
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Over $100,000,000 |
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Over $100,000,000 |
X |
Decline to Disclose |
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Decline to Disclose |
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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) |
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Rule 504 (b)(1)(ii) |
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Rule 504 (b)(1)(iii) |
| X |
Rule 506(b) |
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Rule 506(c) |
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Securities Act Section 4(a)(5) |
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Investment Company Act Section 3(c) |
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Section 3(c)(1) |
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Section 3(c)(9) |
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Section 3(c)(2) |
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Section 3(c)(10) |
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Section 3(c)(3) |
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Section 3(c)(11) |
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Section 3(c)(4) |
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Section 3(c)(12) |
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Section 3(c)(5) |
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Section 3(c)(13) |
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Section 3(c)(6) |
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Section 3(c)(14) |
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7. Type of Filing
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New Notice |
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Date of First Sale |
2019-03-01 |
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First Sale Yet to Occur |
X |
Amendment |
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? |
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9. Type(s) of Securities Offered (select all that apply)
X |
Equity |
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Pooled Investment Fund Interests |
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Debt |
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Tenant-in-Common Securities |
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Option, Warrant or Other Right to Acquire Another Security |
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Mineral Property Securities |
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Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
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Other (describe) |
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10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
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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 |
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Edward Fernandez |
2956661 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Capulent LLC |
1555155 |
Street Address 1 |
Street Address 2 |
4144 N 44TH STREET |
Suite 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 |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Concorde Investment Services LLC |
151604 |
(Associated) Broker or Dealer |
X |
None |
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(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
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 |
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CALIFORNIA |
ILLINOIS |
WASHINGTON |
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Recipient |
Recipient CRD Number |
|
None |
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Commonwealth Financial Network |
8032 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
29 SAWYER ROAD |
City |
State/Province/Country |
ZIP/Postal Code |
WALTHAM |
MASSACHUSETTS |
02453-3483 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
MINNESOTA |
NEW HAMPSHIRE |
OHIO |
UTAH |
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Recipient |
Recipient CRD Number |
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None |
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Cetera Advisors, LLC |
10299 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
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 |
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CALIFORNIA |
INDIANA |
NEBRASKA |
NEW YORK |
PENNSYLVANIA |
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Recipient |
Recipient CRD Number |
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None |
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John Scott |
1636317 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Calton & Associates |
20999 |
Street Address 1 |
Street Address 2 |
2701 N ROCKY POINT DRIVE |
SUITE 1000 |
City |
State/Province/Country |
ZIP/Postal Code |
TAMPA |
FLORIDA |
33607 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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Recipient |
Recipient CRD Number |
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None |
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Michael Hall |
2615957 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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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 |
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Recipient |
Recipient CRD Number |
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None |
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H D Vest Investment Securities Inc |
13686 |
(Associated) Broker or Dealer |
X |
None |
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(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
6333 NORTH STATE HIGHWA |
4TH FLOOR |
City |
State/Province/Country |
ZIP/Postal Code |
IRVING |
TEXAS |
75038 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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CALIFORNIA |
COLORADO |
MINNESOTA |
TEXAS |
|
Recipient |
Recipient CRD Number |
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None |
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Sagepoint Financial, Inc. |
133763 |
(Associated) Broker or Dealer |
X |
None |
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(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
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 |
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CALIFORNIA |
HAWAII |
ILLINOIS |
KANSAS |
NEVADA |
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Recipient |
Recipient CRD Number |
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None |
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Don Wittler |
3202389 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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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 |
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Recipient |
Recipient CRD Number |
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None |
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1st Global Capital Corporation |
30349 |
(Associated) Broker or Dealer |
X |
None |
