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 |
0001791077 |
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Corporation |
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Limited Partnership |
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Limited Liability Company |
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General Partnership |
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Business Trust |
X |
Other (Specify) |
Statutory Trust |
Name of Issuer |
CF Rivertop Multifamily DST |
Jurisdiction of Incorporation/Organization |
DELAWARE |
Year of Incorporation/Organization |
|
Over Five Years Ago |
X |
Within Last Five Years (Specify Year) |
2019 |
|
Yet to Be Formed |
|
2. Principal Place of Business and Contact Information
Name of Issuer |
CF Rivertop Multifamily DST |
Street Address 1 |
Street Address 2 |
110 EAST 59TH STREET |
City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
NEW YORK |
NEW YORK |
10022 |
(855) 922-6867 |
3. Related Persons
Last Name |
First Name |
Middle Name |
CF Rivertop Manager, LLC |
CF Rivertop Manager, LLC |
Street Address 1 |
Street Address 2 |
110 East 59th Street |
City |
State/Province/Country |
ZIP/PostalCode |
New York |
NEW YORK |
10022 |
Relationship: |
|
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
CF Rivertop Depositor, LLC |
CF Rivertop Depositor, LLC |
Street Address 1 |
Street Address 2 |
110 East 59th Street |
City |
State/Province/Country |
ZIP/PostalCode |
New York |
NEW YORK |
10022 |
Relationship: |
|
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Cantor Fitzgerald, L.P. |
Cantor Fitzgerald, L.P. |
Street Address 1 |
Street Address 2 |
110 East 59th Street |
City |
State/Province/Country |
ZIP/PostalCode |
New York |
NEW YORK |
10022 |
Relationship: |
|
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Buccola |
James |
Street Address 1 |
Street Address 2 |
110 East 59th Street |
City |
State/Province/Country |
ZIP/PostalCode |
New York |
NEW YORK |
10022 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
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 |
|
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) |
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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 |
2019-10-24 |
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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
|
USD |
12. Sales Compensation
Recipient |
Recipient CRD Number |
|
None |
|
Cantor Fitzgerald & Co. |
134 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
110 East 59th Street |
City |
State/Province/Country |
ZIP/Postal Code |
New York |
NEW YORK |
10022 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
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Recipient |
Recipient CRD Number |
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None |
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John Deforrest Williamson |
2357023 |
(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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Alexander Capital, L.P. |
40077 |
Street Address 1 |
Street Address 2 |
17 State Street, 5th Floor |
City |
State/Province/Country |
ZIP/Postal Code |
New York |
NEW YORK |
10004 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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ALASKA |
ARIZONA |
CALIFORNIA |
FLORIDA |
GEORGIA |
HAWAII |
KANSAS |
KENTUCKY |
LOUISIANA |
MASSACHUSETTS |
NEVADA |
NEW JERSEY |
NEW MEXICO |
NEW YORK |
OHIO |
OKLAHOMA |
OREGON |
PENNSYLVANIA |
TENNESSEE |
TEXAS |
VIRGINIA |
WASHINGTON |
WYOMING |
|
Recipient |
Recipient CRD Number |
|
None |
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Craig Murchison McDaniel |
1087979 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
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None |
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Capital Investment Group, Inc. |
14752 |
Street Address 1 |
Street Address 2 |
6156 St. Andrews Road, Suite 108 |
City |
State/Province/Country |
ZIP/Postal Code |
Columbia |
SOUTH CAROLINA |
