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
0001640265
   Corporation
X Limited Partnership
   Limited Liability Company
   General Partnership
   Business Trust
   Other (Specify)

Name of Issuer
GPB Holdings II, LP
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
   Over Five Years Ago
X Within Last Five Years (Specify Year) 2015
   Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
GPB Holdings II, LP
Street Address 1 Street Address 2
535 WEST 24TH STREET FLOOR 4
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
NEW YORK NEW YORK 10011 877-489-8989

3. Related Persons

Last Name First Name Middle Name
Gentile David C
Street Address 1 Street Address 2
535 West 24th Street Floor 4
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10011
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Managing Member of the General Partner
Last Name First Name Middle Name
GPB Capital Holdings, LLC n/a
Street Address 1 Street Address 2
535 West 24th Street Floor 4
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10011
Relationship:    Executive Officer    Director X Promoter

Clarification of Response (if Necessary):

General Partner of the Issuer

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 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 2015-08-11    First Sale Yet to Occur
X Amendment

8. Duration of Offering

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

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

   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 X Other (describe)
LP Interests

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
Axiom Capital Management, Inc 26580
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Axiom Capital Management, Inc 26580
Street Address 1 Street Address 2
780 Third Ave 43rd Floor
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10017-2024
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
Ascendant Alternative Strategies, LLC 283881
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Ascendant Alternative Strategies, LLC 283881
Street Address 1 Street Address 2
535 West 24th Street 4th Floor
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10011
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
ACCELERATED CAPITAL GROUP 41270
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
ACCELERATED CAPITAL GROUP 41270
Street Address 1 Street Address 2
151 KALMUS DRIVE SUITE E - 250
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
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
FLORIDA
GEORGIA
INDIANA
MASSACHUSETTS
MICHIGAN
MINNESOTA
NEVADA
NEW JERSEY
NEW MEXICO
NEW YORK
OREGON
SOUTH CAROLINA
TEXAS
UTAH
WASHINGTON
WISCONSIN
Recipient
Recipient CRD Number    None
ADVISORY GROUP EQUITY SERVICES LTD. 15427
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
ADVISORY GROUP EQUITY SERVICES LTD. 15427
Street Address 1 Street Address 2
444 WASHINGTON STREET SUITE 407
City State/Province/Country ZIP/Postal Code
WOBURN MASSACHUSETTS 01801
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
AEGIS CAPITAL CORP. 15007
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
AEGIS CAPITAL CORP. 15007
Street Address 1 Street Address 2
810 7TH AVE 18TH & 22ND FLOOR
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10019
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
AUSDAL FINANCIAL PARTNERS, INC. 7995
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
AUSDAL FINANCIAL PARTNERS, INC. 7995
Street Address 1 Street Address 2
5187 UTICA RIDGE RD
City State/Province/Country ZIP/Postal Code
DAVENPORT IOWA 52807
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
CENTER STREET SECURITIES, INC. 26898
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
CENTER STREET SECURITIES, INC. 26898
Street Address 1 Street Address 2
2740 OLD ELM HILL PIKE SUITE 201
City State/Province/Country ZIP/Postal Code
NASHVILLE TENNESSEE 37214
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
ARKADIOS CAPITAL 282710
