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 |
|
Entity Type |
| 0001409834 |
|
| |
Corporation |
| X |
Limited Partnership |
| |
Limited Liability Company |
| |
General Partnership |
| |
Business Trust |
| |
Other (Specify) |
|
| Name of Issuer |
|---|
| RFMC Global Directional Fund LP |
| Jurisdiction of Incorporation/Organization |
|---|
| DELAWARE |
| Year of Incorporation/Organization |
|---|
| |
Over Five Years Ago |
| X |
Within Last Five Years (Specify Year) |
2007 |
| |
Yet to Be Formed |
|
2. Principal Place of Business and Contact Information
| Name of Issuer |
|---|
| RFMC Global Directional Fund LP |
| Street Address 1 |
Street Address 2 |
| 4 Benedek Road |
| City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
| Princeton |
NEW JERSEY |
08540 |
(609) 921-0701 |
3. Related Persons
| Last Name |
First Name |
Middle Name |
| LERNER |
ROBERT |
L. |
| Street Address 1 |
Street Address 2 |
| 4 BENEDEK ROAD |
| City |
State/Province/Country |
ZIP/PostalCode |
| PRINCETON |
NEW JERSEY |
08540 |
| Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
4. Industry Group
| |
Agriculture |
|
Banking & Financial Services |
|
| |
Commercial Banking |
| |
Insurance |
| |
Investing |
| |
Investment Banking |
| X |
Pooled Investment Fund |
|
| |
Hedge Fund |
| |
Private Equity Fund |
| |
Venture Capital Fund |
| X |
Other Investment Fund |
|
|
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940? |
|
|
| |
Other Banking & Financial Services |
|
| |
Business Services |
|
Energy |
|
|
|
|
|
|
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|
|
|
|
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|
|
Health Care |
|
|
|
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|
|
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|
| |
Manufacturing |
|
Real Estate |
|
|
|
|
|
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Retailing |
|
Restaurants |
|
Technology |
|
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Travel |
|
|
|
|
|
| |
Tourism & Travel Services |
|
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|
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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 |
| |
Decline to Disclose |
X |
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 505 |
| |
Rule 504 (b)(1)(i) |
X |
Rule 506 |
| |
Rule 504 (b)(1)(ii) |
|
Securities Act Section 4(5) |
| |
Rule 504 (b)(1)(iii) |
|
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) |
|
|
|
7. Type of Filing
| |
New Notice |
|
Date of First Sale |
2007-08-01 |
|
|
First Sale Yet to Occur |
| X |
Amendment |
8. Duration of Offering
| Does the Issuer intend this offering to last more than one year? |
|
|
9. Type(s) of Securities Offered (select all that apply)
| |
Equity |
X |
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? |
|
|
Clarification of Response (if Necessary):
11. Minimum Investment
| Minimum investment accepted from any outside investor |
$10,000
|
USD |
12. Sales Compensation
| Recipient |
| Recipient CRD Number |
|
None |
|
| MARCUS RENSLOW |
2698685 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| STERLING ENTERPRISES GROUP |
44915 |
| Street Address 1 |
Street Address 2 |
| 6827 First Avenue South |
SUITE 335 |
| City |
State/Province/Country |
ZIP/Postal Code |
| St. Petersburg |
FLORIDA |
33707 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| INTERCAROLINA FINANCIAL SERVICES, INC. |
19475 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| INTERCAROLINA FINANCIAL SERVICES, INC. |
19475 |
| Street Address 1 |
Street Address 2 |
| 3300 BATTLEGROUND AVENUE |
SUITE 400 |
| City |
State/Province/Country |
ZIP/Postal Code |
| GREENSBORO |
NORTH CAROLINA |
27410 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| GEORGIA |
| KANSAS |
| KENTUCKY |
| MARYLAND |
| MICHIGAN |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| MICHAEL LYTLE |
2471291 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. |
18487 |
| Street Address 1 |
Street Address 2 |
| 43 NORTH BROAD STREET |
| City |
State/Province/Country |
ZIP/Postal Code |
| CANFIELD |
OHIO |
44406 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| IDAHO |
| INDIANA |
| IOWA |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| NEBRASKA |
| NEW HAMPSHIRE |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| VIRGINIA |
| WEST VIRGINIA |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| LAWRENCE WEINER |
2862071 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. |
18487 |
| Street Address 1 |
Street Address 2 |
| 39555 Orchard Hill Pl |
SUITE 150 |
| City |
State/Province/Country |
ZIP/Postal Code |
| NOVI |
MICHIGAN |
48375 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| FLORIDA |
| ILLINOIS |
| MICHIGAN |
| MINNESOTA |
| OHIO |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TEXAS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| BRIAN FARKAS |
1659115 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. |
18487 |
| Street Address 1 |
Street Address 2 |
| 4155 VETERANS MEMORIAL HIGHWAY |
SUITE 11 |