29212 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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ALASKA |
ARIZONA |
CALIFORNIA |
COLORADO |
FLORIDA |
GEORGIA |
IDAHO |
INDIANA |
IOWA |
MARYLAND |
MICHIGAN |
MINNESOTA |
MISSISSIPPI |
MISSOURI |
NEVADA |
NEW JERSEY |
NEW MEXICO |
NORTH CAROLINA |
OHIO |
OKLAHOMA |
PENNSYLVANIA |
SOUTH CAROLINA |
TEXAS |
UTAH |
VIRGINIA |
WASHINGTON |
WEST VIRGINIA |
WISCONSIN |
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Recipient |
Recipient CRD Number |
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None |
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Derek James Elrod |
4793202 |
(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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APW Capital, Inc. |
43814 |
Street Address 1 |
Street Address 2 |
986 W. Alluvial Avenue, Suite 101 |
City |
State/Province/Country |
ZIP/Postal Code |
Fresno |
CALIFORNIA |
93711 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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CALIFORNIA |
IDAHO |
OREGON |
WASHINGTON |
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Recipient |
Recipient CRD Number |
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None |
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David M. Gottlieb |
5739132 |
(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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APW Capital, Inc. |
43814 |
Street Address 1 |
Street Address 2 |
111 Wood Avenue South, Suite 110 |
City |
State/Province/Country |
ZIP/Postal Code |
Iselin |
NEW JERSEY |
08830 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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CALIFORNIA |
FLORIDA |
GEORGIA |
ILLINOIS |
KANSAS |
MARYLAND |
MISSOURI |
NEW JERSEY |
NEW YORK |
PENNSYLVANIA |
TEXAS |
WYOMING |
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Recipient |
Recipient CRD Number |
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None |
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Gwendolyn Nicholson Barringer |
4455064 |
(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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Capital Investment Group, Inc. |
14752 |
Street Address 1 |
Street Address 2 |
100 E. Six Forks Road, Suite 200 |
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 |
|
All States |
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CALIFORNIA |
ILLINOIS |
NORTH CAROLINA |
VIRGINIA |
|
Recipient |
Recipient CRD Number |
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None |
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Edward Eric Fernandez |
2956661 |
(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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Capulent LLC |
155155 |
Street Address 1 |
Street Address 2 |
1 Spectrum Pointe Drive, Suite 320 |
City |
State/Province/Country |
ZIP/Postal Code |
Lake Forest |
CALIFORNIA |
92630 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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ALABAMA |
ALASKA |
ARIZONA |
CALIFORNIA |
COLORADO |
CONNECTICUT |
DISTRICT OF COLUMBIA |
FLORIDA |
GEORGIA |
ILLINOIS |
IOWA |
LOUISIANA |
MAINE |
MARYLAND |
MASSACHUSETTS |
MICHIGAN |
MONTANA |
NEBRASKA |
NEVADA |
NEW JERSEY |
NEW MEXICO |
NEW YORK |
NORTH CAROLINA |
OHIO |
OREGON |
PENNSYLVANIA |
RHODE ISLAND |
TEXAS |
UTAH |
VERMONT |
VIRGINIA |
WASHINGTON |
WISCONSIN |
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Recipient |
Recipient CRD Number |
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None |
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Gregory John Richards |
1339012 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
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None |
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Centaurus Financial, Inc. |
30833 |
Street Address 1 |
Street Address 2 |
14362 N Frank Lloyd Wright Blvd, #1000 |
City |
State/Province/Country |
ZIP/Postal Code |
Scottsdale |
ARIZONA |
85260 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
