The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. The reader should not assume that the information is accurate and complete. |
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM D
Notice of Exempt Offering of Securities
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OMB APPROVAL |
OMB Number: |
3235-0076 |
Estimated average burden |
hours per response: |
4.00 |
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1. Issuer's Identity
CIK (Filer ID Number) |
Previous Names |
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Entity Type |
0001698656 |
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Corporation |
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Limited Partnership |
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Limited Liability Company |
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General Partnership |
X |
Business Trust |
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Other (Specify) |
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Name of Issuer |
Dallas Multifamily DST |
Jurisdiction of Incorporation/Organization |
DELAWARE |
Year of Incorporation/Organization |
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Over Five Years Ago |
X |
Within Last Five Years (Specify Year) |
2016 |
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Yet to Be Formed |
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2. Principal Place of Business and Contact Information
Name of Issuer |
Dallas Multifamily DST |
Street Address 1 |
Street Address 2 |
2901 BUTTERFIELD ROAD |
City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
OAK BROOK |
ILLINOIS |
60523 |
6302184916 |
3. Related Persons
Last Name |
First Name |
Middle Name |
Inland Private Capital Corporation |
N/A |
Street Address 1 |
Street Address 2 |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
X |
Executive Officer |
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Director |
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Promoter |
Clarification of Response (if Necessary):
Sponsor of the Issuer
Last Name |
First Name |
Middle Name |
Dallas Multifamily Exchange, L.L.C. |
N/A |
Street Address 1 |
Street Address 2 |
c/o Inland Private Capital Corporation |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
X |
Executive Officer |
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Director |
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Promoter |
Clarification of Response (if Necessary):
Signatory Trustee of the Issuer
Last Name |
First Name |
Middle Name |
IPCC Multifamily Depositor DST |
N/A |
Street Address 1 |
Street Address 2 |
c/o Inland Private Capital Corporation |
2901 Butterfield Road |
City |
State/Province/Country |
ZIP/PostalCode |
Oak Brook |
ILLINOIS |
60523 |
Relationship: |
X |
Executive Officer |
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Director |
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Promoter |
Clarification of Response (if Necessary):
Depositor of the Issuer
4. Industry Group
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Agriculture |
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Banking & Financial Services |
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Commercial Banking |
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Insurance |
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Investing |
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Investment Banking |
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Pooled Investment Fund |
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Is the issuer registered as an investment company under the Investment Company Act of 1940? |
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Other Banking & Financial Services |
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Business Services |
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Energy |
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Health Care |
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Manufacturing |
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Real Estate |
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Retailing |
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Restaurants |
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Technology |
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Travel |
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Tourism & Travel Services |
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Other |
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5. Issuer Size
Revenue Range |
OR |
Aggregate Net Asset Value Range |
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No Revenues |
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No Aggregate Net Asset Value |
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$1 - $1,000,000 |
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$1 - $5,000,000 |
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$1,000,001 - $5,000,000 |
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$5,000,001 - $25,000,000 |
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$5,000,001 - $25,000,000 |
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$25,000,001 - $50,000,000 |
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$25,000,001 - $100,000,000 |
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$50,000,001 - $100,000,000 |
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Over $100,000,000 |
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Over $100,000,000 |
X |
Decline to Disclose |
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Decline to Disclose |
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Not Applicable |
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Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
| |
Rule 504(b)(1) (not (i), (ii) or (iii)) |
| |
Rule 504 (b)(1)(i) |
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Rule 504 (b)(1)(ii) |
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Rule 504 (b)(1)(iii) |
| X |
Rule 506(b) |