| City |
State/Province/Country |
ZIP/Postal Code |
| RONKONKOMA |
NEW YORK |
11779 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| IOWA |
| KANSAS |
| LOUISIANA |
| MARYLAND |
| MASSACHUSETTS |
| MINNESOTA |
| NEVADA |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| ERIC HOLMES |
1999104 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. |
18487 |
| Street Address 1 |
Street Address 2 |
| 30445 NORTHWESTERN HIGHWAY |
SUITE 108 |
| City |
State/Province/Country |
ZIP/Postal Code |
| FARMINGTON HILLS |
MICHIGAN |
48334 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| GEORGIA |
| ILLINOIS |
| LOUISIANA |
| MARYLAND |
| MICHIGAN |
| NEVADA |
| OHIO |
| TENNESSEE |
| TEXAS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| JOHN BARRAGAN |
2941942 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| TRICOR FINANCIAL, LLC |
142518 |
| Street Address 1 |
Street Address 2 |
| 7201 W. LAKE MEAD BLVD. |
SUITE 114 |
| City |
State/Province/Country |
ZIP/Postal Code |
| LAS VEGAS |
NEVADA |
89128 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| NEW HAMPSHIRE |
| UTAH |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| FRANK AGUILAR |
2296920 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| TRICOR FINANCIAL, LLC |
142518 |
| Street Address 1 |
Street Address 2 |
| 7201 W. LAKE MEAD BLVD. |
SUITE 114 |
| City |
State/Province/Country |
ZIP/Postal Code |
| LAS VEGAS |
NEVADA |
89128 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| MARYLAND |
| MONTANA |
| NEVADA |
| NEW JERSEY |
| NEW YORK |
| OHIO |
| OKLAHOMA |
| TEXAS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| ELIZABETH DELGADO-SCHUETZE |
4501355 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| TRICOR FINANCIAL, LLC |
142518 |
| Street Address 1 |
Street Address 2 |
| 7201 W. LAKE MEAD BLVD. |
SUITE 114 |
| City |
State/Province/Country |
ZIP/Postal Code |
| LAS VEGAS |
NEVADA |
89128 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| IOWA |
| MARYLAND |
| MICHIGAN |
| MONTANA |
| NEVADA |
| NEW JERSEY |
| NEW YORK |
| OHIO |
| VIRGINIA |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| JASON GAROFALO |
3008935 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| TRICOR FINANCIAL, LLC |
142518 |
| Street Address 1 |
Street Address 2 |
| 7201 W. LAKE MEAD BLVD. |
SUITE 114 |
| City |
State/Province/Country |
ZIP/Postal Code |
| LAS VEGAS |
NEVADA |
89128 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| DELAWARE |
| FLORIDA |
| IDAHO |
| ILLINOIS |
| INDIANA |
| MARYLAND |
| MONTANA |
| NEVADA |
| NEW JERSEY |
| NEW YORK |
| OHIO |
| VIRGINIA |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| DANIEL SCOTT HUGHES |
2564983 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| THE (WILSON) WILLIAMS FINANCIAL GROUP, INC. (A/K/A WFG INVESTMENTS, INC.) |
22704 |
| Street Address 1 |
Street Address 2 |
| 13800 COPPERMINE RD |
SUITE 170 |
| City |
State/Province/Country |
ZIP/Postal Code |
| HERNDON |
VIRGINIA |
20170 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| MARYLAND |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| SOUTH CAROLINA |
| VIRGINIA |
| WEST VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| C.K. COOPER & COMPANY |
106578 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| C.K. COOPER & COMPANY |
106578 |
| Street Address 1 |
Street Address 2 |
| 18300 VON KARMAN AVENUE |
SUITE 700 |
| 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 |
|
|
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| HAWAII |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| NEVADA |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| TEXAS |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| GENEOS WEALTH MANAGEMENT |
120894 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| GENEOS WEALTH MANAGEMENT, INC. |
120894 |
| Street Address 1 |
Street Address 2 |
| 9055 E. MINERAL CIRCLE |
SUITE 200 |
| 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 |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| THOMAS MCDONALD PARTNERS, LLC |
135414 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| THOMAS MCDONALD PARTNERS, LLC |
135414 |
| Street Address 1 |
Street Address 2 |
| 959 W. ST. CLAIR AVE. |
3RD FLOOR |
| City |
State/Province/Country |
ZIP/Postal Code |
| CLEVELAND |
OHIO |
44113 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KENTUCKY |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| JOHN BODNAR III |
1056585 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| CAMBRIDGE INVESTMENT RESEARCH, INC. |
39543 |
| Street Address 1 |
Street Address 2 |
| 248 COLUMBIA TURNPIKE |
SUITE 104 |
| City |
State/Province/Country |
ZIP/Postal Code |
| FLORHAM PARK |
NEW JERSEY |
07932 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TEXAS |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| BRENT COCHRAN |
2361173 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| CAMBRIDGE INVESTMENT RESEARCH, INC. |
39543 |
| Street Address 1 |
Street Address 2 |
| 6465 S 3000 E |