CALIFORNIA |
FLORIDA |
INDIANA |
IOWA |
NEVADA |
NORTH CAROLINA |
OKLAHOMA |
SOUTH CAROLINA |
TEXAS |
UTAH |
WASHINGTON |
WISCONSIN |
|
Recipient |
Recipient CRD Number |
|
None |
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Darren Robert Grossman |
5762586 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Centaurus Financial, Inc. |
30833 |
Street Address 1 |
Street Address 2 |
191 Presidential Boulevard, Suite W-1 |
City |
State/Province/Country |
ZIP/Postal Code |
Bala Cynwyd |
PENNSYLVANIA |
19004 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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|
ARIZONA |
CALIFORNIA |
DELAWARE |
DISTRICT OF COLUMBIA |
FLORIDA |
NEW JERSEY |
NORTH CAROLINA |
PENNSYLVANIA |
TEXAS |
UTAH |
VIRGINIA |
WEST VIRGINIA |
WISCONSIN |
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Recipient |
Recipient CRD Number |
|
None |
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Kevin Todd Canterbury |
4939385 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Coastal Equities, Inc. |
23769 |
Street Address 1 |
Street Address 2 |
7231 E. Princess Boulevard, Suite 201 |
City |
State/Province/Country |
ZIP/Postal Code |
Scottsdale |
ARIZONA |
85255 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
CALIFORNIA |
FLORIDA |
INDIANA |
MINNESOTA |
NEVADA |
SOUTH CAROLINA |
|
Recipient |
Recipient CRD Number |
|
None |
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Robert Howard Zink |
5105262 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Colorado Financial Service Corporation |
104343 |
Street Address 1 |
Street Address 2 |
188 Inverness Drive West, Suite 100 |
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 |
|
All States |
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Recipient |
Recipient CRD Number |
|
None |
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Bradford Lee Watt |
2565438 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Colorado Financial Service Corporation |
104343 |
Street Address 1 |
Street Address 2 |
188 Inverness Drive West, Suite 100 |
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 |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
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Eric James Bell |
7015161 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Colorado Financial Service Corporation |
104343 |
Street Address 1 |
Street Address 2 |
5251 DTC Parkway, Suite 1150 |
City |
State/Province/Country |
ZIP/Postal Code |
Greenwood Village |
COLORADO |
80111 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
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Recipient |
Recipient CRD Number |
|
None |
|
William Timothy Bourne |
2101825 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Cambridge Investment Research, Inc. |
39543 |
Street Address 1 |
Street Address 2 |
1703 Enterprise Drive, Suite A |
City |
State/Province/Country |
ZIP/Postal Code |
Lynchburg |
VIRGINIA |
24502 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Daniel Philip Raupp |
4079107 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Concorde Investment Services, LLC |
151604 |
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 |
|
|
ALABAMA |
ARIZONA |
CALIFORNIA |
COLORADO |
CONNECTICUT |
DELAWARE |
FLORIDA |
GEORGIA |
IDAHO |
ILLINOIS |
INDIANA |
KENTUCKY |
LOUISIANA |
MAINE |
MARYLAND |
MASSACHUSETTS |
MICHIGAN |
MINNESOTA |
MISSOURI |
MONTANA |
NEVADA |
NEW JERSEY |
NEW MEXICO |
NEW YORK |
NORTH CAROLINA |
OHIO |
PENNSYLVANIA |
RHODE ISLAND |
SOUTH CAROLINA |
TENNESSEE |
TEXAS |
UTAH |
VERMONT |
VIRGINIA |
WASHINGTON |
WISCONSIN |
|
Recipient |
Recipient CRD Number |
|
None |
|
Jeffrey Lynn Bangerter |
1687028 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Concorde Investment Services, LLC |
151604 |
Street Address 1 |
Street Address 2 |
1380 Lead Hill Boulevard, Suite 180 |
City |
State/Province/Country |
ZIP/Postal Code |
Roseville |
CALIFORNIA |
95661 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
COLORADO |
MISSOURI |
NEVADA |
TENNESSEE |