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(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
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 |
|
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CALIFORNIA |
MARYLAND |
NEVADA |
NEW JERSEY |
NORTH CAROLINA |
NORTH DAKOTA |
OREGON |
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Recipient |
Recipient CRD Number |
|
None |
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Matthew Nielsen |
2762423 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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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 |
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Recipient |
Recipient CRD Number |
|
None |
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Deborah Stackpole |
4969850 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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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 |
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Recipient |
Recipient CRD Number |
|
None |
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Edward Kasperavich |
4970038 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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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 |
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|
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Recipient |
Recipient CRD Number |
|
None |
|
Ricky Small |
1453704 |
(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 |
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|
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Recipient |
Recipient CRD Number |
|
None |
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Crown Capital Securities L.P. |
6312 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
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 |
|
|
CALIFORNIA |
NEW MEXICO |
NEW YORK |
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Recipient |
Recipient CRD Number |
|
None |
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Alec Abbott |
1414999 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
DFPG Investments, Inc. |
155576 |
Street Address 1 |
Street Address 2 |
18500 Von Karman Ave. |
10th Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Irvine |
CALIFORNIA |
92612 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
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Recipient |
Recipient CRD Number |
|
None |
|
Lincoln Financial Advisors |
3978 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
4250 Executive Square |
Suite 700 |
City |
State/Province/Country |
ZIP/Postal Code |
La Jolla |
CALIFORNIA |
92037 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
ILLINOIS |
INDIANA |
MARYLAND |
NEW YORK |
PENNSYLVANIA |
UTAH |
|
Recipient |
Recipient CRD Number |
|
None |
|
David Gillimore |
4297439 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Emerson Equity LLC |
130032 |
Street Address 1 |
Street Address 2 |
155 BOVET ROAD |
SUITE 725 |
City |
State/Province/Country |
ZIP/Postal Code |
SAN MATEO |
CALIFORNIA |
94402 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
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 |
|
|
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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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Julienne Riddell |
5682274 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
McDermott 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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Ronald Strasburg |
1141392 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Lincoln Financial Securities Corp |
3870 |
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 |
|
|
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Recipient |
Recipient CRD Number |
|
None |
|
Eric Bicknese |
2829451 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Nationwide Planning Associates, Inc. |
31029 |
Street Address 1 |
Street Address 2 |
115 West Century Road |
Suite 360 |
City |
State/Province/Country |
ZIP/Postal Code |
Paramus |
NEW JERSEY |
07652 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
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Recipient |
Recipient CRD Number |
|
None |
|
Michael Strafford |
2108900 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Nationwide Planning Associates, Inc. |
31029 |
Street Address 1 |
Street Address 2 |
115 West Century Road |
Suite 360 |
City |
State/Province/Country |
ZIP/Postal Code |
Paramus |
NEW JERSEY |
07652 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Dieter Thurow |
1435375 |
(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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Diane Evans |
2595371 |
(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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Brandon Crabb |
3208035 |
(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 |
53556 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Paul Murphy |
5132291 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Calton & Associates |
20999 |
Street Address 1 |
Street Address 2 |
2701 N Rocky Point Drive |
Suite 1000 |
City |
State/Province/Country |
ZIP/Postal Code |
Tampa |
FLORIDA |
33607 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
David Nelson |
2120855 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cambridge Investment Research |
39453 |
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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Tom Velken |
1600404 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Sigma Financial Corporation |
14303 |
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 |
|
|
|
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 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
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 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Ronald Cole |
1434325 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Colorado Financial Service Corp |
104343 |
Street Address 1 |
Street Address 2 |
304 Inverness Way South |
Suite 355 |
City |
State/Province/Country |
ZIP/Postal Code |
Centennial |
COLORADO |
80112 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Thomas Stanley |
2127985 |
(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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Royal Alliance Associates, Inc. |
23131 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
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 |
|
|
CALIFORNIA |
FLORIDA |
KANSAS |
NEW YORK |
|
Recipient |
Recipient CRD Number |
|
None |
|
Keith Herman |
2322605 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
United Planners' Financial Services |
20804 |
Street Address 1 |
Street Address 2 |
7333 E. Doubletree Ranch Road #120 |
City |
State/Province/Country |
ZIP/Postal Code |
Scottsdale |
ARIZONA |
85258 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Matthew Brozik |
5963665 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Triad Advisors, LLC |
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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Timothy Harley |
1096498 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
American Portfolios Financial Svcs |
18487 |
Street Address 1 |
Street Address 2 |
4250 Veterans Memorial Highway |
4th Floor East |
City |
State/Province/Country |
ZIP/Postal Code |
Holbrook |
NEW YORK |
11741 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Stacey Morimoto |
4420782 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
K Capital LLC |
147191 |
Street Address 1 |
Street Address 2 |
805 THIRD AVENUE |
FLOOR 14 |
City |
State/Province/Country |
ZIP/Postal Code |
NEW YORK |
NEW YORK |
10022 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Laura Collins |
5438804 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Lincoln Financial Securities Corp |
3870 |
Street Address 1 |
Street Address 2 |
1300 SOUTH CLINTON STREET |
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 |
|
|
|
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 |
2300 E. KATELLA AVENUE |
CALIFORNIA |
92806 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Darren Oglesby |
2480135 |
(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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Spencer Weston |
1482772 |
(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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Daniel Pinkerton |
2128422 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Triad Advisors, LLLC |
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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Gregory Robert Schowe |
5472166 |
(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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Ryan Finch |
6379871 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Colorado Financial Service Corp |
104343 |
Street Address 1 |
Street Address 2 |
304 INVERNESS WAY SOUTH |
SUITE 355 |
City |
State/Province/Country |
ZIP/Postal Code |
CENTENNIAL |
COLORADO |
80112 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Kenneth Nelson |
3231051 |
(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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Robert Pecha |
5579770 |
(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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
John Bishop |
866202 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Invicta Capital LLC |
288101 |
Street Address 1 |
Street Address 2 |
2790 MOSSIDE BOULEVARD |
SUITE 530 |
City |
State/Province/Country |
ZIP/Postal Code |
MONROEVILLE |
PENNSYLVANIA |
15146 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Debra Schleining |
2768752 |
(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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Theresa Hall |
1404084 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
United Planners' Financial Services |
20804 |
Street Address 1 |
Street Address 2 |
7333 E. DOUBLETREE RANCH ROAD #120 |
City |
State/Province/Country |
ZIP/Postal Code |
SCOTTSDALE |
ARIZONA |
85258 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Brandon Wagner |
4992650 |
(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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Allen Yee |
1934271 |
(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 |
|
|
|
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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Paul Getty |
6470002 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Lightpath Capital Inc. |
34617 |
Street Address 1 |
Street Address 2 |
1453 THIRD STREET PROMENADE |
SUITE 315 |
City |
State/Province/Country |
ZIP/Postal Code |
LOS ANGELES |
CALIFORNIA |
90401 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Ron Selik |
1616960 |
(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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jeremy Ftacek |
4327735 |
(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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Shawn Williamson |
2829022 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
The Strategic Financial Alliance |
126514 |
Street Address 1 |
Street Address 2 |
2200 CENTURY PARKWAY |
SUITE 500 |
City |
State/Province/Country |
ZIP/Postal Code |
ATLANTA |
GEORGIA |
30345 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Daniel Bisese |
5193830 |
(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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Daniel Mercer |
6698392 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Colorado Financial Service Corp |
104343 |
Street Address 1 |
Street Address 2 |
304 INVERNESS WAY SOUTH |
SUITE 355 |
City |
State/Province/Country |
ZIP/Postal Code |
CENTENNIAL |
COLORADO |
80112 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Fredrick Hubler |
4401049 |
(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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Michael Karapetian |
2904615 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Kovack Securities, Inc. |
44848 |
Street Address 1 |
Street Address 2 |
6451 N. FEDERAL HWY. |
SUITE 1201 |
City |
State/Province/Country |
ZIP/Postal Code |
FT. LAUDERDALE |
FLORIDA |
33308 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
David Levinson |
705929 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Westpark Capital Inc |
39914 |
Street Address 1 |
Street Address 2 |
1900 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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Mark Joseph Rychel |
2262582 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Lincoln Financial Securities Corp |
3870 |
Street Address 1 |
Street Address 2 |
1300 SOUTH CLINTON STREET |
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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Dinesh Gupta |
6469999 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Lightpath Capital Inc. |
34617 |
Street Address 1 |
Street Address 2 |
1453 THIRD STREET PROMENADE |
SUITE 315 |
City |
State/Province/Country |
ZIP/Postal Code |
LOS ANGELES |
CALIFORNIA |
90401 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
David Ash |
6895271 |
(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 |
|
|
|
13. Offering and Sales Amounts
Total Offering Amount |
$89,946,980
|
USD |
|
Total Amount Sold |
$76,909,392
|
USD |
Total Remaining to be Sold |
$13,037,588
|
USD |
|
Clarification of Response (if Necessary):
Regarding Item 11, the Issuer may accept smaller Investments in the Sponsor's sole discretion14. 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: |
|
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 |
$8,005,281
|
USD |
|
Finders' Fees |
$0
|
USD |
|
Clarification of Response (if Necessary):
Sales Commissions include estimates of the maximum amount of Selling Commissions, Dealer Fees and Placement Agent Fees that may be paid to one or more Related Persons16. 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.
Clarification of Response (if Necessary):
Item 16 is an estimate of acquisition fees, reimbursements for certain acquisition and financing costs, offering and organizational expenses that may accrue to one or more Related PersonsSignature 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 |
Sun Belt Multifamily Portfolio DST |
/s/ Keith D. Lampi |
Keith D. Lampi |
President of Member of Signatory Trustee of the Issuer |
2019-06-21 |
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.