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
ARKADIOS CAPITAL 282710
Street Address 1 Street Address 2
3333 PIEDMONT RD. NE SUITE 2010
City State/Province/Country ZIP/Postal Code
ATLANTA GEORGIA 30305
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
IDAHO
ILLINOIS
INDIANA
KANSAS
KENTUCKY
LOUISIANA
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSISSIPPI
MISSOURI
NEBRASKA
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
OHIO
OREGON
PENNSYLVANIA
PUERTO RICO
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VERMONT
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
Recipient
Recipient CRD Number    None
AEON CAPITAL INC 164004
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
AEON CAPITAL INC 164004
Street Address 1 Street Address 2
1715 HIGHWAY 35 SUITE 103
City State/Province/Country ZIP/Postal Code
MIDDLETOWN NEW JERSEY 07748
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
COLORADO
CONNECTICUT
FLORIDA
GEORGIA
ILLINOIS
KANSAS
LOUISIANA
MASSACHUSETTS
NEVADA
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
OREGON
TEXAS
WISCONSIN
Recipient
Recipient CRD Number    None
AVERE FINANCIAL GROUP, LLC 169578
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
AVERE FINANCIAL GROUP, LLC 169578
Street Address 1 Street Address 2
8310 S. VALLEY HIGHWAY STE. 110
City State/Province/Country ZIP/Postal Code
ENGLEWOOD COLORADO 80112
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
COLORADO
TEXAS
Recipient
Recipient CRD Number    None
BCG Securities, Inc. 70
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
BCG Securities, Inc. 70
Street Address 1 Street Address 2
51 HADDONFIELD ROAD SUITE 210
City State/Province/Country ZIP/Postal Code
CHERRY HILL NEW JERSEY 08002
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
FINANCIAL WEST GROUP 16668
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
FINANCIAL WEST GROUP 16668
Street Address 1 Street Address 2
961 MATLEY LANE SUITE 110
City State/Province/Country ZIP/Postal Code
RENO NEVADA 89502
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
CABOT LODGE SECURITIES LLC 159712
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
CABOT LODGE SECURITIES LLC 159712
Street Address 1 Street Address 2
200 VESEY STREET 24TH FLOOR
City State/Province/Country ZIP/Postal Code
New York NEW YORK 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    None
CALTON & ASSOCIATES, INC. 20999
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
CALTON & ASSOCIATES, INC. 20999
Street Address 1 Street Address 2
2701 N ROCKY POINT DRIVE SUITE 1000
City State/Province/Country ZIP/Postal Code
TAMPA FLORIDA 33607
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
LION STREET FINANCIAL, LLC 165828
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
LION STREET FINANCIAL, LLC 165828
Street Address 1 Street Address 2
515 CONGRESS AVE SUITE 2500
City State/Province/Country ZIP/Postal Code
AUSTIN TEXAS 78701
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
CAPITAL INVESTMENT GROUP, INC. 14752
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
CAPITAL INVESTMENT GROUP, INC. 14752
Street Address 1 Street Address 2
100 E. SIX FORKS ROAD
City State/Province/Country ZIP/Postal Code
RALEIGH NORTH CAROLINA 27609
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
IBN FINANCIAL SERVICES, INC. 42360
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
IBN FINANCIAL SERVICES, INC. 42360
Street Address 1 Street Address 2
8035 OSWEGO RD.
City State/Province/Country ZIP/Postal Code
LIVERPOOL NEW YORK 13090
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
IDAHO
ILLINOIS
INDIANA
IOWA
KANSAS
KENTUCKY
LOUISIANA
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSISSIPPI
MISSOURI
NEBRASKA
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
RHODE ISLAND
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
VERMONT
VIRGINIA
WASHINGTON
WISCONSIN
Recipient
Recipient CRD Number    None
COASTAL EQUITIES, INC. 23769
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