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Rule 506(c) |
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Securities Act Section 4(a)(5) |
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Investment Company Act Section 3(c) |
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Section 3(c)(1) |
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Section 3(c)(9) |
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Section 3(c)(2) |
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Section 3(c)(10) |
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Section 3(c)(3) |
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Section 3(c)(11) |
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Section 3(c)(4) |
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Section 3(c)(12) |
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Section 3(c)(5) |
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Section 3(c)(13) |
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Section 3(c)(6) |
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Section 3(c)(14) |
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7. Type of Filing
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New Notice |
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Date of First Sale |
2017-02-02 |
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First Sale Yet to Occur |
X |
Amendment |
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? |
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9. Type(s) of Securities Offered (select all that apply)
X |
Equity |
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Pooled Investment Fund Interests |
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Debt |
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Tenant-in-Common Securities |
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Option, Warrant or Other Right to Acquire Another Security |
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Mineral Property Securities |
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Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
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Other (describe) |
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10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
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Clarification of Response (if Necessary):
11. Minimum Investment
Minimum investment accepted from any outside investor |
$25,000
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USD |
12. Sales Compensation
Recipient |
Recipient CRD Number |
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None |
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Investment Planners Inc |
18577 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Thomas Ealy |
863042 |
Street Address 1 |
Street Address 2 |
226 W. Eldorado Street |
City |
State/Province/Country |
ZIP/Postal Code |
Decatur |
ILLINOIS |
62522 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Courtlandt Securities Corp |
137356 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Mike Cruz |
2130750 |
Street Address 1 |
Street Address 2 |
18218 McDurmott |
Suite A |
City |
State/Province/Country |
ZIP/Postal Code |
Irvine |
CALIFORNIA |
92614 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Primex |
29394 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Christina Nielson |
4866971 |
Street Address 1 |
Street Address 2 |
650 Town Center Drive |
Suiite 1400 |
City |
State/Province/Country |
ZIP/Postal Code |
Costa Mesa |
CALIFORNIA |
92626 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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Recipient |
Recipient CRD Number |
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None |
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Westpark Capital Inc |
39914 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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David Levinson |
705929 |
Street Address 1 |
Street Address 2 |
18872 MacArthur Blvd |
1st Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Irvine |
CALIFORNIA |
92612 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Concorde Investment Services, LLC |
151604 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Eric Scaff |
5281210 |
Street Address 1 |
Street Address 2 |
300 Montomery Street |
Suite 631 |
City |
State/Province/Country |
ZIP/Postal Code |
San Francisco |
CALIFORNIA |
94101 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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1st Global Capital Corporation |
30349 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Philip Herrera |
1762156 |
Street Address 1 |
Street Address 2 |
273 W. Fourth Street |
City |
State/Province/Country |
ZIP/Postal Code |
Claremont |
CALIFORNIA |
91711 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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Recipient |
Recipient CRD Number |
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None |
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Maureen Verduyn |
15737 |
(Associated) Broker or Dealer |
X |
None |
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(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
5740 Fleet Street |
Suite 120 |
City |
State/Province/Country |
ZIP/Postal Code |
Carlsbad |
CALIFORNIA |
92008 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Investment Planners, Inc |
18557 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Lara Hoff |
3175071 |
Street Address 1 |
Street Address 2 |
10440 N. Central Expressway |
Suite 1040 |
City |
State/Province/Country |
ZIP/Postal Code |
Dallas |
TEXAS |
75231 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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1st Global Capital Corporation |
30349 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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J Scott Powell |
3181500 |
Street Address 1 |
Street Address 2 |
1205 Two Island Court |
Suite 201 |
City |
State/Province/Country |