UTAH |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Nathaniel Michael Kuhn |
4624143 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
DAI Securities, LLC |
36673 |
Street Address 1 |
Street Address 2 |
120 W Eastman Street, #300 |
City |
State/Province/Country |
ZIP/Postal Code |
Arlington Heights |
ILLINOIS |
60004 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
COLORADO |
FLORIDA |
ILLINOIS |
INDIANA |
MINNESOTA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Raymond C. Dewitt |
2894063 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Concorde Investment Services, LLC |
151604 |
Street Address 1 |
Street Address 2 |
299 S. Main Street, #1300 |
City |
State/Province/Country |
ZIP/Postal Code |
Salt Lake City |
UTAH |
84111 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
COLORADO |
NEVADA |
OREGON |
UTAH |
VIRGINIA |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Roger William Bowlin |
1905652 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Concorde Investment Services, LLC |
151604 |
Street Address 1 |
Street Address 2 |
2731 77th Avenue SE, Suite 100 |
City |
State/Province/Country |
ZIP/Postal Code |
Mercer Island |
WASHINGTON |
98040 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALASKA |
ARIZONA |
CALIFORNIA |
OREGON |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Steve Whyte |
5941423 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Crown Capital Securities, L.P. |
6312 |
Street Address 1 |
Street Address 2 |
10370 Commerce Center Drive, Suite B130 |
City |
State/Province/Country |
ZIP/Postal Code |
Rancho Cucamonga |
CALIFORNIA |
91730 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
CALIFORNIA |
OREGON |
|
Recipient |
Recipient CRD Number |
|
None |
|
John Danh Nguyen |
4919629 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Crown Capital Securities, L.P. |
6312 |
Street Address 1 |
Street Address 2 |
550 W Orangethorpe Avenue, Suite A |
City |
State/Province/Country |
ZIP/Postal Code |
Placentia |
CALIFORNIA |
92870 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALABAMA |
CALIFORNIA |
NEVADA |
|
Recipient |
Recipient CRD Number |
|
None |
|
William Scott Sheehan |
2328614 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
DFPG Investments, LLC |
155576 |
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 |
|
|
ARIZONA |
CALIFORNIA |
CONNECTICUT |
DELAWARE |
DISTRICT OF COLUMBIA |
FLORIDA |
IDAHO |
ILLINOIS |
MAINE |
MARYLAND |
MASSACHUSETTS |
NEVADA |
NEW JERSEY |
NEW MEXICO |
NEW YORK |
NORTH CAROLINA |
OREGON |
PENNSYLVANIA |
RHODE ISLAND |
TEXAS |
VERMONT |
VIRGINIA |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Benjamin Thomas Newhouse |
3105894 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
DFPG Investments, LLC |
155576 |
Street Address 1 |
Street Address 2 |
3812 S Freemont Avenue |
City |
State/Province/Country |
ZIP/Postal Code |
Springfield |
MISSOURI |
65804 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALABAMA |
ARIZONA |
ARKANSAS |
COLORADO |
FLORIDA |
KANSAS |
MICHIGAN |
MISSOURI |
NEVADA |
NEW JERSEY |
OKLAHOMA |
PENNSYLVANIA |
SOUTH CAROLINA |
TENNESSEE |
TEXAS |
|
Recipient |
Recipient CRD Number |
|
None |
|
Robert L. Boggess |
5007422 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Great Point Capital LLC |
114203 |
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 |
|
All States |
|
|
ARIZONA |
CALIFORNIA |
COLORADO |
FLORIDA |
HAWAII |
NEW JERSEY |
NEW YORK |
TENNESSEE |
TEXAS |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Michael Gregory Steinthal |
435071 |
(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 Boulevard, 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 |
|
|
ARIZONA |
CALIFORNIA |
COLORADO |
CONNECTICUT |
DISTRICT OF COLUMBIA |
IOWA |
MISSISSIPPI |
NEW JERSEY |
NEW YORK |
OHIO |
OKLAHOMA |
PENNSYLVANIA |
TEXAS |
UTAH |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Peter Alexander Finnegan |
1336798 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Huntwicke Securities, LLC |
146993 |
Street Address 1 |
Street Address 2 |
65 Washington Street |
City |
State/Province/Country |