SUITE 200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| SALT LAKE CITY |
UTAH |
84121 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| GEORGIA |
| MAINE |
| MASSACHUSETTS |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TEXAS |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| JOHN L. VALENTINE |
1495420 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| PURSHE KAPLAN STERLING INVESTMENTS |
35747 |
| Street Address 1 |
Street Address 2 |
| 6111 BOLLINGER CANYON ROAD |
SUITE 100 |
| 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 |
|
|
| ALABAMA |
| CALIFORNIA |
| IDAHO |
| KENTUCKY |
| LOUISIANA |
| MARYLAND |
| MISSISSIPPI |
| NORTH CAROLINA |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| WASHINGTON |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| SECURITIES AMERICA INC. |
10205 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| SECURITIES AMERICA, INC. |
10205 |
| Street Address 1 |
Street Address 2 |
| 12325 PORT GRACE BLVD |
| City |
State/Province/Country |
ZIP/Postal Code |
| LAVISTA |
NEBRASKA |
68128 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| SILVER OAK SECURITIES, INCORPORATED |
46947 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| SILVER OAK SECURITIES, INCORPORATED |
46947 |
| Street Address 1 |
Street Address 2 |
| 3339 N. HIGHLAND AVE. |
| City |
State/Province/Country |
ZIP/Postal Code |
| JACKSON |
TENNESSEE |
38305 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| STEVEN A. KOHN & ASSOCIATES, LTD. |
41067 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| STEVEN A. KOHN & ASSOCIATES, LTD. |
41067 |
| Street Address 1 |
Street Address 2 |
| 3232 S. VANCE ST. |
SUITE 210 |
| City |
State/Province/Country |
ZIP/Postal Code |
| LAKEWOOD |
COLORADO |
80227 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| FLORIDA |
| IDAHO |
| ILLINOIS |
| IOWA |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| NEVADA |
| NEW JERSEY |
| NEW YORK |
| OHIO |
| OREGON |
| PENNSYLVANIA |
| TEXAS |
| VIRGINIA |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| DARREN E. JOSEPHSON |
1732833 |
| (Associated) Broker or Dealer |
X |
None |
|
| (Associated) Broker or Dealer CRD Number |
X |
None |
|
| None |
None |
| Street Address 1 |
Street Address 2 |
| 1858 E. 1ST ST. |
| City |
State/Province/Country |
ZIP/Postal Code |
| IDAHO FALLS |
IDAHO |
83401 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| HAWAII |
| IDAHO |
| INDIANA |
| IOWA |
| KENTUCKY |
| LOUISIANA |
| MARYLAND |
| MICHIGAN |
| MINNESOTA |
| MONTANA |
| NEVADA |
| NORTH DAKOTA |
| OREGON |
| PENNSYLVANIA |
| TEXAS |
| UTAH |
| WASHINGTON |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| BROKERSXPRESS LLC |
127081 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| BROKERSEXPRESS LLC |
127081 |
| Street Address 1 |
Street Address 2 |
| 311 W. MONROE ST. |
SUITE 1000 |
| City |
State/Province/Country |
ZIP/Postal Code |
| CHICAGO |
ILLINOIS |
60606 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| NATIONAL PLANNING CORPORATION |
29604 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| NATIONAL PLANNING CORPORATION |
29604 |
| Street Address 1 |
Street Address 2 |
| 401 WILSHIRE BLVD. |
SUITE 1100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| SANTA MONICA |
CALIFORNIA |
90401 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| POLAR INVESTMENT COUNSEL |
42847 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| POLAR INVESTMENT COUNSEL |
42847 |
| Street Address 1 |
Street Address 2 |
| 19547 210TH AVE. NE |
| City |
State/Province/Country |
ZIP/Postal Code |
| THIEF RIVER FALLS |
MINNESOTA |
56701 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| PATRICK JORDAN |
2363995 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| TRICOR FINANCIAL, LLC |
142518 |
| Street Address 1 |
Street Address 2 |
| 7201 W. LAKE MEAD BLVD. |
SUITE 114 |
| City |
State/Province/Country |
ZIP/Postal Code |
| LAS VEGAS |
NEVADA |
89128 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| HAWAII |
| MASSACHUSETTS |
| NEVADA |
| TEXAS |
| WASHINGTON |
|
13. Offering and Sales Amounts
| Total Offering Amount |
$100,000,000
|
USD |
|
| Total Amount Sold |
$57,720,566
|
USD |
| Total Remaining to be Sold |
$42,279,434
|
USD |
|
Clarification of Response (if Necessary):
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: |
|
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 |
$2,000,000
|
USD |
|
| Finders' Fees |
$0
|
USD |
|
Clarification of Response (if Necessary):
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.
Clarification of Response (if Necessary):
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 Rule 505 exemption, the issuer is not disqualified
from relying on Rule 505 for one of the reasons stated in Rule 505(b)(2)(iii).
|
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 |
| RFMC Global Directional Fund LP |
/s/ Robert L. Lerner |
Robert L. Lerner |
Pres. Ruvane Fund Management Corp. general partner of Issuer |
2010-08-27 |
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.