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 |
0001474770 |
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Corporation |
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Limited Partnership |
X |
Limited Liability Company |
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General Partnership |
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Business Trust |
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Other (Specify) |
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Name of Issuer |
CRE Strategic Opportunity Fund |
Jurisdiction of Incorporation/Organization |
DELAWARE |
Year of Incorporation/Organization |
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Over Five Years Ago |
X |
Within Last Five Years (Specify Year) |
2009 |
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Yet to Be Formed |
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2. Principal Place of Business and Contact Information
Name of Issuer |
CRE Strategic Opportunity Fund |
Street Address 1 |
Street Address 2 |
101 N. MAIN ST |
12TH FLOOR |
City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
GREENVILLE |
SOUTH CAROLINA |
29601 |
864-679-4771 |
3. Related Persons
Last Name |
First Name |
Middle Name |
CRE Strategic Opportunity Fund Management, LLC |
X |
X |
Street Address 1 |
Street Address 2 |
101 N Main St |
12th Floor |
City |
State/Province/Country |
ZIP/PostalCode |
Greenville |
SOUTH CAROLINA |
29601 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Manager of the issuer
Last Name |
First Name |
Middle Name |
Boyd |
John |
W |
Street Address 1 |
Street Address 2 |
101 N. Main Street |
12th Floor |
City |
State/Province/Country |
ZIP/PostalCode |
Greenville |
SOUTH CAROLINA |
29601 |
Relationship: |
X |
Executive Officer |
|
Director |
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Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Aiesi |
Paul |
M |
Street Address 1 |
Street Address 2 |
101 N. Main Street |
12th Floor |
City |
State/Province/Country |
ZIP/PostalCode |
Greenville |
SOUTH CAROLINA |
29601 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Reiken |
Andrew |
M |
Street Address 1 |
Street Address 2 |
c/o CRE Strategic Opportunity Fund Mgmt |
101 N. Main St., 12th Floor |
City |
State/Province/Country |
ZIP/PostalCode |
Greenville |
SOUTH CAROLINA |
29601 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Spalding |
Donald |
L |
Street Address 1 |
Street Address 2 |
c/o CRE Strategic Opportunity Fund Mgmt |
101 N. Main St., 12th Floor |
City |
State/Province/Country |
ZIP/PostalCode |
Greenville |
SOUTH CAROLINA |
29601 |
Relationship: |
X |
Executive Officer |
|
Director |
|
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Poinsett Capital Advisors, LLC |
X |
X |
Street Address 1 |
Street Address 2 |
101 N. Main Street |
12th Floor |
City |
State/Province/Country |
ZIP/PostalCode |
Greenville |
SOUTH CAROLINA |
29601 |
Relationship: |
|
Executive Officer |
|
Director |
X |
Promoter |
Clarification of Response (if Necessary):
Last Name |
First Name |
Middle Name |
Graycliff Capital Partners, LLC |
X |
X |
Street Address 1 |
Street Address 2 |
101 N. Main Street |
12th Floor |
City |
State/Province/Country |
ZIP/PostalCode |
Greenville |
SOUTH CAROLINA |
29601 |
Relationship: |
|
Executive Officer |
|
Director |
X |
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 |
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Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
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Rule 504(b)(1) (not (i), (ii) or (iii)) |
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Rule 505 |
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Rule 504 (b)(1)(i) |
X |
Rule 506 |
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Rule 504 (b)(1)(ii) |
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Securities Act Section 4(5) |
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Rule 504 (b)(1)(iii) |
X |
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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X |
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 |
2009-11-04 |
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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 |
|
SANDLAPPER Securities, LLC |
137906 |
(Associated) Broker or Dealer |
X |
None |
|
(Associated) Broker or Dealer CRD Number |
