Atlas Eagle Ford 2016 D $100M in equity

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM D

Notice of Exempt Offering of Securities

OMB APPROVAL

OMB Number:	3235-0076
Estimated average burden
hours per response:	4.00

1. Issuer's Identity

CIK (Filer ID Number)

Previous Names

X None

Entity Type

0001681781

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

Name of Issuer

Atlas Eagle Ford 2016 L.P.

Jurisdiction of Incorporation/Organization

DELAWARE

Year of Incorporation/Organization

	Over Five Years Ago
X	Within Last Five Years (Specify Year)	2016
	Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
Atlas Eagle Ford 2016 L.P.
Street Address 1		Street Address 2
1000 COMMERCE DRIVE 4TH FLOOR
City	State/Province/Country	ZIP/PostalCode	Phone Number of Issuer
PITTSBURGH	PENNSYLVANIA	15275	412-489-0006

3. Related Persons

Last Name	First Name	Middle Name
Atlas Resources, LLC	Atlas Resources, LLC
Street Address 1	Street Address 2
1000 Commerce Drive	4th Floor
City	State/Province/Country	ZIP/PostalCode
Pittsburgh	PENNSYLVANIA	15275

Relationship: X Executive Officer Director X Promoter

Clarification of Response (if Necessary):

Last Name	First Name	Middle Name
Kotek	Freddie	M.
Street Address 1	Street Address 2
1000 Commerce Drive	4th Floor
City	State/Province/Country	ZIP/PostalCode
Pittsburgh	PENNSYLVANIA	15275

Relationship: X Executive Officer X Director X Promoter

Clarification of Response (if Necessary):

Last Name	First Name	Middle Name
Herz	Daniel	C.
Street Address 1	Street Address 2
1000 Commerce Drive	4th Floor
City	State/Province/Country	ZIP/PostalCode
Pittsburgh	PENNSYLVANIA	15275

Relationship: X Executive Officer X Director X Promoter

Clarification of Response (if Necessary):

Last Name	First Name	Middle Name
Schumacher	Mark	D.
Street Address 1	Street Address 2
1000 Commerce Drive	4th Floor
City	State/Province/Country	ZIP/PostalCode
Pittsburgh	PENNSYLVANIA	15275

Relationship: X Executive Officer Director X Promoter

Clarification of Response (if Necessary):

Last Name	First Name	Middle Name
McGrath	Sean	P.
Street Address 1	Street Address 2
1000 Commerce Drive	4th Floor
City	State/Province/Country	ZIP/PostalCode
Pittsburgh	PENNSYLVANIA	15275

Relationship: X Executive Officer Director X Promoter

Clarification of Response (if Necessary):

Last Name	First Name	Middle Name
Bleichmar	Marci	F.
Street Address 1	Street Address 2
1000 Commerce Drive	4th Floor
City	State/Province/Country	ZIP/PostalCode
Pittsburgh	PENNSYLVANIA	15275

Relationship: X Executive Officer Director X Promoter

Clarification of Response (if Necessary):

Last Name	First Name	Middle Name
Hollander	Jack	L.
Street Address 1	Street Address 2
1000 Commerce Drive	4th Floor
City	State/Province/Country	ZIP/PostalCode
Pittsburgh	PENNSYLVANIA	15275

Relationship: X Executive Officer Director X Promoter

Clarification of Response (if Necessary):

Last Name	First Name	Middle Name
Atkinson	Justin	T.
Street Address 1	Street Address 2
1000 Commerce Drive	4th Floor
City	State/Province/Country	ZIP/PostalCode
Pittsburgh	PENNSYLVANIA	15275

Relationship: X Executive Officer Director X Promoter

Clarification of Response (if Necessary):

Last Name	First Name	Middle Name
Washington	Lisa
Street Address 1	Street Address 2
1000 Commerce Drive	4th Floor
City	State/Province/Country	ZIP/PostalCode
Pittsburgh	PENNSYLVANIA	15275

Relationship: X Executive Officer Director X Promoter

Clarification of Response (if Necessary):

4. Industry Group

Agriculture Banking & Financial Services Commercial Banking Insurance Investing Investment Banking Pooled Investment Fund Is the issuer registered as an investment company under the Investment Company Act of 1940? Yes No Other Banking & Financial Services Business Services Energy Coal Mining Electric Utilities Energy Conservation Environmental Services X Oil & Gas Other Energy

