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
0001469214
   Corporation
   Limited Partnership
X Limited Liability Company
   General Partnership
   Business Trust
   Other (Specify)

Name of Issuer
RIDGEWOOD ENERGY B-1 FUND, LLC
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
   Over Five Years Ago
X Within Last Five Years (Specify Year) 2009
   Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
RIDGEWOOD ENERGY B-1 FUND, LLC
Street Address 1 Street Address 2
947 LINWOOD AVENUE  
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
RIDGEWOOD NJ 07450 201-447-9000

3. Related Persons

Last Name First Name Middle Name
Ridgewood Energy Corporation
Street Address 1 Street Address 2
947 Linwood Avenue  
City State/Province/Country ZIP/PostalCode
Ridgewood NJ 07450
Relationship:    Executive Officer    Director X Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Swanson Robert E.
Street Address 1 Street Address 2
947 Linwood Avenue  
City State/Province/Country ZIP/PostalCode
Ridgewood NJ 07450
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

of Ridgewood Energy Corporation
Last Name First Name Middle Name
Gold Robert L.
Street Address 1 Street Address 2
947 Linwood Avenue  
City State/Province/Country ZIP/PostalCode
Ridgewood NJ 07450
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

of Ridgewood Energy Corporation
Last Name First Name Middle Name
McSherry Kathleen H.
Street Address 1 Street Address 2
947 Linwood Avenue  
City State/Province/Country ZIP/PostalCode
Ridgewood NJ 07450
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

of Ridgewood Energy Corporation
Last Name First Name Middle Name
Tabor Greg  
Street Address 1 Street Address 2
947 Linwood Avenue  
City State/Province/Country ZIP/PostalCode
Ridgewood NJ 07450
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

of Ridgewood Energy Corporation
Last Name First Name Middle Name
Gulino Daniel V.
Street Address 1 Street Address 2
947 Linwood Avenue  
City State/Province/Country ZIP/PostalCode
Ridgewood NJ 07450
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

of Ridgewood Energy Corporation
Last Name First Name Middle Name
Valdes Mirna  
Street Address 1 Street Address 2
947 Linwood Avenue  
City State/Province/Country ZIP/PostalCode
Ridgewood NJ 07450
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

of Ridgewood Energy Corporation
Last Name First Name Middle Name
Swanson Matthew  
Street Address 1 Street Address 2
947 Linwood Avenue  
City State/Province/Country ZIP/PostalCode
Ridgewood NJ 07450
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

of Ridgewood Energy Corporation
Last Name First Name Middle Name
Doherty Adrian  
Street Address 1 Street Address 2
947 Linwood Avenue  
City State/Province/Country ZIP/PostalCode
Ridgewood NJ 07450
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

of Ridgewood Energy Corporation
Last Name First Name Middle Name
Lang Kenneth  
Street Address 1 Street Address 2
947 Linwood Avenue  
City State/Province/Country ZIP/PostalCode
Ridgewood NJ 07450
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

of Ridgewood Energy Corporation

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?
   Yes X 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
   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
   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)
   Section 3(c)(7)

7. Type of Filing

X New Notice Date of First Sale X First Sale Yet to Occur
   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)

   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?
   Yes X No

Clarification of Response (if Necessary):