COASTAL EQUITIES, INC. 23769
Street Address 1 Street Address 2
1201 N. ORANGE STREET SUITE 729
City State/Province/Country ZIP/Postal Code
WILMINGTON DELAWARE 19801
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
CROWN CAPITAL SECURITIES, L.P. 6312
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
CROWN CAPITAL SECURITIES, L.P. 6312
Street Address 1 Street Address 2
725 TOWN & COUNTRY ROAD SUITE 530
City State/Province/Country ZIP/Postal Code
ORANGE CALIFORNIA 92868
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
CRYSTAL BAY SECURITIES INC. 142339
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
CRYSTAL BAY SECURITIES INC. 142339
Street Address 1 Street Address 2
7499 WEST ATLANTIC AVENUE SUITE 208
City State/Province/Country ZIP/Postal Code
DELRAY BEACH FLORIDA 33446
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
CONNECTICUT
FLORIDA
NEW JERSEY
NEW YORK
OHIO
PENNSYLVANIA
SOUTH CAROLINA
TEXAS
Recipient
Recipient CRD Number    None
EMERSON EQUITY LLC 130032
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
EMERSON EQUITY LLC 130032
Street Address 1 Street Address 2
155 BOVET ROAD SUITE 725
City State/Province/Country ZIP/Postal Code
SAN MATEO CALIFORNIA 94402
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
GENEOS WEALTH MANAGEMENT, INC. 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
   Foreign/non-US
Recipient
Recipient CRD Number    None
PARITER SECURITIES, LLC 127836
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
PARITER SECURITIES, LLC 127836
Street Address 1 Street Address 2
243 CARRETERA #2
City State/Province/Country ZIP/Postal Code
GUAYNABO PUERTO RICO 00966
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CALIFORNIA
FLORIDA
MARYLAND
MASSACHUSETTS
NEW YORK
Recipient
Recipient CRD Number    None
SANDLAPPER SECURITIES, LLC 137906
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
SANDLAPPER SECURITIES, LLC 137906
Street Address 1 Street Address 2
800 E. NORTH STREET 2ND FLOOR
City State/Province/Country ZIP/Postal Code
GREENVILLE NORTH CAROLINA 29601
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
VESTECH SECURITIES, INC. 41409
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VESTECH SECURITIES, INC. 41409
Street Address 1 Street Address 2
11477 OLDE CABIN RD. SUITE 310
City State/Province/Country ZIP/Postal Code
ST. LOUIS MISSOURI 63141
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ARIZONA
CALIFORNIA
COLORADO
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
ILLINOIS
IOWA
KANSAS
KENTUCKY
LOUISIANA
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSOURI
NEVADA
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
SOUTH CAROLINA
TENNESSEE
TEXAS
UTAH
VIRGINIA
WASHINGTON
WISCONSIN
Recipient
Recipient CRD Number    None
STEPHEN A. KOHN & ASSOCIATES, LTD. 41067
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
STEPHEN A. KOHN & ASSOCIATES, LTD. 41067
Street Address 1 Street Address 2
7114 W. JEFFERSON AVE. SUITE 305
City State/Province/Country ZIP/Postal Code
LAKEWOOD COLORADO 80235
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ARIZONA
CALIFORNIA
COLORADO
CONNECTICUT
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
IDAHO
ILLINOIS
INDIANA
IOWA
KANSAS
LOUISIANA
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSOURI
MONTANA
NEBRASKA
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
NORTH DAKOTA
OHIO
OREGON
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
WASHINGTON
WYOMING
Recipient
Recipient CRD Number    None
WESTERN INTERNATIONAL SECURITIES, INC. 39262
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
WESTERN INTERNATIONAL SECURITIES, INC. 39262
Street Address 1 Street Address 2
70 SOUTH LAKE AVENUE SUITE 700
City State/Province/Country ZIP/Postal Code
PASADENA CALIFORNIA 91101
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
NATIONAL SECURITIES CORPORATION 7569
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NATIONAL SECURITIES CORPORATION 7569
Street Address 1 Street Address 2