Health Care Biotechnology Health Insurance Hospitals & Physicians Pharmaceuticals Other Health Care Manufacturing Real Estate Commercial Construction REITS & Finance Residential Other Real Estate

Retailing Restaurants Technology Computers Telecommunications Other Technology Travel Airlines & Airports Lodging & Conventions Tourism & Travel Services Other Travel Other

5. Issuer Size

Revenue Range		OR	Aggregate Net Asset Value Range
X	No Revenues			No Aggregate Net Asset Value
	$1 - $1,000,000			$1 - $5,000,000
	$1,000,001 - $5,000,000			$5,000,001 - $25,000,000
	$5,000,001 - $25,000,000			$25,000,001 - $50,000,000
	$25,000,001 - $100,000,000			$50,000,001 - $100,000,000
	Over $100,000,000			Over $100,000,000
	Decline to Disclose			Decline to Disclose
	Not Applicable			Not Applicable

6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)

Rule 504(b)(1) (not (i), (ii) or (iii))
		Rule 504 (b)(1)(i)
		Rule 504 (b)(1)(ii)
		Rule 504 (b)(1)(iii)
		Rule 505
	X	Rule 506(b)
		Rule 506(c)
		Securities Act Section 4(a)(5)

X Investment Company Act Section 3(c)

Section 3(c)(1) X Section 3(c)(9)  

Section 3(c)(2) Section 3(c)(10)

Section 3(c)(3) Section 3(c)(11)

Section 3(c)(4) Section 3(c)(12)

Section 3(c)(5) Section 3(c)(13)

Section 3(c)(6) Section 3(c)(14)

Section 3(c)(7)

7. Type of Filing

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

8. Duration of Offering

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

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

X	Equity	Pooled Investment Fund Interests
	Debt	Tenant-in-Common Securities
	Option, Warrant or Other Right to Acquire Another Security	Mineral Property Securities
	Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security	Other (describe)

10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? Yes X No

Clarification of Response (if Necessary):

11. Minimum Investment

Minimum investment accepted from any outside investor $0 USD

12. Sales Compensation

Recipient	Recipient CRD Number None
Allegis Investment Services LLC	168557
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
591 Park Avenue	Suite 101
City	State/Province/Country	ZIP/Postal Code
Idaho Falls	IDAHO	83402
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
NEW YORK GEORGIA NEVADA CALIFORNIA OKLAHOMA VIRGINIA MICHIGAN OHIO IDAHO WYOMING IOWA FLORIDA MARYLAND SOUTH CAROLINA ARKANSAS UTAH INDIANA CONNECTICUT MINNESOTA WISCONSIN ARIZONA KENTUCKY KANSAS OREGON MONTANA LOUISIANA WASHINGTON NEW MEXICO ALASKA TEXAS ALABAMA COLORADO PENNSYLVANIA NORTH CAROLINA NORTH DAKOTA

Recipient	Recipient CRD Number None
Anthem Securities, Inc.	42420
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1000 Commerce Drive	Suite 410
City	State/Province/Country	ZIP/Postal Code
Pittsburgh	PENNSYLVANIA	15275
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	X Foreign/non-US

Recipient	Recipient CRD Number None
AXA Advisors, LLC	6627
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1290 Avenue of the Americas	12th Floor
City	State/Province/Country	ZIP/Postal Code
New York	NEW YORK	10104
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	X Foreign/non-US

Recipient	Recipient CRD Number None
BCG Securities, Inc.	70
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
51 Haddonfield Road	Suite 210
City	State/Province/Country	ZIP/Postal Code
Cherry Hill	NEW JERSEY	08002
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
RHODE ISLAND VERMONT HAWAII MAINE VIRGINIA MICHIGAN DELAWARE IDAHO IOWA MARYLAND MASSACHUSETTS ARKANSAS ILLINOIS UTAH INDIANA MINNESOTA ARIZONA MISSOURI MONTANA MISSISSIPPI NEW HAMPSHIRE NEW JERSEY NEW MEXICO ALASKA ALABAMA TEXAS NORTH CAROLINA NORTH DAKOTA NEBRASKA NEW YORK GEORGIA NEVADA TENNESSEE CALIFORNIA OKLAHOMA OHIO WYOMING FLORIDA SOUTH DAKOTA SOUTH CAROLINA CONNECTICUT WEST VIRGINIA DISTRICT OF COLUMBIA WISCONSIN KENTUCKY KANSAS OREGON LOUISIANA WASHINGTON COLORADO PENNSYLVANIA

Recipient	Recipient CRD Number None
Benjamin & Jerold Brokerage, LLC	29110
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
80 Broad Street	6th Floor
City	State/Province/Country	ZIP/Postal Code
New York	NEW YORK	10005
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
NEW YORK GEORGIA NEVADA TENNESSEE CALIFORNIA VIRGINIA MICHIGAN OHIO FLORIDA MARYLAND MASSACHUSETTS SOUTH CAROLINA ARKANSAS UTAH ILLINOIS INDIANA CONNECTICUT MINNESOTA WISCONSIN KENTUCKY ARIZONA KANSAS OREGON LOUISIANA WASHINGTON NEW JERSEY TEXAS ALABAMA COLORADO NORTH CAROLINA PENNSYLVANIA

Recipient	Recipient CRD Number None
Berthel, Fisher & Company Financial Services, Inc.	13609
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
4201 42nd St NE	Suite 100
City	State/Province/Country	ZIP/Postal Code
Cedar Rapids	IOWA	52402
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
RHODE ISLAND VERMONT HAWAII MAINE VIRGINIA MICHIGAN DELAWARE IDAHO IOWA MARYLAND MASSACHUSETTS ARKANSAS ILLINOIS UTAH INDIANA MINNESOTA ARIZONA MISSOURI MONTANA MISSISSIPPI NEW HAMPSHIRE NEW JERSEY NEW MEXICO ALASKA ALABAMA TEXAS NORTH CAROLINA NORTH DAKOTA NEBRASKA NEW YORK GEORGIA NEVADA TENNESSEE CALIFORNIA OKLAHOMA OHIO WYOMING FLORIDA SOUTH DAKOTA SOUTH CAROLINA CONNECTICUT WEST VIRGINIA DISTRICT OF COLUMBIA WISCONSIN KENTUCKY KANSAS OREGON LOUISIANA WASHINGTON COLORADO PENNSYLVANIA

Recipient	Recipient CRD Number None
Bryan Funding, Inc.	11899
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
125 Technology Drive	Suite 105
City	State/Province/Country	ZIP/Postal Code
Canonsburg	PENNSYLVANIA	15317-9557
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
NEW YORK NEW JERSEY WEST VIRGINIA OHIO DELAWARE FLORIDA CALIFORNIA KANSAS PENNSYLVANIA

Recipient	Recipient CRD Number None
Cadaret, Grant & Co., Inc.	10641
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
One Lincoln Center, 110 W. Fayette St.	5th Floor
City	State/Province/Country	ZIP/Postal Code
Syracuse	NEW YORK	13202
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Calton & Associates, Inc.	20999
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
2701 N Rocky Point Drive	Suite 1000
City	State/Province/Country	ZIP/Postal Code
Tampa	FLORIDA	33607
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	X Foreign/non-US

Recipient	Recipient CRD Number None
Cambridge Investment Research, Inc.	39543
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1776 Pleasant Plain Road
City	State/Province/Country	ZIP/Postal Code
Fairfield	IOWA	52556-8757
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Capital Guardian, LLC	137919
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
521 East Morehead St	Suite 405
City	State/Province/Country	ZIP/Postal Code
Charlotte	NORTH CAROLINA	28202
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Capital Investment Group, Inc.	14752
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
100 E.Six Forks Rd	STE 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 X All States	X Foreign/non-US

Recipient	Recipient CRD Number None
Centaurus Financial, Inc.	30833
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
2300 East Katella Avenue	Suite 200
City	State/Province/Country	ZIP/Postal Code
Anaheim	CALIFORNIA	92806
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	X Foreign/non-US
RHODE ISLAND VERMONT HAWAII MAINE VIRGINIA MICHIGAN DELAWARE IDAHO IOWA MARYLAND MASSACHUSETTS ARKANSAS ILLINOIS UTAH INDIANA MINNESOTA ARIZONA MISSOURI MONTANA MISSISSIPPI NEW HAMPSHIRE NEW JERSEY NEW MEXICO ALASKA ALABAMA TEXAS NORTH CAROLINA NORTH DAKOTA NEBRASKA NEW YORK GEORGIA NEVADA TENNESSEE CALIFORNIA OKLAHOMA OHIO WYOMING FLORIDA SOUTH DAKOTA SOUTH CAROLINA CONNECTICUT WEST VIRGINIA DISTRICT OF COLUMBIA WISCONSIN KENTUCKY KANSAS OREGON LOUISIANA WASHINGTON COLORADO PENNSYLVANIA

Recipient	Recipient CRD Number None
Center Street Securities, Inc.	26898
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
2740 Old Elm Hill Pike	Suite 201
City	State/Province/Country	ZIP/Postal Code
Nashville	TENNESSEE	37214
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
RHODE ISLAND VERMONT HAWAII MAINE VIRGINIA MICHIGAN DELAWARE IDAHO IOWA MARYLAND MASSACHUSETTS ARKANSAS ILLINOIS UTAH INDIANA MINNESOTA ARIZONA MISSOURI MONTANA MISSISSIPPI NEW HAMPSHIRE NEW JERSEY PUERTO RICO NEW MEXICO ALABAMA TEXAS NORTH CAROLINA NORTH DAKOTA NEBRASKA NEW YORK GEORGIA NEVADA TENNESSEE CALIFORNIA OKLAHOMA OHIO WYOMING FLORIDA SOUTH DAKOTA SOUTH CAROLINA CONNECTICUT WEST VIRGINIA DISTRICT OF COLUMBIA WISCONSIN KENTUCKY KANSAS OREGON LOUISIANA WASHINGTON COLORADO PENNSYLVANIA

Recipient	Recipient CRD Number None
Cetera Advisors, LLC	10299
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
4600 South Syracuse	Suite 600
City	State/Province/Country	ZIP/Postal Code
Denver	COLORADO	80237
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	X Foreign/non-US

Recipient	Recipient CRD Number None
Cetera Advisor Networks LLC	13572
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
200 N. Sepulveda Blvd	Suite 1300
City	State/Province/Country	ZIP/Postal Code
El Segundo	CALIFORNIA	90245-5672
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	X Foreign/non-US

Recipient	Recipient CRD Number None
Chapin, Davis, Inc.	28116
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
2 Village Square	Suite 200
City	State/Province/Country	ZIP/Postal Code
Baltimore	MARYLAND	21210
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
VERMONT RHODE ISLAND HAWAII NEW YORK GEORGIA NEVADA CALIFORNIA OKLAHOMA MAINE VIRGINIA MICHIGAN OHIO IDAHO DELAWARE WYOMING FLORIDA IOWA MARYLAND MASSACHUSETTS SOUTH DAKOTA SOUTH CAROLINA ARKANSAS UTAH ILLINOIS INDIANA CONNECTICUT WEST VIRGINIA DISTRICT OF COLUMBIA MINNESOTA WISCONSIN ARIZONA KENTUCKY MISSOURI OREGON MONTANA MISSISSIPPI LOUISIANA NEW HAMPSHIRE WASHINGTON NEW JERSEY NEW MEXICO ALASKA TEXAS ALABAMA COLORADO PENNSYLVANIA NORTH CAROLINA NEBRASKA

Recipient	Recipient CRD Number None
Coastal Equities, Inc.	23769
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1201 N. Orange Street	Suite 729
City	State/Province/Country	ZIP/Postal Code
Wilmington	DELAWARE	19801
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Conover Securities Corporation	17129
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
155 108th Avenue NE	Suite 725
City	State/Province/Country	ZIP/Postal Code
Bellevue	WASHINGTON	98004-5948
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
WASHINGTON NEW YORK GEORGIA IDAHO TEXAS WISCONSIN ARIZONA FLORIDA CALIFORNIA OREGON

Recipient	Recipient CRD Number None
Crown Capital Securities, L.P.	6312
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
725 Town & Country Rd.	Suite 530
City	State/Province/Country	ZIP/Postal Code
Orange	CALIFORNIA	92868
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
RHODE ISLAND VERMONT HAWAII MAINE VIRGINIA MICHIGAN DELAWARE IDAHO IOWA MARYLAND MASSACHUSETTS ARKANSAS ILLINOIS UTAH INDIANA MINNESOTA ARIZONA MISSOURI MONTANA MISSISSIPPI NEW HAMPSHIRE NEW JERSEY NEW MEXICO ALASKA ALABAMA TEXAS NORTH CAROLINA NORTH DAKOTA NEBRASKA NEW YORK GEORGIA NEVADA TENNESSEE CALIFORNIA OKLAHOMA OHIO WYOMING FLORIDA SOUTH DAKOTA SOUTH CAROLINA CONNECTICUT WEST VIRGINIA DISTRICT OF COLUMBIA WISCONSIN KENTUCKY KANSAS OREGON LOUISIANA WASHINGTON COLORADO PENNSYLVANIA

Recipient	Recipient CRD Number None
Dempsey Lord Smith, LLC	141238
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
901 N Broad Street	Suite 400
City	State/Province/Country	ZIP/Postal Code
Rome	GEORGIA	30161
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
NEW YORK GEORGIA NEVADA TENNESSEE CALIFORNIA OKLAHOMA VIRGINIA MICHIGAN OHIO IDAHO DELAWARE WYOMING FLORIDA MARYLAND MASSACHUSETTS SOUTH CAROLINA ARKANSAS UTAH ILLINOIS INDIANA CONNECTICUT DISTRICT OF COLUMBIA MINNESOTA WISCONSIN ARIZONA KENTUCKY MISSOURI KANSAS OREGON MONTANA MISSISSIPPI LOUISIANA NEW HAMPSHIRE WASHINGTON NEW JERSEY NEW MEXICO ALASKA TEXAS ALABAMA COLORADO PENNSYLVANIA NORTH CAROLINA NORTH DAKOTA NEBRASKA

Recipient	Recipient CRD Number None
Financial West Group	16668
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
4510 E. Thousand Oaks Blvd.
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	X Foreign/non-US
RHODE ISLAND VERMONT HAWAII MAINE VIRGINIA MICHIGAN DELAWARE IDAHO IOWA MARYLAND MASSACHUSETTS ARKANSAS ILLINOIS UTAH INDIANA MINNESOTA ARIZONA MISSOURI MONTANA MISSISSIPPI NEW HAMPSHIRE NEW JERSEY NEW MEXICO ALASKA ALABAMA TEXAS NORTH CAROLINA NORTH DAKOTA NEBRASKA NEW YORK GEORGIA NEVADA TENNESSEE CALIFORNIA OKLAHOMA OHIO WYOMING FLORIDA SOUTH DAKOTA SOUTH CAROLINA CONNECTICUT WEST VIRGINIA DISTRICT OF COLUMBIA WISCONSIN KENTUCKY KANSAS OREGON LOUISIANA WASHINGTON COLORADO PENNSYLVANIA

Recipient	Recipient CRD Number None
First Allied Securities, Inc.	32444
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
655 West Broadway	12th Floor
City	State/Province/Country	ZIP/Postal Code
San Diego	CALIFORNIA	92101
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	X Foreign/non-US

Recipient	Recipient CRD Number None
First Heartland Capital, Inc.	32460
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1839 Lake St. Louis Blvd.
City	State/Province/Country	ZIP/Postal Code
Lake St. Louis	MISSOURI	63367
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
First Financial Equity Corporation	16507
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
7373 N. Scottsdale Rd.	Ste. D120
City	State/Province/Country	ZIP/Postal Code
Scottsdale	ARIZONA	85253
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
RHODE ISLAND VERMONT HAWAII MAINE VIRGINIA MICHIGAN DELAWARE IDAHO IOWA MARYLAND MASSACHUSETTS ARKANSAS ILLINOIS UTAH INDIANA MINNESOTA ARIZONA MISSOURI MONTANA MISSISSIPPI NEW HAMPSHIRE NEW JERSEY NEW MEXICO ALASKA ALABAMA TEXAS NORTH CAROLINA NORTH DAKOTA NEBRASKA NEW YORK GEORGIA NEVADA TENNESSEE CALIFORNIA OKLAHOMA OHIO WYOMING FLORIDA SOUTH DAKOTA SOUTH CAROLINA CONNECTICUT WEST VIRGINIA DISTRICT OF COLUMBIA WISCONSIN KENTUCKY KANSAS OREGON LOUISIANA WASHINGTON COLORADO PENNSYLVANIA

Recipient	Recipient CRD Number None
FTB ADVISORS, INC.	17117
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
165 Madison Avenue	14th Floor
City	State/Province/Country	ZIP/Postal Code
Memphis	TENNESSEE	38103
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
RHODE ISLAND VERMONT HAWAII MAINE VIRGINIA MICHIGAN DELAWARE IDAHO IOWA MARYLAND MASSACHUSETTS ARKANSAS ILLINOIS UTAH INDIANA MINNESOTA ARIZONA MISSOURI MONTANA MISSISSIPPI NEW HAMPSHIRE NEW JERSEY NEW MEXICO ALASKA ALABAMA TEXAS NORTH CAROLINA NORTH DAKOTA NEBRASKA NEW YORK GEORGIA NEVADA TENNESSEE CALIFORNIA OKLAHOMA OHIO WYOMING FLORIDA SOUTH DAKOTA SOUTH CAROLINA CONNECTICUT WEST VIRGINIA DISTRICT OF COLUMBIA WISCONSIN KENTUCKY KANSAS OREGON LOUISIANA WASHINGTON COLORADO PENNSYLVANIA

Recipient	Recipient CRD Number None
Fogel Neale Securities, LLC	153152
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
39 Broadway	Suite 3300
City	State/Province/Country	ZIP/Postal Code
New York	NEW YORK	10006
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
NEW YORK NEW JERSEY CALIFORNIA MASSACHUSETTS

Recipient	Recipient CRD Number None
FSC Securities Corporation	7461
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
2300 Windy Ridge Pkwy.	Suite 1100
City	State/Province/Country	ZIP/Postal Code
Atlanta	GEORGIA	30339
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
G. A. Repple & Company	17486
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
101 Normandy Rd.
City	State/Province/Country	ZIP/Postal Code
Casselberry	FLORIDA	32707
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
RHODE ISLAND VERMONT HAWAII MAINE VIRGINIA MICHIGAN DELAWARE IDAHO IOWA MARYLAND MASSACHUSETTS ARKANSAS ILLINOIS UTAH INDIANA MINNESOTA ARIZONA MISSOURI MONTANA MISSISSIPPI NEW HAMPSHIRE NEW JERSEY NEW MEXICO ALASKA ALABAMA TEXAS NORTH CAROLINA NORTH DAKOTA NEBRASKA NEW YORK GEORGIA NEVADA TENNESSEE CALIFORNIA OKLAHOMA OHIO WYOMING FLORIDA SOUTH DAKOTA SOUTH CAROLINA CONNECTICUT WEST VIRGINIA DISTRICT OF COLUMBIA WISCONSIN KENTUCKY KANSAS OREGON LOUISIANA WASHINGTON COLORADO PENNSYLVANIA

Recipient	Recipient CRD Number None
Girard Securities, Inc.	18697
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
9560 Waples Street	Suite B
City	State/Province/Country	ZIP/Postal Code
San Diego	CALIFORNIA	92121
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
H. Beck, Inc.	1763
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
6600 Rockledge Drive	6th Floor
City	State/Province/Country	ZIP/Postal Code
Bethesda	MARYLAND	20817
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	X Foreign/non-US
RHODE ISLAND VERMONT HAWAII MAINE VIRGINIA MICHIGAN DELAWARE IDAHO IOWA MARYLAND MASSACHUSETTS ARKANSAS ILLINOIS UTAH INDIANA MINNESOTA ARIZONA MISSOURI MONTANA MISSISSIPPI NEW HAMPSHIRE NEW JERSEY NEW MEXICO ALASKA ALABAMA TEXAS NORTH CAROLINA NORTH DAKOTA NEBRASKA NEW YORK GEORGIA NEVADA TENNESSEE CALIFORNIA OKLAHOMA OHIO WYOMING FLORIDA SOUTH DAKOTA SOUTH CAROLINA CONNECTICUT WEST VIRGINIA DISTRICT OF COLUMBIA WISCONSIN KENTUCKY KANSAS OREGON LOUISIANA WASHINGTON COLORADO PENNSYLVANIA

Recipient	Recipient CRD Number None
H.D. Vest Investment Services	13686
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
6333 N. State Highway 161	4th Floor
City	State/Province/Country	ZIP/Postal Code
Irving	TEXAS	75038-2200
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	X Foreign/non-US

Recipient	Recipient CRD Number None
Hagen Securities, Inc.	27353
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
2112 Century Park Lane	Suite 415
City	State/Province/Country	ZIP/Postal Code
Los Angeles	CALIFORNIA	90067
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
WASHINGTON UTAH NEVADA ARIZONA CALIFORNIA

Recipient	Recipient CRD Number None
Heim, Young & Associates, Inc.	38993
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1256 E. Kingsley Street
City	State/Province/Country	ZIP/Postal Code
Springfield	MISSOURI	65804-7211
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
NEW YORK GEORGIA CALIFORNIA OKLAHOMA VIRGINIA OHIO IDAHO IOWA FLORIDA ARKANSAS ILLINOIS UTAH MINNESOTA ARIZONA WISCONSIN MISSOURI KANSAS LOUISIANA NEW HAMPSHIRE WASHINGTON NEW MEXICO ALABAMA TEXAS COLORADO NORTH CAROLINA

Recipient	Recipient CRD Number None
Infinity Financial Services (Infinity Securities, Inc.)	144302
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1624 Franklin St.	Suite 818
City	State/Province/Country	ZIP/Postal Code
Oakland	CALIFORNIA	94612
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
RHODE ISLAND HAWAII NEW YORK GEORGIA NEVADA TENNESSEE CALIFORNIA VIRGINIA MICHIGAN OHIO DELAWARE IOWA FLORIDA MARYLAND MASSACHUSETTS SOUTH CAROLINA ARKANSAS UTAH ILLINOIS CONNECTICUT DISTRICT OF COLUMBIA MINNESOTA WISCONSIN ARIZONA KENTUCKY MISSOURI KANSAS OREGON MISSISSIPPI LOUISIANA NEW HAMPSHIRE WASHINGTON NEW JERSEY NEW MEXICO ALASKA TEXAS COLORADO PENNSYLVANIA NORTH CAROLINA NEBRASKA

Recipient	Recipient CRD Number None
Integrated Trading and Investments, Inc.	47730
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
209 21st Street
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	Foreign/non-US
UTAH GEORGIA NEVADA TEXAS ARIZONA MISSOURI FLORIDA CALIFORNIA

Recipient	Recipient CRD Number None
International Assets Advisory, LLC	10645
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
300 S. Orange Avenue	Suite 1100
City	State/Province/Country	ZIP/Postal Code
Orlando	FLORIDA	32801
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Investment Planners, Inc.	18557
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
226 W. Eldorado Street
City	State/Province/Country	ZIP/Postal Code
Decatur	ILLINOIS	62522
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
RHODE ISLAND VERMONT HAWAII MAINE VIRGINIA MICHIGAN DELAWARE IDAHO IOWA MARYLAND MASSACHUSETTS ARKANSAS ILLINOIS UTAH INDIANA MINNESOTA ARIZONA MISSOURI MONTANA MISSISSIPPI NEW HAMPSHIRE NEW JERSEY NEW MEXICO ALASKA ALABAMA TEXAS NORTH CAROLINA NORTH DAKOTA NEBRASKA NEW YORK GEORGIA NEVADA TENNESSEE CALIFORNIA OKLAHOMA OHIO WYOMING FLORIDA SOUTH DAKOTA SOUTH CAROLINA CONNECTICUT WEST VIRGINIA DISTRICT OF COLUMBIA WISCONSIN KENTUCKY KANSAS OREGON LOUISIANA WASHINGTON COLORADO PENNSYLVANIA

Recipient	Recipient CRD Number None
Investment Security Corporation	47536
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
24009 Ventura Blvd.	Suite 101
City	State/Province/Country	ZIP/Postal Code
Calabasas	CALIFORNIA	91302
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
UTAH ILLINOIS TEXAS FLORIDA CALIFORNIA OREGON MASSACHUSETTS MISSISSIPPI

Recipient	Recipient CRD Number None
J.W. Cole Financial, Inc.	124583
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
4301 Anchor Plaza Prkwy.	Suite 450
City	State/Province/Country	ZIP/Postal Code
Tampa	FLORIDA	33634
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	X Foreign/non-US
RHODE ISLAND VERMONT HAWAII MAINE VIRGINIA MICHIGAN DELAWARE IDAHO IOWA MARYLAND MASSACHUSETTS ARKANSAS ILLINOIS UTAH INDIANA MINNESOTA ARIZONA MISSOURI MONTANA MISSISSIPPI NEW HAMPSHIRE NEW JERSEY NEW MEXICO ALASKA ALABAMA TEXAS NORTH CAROLINA NORTH DAKOTA NEBRASKA NEW YORK GEORGIA NEVADA TENNESSEE CALIFORNIA OKLAHOMA OHIO WYOMING FLORIDA SOUTH DAKOTA SOUTH CAROLINA CONNECTICUT WEST VIRGINIA DISTRICT OF COLUMBIA WISCONSIN KENTUCKY KANSAS OREGON LOUISIANA WASHINGTON COLORADO PENNSYLVANIA

Recipient	Recipient CRD Number None
Kestra Investment Services, LLC	42046
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1250 Capital of Texas Hwy. S.	Bldg. 2, Suite 125
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 X All States	X Foreign/non-US

Recipient	Recipient CRD Number None
Kovack Securities Inc.	44848
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
6451 N. Federal Hwy.	Suite 1201
City	State/Province/Country	ZIP/Postal Code
Ft. Lauderdale	FLORIDA	33308
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	X Foreign/non-US

Recipient	Recipient CRD Number None
Lincoln Financial Advisors Corporation	3978
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1300 S. Clinton St.	Ste. 150
City	State/Province/Country	ZIP/Postal Code
Fort Wayne	INDIANA	46802
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Lincoln Financial Securities Corporation	3870
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
One Granite Place
City	State/Province/Country	ZIP/Postal Code
Concord	NEW HAMPSHIRE	03301-3258
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	X Foreign/non-US

Recipient	Recipient CRD Number None
Lowell & Company, Inc.	24913
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
4021 84th Street	Suite 100
City	State/Province/Country	ZIP/Postal Code
Lubbock	TEXAS	79423
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ILLINOIS GEORGIA CALIFORNIA KANSAS MISSISSIPPI LOUISIANA OKLAHOMA VIRGINIA MICHIGAN NEW MEXICO TEXAS ALABAMA COLORADO FLORIDA NORTH CAROLINA

Recipient	Recipient CRD Number None
LPL Financial LLC	6413
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
75 State Street	24th Floor
City	State/Province/Country	ZIP/Postal Code
Boston	MASSACHUSETTS	02109
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	X Foreign/non-US

Recipient	Recipient CRD Number None
Maitland Securities, Inc.	130577
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1111 Douglas Avenue
City	State/Province/Country	ZIP/Postal Code
Altamonte Springs	FLORIDA	32714
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
FLORIDA

Recipient	Recipient CRD Number None
May Capital Group, LLC	37081
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
250 West 57th Street	Suite 2322
City	State/Province/Country	ZIP/Postal Code
New York	NEW YORK	10107
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
NEW YORK NEW JERSEY FLORIDA NORTH CAROLINA

Recipient	Recipient CRD Number None
McNally Financial Services Corporation	121196
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
16414 San Pedro	Suite 930
City	State/Province/Country	ZIP/Postal Code
San Antonio	TEXAS	78232
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
HAWAII NEW YORK GEORGIA NEVADA CALIFORNIA OKLAHOMA VIRGINIA MICHIGAN IDAHO FLORIDA MARYLAND MASSACHUSETTS SOUTH CAROLINA ARKANSAS CONNECTICUT WEST VIRGINIA DISTRICT OF COLUMBIA MINNESOTA ARIZONA KENTUCKY MISSOURI KANSAS OREGON MISSISSIPPI LOUISIANA WASHINGTON NEW JERSEY NEW MEXICO ALASKA TEXAS ALABAMA COLORADO PENNSYLVANIA NORTH CAROLINA NEBRASKA

Recipient	Recipient CRD Number None
McLaughlin Ryder Investments, