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
0001703605
   Corporation
   Limited Partnership
   Limited Liability Company
   General Partnership
X Business Trust
   Other (Specify)

Name of Issuer
Riverdale Multifamily DST
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
   Over Five Years Ago
X Within Last Five Years (Specify Year) 2016
   Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
Riverdale Multifamily 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 6302184916

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
Riverdale Multifamily Exchange, LLC N/A
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):

Signatory Trustee of the Issuer
Last Name First Name Middle Name
IPCC Multifamily Depositor DST N/A
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):

Depositor of the Issuer

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 2017-04-26    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
Huntwicke Securities LLC 146993
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Peter Finnigan 1336798
Street Address 1 Street Address 2
65 Washington Street
City State/Province/Country ZIP/Postal Code
Hanover MASSACHUSETTS 02339
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
Westpark Capital Inc 39914
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
David Levinson 705929
Street Address 1 Street Address 2
18872 MacArthur Blvd 1st 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
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Silver Portal Capital LLC 114290
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
12265 El Camino Real Suite 230
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
MINNESOTA
Recipient
Recipient CRD Number    None
Primex 29394
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Christina Nielson 4866971
Street Address 1 Street Address 2
650 Town Center Drive Suite 1400
City State/Province/Country ZIP/Postal Code
Costa Mesa CALIFORNIA 92626
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
American Portfolios Financial Services, Inc 18487
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Timothy Harley 1096498
Street Address 1 Street Address 2
4250 Verterans Memorial Hwy
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
   Foreign/non-US
NEW YORK
Recipient
Recipient CRD Number    None
Colorado Financial Service Corp 104343
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Chay Lapin 6275140
Street Address 1 Street Address 2
2516 Via Tejon Suite 210
City State/Province/Country ZIP/Postal Code
Palos Verdes Estates CALIFORNIA 90274
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
Concorde Investment Services, LLC 151604
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Nathan Kuhn 4624143
Street Address 1 Street Address 2
120 W Eastman Suite 300
City State/Province/Country ZIP/Postal Code
Arlington Heights ILLINOIS 60004
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
Concorde Investment Services, LLC 151604
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Daniel Raupp 4079107
Street Address 1 Street Address 2
417 East Main Street 3rd Floor
City State/Province/Country ZIP/Postal Code
Port Jefferson NEW YORK 11777
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
Calton & Associates 20999
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Marc Seeherman 1131557
Street Address 1 Street Address 2
32 West 40th Street 2nd Floor
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10018
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
Nationwide Planning Associates, Inc 31029
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Eric Bicknese 2829451
Street Address 1 Street Address 2
975 Route 32
City State/Province/Country ZIP/Postal Code
Central Valley NEW YORK 10917
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
Nationwide Planning Associates, Inc 31029
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Adam Young 6640146
Street Address 1 Street Address 2
440 Park Avenue South 3rd Floor
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10016
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
Summit Brokerage Services, Inc 13475
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Keith Herman 2322605
Street Address 1 Street Address 2
323 Haddon Ave
City State/Province/Country ZIP/Postal Code
Haddon NEW JERSEY 08108
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
Summit Brokerage Services, Inc 13475
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
David Chalmers 2943921
Street Address 1 Street Address 2
323 Haddon Ave
City State/Province/Country ZIP/Postal Code
Haddon NEW JERSEY 08108
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
DFPG Investments, Inc 155576
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Mike Bendix 5379777
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
OHIO
Recipient
Recipient CRD Number    None
First Allied Securities Inc 32444
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Ron Selik 1616960
Street Address 1 Street Address 2
30100 Telegraph Road Suite #414
City State/Province/Country ZIP/Postal Code
Bingham Farms MICHIGAN 48025
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MICHIGAN
Recipient
Recipient CRD Number    None
Independent Financial Group, LLC 7717
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Joshua Koehnen 4551444
Street Address 1 Street Address 2
12531 High Bluff Drive #110
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
Independent Financial Group, LLC 7717
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Armando Roman 4414526
Street Address 1 Street Address 2
7373 F Doubletree Ranch Road Suite 170
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
   Foreign/non-US
ARIZONA
Recipient
Recipient CRD Number    None
Northland Securities, Inc 40258
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Roger Tadsen 1053510
Street Address 1 Street Address 2
45 South 7th Street 20th Floor
City State/Province/Country ZIP/Postal Code
Minneapolis MINNESOTA 55402
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
Silver Portal Capital LLC 114290
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
April Guinchard 1729146
Street Address 1 Street Address 2
12265 El Camino Real Suite 230
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
First Allied Securities Inc 32444
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Dustin Tenbroeck 5019784
Street Address 1 Street Address 2
12626 High Bluff Drive Suite 440
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
Sagepoint Financial, Inc 133763
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Maxwell Phillips 4953387
Street Address 1 Street Address 2
3700 State Street Suite 310
City State/Province/Country ZIP/Postal Code
Santa Barbara CALIFORNIA 93105
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
DFPG Investments, Inc 155576
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Scott Sheehan 2328614
Street Address 1 Street Address 2
2 Orr Hatch Drive
City State/Province/Country ZIP/Postal Code
Cornwall NEW YORK 12518
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MARYLAND
Recipient
Recipient CRD Number    None
Royal Alliance Associates, Inc 23131
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Dan Meyerovitz 4395492
Street Address 1 Street Address 2
5001 Spring Valley Road Suite 1120E
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75244
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
Royal Alliance Associates, Inc 23131
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Darryl Meyerovitz 857839
Street Address 1 Street Address 2
5001 Spring Valley Road Suite 1120E
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75244
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
Primex Prime Electronic Execution Inc 29394
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Michael Steinthal 435071
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
NEW YORK
Recipient
Recipient CRD Number    None
Investacorp,Inc 7684
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
John Chess 4812430
Street Address 1 Street Address 2
4263 Gavin Lane
City State/Province/Country ZIP/Postal Code
Columbus OHIO 43220
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
Concorde Investment Services, LLC 151604
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Eric Scaff 5281210
Street Address 1 Street Address 2
300 Montomery Street Suite 631
City State/Province/Country ZIP/Postal Code
San Francisco CALIFORNIA 94101
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
First Allied Securities Inc 32444
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Robert Cheney 2825660
Street Address 1 Street Address 2
158 Goya Road
City State/Province/Country ZIP/Postal Code
Portola Valley CALIFORNIA 94028
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
Lincoln Financial Advisors 3978
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
David Stone 2280955
Street Address 1 Street Address 2
1013 Galleria Boulevard Suite 270
City State/Province/Country ZIP/Postal Code
Roseville CALIFORNIA 95678
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
DFPG Investments, Inc 155576
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Joseph Broadbent 3132498
Street Address 1 Street Address 2
9017 S Riverside Drive Suite 200
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
COLORADO
Recipient
Recipient CRD Number    None
Sagepoint Financial, Inc 133763
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Michael D'Epagnier 2067061
Street Address 1 Street Address 2
193 S 27th Avenue Suite 300
City State/Province/Country ZIP/Postal Code
Brighton COLORADO 80601
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
Sagepoint Financial, Inc 133763
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Justin Pollack 3029951
Street Address 1 Street Address 2
3700 State Street Suite 310
City State/Province/Country ZIP/Postal Code
Santa Barbara CALIFORNIA 93105
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
Summit Brokerage Services, Inc 13475
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Jay Wallinger 2407056
Street Address 1 Street Address 2
113 North Main Street
City State/Province/Country ZIP/Postal Code
Stuart NEBRASKA 68780
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
Royal Alliance Associates, Inc 23131
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Mark Smith 1255998
Street Address 1 Street Address 2
4427 Talmadge Road
City State/Province/Country ZIP/Postal Code
Toledo OHIO 43623
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
1st Global Capital Corporation 44870
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Evan Dickens 6001407
Street Address 1 Street Address 2
300 SW Columbia Street Suite 201
City State/Province/Country ZIP/Postal Code
Bend OREGON 97702
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
Triad Advisors, Inc 25803
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
James Walesa 1061209
Street Address 1 Street Address 2
1460 Renaissance Dr Suite #212
City State/Province/Country ZIP/Postal Code
Park Ridge ILLINOIS 60068
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
Royal Alliance Associates, Inc 23131
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Delores Mitchell 2722419
Street Address 1 Street Address 2
792 Carman Ave
City State/Province/Country ZIP/Postal Code
Westbury NEW YORK 11590
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
Royal Alliance Associates, Inc 23131
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Nicholas Agnone 2664405
Street Address 1 Street Address 2
792 Carman Ave
City State/Province/Country ZIP/Postal Code
Westbury NEW YORK 11590
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
Cabot Lodge Securities LLC 159712
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Robert Tweed 2339324
Street Address 1 Street Address 2
2060 Huntington Drive Suite 1
City State/Province/Country ZIP/Postal Code
San Marino CALIFORNIA 91108
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
Royal Alliance Associates, Inc 23131
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Stacy Tredennick 4587098
Street Address 1 Street Address 2
1460 Mario Lane Suite 290
City State/Province/Country ZIP/Postal Code
Walnut Creek CALIFORNIA 94596-5314
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
Courtlandt Securities Corp 137356
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Mike Cruz 2130750
Street Address 1 Street Address 2
18218 McDurmott Suite A
City State/Province/Country ZIP/Postal Code
Irvine CALIFORNIA 92614
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
Lincoln Financial Advisors 3978
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
David Stone 2280955
Street Address 1 Street Address 2
1013 Galleria Boulevard Suite 270
City State/Province/Country ZIP/Postal Code
Roseville CALIFORNIA 95678
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
First Allied Securities, Inc 32444
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Peter Han 4704497
Street Address 1 Street Address 2
200 South Los Robles Ave Suite 440
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
Summit Brokerage Services, Inc 13475
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Matthew Dresden 5315405
Street Address 1 Street Address 2
222 North Broadway Avenue Box 827
City State/Province/Country ZIP/Postal Code
Hartington NEBRASKA 68739
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
Simmons First Investment Group Inc 47439
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Robert Williams 1156747
Street Address 1 Street Address 2
5500 Kavanaugh Blvd
City State/Province/Country ZIP/Postal Code
Little Rock ARKANSAS 72207
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARKANSAS
Recipient
Recipient CRD Number    None
Simmons First Investment Group Inc 47439
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Chad Carlson 2802086
Street Address 1 Street Address 2
16600 Chenal Parkway
City State/Province/Country ZIP/Postal Code
Little Rock ARKANSAS 72223
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARKANSAS
Recipient
Recipient CRD Number    None
McDermott Investment Services, LLC 154926
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Corbin Thomas 4234748
Street Address 1 Street Address 2
101 Main Street Suite 260
City State/Province/Country ZIP/Postal Code
Huntington Beach CALIFORNIA 92648
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
First Allied Securites Inc 32444
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Robert Webster 1104509
Street Address 1 Street Address 2
6684 Gunpark Drive East Suite 1500
City State/Province/Country ZIP/Postal Code
Boulder COLORADO 80301
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
Concorde Investment Services, LLC 151604
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Barry Le May 306332
Street Address 1 Street Address 2
2242 Camden Suite 102
City State/Province/Country ZIP/Postal Code
San Jose CALIFORNIA 95124
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
Cetera Advisors, LLC 10299
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Melinda Olbert 2893793
Street Address 1 Street Address 2
9012 N Kelley Ave
City State/Province/Country ZIP/Postal Code
Oklahoma City OKLAHOMA 73131
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OKLAHOMA
Recipient
Recipient CRD Number    None
Cetera Advisors, LLC 10299
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
John Graves 1427158
Street Address 1 Street Address 2
8450 Honeycutt Road
City State/Province/Country ZIP/Postal Code
Raleigh NORTH CAROLINA 27615
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
Parkland Securities, LLC 115368
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Douglas Barton 1494345
Street Address 1 Street Address 2
5875 Lehman Drive Suite 200
City State/Province/Country ZIP/Postal Code
Colorado Springs COLORADO 80918
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
SOUTH DAKOTA
Recipient
Recipient CRD Number    None
Kalos Capital 44337
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Steve Netzel 2863170
Street Address 1 Street Address 2
10450 E Riggs Road Suite 101
City State/Province/Country ZIP/Postal Code
Chandler ARIZONA 85248
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
Inland Securities Corporation 15807
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
2901 Butterfield Road
City State/Province/Country ZIP/Postal Code
Oak Brook ILLINOIS 60523
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ILLINOIS
Recipient
Recipient CRD Number    None
Sigma Financial Corporation 14303
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Kyle Jobin 4915438
Street Address 1 Street Address 2
191 North Ave Suite E
City State/Province/Country ZIP/Postal Code
Mount Clemens MICHIGAN 48043
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MICHIGAN
Recipient
Recipient CRD Number    None
Royal Alliance Associates, Inc 23131
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Raoul Dubery 3259052
Street Address 1 Street Address 2
1811 East Garry Avenue
City State/Province/Country ZIP/Postal Code
Santa Ana CALIFORNIA 92705
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
Triad Advisors Inc 25803
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Timothy Tehan 3230535
Street Address 1 Street Address 2
7735 Old Georgetown Road Suite #800
City State/Province/Country ZIP/Postal Code
Bethesda MARYLAND 20814
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
H.D Vest Investment Securities Inc 13686
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Barry Morris 5622917
Street Address 1 Street Address 2
165 Sussex Avenue
City State/Province/Country ZIP/Postal Code
Morristown NEW JERSEY 07960
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
Sagepoint Financial, Inc 133763
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Mark Iskander 2326918
Street Address 1 Street Address 2
7700 Irvine Center Drive Suite 800
City State/Province/Country ZIP/Postal Code
Irvine CALIFORNIA 92618
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
Lincoln Financial Advisors 3978
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Eric Holzman 4664749
Street Address 1 Street Address 2
12555 High Bluff Suite 205
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
1st Global Capital Corporation 44870
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Gregg Kiefer 3230611
Street Address 1 Street Address 2
1675 Richmond Road
City State/Province/Country ZIP/Postal Code
Staten Island NEW YORK 10304-2317
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
Primex Prime Electronic Execution Inc 29394
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Kimberly Hart 6470382
Street Address 1 Street Address 2
54 West 21st Street
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
CALIFORNIA
Recipient
Recipient CRD Number    None
Wealthforge LLC 152550
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
David Dahill 6581024
Street Address 1 Street Address 2
109 E 10th Street Suite 300
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
Colorado Financial Service Corp 104343
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Mark Creason 6617847
Street Address 1 Street Address 2
17776 Preston Road Suite 200
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75252
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
Centaurus Financial Inc 30833
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Adam Bryan 5443986
Street Address 1 Street Address 2
6633 S. Halm Avenue
City State/Province/Country ZIP/Postal Code
Los Angeles CALIFORNIA 90056
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
National Securities Corp. 7569
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Mark Gopen 2989672
Street Address 1 Street Address 2
181 East Jericho Turnpike 2nd Floor
City State/Province/Country ZIP/Postal Code
Mineola NEW YORK 11501
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
National Securities Corp 7569
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Sean Pearlman 5331765
Street Address 1 Street Address 2
35-30 Francis Lewis Blvd
City State/Province/Country ZIP/Postal Code
Flushing NEW YORK 11358
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
National Securities Corp 7569
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Deborah O'Connell 1760230
Street Address 1 Street Address 2
35-30 Francis Lewis Blvd
City State/Province/Country ZIP/Postal Code
Flushing NEW YORK 11358
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
Concorde Investment Services, LLC 151604
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Jeffrey Kiesnoski 2688017
Street Address 1 Street Address 2
417 East Main Street
City State/Province/Country ZIP/Postal Code
Port Jefferson NEW YORK 11777
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
Lincoln Financial Advisors 3978
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Donald Garcia 1782485
Street Address 1 Street Address 2
18400 Von Karman Avenue
City State/Province/Country ZIP/Postal Code
Irvine CALIFORNIA 92612-5011
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
Independent Financial Group LLC 7717
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Robert Vonderharr 1556834
Street Address 1 Street Address 2
3098 Highland Drive Suite 490
City State/Province/Country ZIP/Postal Code
Salt Lake City UTAH 84106
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
Independent Financial Group LLC 7717
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Richard Wagner 4575603
Street Address 1 Street Address 2
3098 Highland Drive Suite 490
City State/Province/Country ZIP/Postal Code
Salt Lake City UTAH 84106
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
Commonwealth Financial Network 8032
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Robert Condon 823679
Street Address 1 Street Address 2
1312 9th Street
City State/Province/Country ZIP/Postal Code
Berkeley CALIFORNIA 94710
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
Commonwealth Financial Network 8032
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Hiro Kagiyama 5443419
Street Address 1 Street Address 2
1312 9th Street
City State/Province/Country ZIP/Postal Code
Berkeley CALIFORNIA 94710
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
Parkland Securities, LLC 115368
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Josh Griffin 4664355
Street Address 1 Street Address 2
6312 South Fiddlers Green Circle 300 E
City State/Province/Country ZIP/Postal Code
Greenwood Village COLORADO 80111
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
First Allied Securities Inc 32444
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Frisco Escudero 2794899
Street Address 1 Street Address 2
333 S.Anita Drive Suite 700
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
CALIFORNIA
Recipient
Recipient CRD Number    None
1st Global Capital Corporation 44870
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Julie Bradsher 5230771
Street Address 1 Street Address 2
105 East Annandale Road Suite 215
City State/Province/Country ZIP/Postal Code
Falls Church VIRGINIA 22046
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
Lincoln Financial Advisors 3978
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Roberto J Duran 4120580
Street Address 1 Street Address 2
18400 Von Karman Avenue Suite 550
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
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Lincoln Financial Advisors 3978
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Rostam Atefi 5774433
Street Address 1 Street Address 2
18400 Von Karman Avenue Suite 550
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
   Foreign/non-US
CALIFORNIA
Recipient
Recipient CRD Number    None
Centaurus Financial, Inc. 30833
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Timothy McVey 1535662
Street Address 1 Street Address 2
6700 E. Pacific Coast Hwy. Suite 105
City State/Province/Country ZIP/Postal Code
Long Beach CALIFORNIA 90803
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
Royal Alliance Associates, Inc. 23131
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Denise Peterson 2016985
Street Address 1 Street Address 2
73 Preda Street
City State/Province/Country ZIP/Postal Code
San Leandro CALIFORNIA 94577
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
Lincoln Financial Advisors 3978
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Edward Rusnak 4981734
Street Address 1 Street Address 2
3000 Executive Parkway Suites 400 & 500
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
1st Global Capital Corporation 44870
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Michael Stieglitz 4623788
Street Address 1 Street Address 2
336 Sparta Avenue
City State/Province/Country ZIP/Postal Code
Sparta NEW JERSEY 07871-1760
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
Lincoln Financial Advisors 3978
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Duncan Eng 2536048
Street Address 1 Street Address 2
2105 S. Bascom Avenue Suite 300
City State/Province/Country ZIP/Postal Code
Campbell CALIFORNIA 95008
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
Concorde Investment Services, LLC 151604
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Bryan Hakola 4161289
Street Address 1 Street Address 2
10 Copps Hill
City State/Province/Country ZIP/Postal Code
Laguna Nigel CALIFORNIA 92677
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
FSC Securities Corporation 7461
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Michael Schano 5071180
Street Address 1 Street Address 2
229 West Main Street Suite 205
City State/Province/Country ZIP/Postal Code
Frankfort KENTUCKY 40601
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
Centaurus Financial, Inc 30833
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Robert Krakower 2075184
Street Address 1 Street Address 2
7777 Center Avenue Suite #120
City State/Province/Country ZIP/Postal Code
Huntington Beach CALIFORNIA 92647
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
Concorde Investment Services, LLC 151604
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Jeffrey Kiesnoski 2688017
Street Address 1 Street Address 2
417 East Main Street 3rd Floor
City State/Province/Country ZIP/Postal Code
Port Jefferson NEW YORK 11777
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
1st Global Capital Corporation 44870
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Kevin Sweeney 4281256
Street Address 1 Street Address 2
3800 Blackhawk Road Suite 100
City State/Province/Country ZIP/Postal Code
Danvill CALIFORNIA 94506
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
Investacorp, Inc 7684
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Peter Fisher 1259923
Street Address 1 Street Address 2
2901 Butterfield Rd
City State/Province/Country ZIP/Postal Code
Oak Brook ILLINOIS 60523
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ILLINOIS
Recipient
Recipient CRD Number    None
Concorde Investment Services, LLC 151604
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Alan Lichtenstein 1877017
Street Address 1 Street Address 2
417 East Main Street 3rd Floor
City State/Province/Country ZIP/Postal Code
Port Jefferson NEW YORK 11777
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
National Securities Corp 7569
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Steven Jennings 2472408
Street Address 1 Street Address 2
33 Wood Avenue, S. 4th Floor
City State/Province/Country ZIP/Postal Code
Iselin NEW JERSEY 08830
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
FSC Securities Corporation 7461
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Laurence Iannarelli 1221062
Street Address 1 Street Address 2
3277 Fruitville Road Building B
City State/Province/Country ZIP/Postal Code
Sarasota FLORIDA 34237
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA

13. Offering and Sales Amounts

Total Offering Amount $32,937,608 USD
or    Indefinite
Total Amount Sold $32,312,169 USD
Total Remaining to be Sold $625,439 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:
121

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 $2,602,071 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.

$1,633,619 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
Riverdale Multifamily DST /s/ Keith D. Lampi Keith D. Lampi President of Member of Signatory Trustee of the Issuer 2017-08-14

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.