ZIP/Postal Code |
Mount Pleasant |
SOUTH CAROLINA |
29466 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Brian Evans |
4004458 |
(Associated) Broker or Dealer |
X |
None |
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(Associated) Broker or Dealer CRD Number |
X |
None |
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None |
None |
Street Address 1 |
Street Address 2 |
c/- Madrona Financial Services, LLC |
2911 Bond Street, Suite 200 |
City |
State/Province/Country |
ZIP/Postal Code |
Everett |
WASHINGTON |
98201 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
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All States |
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Recipient |
Recipient CRD Number |
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None |
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Independent Financial Group, LLC |
7717 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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William Aubrey Morrow |
836500 |
Street Address 1 |
Street Address 2 |
5075 Shoreham Place |
Suite 200 |
City |
State/Province/Country |
ZIP/Postal Code |
San Diego |
CALIFORNIA |
92122 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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Recipient |
Recipient CRD Number |
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None |
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Concorde Investment Services LLC |
151604 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Daniel Raupp |
4079107 |
Street Address 1 |
Street Address 2 |
417 East Main Street |
3rd Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Port Jefferson |
NEW YORK |
11777 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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Recipient |
Recipient CRD Number |
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None |
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Parkland Securities |
115368 |
(Associated) Broker or Dealer |
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None |
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(Associated) Broker or Dealer CRD Number |
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None |
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Tim Pearson |
3180636 |
Street Address 1 |
Street Address 2 |
1513 Oakcrest Drive |
City |
State/Province/Country |
ZIP/Postal Code |
Ogden |
UTAH |
84403 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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Recipient |
Recipient CRD Number |
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None |
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Alex Filippini |
5043549 |
(Associated) Broker or Dealer |
X |
None |
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(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
c/- Filippini Investment Advisory |
1165 Coast Village Road, Suite L |
City |
State/Province/Country |
ZIP/Postal Code |
Montecito |
CALIFORNIA |
93108 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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Recipient |
Recipient CRD Number |
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None |
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DFPG Investments, Inc |
155576 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Scott Sheehan |
2328614 |
Street Address 1 |
Street Address 2 |
2 Orr Hatch Drive |
City |
State/Province/Country |
ZIP/Postal Code |
Cornwall |
NEW YORK |
12518 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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Recipient |
Recipient CRD Number |
|
None |
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H.D. Vest Investment Securities Inc |
13686 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Chin Po |
2646769 |
Street Address 1 |
Street Address 2 |
1170 Corporate Drive W |
Suite 204 |
City |
State/Province/Country |
ZIP/Postal Code |
Arlington |
TEXAS |
76006 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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Recipient |
Recipient CRD Number |
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None |
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Sigma Financial Corporation |
14303 |
(Associated) Broker or Dealer |
|
None |
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(Associated) Broker or Dealer CRD Number |
|
None |
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Tonas Velken |
1600404 |
Street Address 1 |
Street Address 2 |
1078 Carol Lane |
#203 |
City |
State/Province/Country |
ZIP/Postal Code |
Lafayette |
CALIFORNIA |
94549 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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Recipient |
Recipient CRD Number |
|
None |
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Silver Portal Capital, LLC |
114290 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
12265 El Camino Real |
Suite 230 |
City |
State/Province/Country |
ZIP/Postal Code |
San Diego |
CALIFORNIA |
92130 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ILLINOIS |
MINNESOTA |
WISCONSIN |
|
Recipient |
Recipient CRD Number |
|
None |
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Concorde Investment Services, LLC |
151604 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Robert Smith |
1412333 |
Street Address 1 |
Street Address 2 |
5000 Meadows Road |
Suite 230 |
City |
State/Province/Country |
ZIP/Postal Code |
Lake Oswego |
OREGON |
9705 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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|
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Recipient |
Recipient CRD Number |
|
None |
|
1st Global Capital Corporation |
30349 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Craig Sickler |
4222992 |
Street Address 1 |
Street Address 2 |
2215 Route 9W |
City |
State/Province/Country |
ZIP/Postal Code |
Lake Katrine |
NEW YORK |
12449 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
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Recipient |
Recipient CRD Number |
|
None |
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lndependent Financial Group, LLC |
7717 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Armando Roman |
4414526 |
Street Address 1 |
Street Address 2 |
7373 E. DOUBLETREE RANCH ROAD |
Suite 170 |
City |
State/Province/Country |
ZIP/Postal Code |
Scotsdale |
ARIZONA |
85258 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
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Recipient |
Recipient CRD Number |
|
None |
|
lndependent Financial Group, LLC |
7717 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Robert Vonderharr |
1556834 |
Street Address 1 |
Street Address 2 |
3098 HIGHLAND DRIVE |
Suite 490 |
City |
State/Province/Country |
ZIP/Postal Code |
Salt Lake City |
UTAH |
84106 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
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Recipient |
Recipient CRD Number |
|
None |
|
lndependent Financial Group, LLC |
7717 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Richard Wagner |
4575603 |
Street Address 1 |
Street Address 2 |
3098 HIGHLAND DRIVE |
Suite 490 |
City |
State/Province/Country |
ZIP/Postal Code |
Salt Lake City |
UTAH |
84106 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
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Recipient |
Recipient CRD Number |
|
None |
|
Colorado Financial Service Corp |
104343 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Elizabeth Friant |
2122446 |
Street Address 1 |
Street Address 2 |
1I 01 PENNSYLVANIA AVENUE NW |
Suite 300 |
City |
State/Province/Country |
ZIP/Postal Code |
Washinton |
DISTRICT OF COLUMBIA |
20004 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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|
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Recipient |
Recipient CRD Number |
|
None |
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Ausdal Financial Partners, lnc. |
7995 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Kraig Mickelsen |
2845238 |
Street Address 1 |
Street Address 2 |
555 S. RANDALL ROAD |
Suite 202 |
City |
State/Province/Country |
ZIP/Postal Code |
St.Charles |
ILLINOIS |
60174 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Triad Advisors, lnc. |
25803 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
James Walesa |
1061209 |
Street Address 1 |
Street Address 2 |
1460 RENAISSANCE DR. |
Suite 212 |
City |
State/Province/Country |
ZIP/Postal Code |
Park Ridge |
ILLINOIS |
60068 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Questar Capital Corporation |
43100 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Michael Fox |
2843169 |
Street Address 1 |
Street Address 2 |
1892 GREENTREE RD |
Suite 1A |
City |
State/Province/Country |
ZIP/Postal Code |
Cherry Hill |
NEW JERSEY |
08003 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
1st Global Capital Corporation |
30349 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Gerrin De Groot |
4817044 |
Street Address 1 |
Street Address 2 |
824 Pine Street |
City |
State/Province/Country |
ZIP/Postal Code |
Klamath Falls |
OREGON |
97601 -603 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Concorde lnvestment Services, LLC |
151604 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Roy Pfleger |
5896655 |
Street Address 1 |
Street Address 2 |
417 Easl Main Street |
3rd Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Port Jefferson |
NEW YORK |
11777 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Centaurus Financial, lnc. |
30833 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Robert Horning |
2311640 |
Street Address 1 |
Street Address 2 |
6633 S. HALM AVENUE |
City |
State/Province/Country |
ZIP/Postal Code |
Los Angeles |
CALIFORNIA |
90056 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Voya Financial Advisors |
2882 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Daryl Zimbardi |
2651259 |
Street Address 1 |
Street Address 2 |
223 Main Street |
City |
State/Province/Country |
ZIP/Postal Code |
Port Washington |
NEW YORK |
11050 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Commonwealth Financial Network |
8032 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
James Cunningham |
3038854 |
Street Address 1 |
Street Address 2 |
817 Ninth Street |
City |
State/Province/Country |
ZIP/Postal Code |
Rapid City |
SOUTH DAKOTA |
57701 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Commonwealth Financial Network |
8032 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Kurt Whitesell |
1675434 |
Street Address 1 |
Street Address 2 |
817 Ninth Street |
City |
State/Province/Country |
ZIP/Postal Code |
Rapid City |
SOUTH DAKOTA |
57701 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Colorado Financial Service Corp |
104343 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Chay Lapin |
6275140 |
Street Address 1 |
Street Address 2 |
2516 Via Tejon |
Suite 210 |
City |
State/Province/Country |
ZIP/Postal Code |
Palos Verdes Estates |
CALIFORNIA |
90274 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Voya Financial Advisors |
2882 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Brian Kampbell |
4211321 |
Street Address 1 |
Street Address 2 |
4041 Ruston Way |
Suite 200 |
City |
State/Province/Country |
ZIP/Postal Code |
Tacoma |
WASHINGTON |
98402 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Centaurus Financial, Inc |
30833 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Leslie Cannon |
5254822 |
Street Address 1 |
Street Address 2 |
23741 SE 18th Street |
City |
State/Province/Country |
ZIP/Postal Code |
Sammamish |
WASHINGTON |
98075 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Centaurus Financial, Inc |
30833 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Eugenie Brewster |
1044643 |
Street Address 1 |
Street Address 2 |
11050 SE 105th Drive |
City |
State/Province/Country |
ZIP/Postal Code |
Happy Valley |
OREGON |
97086 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Voya Financial Advisors |