ZIP/Postal Code |
Hanover |
MASSACHUSETTS |
02339 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
CALIFORNIA |
COLORADO |
CONNECTICUT |
FLORIDA |
MAINE |
MARYLAND |
MASSACHUSETTS |
NEW HAMPSHIRE |
NEW JERSEY |
NEW YORK |
VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
David Richard Koehler |
4832628 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Independent Financial Group, LLC |
7717 |
Street Address 1 |
Street Address 2 |
1541 The Alameda |
City |
State/Province/Country |
ZIP/Postal Code |
San Jose |
CALIFORNIA |
95126 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
CALIFORNIA |
IDAHO |
MINNESOTA |
MISSOURI |
NEVADA |
NEW JERSEY |
NORTH CAROLINA |
OREGON |
TEXAS |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Eric William Holtz |
5821492 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Independent Financial Group, LLC |
7717 |
Street Address 1 |
Street Address 2 |
716 Center Street |
City |
State/Province/Country |
ZIP/Postal Code |
Lewiston |
NEW YORK |
14092 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
COLORADO |
DELAWARE |
FLORIDA |
ILLINOIS |
KENTUCKY |
MASSACHUSETTS |
NEW YORK |
NORTH CAROLINA |
OKLAHOMA |
OREGON |
PENNSYLVANIA |
TEXAS |
VIRGINIA |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Frank Piscitelli |
6935623 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Lightpath Capital, Inc. |
34617 |
Street Address 1 |
Street Address 2 |
3130 Baker Street |
City |
State/Province/Country |
ZIP/Postal Code |
San Francisco |
CALIFORNIA |
94123 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
CONNECTICUT |
FLORIDA |
MONTANA |
NEW MEXICO |
NEW YORK |
OKLAHOMA |
OREGON |
TEXAS |
VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Leslie Margaret Pappas |
1735372 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Lightpath Capital, Inc. |
34617 |
Street Address 1 |
Street Address 2 |
3130 Baker Street |
City |
State/Province/Country |
ZIP/Postal Code |
San Francisco |
CALIFORNIA |
94123 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
CONNECTICUT |
NORTH CAROLINA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Paul M. Getty |
6470002 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Lightpath Capital, Inc. |
34617 |
Street Address 1 |
Street Address 2 |
97 East Brokaw Road, Suite 350 |
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 |
|
|
ARIZONA |
CALIFORNIA |
COLORADO |
FLORIDA |
MONTANA |
NEVADA |
NEW YORK |
OHIO |
OREGON |
TEXAS |
WASHINGTON |
WISCONSIN |
|
Recipient |
Recipient CRD Number |
|
None |
|
Barney Edgar Barnes III |
2149108 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Mariner Wealth |
154327 |
Street Address 1 |
Street Address 2 |
5700 W 112th Street, Suite 500 |
City |
State/Province/Country |
ZIP/Postal Code |
Overland Park |
KANSAS |
66211 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
COLORADO |
FLORIDA |
KANSAS |
MISSOURI |
NEW YORK |
OKLAHOMA |
PENNSYLVANIA |
TEXAS |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Robert Alan Horning |
2311640 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
McDermott Investment Services, LLC |
154926 |
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 |
|
|
ARIZONA |
CALIFORNIA |
HAWAII |
ILLINOIS |
IOWA |
LOUISIANA |
NEVADA |
NEW YORK |
SOUTH DAKOTA |
VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Corbin Scott Thomas |
4234748 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
McDermott Investment Services, LLC |
154926 |
Street Address 1 |
Street Address 2 |
101 Main Street, Suite 260 |
City |
State/Province/Country |
ZIP/Postal Code |
Huntington Beach |
CALIFORNIA |
92648 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALABAMA |
ALASKA |
ARIZONA |
ARKANSAS |
CALIFORNIA |
COLORADO |
CONNECTICUT |
DISTRICT OF COLUMBIA |
FLORIDA |
GEORGIA |
IDAHO |
ILLINOIS |
INDIANA |
IOWA |
KANSAS |
KENTUCKY |
LOUISIANA |
MAINE |
MARYLAND |
MASSACHUSETTS |
MINNESOTA |
MISSISSIPPI |
MISSOURI |
MONTANA |
NEBRASKA |
NEVADA |
NEW JERSEY |
NEW MEXICO |
NEW YORK |
NORTH CAROLINA |
NORTH DAKOTA |
OHIO |
OKLAHOMA |
OREGON |
PENNSYLVANIA |
RHODE ISLAND |