ONE UNION SQUARE 600 UNIVERSITY STREET SUITE 2900
City State/Province/Country ZIP/Postal Code
SEATTLE WASHINGTON 98101
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
ORCHARD SECURITIES, LLC 133378
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
ORCHARD SECURITIES, LLC 133378
Street Address 1 Street Address 2
401 S. 850 E. SUITE C1
City State/Province/Country ZIP/Postal Code
Lehi UTAH 84043
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
INTERNATIONAL ASSETS ADVISORY, LLC 10645
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
INTERNATIONAL ASSETS ADVISORY, LLC 10645
Street Address 1 Street Address 2
390 NORTH ORANGE AVENUE STE 750
City State/Province/Country ZIP/Postal Code
ORLANDO FLORIDA 32801
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
CAPITAL FINANCIAL SERVICES, INC. 8408
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
CAPITAL FINANCIAL SERVICES, INC. 8408
Street Address 1 Street Address 2
1821 BURDICK EXPRESSWAY W
City State/Province/Country ZIP/Postal Code
MINOT NORTH DAKOTA 58701
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
CASCADE FINANCIAL MANAGEMENT, INC. 119030
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
CASCADE FINANCIAL MANAGEMENT, INC. 119030
Street Address 1 Street Address 2
950 17TH STREET
City State/Province/Country ZIP/Postal Code
DENVER COLORADO 80202
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
FLORIDA
GEORGIA
ILLINOIS
INDIANA
KANSAS
KENTUCKY
MISSOURI
MONTANA
NEBRASKA
NEVADA
NEW MEXICO
NEW YORK
NORTH CAROLINA
NORTH DAKOTA
OHIO
OKLAHOMA
OREGON
TEXAS
UTAH
VIRGINIA
WASHINGTON
WISCONSIN
WYOMING
Recipient
Recipient CRD Number    None
D.H. HILL SECURITIES, LLLP 41528
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
D.H. HILL SECURITIES, LLLP 41528
Street Address 1 Street Address 2
1543 GREEN OAK PLACE SUITE 100
City State/Province/Country ZIP/Postal Code
KINGWOOD TEXAS 77339
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
HAWAII
IDAHO
ILLINOIS
INDIANA
IOWA
KANSAS
KENTUCKY
LOUISIANA
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
RHODE ISLAND
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
WYOMING
Recipient
Recipient CRD Number    None
DETALUS SECURITIES, LLC 103260
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
DETALUS SECURITIES, LLC 103260
Street Address 1 Street Address 2
383 MARSHALL AVENUE
City State/Province/Country ZIP/Postal Code
ST. LOUIS MISSOURI 63119
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
COLORADO
FLORIDA
ILLINOIS
INDIANA
MISSOURI
NEW YORK
OHIO
PENNSYLVANIA
TEXAS
Recipient
Recipient CRD Number    None
HIGHTOWER SECURITIES, LLC 116681
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
HIGHTOWER SECURITIES, LLC 116681
Street Address 1 Street Address 2
200 WEST MADISON STREET SUITE 2500
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
   Foreign/non-US
Recipient
Recipient CRD Number    None
INNOVATION PARTNERS LLC 146344
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
INNOVATION PARTNERS LLC 146344
Street Address 1 Street Address 2
5950 FAIRVIEW ROAD SUITE 806
City State/Province/Country ZIP/Postal Code
CHARLOTTE NORTH CAROLINA 28210
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
IDAHO
ILLINOIS
INDIANA
IOWA
KANSAS
KENTUCKY
LOUISIANA
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
RHODE ISLAND
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VERMONT
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
WYOMING
Recipient
Recipient CRD Number    None
KINGSBURY CAPITAL, INC. 7638
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
KINGSBURY CAPITAL, INC. 7638
Street Address 1 Street Address 2
1560 SHERMAN AVE SUITE 510
City State/Province/Country ZIP/Postal Code
EVANSTON ILLINOIS 60201
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
COLORADO
DISTRICT OF COLUMBIA
FLORIDA
ILLINOIS
NEW YORK
OHIO
TEXAS
WASHINGTON
WISCONSIN
Recipient
Recipient CRD Number    None
PRIVATE CLIENT SERVICES, LLC 120222
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
PRIVATE CLIENT SERVICES, LLC 120222
Street Address 1 Street Address 2
2225 LEXINGTON RD.
City State/Province/Country ZIP/Postal Code
LOUISVILLE KENTUCKY 40206
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
ROYAL ALLIANCE ASSOCIATES, INC. 23131
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
ROYAL ALLIANCE ASSOCIATES, INC. 23131
Street Address 1 Street Address 2
10 EXCHANGE PLACE SUITE 1410
City State/Province/Country ZIP/Postal Code
JERSEY CITY NEW JERSEY 07302
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
VANDERBILT SECURITIES, LLC 5953
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
VANDERBILT SECURITIES, LLC 5953
Street Address 1 Street Address 2
125 FROEHLICH FARM BLVD
City State/Province/Country ZIP/Postal Code
WOODBURY NEW YORK 11797
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
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
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
RHODE ISLAND
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VERMONT
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
Recipient
Recipient CRD Number    None
WESTPARK CAPITAL, INC 39914
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
WESTPARK CAPITAL, INC 39914
Street Address 1 Street Address 2
1900 AVENUE OF THE STARS SUITE 310
City State/Province/Country ZIP/Postal Code
LOS ANGELES CALIFORNIA 90067
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER 20804
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER 20804
Street Address 1 Street Address 2
7333 E. DOUBLETREE RANCH ROAD #120
City State/Province/Country ZIP/Postal Code
SCOTTSDALE ARIZONA 85258
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
DAVID A. NOYES & COMPANY 205
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
DAVID A. NOYES & COMPANY 205
Street Address 1 Street Address 2
209 SOUTH LA SALLE STREET 12TH FLOOR
City State/Province/Country ZIP/Postal Code
CHICAGO ILLINOIS 60604
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
WILMINGTON CAPITAL SECURITIES, LLC 133839
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
WILMINGTON CAPITAL SECURITIES, LLC 133839
Street Address 1 Street Address 2
600 OLD COUNTRY ROAD SUITE 200
City State/Province/Country ZIP/Postal Code
GARDEN CITY NEW YORK 11530
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
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
PUERTO RICO
SOUTH CAROLINA
TENNESSEE
TEXAS
UTAH
VERMONT
VIRGINIA
WASHINGTON
WISCONSIN
Recipient
Recipient CRD Number    None
DEMPSEY LORD SMITH, LLC 141238
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
DEMPSEY LORD SMITH, LLC 141238
Street Address 1 Street Address 2
901 N BROAD STREET SUITE 400
City State/Province/Country ZIP/Postal Code
Rome GEORGIA 30161
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
DFPG INVESTMENTS, INC. 155576
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
DFPG INVESTMENTS, INC. 155576
Street Address 1 Street Address 2
9017 S RIVERSIDE DRIVE SUITE 210
City State/Province/Country ZIP/Postal Code
SANDY UTAH 84070
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
DINOSAUR FINANCIAL GROUP, L.L.C 104446
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
DINOSAUR FINANCIAL GROUP, L.L.C 104446
Street Address 1 Street Address 2
470 PARK AVE SOUTH 9TH 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
ALABAMA
ARIZONA
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
HAWAII
ILLINOIS
INDIANA
IOWA
KANSAS
KENTUCKY
LOUISIANA
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSISSIPPI
MISSOURI
NEBRASKA
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH CAROLINA
OHIO
OREGON
PENNSYLVANIA
RHODE ISLAND
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
VERMONT
VIRGINIA
WASHINGTON
WISCONSIN
Recipient
Recipient CRD Number    None
FSC SECURITIES CORPORATION 7461
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
FSC SECURITIES CORPORATION 7461
Street Address 1 Street Address 2
2300 WINDY RIDGE PKWY SUITE 1100
City State/Province/Country ZIP/Postal Code
ATLANTA GEORGIA 30339
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
GREAT POINT CAPITAL LLC 114203
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
GREAT POINT CAPITAL LLC 114203
Street Address 1 Street Address 2
200 WEST JACKSON BLVD 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		    All States
   Foreign/non-US
ALASKA
ARIZONA
CALIFORNIA
COLORADO
CONNECTICUT
FLORIDA
GEORGIA
IDAHO
ILLINOIS
INDIANA
IOWA
KANSAS
KENTUCKY
LOUISIANA
MARYLAND
MICHIGAN
MISSOURI
MONTANA
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW MEXICO
NEW YORK
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VIRGINIA
WISCONSIN
Recipient
Recipient CRD Number    None
LANDOLT SECURITIES, INC. 28352
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
LANDOLT SECURITIES, INC. 28352
Street Address 1 Street Address 2
701 OREGON STREET
City State/Province/Country ZIP/Postal Code
OSHKOSH WISCONSIN 54902
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
LOWELL & COMPANY, INC. 24913
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
LOWELL & COMPANY, INC. 24913
Street Address 1 Street Address 2
4021 84TH ST SUITE 100
City State/Province/Country ZIP/Postal Code
LUBBOCK TEXAS 79423
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
CALIFORNIA
COLORADO
FLORIDA
GEORGIA
ILLINOIS
KANSAS
LOUISIANA
MISSISSIPPI
NEW MEXICO
NORTH CAROLINA
OKLAHOMA
TEXAS
VIRGINIA
Recipient
Recipient CRD Number    None
INVESTMENT ARCHITECTS, INC 17774
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
INVESTMENT ARCHITECTS, INC 17774
Street Address 1 Street Address 2
34 PETALUMA BLVD NORTH
City State/Province/Country ZIP/Postal Code
PETALUMA CALIFORNIA 94952
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ARIZONA
CALIFORNIA
COLORADO
CONNECTICUT
GEORGIA
HAWAII
IDAHO
LOUISIANA
MARYLAND
MINNESOTA
MISSOURI
MONTANA
NEVADA
OREGON
TEXAS
VIRGINIA
WASHINGTON
WISCONSIN
Recipient
Recipient CRD Number    None
MCDONALD PARTNERS LLC 135414
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
MCDONALD PARTNERS LLC 135414
Street Address 1 Street Address 2
1301 EAST 9TH STREET SUITE 3700
City State/Province/Country ZIP/Postal Code
CLEVELAND OHIO 44114
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
HAWAII
IDAHO
ILLINOIS
INDIANA
IOWA
KANSAS
KENTUCKY
LOUISIANA
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSISSIPPI
MISSOURI
MONTANA
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW YORK
NORTH CAROLINA
NORTH DAKOTA
OHIO
OKLAHOMA
OREGON
PENNSYLVANIA
RHODE ISLAND
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VERMONT
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
Recipient
Recipient CRD Number    None
MOLONEY SECURITIES CO., INC. 38535
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
MOLONEY SECURITIES CO., INC. 38535
Street Address 1 Street Address 2
13537 BARRETT PARKWAY DRIVE #300
City State/Province/Country ZIP/Postal Code
MANCHESTER MISSOURI 63021
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
MSC - BD, LLC 142927
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
MSC - BD, LLC 142927
Street Address 1 Street Address 2
410 PEACHTREE PKWY STE 4245
City State/Province/Country ZIP/Postal Code
CUMMING GEORGIA 30041
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
FLORIDA
GEORGIA
ILLINOIS
MISSOURI
NORTH CAROLINA
TEXAS
Recipient
Recipient CRD Number    None
KALOS CAPITAL, INC 44337
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
KALOS CAPITAL, INC 44337
Street Address 1 Street Address 2
11525 PARK WOODS CIRCLE SUITE 280
City State/Province/Country ZIP/Postal Code
ALPHARETTA GEORGIA 30005
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
NEWBRIDGE SECURITIES CORPORATION 104065
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NEWBRIDGE SECURITIES CORPORATION 104065
Street Address 1 Street Address 2
5200 TOWN CENTER CIRCLE TOWER 1 SUITE 306
City State/Province/Country ZIP/Postal Code
BOCA RATON FLORIDA 33486
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DELAWARE
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
HAWAII
IDAHO
ILLINOIS
INDIANA
IOWA
KANSAS
KENTUCKY
LOUISIANA
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
PUERTO RICO
RHODE ISLAND
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VERMONT
VIRGINIA
WASHINGTON
WEST VIRGINIA
WISCONSIN
WYOMING
Recipient
Recipient CRD Number    None
PURSHE KAPLAN STERLING INVESTMENTS 35747
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
PURSHE KAPLAN STERLING INVESTMENTS 35747
Street Address 1 Street Address 2
18 CORPORATE WOODS BLVD
City State/Province/Country ZIP/Postal Code
ALBANY NEW YORK 12211
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
SAGEPOINT FINANCIAL, INC 133763
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
SAGEPOINT FINANCIAL, INC 133763
Street Address 1 Street Address 2
20 E THOMAS RD SUITE 2000
City State/Province/Country ZIP/Postal Code
PHOENIX ARIZONA 85012
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
MONEY CONCEPTS CAPITAL CORP 12963
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
MONEY CONCEPTS CAPITAL CORP 12963
Street Address 1 Street Address 2
11440 NORTH JOG ROAD
City State/Province/Country ZIP/Postal Code
PALM BEACH GARDENS FLORIDA 33418
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
SILBER BENNETT FINANCIAL, INC 156435
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
SILBER BENNETT FINANCIAL, INC 156435
Street Address 1 Street Address 2
16133 VENTURA BLVD SUITE 700
City State/Province/Country ZIP/Postal Code
ENCINO CALIFORNIA 91436
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ALABAMA
ALASKA
ARIZONA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
DISTRICT OF COLUMBIA
FLORIDA
GEORGIA
HAWAII
IDAHO
ILLINOIS
INDIANA
IOWA
KANSAS
KENTUCKY
LOUISIANA
MAINE
MARYLAND
MASSACHUSETTS
MINNESOTA
MISSOURI
NEVADA
NEW HAMPSHIRE
NEW JERSEY
NEW MEXICO
NEW YORK
NORTH DAKOTA
OHIO
OREGON
PENNSYLVANIA
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
UTAH
VERMONT
VIRGINIA
WASHINGTON
WISCONSIN
Recipient
Recipient CRD Number    None
UHLMANN PRICE SECURITIES, LLC 42854
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
UHLMANN PRICE SECURITIES, LLC 42854
Street Address 1 Street Address 2
141 W. JACKSON BLVD STE.1340A
City State/Province/Country ZIP/Postal Code
CHICAGO ILLINOIS 60604
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
WHITEHALL-PARKER SECURITIES, INC. 10608
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
WHITEHALL-PARKER SECURITIES, INC. 10608
Street Address 1 Street Address 2
477 PACIFIC AVENUE 2ND FLOOR
City State/Province/Country ZIP/Postal Code
SAN FRANCISCO CALIFORNIA 94133
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
ARIZONA
CALIFORNIA
COLORADO
IDAHO
NEVADA
NEW YORK
OREGON
TEXAS
UTAH
WASHINGTON
Recipient
Recipient CRD Number    None
WOODBURY FINANCIAL SERVICES, INC 421
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
WOODBURY FINANCIAL SERVICES, INC 421
Street Address 1 Street Address 2
7755 3RD STREET NORTH
City State/Province/Country ZIP/Postal Code
OAKDALE MINNESOTA 55128
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US

13. Offering and Sales Amounts

Total Offering Amount USD
or X Indefinite
Total Amount Sold $645,813,889 USD
Total Remaining to be Sold USD
or X Indefinite

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:
6,095

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 $47,914,143 USD
X Estimate
Finders' Fees $0 USD
   Estimate

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.

$0 USD
   Estimate

Clarification of Response (if Necessary):

The General Partner, or its affiliate, is entitled to receive a management fee and an incentive allocation in an amount equal to a specified percentage of the net asset value of each limited partner's capital account.

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
GPB Holdings II, LP Daniel M. Diamond Daniel M. Diamond Chief Compliance Officer of the Issuer's General Partner 2018-05-16

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

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