X |
None |
|
None |
None |
Street Address 1 |
Street Address 2 |
101 N Main St |
12th Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Greenville |
SOUTH CAROLINA |
29601 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALASKA |
ARIZONA |
CALIFORNIA |
COLORADO |
CONNECTICUT |
FLORIDA |
GEORGIA |
ILLINOIS |
MASSACHUSETTS |
MINNESOTA |
NEVADA |
NEW YORK |
NORTH CAROLINA |
OHIO |
OKLAHOMA |
OREGON |
SOUTH CAROLINA |
TEXAS |
UTAH |
WASHINGTON |
WYOMING |
|
Recipient |
Recipient CRD Number |
|
None |
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John B. Morris III |
5155685 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
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None |
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Sandlapper Securities, LLC |
137906 |
Street Address 1 |
Street Address 2 |
101 N. Main Street |
12th Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Greenville |
SOUTH CAROLINA |
29601 |
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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John Wyatt Boyd |
2090782 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Sandlapper Securities, LLC |
137906 |
Street Address 1 |
Street Address 2 |
101 N. Main Street |
12th Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Greenville |
SOUTH CAROLINA |
29601 |
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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John Holmes Ferguson |
4947624 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Sandlapper Securities LLC |
137906 |
Street Address 1 |
Street Address 2 |
101 N. Main Street |
#207 |
City |
State/Province/Country |
ZIP/Postal Code |
Greenville |
SOUTH CAROLINA |
29601 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
NEVADA |
NEW JERSEY |
NORTH CAROLINA |
|
Recipient |
Recipient CRD Number |
|
None |
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James Marten Lamont |
2846228 |
(Associated) Broker or Dealer |
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None |
|
(Associated) Broker or Dealer CRD Number |
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None |
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Independent Financial Group, LLC |
7717 |
Street Address 1 |
Street Address 2 |
1400 Grant Avenue |
#101 |
City |
State/Province/Country |
ZIP/Postal Code |
Novato |
CALIFORNIA |
94948 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
IOWA |
NEVADA |
NORTH CAROLINA |
SOUTH CAROLINA |
|
Recipient |
Recipient CRD Number |
|
None |
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Gretchen M. Schorr |
704073 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Independent Financial Group, LLC |
7717 |
Street Address 1 |
Street Address 2 |
32621 Avenida Lestonnac |
City |
State/Province/Country |
ZIP/Postal Code |
Temecula |
CALIFORNIA |
92590 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
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ARIZONA |
CALIFORNIA |
DELAWARE |
MARYLAND |
OREGON |
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Recipient |
Recipient CRD Number |
|
None |
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Toni Lynn Sutherland |
2729672 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
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None |
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Independent Financial Group, LLC |
7717 |
Street Address 1 |
Street Address 2 |
9055 Soquel Drive |
Ste #H |
City |
State/Province/Country |
ZIP/Postal Code |
Aptos |
CALIFORNIA |
95003 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
CALIFORNIA |
FLORIDA |
HAWAII |
NEW JERSEY |
WASHINGTON |
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Recipient |
Recipient CRD Number |
|
None |
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Orlando C. Fernandez |
1980142 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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SANDLAPPER Securities, LLC |
137906 |
Street Address 1 |
Street Address 2 |
101 N. Main Street |
#207 |
City |
State/Province/Country |
ZIP/Postal Code |
Greenville |
SOUTH CAROLINA |
29601 |
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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Steven D. Meahan |
1234042 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Pacific West Securities, Inc. |
6390 |
Street Address 1 |
Street Address 2 |
1547 Palos Verdes |
STE #406 |
City |
State/Province/Country |
ZIP/Postal Code |
Walnut Creek |
CALIFORNIA |
94597 |
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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Trevor L. Gordon |
2195122 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Sandlapper Securities, LLC |
137906 |
Street Address 1 |
Street Address 2 |
101 N. Main Street |
12th Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Greenville |
SOUTH CAROLINA |
29601 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALASKA |
ARIZONA |
CALIFORNIA |
COLORADO |
CONNECTICUT |
FLORIDA |
GEORGIA |
ILLINOIS |
LOUISIANA |
MASSACHUSETTS |
MINNESOTA |
NEVADA |
NEW YORK |
NORTH CAROLINA |
OHIO |
OREGON |
SOUTH CAROLINA |
TEXAS |
UTAH |
WASHINGTON |
WYOMING |
|
Recipient |
Recipient CRD Number |
|
None |
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Dwight K. Kay |
5376903 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
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Independent Financial Group |
7717 |
Street Address 1 |
Street Address 2 |
1717 Palacios Drive |
City |
State/Province/Country |
ZIP/Postal Code |
Pedro |
CALIFORNIA |
90732 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
COLORADO |
FLORIDA |
KANSAS |
NEW YORK |
OHIO |
|
Recipient |
Recipient CRD Number |
|
None |
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William M. Swayne |
440968 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Pacific West Securities |
6390 |
Street Address 1 |
Street Address 2 |
420 Boylston Avenue E |
City |
State/Province/Country |
ZIP/Postal Code |
Seattle |
WASHINGTON |
98102 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALASKA |
ARIZONA |
CALIFORNIA |
CONNECTICUT |
FLORIDA |
HAWAII |
IDAHO |
ILLINOIS |
MAINE |
MASSACHUSETTS |
MISSOURI |
NEW MEXICO |
OREGON |
SOUTH CAROLINA |
TEXAS |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
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Russell Lynn Bacon |
4542975 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Pacific West Securities |
6390 |
Street Address 1 |
Street Address 2 |
13303 Manchester Road |
City |
State/Province/Country |
ZIP/Postal Code |
St. Louis |
MISSOURI |
63131 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
FLORIDA |
MISSOURI |
NEW YORK |
|
Recipient |
Recipient CRD Number |
|
None |
|
Joshua D. Swayne |
4296721 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Pacific West Securities |
6390 |
Street Address 1 |
Street Address 2 |
809 Fairview Place North |
#130 |
City |
State/Province/Country |
ZIP/Postal Code |
Seattle |
WASHINGTON |
98109 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALASKA |
ARIZONA |
CALIFORNIA |
FLORIDA |
IDAHO |
MISSOURI |
NEW MEXICO |
OREGON |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
George Merhoff |
2918171 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Pacific West Securities |
6390 |
Street Address 1 |
Street Address 2 |
626 S. 7th Street |
City |
State/Province/Country |
ZIP/Postal Code |
Klamath Falls |
OREGON |
97601 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
CALIFORNIA |
COLORADO |
HAWAII |
IDAHO |
ILLINOIS |
IOWA |
NEVADA |
OREGON |
SOUTH CAROLINA |
SOUTH DAKOTA |
UTAH |
|
Recipient |
Recipient CRD Number |
|
None |
|
Billy W. Martin |
2021424 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Pacific West Securities, Inc. |
6390 |
Street Address 1 |
Street Address 2 |
2027 Broadway |
City |
State/Province/Country |
ZIP/Postal Code |
Cape Girardeau |
MISSOURI |
63701 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ILLINOIS |
MISSOURI |
OKLAHOMA |
TEXAS |
|
Recipient |
Recipient CRD Number |
|
None |
|
Jack C. Bixler |
22331 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Sandlapper Securities, LLC |
137906 |
Street Address 1 |
Street Address 2 |
101 N. Main Street |
STE #1203 |
City |
State/Province/Country |
ZIP/Postal Code |
Greenville |
SOUTH CAROLINA |
29601 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
GEORGIA |
MASSACHUSETTS |
MINNESOTA |
OHIO |
SOUTH CAROLINA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Craig W. Hubler |
1194371 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Stephen A. Kohn & Associates, LTD |
41067 |
Street Address 1 |
Street Address 2 |
6950 SW Hampton Street |
STE #100 |
City |
State/Province/Country |
ZIP/Postal Code |
Tigard |
OREGON |
97223-8330 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
CONNECTICUT |
OREGON |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Haynes L. Kendall Jr. |
1274737 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Independent Financial Group, LLC |
7717 |
Street Address 1 |
Street Address 2 |
31461 Rancho Viejo Road |
STE #104 |
City |
State/Province/Country |
ZIP/Postal Code |
San Juan Capistrano |
CALIFORNIA |
92675 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
CALIFORNIA |
COLORADO |
MISSOURI |
NEVADA |
OKLAHOMA |
OREGON |
TEXAS |
VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Tracy Rae Turner |
1385745 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Colorado Financial Service Corp. |
104343 |
Street Address 1 |
Street Address 2 |
300 Inverness Way South |
STE #355 |
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 |
|
Robert L. Boggess |
5007422 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Allied Beacon Partners, Inc. |
46227 |
Street Address 1 |
Street Address 2 |
7501 Boulder View Drive |
STE #601 |
City |
State/Province/Country |
ZIP/Postal Code |
Richmond |
VIRGINIA |
23225 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
SOUTH CAROLINA |
SOUTH DAKOTA |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
George K. Jeffers |
1458438 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
SANDLAPPER Securities, LLC |
137906 |
Street Address 1 |
Street Address 2 |
101 N. Main Street |
#207 |
City |
State/Province/Country |
ZIP/Postal Code |
Greenville |
SOUTH CAROLINA |
29601 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Mark C. Pedersen |
1283866 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
SANDLAPPER Securities, LLC |
137906 |
Street Address 1 |
Street Address 2 |
101 N. Main Street |
#1203 |
City |
State/Province/Country |
ZIP/Postal Code |
Greenville |
SOUTH CAROLINA |
29601 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Zoltan R. Posa |
4277093 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Independent Financial Group, LLC |
7717 |
Street Address 1 |
Street Address 2 |
2856 E. Sonora |
City |
State/Province/Country |
ZIP/Postal Code |
Palm Springs |
CALIFORNIA |
92264 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
COLORADO |
OREGON |
|
Recipient |
Recipient CRD Number |
|
None |
|
C. Grant Conness |
4778193 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
G.F. Investment Services, LLC |
132939 |
Street Address 1 |
Street Address 2 |
2740 E. Oakland Pk Blvd. |
STE #201 |
City |
State/Province/Country |
ZIP/Postal Code |
Fort Lauderdale |
FLORIDA |
33306 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
COLORADO |
FLORIDA |
GEORGIA |
ILLINOIS |
LOUISIANA |
MASSACHUSETTS |
MICHIGAN |
NEW JERSEY |
NEW MEXICO |
NEW YORK |
PENNSYLVANIA |
VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Ryan Omer Smith |
4340304 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
DFPG Investments, Inc. |
155576 |
Street Address 1 |
Street Address 2 |
406 W. South Jordan Parkway |
STE #200 |
City |
State/Province/Country |
ZIP/Postal Code |
South Jordan |
UTAH |
84095 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALASKA |
CALIFORNIA |
IDAHO |
KENTUCKY |
MISSOURI |
NEVADA |
OKLAHOMA |
UTAH |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Joseph R. Broadbent |
3132498 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
DFPG Investments, Inc. |
155576 |
Street Address 1 |
Street Address 2 |
406 W. South Jordan Pkwy |
#240 |
City |
State/Province/Country |
ZIP/Postal Code |
South Jordan |
UTAH |
84095 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALASKA |
CALIFORNIA |
GEORGIA |
MONTANA |
PENNSYLVANIA |
UTAH |
WEST VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Jung H. Lee |
4410932 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Independent Financial Group, LLC |
7717 |
Street Address 1 |
Street Address 2 |
155 NE 100th Street |
#403 |
City |
State/Province/Country |
ZIP/Postal Code |
Seattle |
WASHINGTON |
98125 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
CALIFORNIA |
ILLINOIS |
NEW JERSEY |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Andrew C. Bolt |
1594587 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Berthel, Fisher & Company Financial Services, Inc. |
13609 |
Street Address 1 |
Street Address 2 |
133 Indian Lake Road |
101 |
City |
State/Province/Country |
ZIP/Postal Code |
Hendersonville |
TENNESSEE |
37075 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
MARYLAND |
MISSOURI |
TENNESSEE |
|
Recipient |
Recipient CRD Number |
|
None |
|
Barry W. LeMay |
306332 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Concorde Investment Svcs, LLC |
151604 |
Street Address 1 |
Street Address 2 |
2542 S. Bascom Avenue |
#110 |
City |
State/Province/Country |
ZIP/Postal Code |
Campbell |
CALIFORNIA |
95008 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
CALIFORNIA |
IDAHO |
MINNESOTA |
OREGON |
PENNSYLVANIA |
VIRGINIA |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Christina S. Nielson |
4866971 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
DFPG Investments, Inc. |
155576 |
Street Address 1 |
Street Address 2 |
349 Gulf Stream Way |
City |
State/Province/Country |
ZIP/Postal Code |
Costa Mesa |
CALIFORNIA |
92627 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
CALIFORNIA |
MINNESOTA |
OKLAHOMA |
UTAH |
|
Recipient |
Recipient CRD Number |
|
None |
|
John P. Harvey JR |
4227692 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Allied Beacon Partners, Inc. |
46227 |
Street Address 1 |
Street Address 2 |
1100 Boulders Park Way |
#600 |
City |
State/Province/Country |
ZIP/Postal Code |
Richmond |
VIRGINIA |
23225 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
ILLINOIS |
MONTANA |
NEW YORK |
OREGON |
TEXAS |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
James R. Crocker |
5127548 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Pacific West Securities |
6390 |
Street Address 1 |
Street Address 2 |
319 Diablo Road |
#103 |
City |
State/Province/Country |
ZIP/Postal Code |
Danville |
CALIFORNIA |
94526 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
CALIFORNIA |
NEW JERSEY |
NEW YORK |
OREGON |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Jerald F. Gunn |
2475036 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Pacific West Securities |
6390 |
Street Address 1 |
Street Address 2 |
236 Clara Street |
#6 |
City |
State/Province/Country |
ZIP/Postal Code |
San Francisco |
CALIFORNIA |
94107 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Joshua C. Koehnen |
4551444 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Independent Financial Group |
7717 |
Street Address 1 |
Street Address 2 |
2525 Camino Del Rio S. |
#152 |
City |
State/Province/Country |
ZIP/Postal Code |
San Diego |
CALIFORNIA |
92108 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
CALIFORNIA |
KENTUCKY |
NEVADA |
OHIO |
|
Recipient |
Recipient CRD Number |
|
None |
|
Lawrence B. Miller |
4715505 |
(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 Drive |
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 |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Levick (Lee) Henry |
5010732 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Pacific West Securities |
6390 |
Street Address 1 |
Street Address 2 |
4300 B Street |
#505 |
City |
State/Province/Country |
ZIP/Postal Code |
Anchorage |
ALASKA |
99503 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALASKA |
ARIZONA |
CALIFORNIA |
COLORADO |
FLORIDA |
HAWAII |
NEVADA |
OREGON |
TEXAS |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Patrick L. Horn |
2559951 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Pacific West Securities |
6390 |
Street Address 1 |
Street Address 2 |
7545 Irvine Center Drive |
#200 |
City |
State/Province/Country |
ZIP/Postal Code |
Irvine |
CALIFORNIA |
92618 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
MASSACHUSETTS |
NEBRASKA |
NEW JERSEY |
OREGON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Richard J. Zaegel |
851991 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Pacific West Securities |
6390 |
Street Address 1 |
Street Address 2 |
1229 S. Laclede Station Rd |
City |
State/Province/Country |
ZIP/Postal Code |
Webster Groves |
MISSOURI |
63119 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ALASKA |
ARIZONA |
CALIFORNIA |
FLORIDA |
GEORGIA |
ILLINOIS |
KANSAS |
MICHIGAN |
MISSOURI |
TEXAS |
VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Robyn H. Lee |
2846656 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Independent Financial Group |
7717 |
Street Address 1 |
Street Address 2 |
1777 Borel Place |
#415 |
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 |
|
|
CALIFORNIA |
FLORIDA |
NEVADA |
NEW MEXICO |
OREGON |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Michael Gregory Steinthal |
435071 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Primex |
29394 |
Street Address 1 |
Street Address 2 |
45 Knollwood Road |
4th Floor |
City |
State/Province/Country |
ZIP/Postal Code |
Elmsford |
NEW YORK |
10523 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
CALIFORNIA |
COLORADO |
CONNECTICUT |
FLORIDA |
NEVADA |
NEW JERSEY |
NEW MEXICO |
NEW YORK |
NORTH CAROLINA |
PENNSYLVANIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Padma Chintapalli |
3041617 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Courtlandt Securities Corp. |
137356 |
Street Address 1 |
Street Address 2 |
3991 MacArthur Blvd. |
#320 |
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 |
|
|
CALIFORNIA |
COLORADO |
ILLINOIS |
MINNESOTA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Kelly H. Clyde |
4825839 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Independent Financial Group, LLC |
7717 |
Street Address 1 |
Street Address 2 |
4630 Campus Drive |
STE #104 |
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 |
DISTRICT OF COLUMBIA |
FLORIDA |
NEW MEXICO |
TEXAS |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Kenneth C. Miles |
812979 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Independent Financial Group, LLC |
7717 |
Street Address 1 |
Street Address 2 |
242 E. Airport Drive |
STE #210 |
City |
State/Province/Country |
ZIP/Postal Code |
San Bernardino |
CALIFORNIA |
92408 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
FLORIDA |
HAWAII |
NEVADA |
NEW YORK |
OREGON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Johnathan (Jack) R. Creighton |
1495897 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Concorde Investment Services, LLC |
151604 |
Street Address 1 |
Street Address 2 |
350 Lincoln Street |
#2400 |
City |
State/Province/Country |
ZIP/Postal Code |
Hingham |
MASSACHUSETTS |
02043 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
FLORIDA |
GEORGIA |
MASSACHUSETTS |
MISSOURI |
NEW JERSEY |
NEW YORK |
RHODE ISLAND |
VERMONT |
VIRGINIA |
|
Recipient |
Recipient CRD Number |
|
None |
|
Michael D. Hollinsworth |
1387904 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Pacific West Securities |
6390 |
Street Address 1 |
Street Address 2 |
555 S. Renton Village Place |
#700 |
City |
State/Province/Country |
ZIP/Postal Code |
Renton |
WASHINGTON |
98057 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
|
Recipient |
Recipient CRD Number |
|
None |
|
Daniel J. Luke |
4324353 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
DFPG Investments, Inc. |
155576 |
Street Address 1 |
Street Address 2 |
406 W. S. Jordan Parkway |
#200 |
City |
State/Province/Country |
ZIP/Postal Code |
S. Jordan |
UTAH |
84095 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
CALIFORNIA |
COLORADO |
FLORIDA |
IDAHO |
IOWA |
KENTUCKY |
MISSOURI |
NEVADA |
OHIO |
TEXAS |
UTAH |
WASHINGTON |
WYOMING |
|
Recipient |
Recipient CRD Number |
|
None |
|
Michael John Skagen |
4085157 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Pacific West Securities |
6390 |
Street Address 1 |
Street Address 2 |
555 S. Renton Village Place |
STE #700 |
City |
State/Province/Country |
ZIP/Postal Code |
Renton |
WASHINGTON |
98057 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
CALIFORNIA |
IDAHO |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Damian J. Dering |
2854253 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Independent Financial Group |
7717 |
Street Address 1 |
Street Address 2 |
100 N. Westlake Blvd |
STE 203 |
City |
State/Province/Country |
ZIP/Postal Code |
Westlake Village |
CALIFORNIA |
91362 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
CALIFORNIA |
FLORIDA |
GEORGIA |
TEXAS |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
Larry G. Burkholder |
4002938 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Independent Financial Group |
7717 |
Street Address 1 |
Street Address 2 |
100 N. Westlake Blvd. |
STE 203 |
City |
State/Province/Country |
ZIP/Postal Code |
Westlake Village |
CALIFORNIA |
91362 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
CALIFORNIA |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
David G. Elhoff |
855864 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Independent Financial Group |
7717 |
Street Address 1 |
Street Address 2 |
5075 Shoreham Place |
STE 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 |
|
|
ARIZONA |
CALIFORNIA |
COLORADO |
CONNECTICUT |
FLORIDA |
HAWAII |
INDIANA |
IOWA |
KENTUCKY |
LOUISIANA |
MARYLAND |
MICHIGAN |
MONTANA |
NEVADA |
OHIO |
OREGON |
SOUTH CAROLINA |
SOUTH DAKOTA |
TEXAS |
UTAH |
VIRGINIA |
WASHINGTON |
|
Recipient |
Recipient CRD Number |
|
None |
|
John E. McKeon |
5286647 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Independent Financial Group, LLC |
7717 |
Street Address 1 |
Street Address 2 |
1507 172nd St. NE |
#201 |
City |
State/Province/Country |
ZIP/Postal Code |
Marysville |
WASHINGTON |
98271 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States |
|
All States |
|
|
ARIZONA |
CALIFORNIA |
COLORADO |
FLORIDA |
HAWAII |
MINNESOTA |
MONTANA |
NEVADA |
NEW YORK |
OHIO |
SOUTH CAROLINA |
WASHINGTON |
WISCONSIN |
|
Recipient |
Recipient CRD Number |
|
None |
|
Ivan Michael West |
4921015 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
ARI Financial Services, Inc. |
137608 |
Street Address 1 |
Street Address 2 |
10740 Nall Avenue |
#235 |
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 |
|
|
CALIFORNIA |
COLORADO |
FLORIDA |
OREGON |
UTAH |
|
Recipient |
Recipient CRD Number |
|
None |
|
Erik C. Weir |
2009973 |
(Associated) Broker or Dealer |
|
None |
|
(Associated) Broker or Dealer CRD Number |
|
None |
|
Sandlapper Securities, LLC |
137906 |
Street Address 1 |
Street Address 2 |
302 N.E. Main Street |
City |
State/Province/Country |
ZIP/Postal Code |
Simpsonville |
SOUTH CAROLINA |
29681 |
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 |
$25,000,000
|
USD |
|
Total Amount Sold |
$21,024,382
|
USD |
Total Remaining to be Sold |
$3,975,618
|
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 |
$2,625,000
|
USD |
|
Finders' Fees |
$0
|
USD |
|
Clarification of Response (if Necessary):
16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
Clarification of Response (if Necessary):
Signature and Submission
Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.
Terms of Submission
In submitting this notice, each issuer named above is: |
- Notifying the SEC and/or each State in which this notice is filed of the offering of
securities described and undertaking to furnish them, upon written request, in the accordance with applicable
law, the information furnished to offerees.*
- Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator
or other legally designated officer of the State in which the issuer maintains its principal
place of business and any State in which this notice is filed, as its agents for service of
process, and agreeing that these persons may accept service on its behalf, of any notice,
process or pleading, and further agreeing that such service may be made by registered or
certified mail, in any Federal or state action, administrative proceeding, or arbitration
brought against the issuer in any place subject to the jurisdiction of the United States, if the
action, proceeding or arbitration (a) arises out of any activity in connection with the
offering of securities that is the subject of this notice, and (b) is founded, directly or
indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange
Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the
Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii)
the laws of the State in which the issuer maintains its principal place of business or any State
in which this notice is filed.
- Certifying that, if the issuer is claiming a Rule 505 exemption, the issuer is not disqualified
from relying on Rule 505 for one of the reasons stated in Rule 505(b)(2)(iii).
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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 |
CRE Strategic Opportunity Fund |
Paul M. Aiesi |
Paul M. Aiesi |
Vice President |
2012-01-27 |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
* This undertaking does not affect any limits Section 102(a) of the National Securities Markets
Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to
require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes
of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot
routinely require offering materials under this undertaking or otherwise and can require offering materials only to the
extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.