11. Minimum Investment

Minimum investment accepted from any outside investor $50,000 USD

12. Sales Compensation

Recipient
Recipient CRD Number    None
David Dryer 2179498
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Alliance Affiliated Equities Corporation 23928
Street Address 1 Street Address 2
One Ward Parkway Suite 345
City State/Province/Country ZIP/Postal Code
Kansas City MO 64112
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
KS
MO
NY
Recipient
Recipient CRD Number    None
Benjamin C. Bishop 22050
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Allen C. Ewing & Company 26102
Street Address 1 Street Address 2
50 North Laura Street Suite 3625
City State/Province/Country ZIP/Postal Code
Jacksonville FL 32202
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FL
Recipient
Recipient CRD Number    None
Stephen L. Bruneau 870787
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Ameritas Investment Corp 14869
Street Address 1 Street Address 2
42 Fairview Road  
City State/Province/Country ZIP/Postal Code
Weston MA 02493
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MA
Recipient
Recipient CRD Number    None
Mark Rosenbaum 2618230
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Ameritas Investment Corp 14869
Street Address 1 Street Address 2
1675 SW Marlow Ave Suite 401
City State/Province/Country ZIP/Postal Code
Portland OR 97225
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OR
Recipient
Recipient CRD Number    None
Don A. Wittler 3202389
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Ameritas Investment Corp 14869
Street Address 1 Street Address 2
PO Box 5949  
City State/Province/Country ZIP/Postal Code
Lincoln NE 68505
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NE
Recipient
Recipient CRD Number    None
Robert J. Fratesi 4848432
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Arete Wealth Management, LLC 44856
Street Address 1 Street Address 2
775 Ridge Lake Boulevard Suite 150
City State/Province/Country ZIP/Postal Code
Memphis TN 38120
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TN
Recipient
Recipient CRD Number    None
Theodore Kovaleff 2748331
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Broadstreet Securities 36101
Street Address 1 Street Address 2
454 Riverside Drive Apt 7B
City State/Province/Country ZIP/Postal Code
New York NY 10027
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NY
Recipient
Recipient CRD Number    None
Brett F. Ewing 2904608
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Centaurus Financial Inc. 30833
Street Address 1 Street Address 2
2580 Care Drive Suite 3
City State/Province/Country ZIP/Postal Code
Tallahassee FL 32308
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FL
Recipient
Recipient CRD Number    None
William W. Gammon 1811853
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Centaurus Financial Inc. 30833
Street Address 1 Street Address 2
1122 Kenilworth Drive Suite 201
City State/Province/Country ZIP/Postal Code
Towson MD 21204
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MD
Recipient
Recipient CRD Number    None
Anthony Lombardi 2921904
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Centaurus Financial Inc. 30833
Street Address 1 Street Address 2
2211 Encinitas Blvd, Suite 205
City State/Province/Country ZIP/Postal Code
Encinitas CA 92024
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CA
MI
Recipient
Recipient CRD Number    None
David B White 1382131
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Centaurus Financial Inc. 30833
Street Address 1 Street Address 2
40900 Woodward Ave Suite 270
City State/Province/Country ZIP/Postal Code
Bloomfield Hills MI 48304
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FL
MI
NY
Recipient
Recipient CRD Number X None
Crown Capital Securities, L.P. None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Crown Capital Securities, L.P. 6312
Street Address 1 Street Address 2
725 Town & Country Road Suite 530
City State/Province/Country ZIP/Postal Code
Orange CA 92868
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
John Doane 4083486
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Detwiler Fenton and Company 1794
Street Address 1 Street Address 2
150 Federal Street 28th Floor
City State/Province/Country ZIP/Postal Code
Boston MA 02110
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MA
Recipient
Recipient CRD Number    None
Anthony S. Corbett 1024295
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Dominick & Dominick, LLC 7344
Street Address 1 Street Address 2
150 E. 52nd Street 3rd Floor
City State/Province/Country ZIP/Postal Code
New York NY 10022
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MO
NY
Recipient
Recipient CRD Number    None
James Lockhart 4415115
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
EDI Financial, Inc. 15699
Street Address 1 Street Address 2
29 Plantation Park Drive Suite 803
City State/Province/Country ZIP/Postal Code
Bluffton SC 29909
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
PA
Recipient
Recipient CRD Number    None
Ellen Y. Lau 4757064
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Financial Network Investment Corp. 13572
Street Address 1 Street Address 2
2635 North 1st Street # 201  
City State/Province/Country ZIP/Postal Code
San Jose CA 95134
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CA
Recipient
Recipient CRD Number    None
Kirk Dennis 1381273
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Financial West Group 16668
Street Address 1 Street Address 2
1834 Main Street  
City State/Province/Country ZIP/Postal Code
Baker City OR 97814
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OR
Recipient
Recipient CRD Number    None
Andrew T. Koerner 2207442
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
First Allied Securities Inc, 32444
Street Address 1 Street Address 2
125 Village Blvd. Suite 308  
City State/Province/Country ZIP/Postal Code
Princeton NJ 08540
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
IN
NJ
RI
Recipient
Recipient CRD Number    None
Deborah R. Walker 833928
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
First Allied Securities Inc. 32444
Street Address 1 Street Address 2
125 Village Blvd. Suite 308  
City State/Province/Country ZIP/Postal Code
Princeton NJ 08540
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
IN
NJ
RI
Recipient
Recipient CRD Number X None
FSC Securities Corporation None
(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 Parkway, Suite 1100  
City State/Province/Country ZIP/Postal Code
Atlanta GA 30339
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Richard Braverman 1023227
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Geneos Wealth Management 120894
Street Address 1 Street Address 2
2173 Embassy Drive  
City State/Province/Country ZIP/Postal Code
Lancaster PA 17603
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
PA
Recipient
Recipient CRD Number    None
Samuel R. Monchik 4113886
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Geneos Wealth Management 120894
Street Address 1 Street Address 2
2173 Embassy Drive  
City State/Province/Country ZIP/Postal Code
Lancaster PA 17603
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
PA
Recipient
Recipient CRD Number    None
Greg Long 2049933
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Gunn Allen Financial 17609
Street Address 1 Street Address 2
2295 S. Hiawassee Road #304  
City State/Province/Country ZIP/Postal Code
0rlando FL 32835
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CO
MS
Recipient
Recipient CRD Number X None
Hantz Financial Services Inc. None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Hantz Financial Services, Inc. 46047
Street Address 1 Street Address 2
24901 Northwestern Highway Suite 710
City State/Province/Country ZIP/Postal Code
Southfield MI 48075
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FL
IA
MI
NV
NC
OH
TX
Recipient
Recipient CRD Number    None
Sean Elerick 3107856
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Huntington Investment Company 16986
Street Address 1 Street Address 2
154 West Main Street  
City State/Province/Country ZIP/Postal Code
St. Clairsville OH 43950
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OH
Recipient
Recipient CRD Number    None
Alex P. Kline 1271785
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Huntington Investment Company 16986
Street Address 1 Street Address 2
Centre City Tower, 650 Smithfield Street Suite 1000
City State/Province/Country ZIP/Postal Code
Pittsburgh PA 15222
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
PA
Recipient
Recipient CRD Number    None
Joe Miller 1172989
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Independent Financial Group 7717
Street Address 1 Street Address 2
12636 High Bluff Drive, Suite 100  
City State/Province/Country ZIP/Postal Code
San Diego CA 92130
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
AZ
CA
MA
MN
MO
NV
NJ
WA
Recipient
Recipient CRD Number X None
Invest Financial Corporation None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Invest Financial Corporation 12984
Street Address 1 Street Address 2
8745 Henderson Road, Suite 300  
City State/Province/Country ZIP/Postal Code
Tampa FL 33634
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
James P Connor 1834726
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Investor Capital Corporation 30613
Street Address 1 Street Address 2
38 Triangle Park Drive, Suite 3802  
City State/Province/Country ZIP/Postal Code
Cincinnati OH 45246
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