SOUTH CAROLINA |
SOUTH DAKOTA |
TEXAS |
UTAH |
VIRGINIA |
WASHINGTON |
WEST VIRGINIA |
WISCONSIN |
WYOMING |
|
Recipient |
Recipient CRD Number |
|
None |
|
Julienne Elizabeth Riddell |
5682274 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
McDermott Investment Services, LLC |
154926 |
Street Address 1 |
Street Address 2 |
3400 S Tamiami Trail |
City |
State/Province/Country |
ZIP/Postal Code |
Sarasota |
FLORIDA |
34239 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
FLORIDA |
MICHIGAN |
NEW YORK |
|
Recipient |
Recipient CRD Number |
|
None |
|
Troy Thomas |
4691720 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
McDermott Investment Services, LLC |
154926 |
Street Address 1 |
Street Address 2 |
101 Main Street, Suite 260 |
City |
State/Province/Country |
ZIP/Postal Code |
Huntington Beach |
CALIFORNIA |
92648 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
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 |
RHODE ISLAND |
SOUTH CAROLINA |
SOUTH DAKOTA |
TEXAS |
UTAH |
VERMONT |
VIRGINIA |
WASHINGTON |
WEST VIRGINIA |
WISCONSIN |
WYOMING |
|
Recipient |
Recipient CRD Number |
|
None |
|
Chase Micah Tustin |
6928184 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
PH Partners, LLC |
130790 |
Street Address 1 |
Street Address 2 |
1636 Mount Larson Road, Suite 108 |
City |
State/Province/Country |
ZIP/Postal Code |
Austin |
TEXAS |
78746 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Derek James Elrod |
4793202 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
APW Capital, Inc. |
43814 |
Street Address 1 |
Street Address 2 |
986 W. Alluvial Avenue, Suite 101 |
City |
State/Province/Country |
ZIP/Postal Code |
Fresno |
CALIFORNIA |
93711 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
IDAHO |
OREGON |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Jason S. Finley |
6602034 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Stax Capital |
300607 |
Street Address 1 |
Street Address 2 |
4901 Morena Boulevard, Suite 121 |
City |
State/Province/Country |
ZIP/Postal Code |
San Diego |
CALIFORNIA |
92117 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
NEVADA |
TEXAS |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Stacey Jim Morimoto |
4420782 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Stax Capital |
300607 |
Street Address 1 |
Street Address 2 |
4901 Morena Boulevard, Suite 121 |
City |
State/Province/Country |
ZIP/Postal Code |
San Diego |
CALIFORNIA |
92117 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
CALIFORNIA |
FLORIDA |
MONTANA |
NEVADA |
NEW YORK |
OREGON |
TEXAS |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Anthony Brown |
6900485 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Stax Capital |
300607 |
Street Address 1 |
Street Address 2 |
4901 Morena Boulevard, Suite 121 |
City |
State/Province/Country |
ZIP/Postal Code |
San Diego |
CALIFORNIA |
92117 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
NEW YORK |
OREGON |
TEXAS |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
David P. Dahill |
6581024 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Thornhill Securities, Inc. |
22333 |
Street Address 1 |
Street Address 2 |
111 Congress Avenue, Suite 1000 |
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 |
|
|
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 |
RHODE ISLAND |
SOUTH CAROLINA |
SOUTH DAKOTA |
TENNESSEE |
TEXAS |
UTAH |
VERMONT |
VIRGINIA |
WASHINGTON |
WEST VIRGINIA |
WISCONSIN |
WYOMING |
|
Recipient |
Recipient CRD Number |
|
None |
|
Betty L. Friant |
2122446 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Wealthforge Securities, LLC |
152550 |
Street Address 1 |
Street Address 2 |
1101 Pennsylvania Avenue N.W., Suite 300 |
City |
State/Province/Country |
ZIP/Postal Code |
Washington |
DISTRICT OF COLUMBIA |
20004 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Chay Thomas Lapin |
6275140 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Wealthforge Securities, LLC |
152550 |
Street Address 1 |
Street Address 2 |
21515 Hawthorne Boulevard, Suite 360 |
City |
State/Province/Country |
ZIP/Postal Code |
Torrance |
CALIFORNIA |
90503 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
David P. Dahill |
6581024 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Wealthforge Securities, LLC |
152550 |
Street Address 1 |
Street Address 2 |
111 Congress Avenue, Suite 1000 |
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 |
|
|
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 |
RHODE ISLAND |
SOUTH CAROLINA |
SOUTH DAKOTA |
TENNESSEE |
TEXAS |
UTAH |
VERMONT |
VIRGINIA |
WASHINGTON |
WEST VIRGINIA |
WISCONSIN |
WYOMING |
|
Recipient |
Recipient CRD Number |
|
None |
|
James Leroy Raper Jr. |
5721253 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Wealthforge Securities, LLC |
152550 |
Street Address 1 |
Street Address 2 |
3015 W Moore Street, Suite 102 |
City |
State/Province/Country |
ZIP/Postal Code |
Richmond |
VIRGINIA |
23230 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jason Andrew Salmon |
6081963 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Wealthforge Securities, LLC |
152550 |
Street Address 1 |
Street Address 2 |
104 West 40th Street, 5th Floor |
City |
State/Province/Country |
ZIP/Postal Code |
New York |
NEW YORK |
10018 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
X |
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Jason Lowther |
2606268 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Western International Securities, Inc. |
39262 |
Street Address 1 |
Street Address 2 |
70 S. 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 |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
David Bernard Levinson |
705929 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Westpark Capital, Inc. |
39914 |
Street Address 1 |
Street Address 2 |
1600 Dove Street, Suite 250 |
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 |
|
|
ALASKA |
CALIFORNIA |
COLORADO |
DISTRICT OF COLUMBIA |
FLORIDA |
ILLINOIS |
KENTUCKY |
MASSACHUSETTS |
MICHIGAN |
NEVADA |
NEW YORK |
OHIO |
RHODE ISLAND |
VIRGINIA |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Scott Barringer |
1385168 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Westpark Capital, Inc. |
39914 |
Street Address 1 |
Street Address 2 |
1600 Dove Street, Suite 250 |
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 |
|
|
ARIZONA |
CALIFORNIA |
COLORADO |
FLORIDA |
IDAHO |
INDIANA |
MICHIGAN |
MONTANA |
NEVADA |
NEW MEXICO |
NORTH CAROLINA |
OREGON |
SOUTH DAKOTA |
TEXAS |
VIRGINIA |
WASHINGTON |
WISCONSIN |
WYOMING |
|
Recipient |
Recipient CRD Number |
|
None |
|
John Mateyko |
3275621 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Peachcap Securities, Inc. |
25590 |
Street Address 1 |
Street Address 2 |
550 Pharr Road, Suite 700 |
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 |
|
|
ALABAMA |
ARIZONA |
CALIFORNIA |
FLORIDA |
GEORGIA |
ILLINOIS |
MARYLAND |
MINNESOTA |
NEVADA |
NEW YORK |
NORTH CAROLINA |
OHIO |
SOUTH CAROLINA |
TENNESSEE |
VIRGINIA |
WASHINGTON |
|
13. Offering and Sales Amounts
Total Offering Amount |
$32,040,000
|
USD |
|
Total Amount Sold |
$32,040,000
|
USD |
Total Remaining to be Sold |
$0
|
USD |
|
Clarification of Response (if Necessary):
14. Investors
|
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering. |
|
|
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: |
|
15. Sales Commissions & Finder's Fees Expenses
Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
Sales Commissions |
$2,723,400
|
USD |
|
Finders' Fees |
$0
|
USD |
|
Clarification of Response (if Necessary):
16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
Clarification of Response (if Necessary):
CF Rivertop Depositor, LLC (the "Depositor") will be responsible for paying certain fees and costs of approximately $3,755,347. The remaining $1,428,000 will be retained by the Depositor and its affiliates.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 |
CF Rivertop Multifamily DST |
/s/ James Buccola |
James Buccola |
President of Cantor Fitzgerald, L.P. |
2020-04-22 |
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.