2882 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Daniel Rickett |
2305063 |
Street Address 1 |
Street Address 2 |
85 E 7th Place |
Suite 275 |
City |
State/Province/Country |
ZIP/Postal Code |
St Paul |
MINNESOTA |
55101 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
WealthForge LLC |
152550 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
David Dahill |
6581024 |
Street Address 1 |
Street Address 2 |
109 E 10th Street |
Suite 300 |
City |
State/Province/Country |
ZIP/Postal Code |
Austin |
TEXAS |
78701 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
FLORIDA |
GEORGIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Emerson Equity LLC |
130032 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Dinesh Gupta |
6469999 |
Street Address 1 |
Street Address 2 |
777 North First Street |
Suite 720 |
City |
State/Province/Country |
ZIP/Postal Code |
San Jose |
CALIFORNIA |
95112 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
JRL Capital Corporation |
10225 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Larry Law |
1273118 |
Street Address 1 |
Street Address 2 |
20371 Irvine Ave |
Suite A-140 |
City |
State/Province/Country |
ZIP/Postal Code |
Newport Beach |
CALIFORNIA |
92660 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Emerson Equity LLC |
130032 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Paul Getty |
6470002 |
Street Address 1 |
Street Address 2 |
777 North First Street |
Suite 720 |
City |
State/Province/Country |
ZIP/Postal Code |
San Jose |
CALIFORNIA |
95112 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
1st Global Capital Corporation |
30349 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Gene Alvin Brehm |
2815437 |
Street Address 1 |
Street Address 2 |
7809 Broadway Street |
City |
State/Province/Country |
ZIP/Postal Code |
San Antonio |
TEXAS |
78209-2558 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Questar Capital |
43100 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Stephen Swarbrick |
2444058 |
Street Address 1 |
Street Address 2 |
983 Reserve Drive |
City |
State/Province/Country |
ZIP/Postal Code |
Roseville |
CALIFORNIA |
95678 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Triad Advisors, Inc |
25803 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
James Parry |
1877092 |
Street Address 1 |
Street Address 2 |
2591 Dallas Parkway #300 |
City |
State/Province/Country |
ZIP/Postal Code |
Frisco |
TEXAS |
75034 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
1st Global Capital Corporation |
30349 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Gregory Heldman |
446116 |
Street Address 1 |
Street Address 2 |
130 East Epler Avenue |
Suite A |
City |
State/Province/Country |
ZIP/Postal Code |
Indianapolis |
INDIANA |
46227-1987 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Independent Financial Group, LLC |
7717 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Randy Goodsell |
5237444 |
Street Address 1 |
Street Address 2 |
2665 Fourth Avenue |
City |
State/Province/Country |
ZIP/Postal Code |
San Diego |
CALIFORNIA |
92103 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
13. Offering and Sales Amounts
Total Offering Amount |
$22,631,637
|
USD |
|
Total Amount Sold |
$22,518,449
|
USD |
Total Remaining to be Sold |
$113,188
|
USD |
|
Clarification of Response (if Necessary):
Regarding Item 11, the Issuer may accept smaller investments in the Sponsor's sole discretion.14. Investors
|
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering. |
|
|
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: |
|
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 |
$1,787,899
|
USD |
|
Finders' Fees |
$0
|
USD |
|
Clarification of Response (if Necessary):
Sales Commissions include estimates of the maximum amount of Selling Commissions, Dealer Fees and Placement Agent Fee that may be paid to one or more Related Persons16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
Clarification of Response (if Necessary):
Item 16 is an estimate of acquisition fees, the initial period asset management fee and offering and organizational expenses that may accrue to one or more Related Persons.Signature and Submission
Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.
Terms of Submission
In submitting this notice, each issuer named above is: |
- Notifying the SEC and/or each State in which this notice is filed of the offering of
securities described and undertaking to furnish them, upon written request, in the accordance with applicable
law, the information furnished to offerees.*
- Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator
or other legally designated officer of the State in which the issuer maintains its principal
place of business and any State in which this notice is filed, as its agents for service of
process, and agreeing that these persons may accept service on its behalf, of any notice,
process or pleading, and further agreeing that such service may be made by registered or
certified mail, in any Federal or state action, administrative proceeding, or arbitration
brought against the issuer in any place subject to the jurisdiction of the United States, if the
action, proceeding or arbitration (a) arises out of any activity in connection with the
offering of securities that is the subject of this notice, and (b) is founded, directly or
indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange
Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the
Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii)
the laws of the State in which the issuer maintains its principal place of business or any State
in which this notice is filed.
- Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) or Rule 506(d).
|
Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.
For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.
Issuer |
Signature |
Name of Signer |
Title |
Date |
Dallas Multifamily DST |
/s/ Joseph E, Binder |
Joseph E, Binder |
Senior VP of Member of Signatory Trustee of the Issuer |
2017-09-26 |
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.