IN
IA
KY
Recipient
Recipient CRD Number    None
Larrie E. Hurst 253797
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Investors Capital Corporation 30613
Street Address 1 Street Address 2
3 Queen Anne Lane  
City State/Province/Country ZIP/Postal Code
Hingham MA 02043
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MA
Recipient
Recipient CRD Number    None
Prakash Devendranath Simha 2970036
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Investors Capital Corporation 30613
Street Address 1 Street Address 2
2 Yardley Road  
City State/Province/Country ZIP/Postal Code
Andover MA 01810
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MA
Recipient
Recipient CRD Number    None
Jean C. Hutchinson 1341166
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Investment Planners, Inc. 18557
Street Address 1 Street Address 2
9525 Blind Pass Road, PH1  
City State/Province/Country ZIP/Postal Code
St. Pete Beach FL 33706
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
SC
Recipient
Recipient CRD Number    None
Nathan Rewerts 2913269
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Investment Planners, Inc. 18557
Street Address 1 Street Address 2
5950 SW 28th, Suite A  
City State/Province/Country ZIP/Postal Code
Topeka KS 66614
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
KS
Recipient
Recipient CRD Number X None
InterSecurities, Inc. None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
InterSecurities, Inc. 16164
Street Address 1 Street Address 2
570 Carillon Parkway  
City State/Province/Country ZIP/Postal Code
St. Petersburg FL 33716
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Steven Bergeron 1077948
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
J.P. Turner & Co. LLC 43177
Street Address 1 Street Address 2
31 Three Lakes Dr.  
City State/Province/Country ZIP/Postal Code
San Antonio TX 78248
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TX
Recipient
Recipient CRD Number    None
Tim J. Sherer 833618
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
J.P. Turner & Co., LLC 43177
Street Address 1 Street Address 2
1754 Technology Dr., Suite 246  
City State/Province/Country ZIP/Postal Code
San Jose CA 95110
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CA
Recipient
Recipient CRD Number    None
Carl Worden 3130121
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
J.P. Turner & Co., LLC 43177
Street Address 1 Street Address 2
1754 Technology Dr., Suite 246  
City State/Province/Country ZIP/Postal Code
San Jose CA 95110
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CA
Recipient
Recipient CRD Number X None
LPL Financial Corporation None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
LPL Financial Corporation 6413
Street Address 1 Street Address 2
One Beacon Street, 22nd Floor  
City State/Province/Country ZIP/Postal Code
Boston MA 02108
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Gary Flater 1049132
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
MCL Financial Group Inc. 41180
Street Address 1 Street Address 2
1551 N. Tustin Avenue, Suite 960  
City State/Province/Country ZIP/Postal Code
Santa Ana CA 92705
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CA
Recipient
Recipient CRD Number    None
J. Jay Jaso Jr. 1369773
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
McNally Financial Services 121196
Street Address 1 Street Address 2
206 East Lullwood Avenue  
City State/Province/Country ZIP/Postal Code
San Antonio TX 78212
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MD
Recipient
Recipient CRD Number    None
David D. McNally 839798
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
McNally Financial Services 121196
Street Address 1 Street Address 2
PO Box 701928  
City State/Province/Country ZIP/Postal Code
San Antonio TX 78270-1928
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CA
TX
Recipient
Recipient CRD Number    None
Andres M. Romero 2486195
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Metlife Securities 14251
Street Address 1 Street Address 2
1100 Circle 75 Pkwy #1500  
City State/Province/Country ZIP/Postal Code
Atlanta GA 30339
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
GA
Recipient
Recipient CRD Number    None
D.G. Edgerton 75549
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Mutual Service Corporation 4806
Street Address 1 Street Address 2
3479 Africa Road  
City State/Province/Country ZIP/Postal Code
Galena OH 43021
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OH
Recipient
Recipient CRD Number    None
Gregory C. Barson 4874815
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Newbridge Securities Corporation 104065
Street Address 1 Street Address 2
2121 West 2180 North  
City State/Province/Country ZIP/Postal Code
Lehi UT 84043
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
UT
Recipient
Recipient CRD Number X None
New England Securities None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
New England Securities 615
Street Address 1 Street Address 2
485 E. US Highway 1 South Building E- 4th Floor
City State/Province/Country ZIP/Postal Code
Iselin NJ 08830
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Robert Barber 2279678
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Next Financial Group 46214
Street Address 1 Street Address 2
672 Ridge Hill Drive  
City State/Province/Country ZIP/Postal Code
New Braunfels TX 78130
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TX
Recipient
Recipient CRD Number    None
Richard H. Carter 870975
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Next Financial Group 46214
Street Address 1 Street Address 2
5150 Broadway #617  
City State/Province/Country ZIP/Postal Code
San Antonio TX 78209
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TX
Recipient
Recipient CRD Number    None
Stephen Dellelo 2170012
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Next Financial Group 46214
Street Address 1 Street Address 2
200 Friberg Pkwy, Suite 2002  
City State/Province/Country ZIP/Postal Code
Westborough MA 01581
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MA
Recipient
Recipient CRD Number    None
Scott Tomei 4338243
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Next Financial Group 46214
Street Address 1 Street Address 2
2377 Gold Meadow, Suite 250  
City State/Province/Country ZIP/Postal Code
Gold River CA 95670
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CA
Recipient
Recipient CRD Number X None
NFP Securities None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NFP Securities 42046
Street Address 1 Street Address 2
1250 Capital of Texas Highway Suite 2-125
City State/Province/Country ZIP/Postal Code
Austin TX 78746
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Gary G. Benson 1182211
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NPB Financial Group LLC 137743
Street Address 1 Street Address 2
5435 Balboa Blvd. Suite 106  
City State/Province/Country ZIP/Postal Code
Encino CA 91316
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CA
Recipient
Recipient CRD Number    None
Jon Alan Kerby 1325139
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
National Planning Corp 29604
Street Address 1 Street Address 2
333 S. Juniper Street # 208  
City State/Province/Country ZIP/Postal Code
Escondido CA 92025
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CA
Recipient
Recipient CRD Number    None
Charles M. Poritzky 1074468
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
National Planning Corp 29604
Street Address 1 Street Address 2
2309 Pacific Coast Highway, Suite 101  
City State/Province/Country ZIP/Postal Code
Hermosa Beach CA 90254
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CA
Recipient
Recipient CRD Number    None
Richard L. Wagner 4575603
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Omni Brokerage 16878
Street Address 1 Street Address 2
1245 Brickyard Road, Suite 160  
City State/Province/Country ZIP/Postal Code
Salt Lake City UT 84106
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
UT
Recipient
Recipient CRD Number X None
Pacific West Securities Inc None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Pacific West Securities Inc. 6390
Street Address 1 Street Address 2
1 Renton Place, 555 S. Renton Village Pl Suite 700
City State/Province/Country ZIP/Postal Code
Renton WA 98055
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
ProEquities, Inc. None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
ProEquities, Inc. 15708
Street Address 1 Street Address 2
2801 Highway 280 South  
City State/Province/Country ZIP/Postal Code
Birmingham AL 35223
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
Questar Capital Corporation None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Questar Capital Corporation 43100
Street Address 1 Street Address 2
5701 Golden Hills Drive  
City State/Province/Country ZIP/Postal Code
Minneapolis MN 55416
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Robert Swanson 1332429
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Ridgewood Securities Corp 15453
Street Address 1 Street Address 2
947 Linwood Avenue  
City State/Province/Country ZIP/Postal Code
Ridgewood NJ 07450
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CA
IL
MN
NJ
NY
VA
Recipient
Recipient CRD Number X None
Royal Alliance & Associates, Inc. None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Royal Alliance & Associates, Inc 23131
Street Address 1 Street Address 2
One World Financial Center, 14th Floor  
City State/Province/Country ZIP/Postal Code
New York NY 10281
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
SagePoint Financial None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
SagePoint Financial 133763
Street Address 1 Street Address 2
2800 North Central Avenue, Suite 2100  
City State/Province/Country ZIP/Postal Code
Phoenix AZ 85004
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Janice Thompson 3034523
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Securities America 10205
Street Address 1 Street Address 2
7676 Hazard Center Drive Suite 1150
City State/Province/Country ZIP/Postal Code
San Diego CA 92108
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CA
Recipient
Recipient CRD Number    None
Ken Wlosek 1271626
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Seward Groves Richard & Wells 17963
Street Address 1 Street Address 2
16 Sterling Lake Road  
City State/Province/Country ZIP/Postal Code
Tuxedo Park NY 10987
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NC
Recipient
Recipient CRD Number    None
Michael S. Myers 2609878
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
S.I.I. Investments 2225
Street Address 1 Street Address 2
5335 SW Meadows Road, Suite 140  
City State/Province/Country ZIP/Postal Code
Lake Oswego OR 97035
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CA
Recipient
Recipient CRD Number    None
Joel Johnson 1941908
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Silver Oak Securities, Inc. 46947
Street Address 1 Street Address 2
100 Great Meadow Road Suite 502
City State/Province/Country ZIP/Postal Code
Wethersfield CT 06109
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CT
Recipient
Recipient CRD Number    None
Charles C. Shafe 1277113
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
TransAm Securities Inc. 18923
Street Address 1 Street Address 2
531 Versailles Drive Suite 201
City State/Province/Country ZIP/Postal Code
Maitland FL 32751
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FL
MD
Recipient
Recipient CRD Number    None
R. Randall Rainey 4570460
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Triad Advisors Inc. 25803
Street Address 1 Street Address 2
7500 San Felipe, Suite 600  
City State/Province/Country ZIP/Postal Code
Houston TX 77063
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
TX
Recipient
Recipient CRD Number    None
Craig J. Ruffolo 4077265
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Triad Advisors Inc. 25803
Street Address 1 Street Address 2
411 Hamilton Blvd. Suite 1716
City State/Province/Country ZIP/Postal Code
Peoria IL 61602
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FL
Recipient
Recipient CRD Number    None
David A. Witter 4519401
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Triad Advisors Inc. 25803
Street Address 1 Street Address 2
511 N. Maitland Ave.  
City State/Province/Country ZIP/Postal Code
Maitland FL 32751
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FL
Recipient
Recipient CRD Number    None
Aaron P. Sevigny 4314368
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
United Planners Financial Services 20804
Street Address 1 Street Address 2
24850 Burnt Pine Dr, Suite 4-5  
City State/Province/Country ZIP/Postal Code
Bonita Springs FL 34134
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FL
OH
Recipient
Recipient CRD Number    None
Barney Guttman 832428
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Walnut Street Securities 15840
Street Address 1 Street Address 2
1022 Frick Building, 437 Grant Street  
City State/Province/Country ZIP/Postal Code
Pittsburgh PA 15219
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
PA
Recipient
Recipient CRD Number    None
James E. Kunkel 2197345
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Walnut Street Securities 15840
Street Address 1 Street Address 2
515 E. Las Olas Boulevard, 15th Floor  
City State/Province/Country ZIP/Postal Code
Fort Lauderdale FL 33301
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FL
Recipient
Recipient CRD Number    None
Ben Lipschitz 1066066
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Walnet Street Securities 15840
Street Address 1 Street Address 2
1375 Broadway, 10th Floor  
City State/Province/Country ZIP/Postal Code
New York NY 10018
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NY
Recipient
Recipient CRD Number    None
Robert A. Pierce 363323
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Walnut Street Securities 15840
Street Address 1 Street Address 2
P.O. Box 87009  
City State/Province/Country ZIP/Postal Code
Vancouver WA 98687
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
OR
WA
Recipient
Recipient CRD Number    None
William C. Schumann 1604894
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Waterstone Financial Group, Inc. 10078
Street Address 1 Street Address 2
214 W. Willow, Suite 100  
City State/Province/Country ZIP/Postal Code
Wheaton IL 60187
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
IL
Recipient
Recipient CRD Number    None
Henry Jacocks 1921358
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Western International Securities, Inc. 39262
Street Address 1 Street Address 2
8026 Spottswood Road  
City State/Province/Country ZIP/Postal Code
Richmond VA 23229
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
VA
Recipient
Recipient CRD Number    None
Kurt R. Baldry 1568930
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Workman Securities 31898
Street Address 1 Street Address 2
1865 W. Wayzata Blvd., Suite 208  
City State/Province/Country ZIP/Postal Code
Long Lake MN 55356
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MN
Recipient
Recipient CRD Number    None
Richard Liberty 844673
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Commonwealth Financial Network 8032
Street Address 1 Street Address 2
23 No. Rayomind Road  
City State/Province/Country ZIP/Postal Code
Gary ME 04039
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ME
Recipient
Recipient CRD Number    None
Lynn McKelvey 3116799
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
ING Financial Partners 2882
Street Address 1 Street Address 2
17117 Salt Mine Road  
City State/Province/Country ZIP/Postal Code
Ramona CA 92065
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CA
Recipient
Recipient CRD Number    None
Edward Waldron 2216457
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Investors Capital Corporation 30613
Street Address 1 Street Address 2
165 Middlesex Turnpike Suite 104
City State/Province/Country ZIP/Postal Code
Bedford MA 01730
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
VA
Recipient
Recipient CRD Number    None
Kimberly Brumbaugh 3065606
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
MetLife Securities 14251
Street Address 1 Street Address 2
760 Constitution Drive Suite 100
City State/Province/Country ZIP/Postal Code
Exton PA 19341
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
PA
Recipient
Recipient CRD Number    None
Jeremy Monte 4601512
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Mutual Service Corporation 4806
Street Address 1 Street Address 2
10 E. Church Street  
City State/Province/Country ZIP/Postal Code
Fairport NY 14450
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NC
Recipient
Recipient CRD Number    None
Frank Monte 1021749
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Mutual Service Corporation 4806
Street Address 1 Street Address 2
10 E. Church Street  
City State/Province/Country ZIP/Postal Code
Fairport NY 14450
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
NC
Recipient
Recipient CRD Number    None
Joshua S. Hyman 4542855
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
National Planning Corp. 29604
Street Address 1 Street Address 2
233 Needham Street  
City State/Province/Country ZIP/Postal Code
Newton MA 02464
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MA
Recipient
Recipient CRD Number X None
Questar Capital Corporation None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Questar Capital Corporation 43100
Street Address 1 Street Address 2
5701 Golden Hill Dr  
City State/Province/Country ZIP/Postal Code
Minneapolis MN 55416
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Edward Modglin 2147334
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Securities America 10205
Street Address 1 Street Address 2
7017 Hickman Road  
City State/Province/Country ZIP/Postal Code
Urbandale IA 50322
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MO
Recipient
Recipient CRD Number    None
Terry A. Vrieze 455952
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Securities America 10205
Street Address 1 Street Address 2
7017 Hickman Road  
City State/Province/Country ZIP/Postal Code
urbandale IA 50322
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
IA

13. Offering and Sales Amounts

Total Offering Amount $50,000,000 USD
or    Indefinite
Total Amount Sold $0 USD
Total Remaining to be Sold $50,000,000 USD
or    Indefinite

Clarification of Response (if Necessary):

May be increased to $80,000,000 or more

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:
0

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 $4,500,000 USD
X Estimate
Finders' Fees $0 USD
   Estimate

Clarification of Response (if Necessary):

Assuming total offering amount is sold.

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.

$4,000,000 USD
X Estimate

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
RIDGEWOOD ENERGY B-1 FUND, LLC Mirna Valdes Mirna Valdes Vice President of the Manager 2009-08-19

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.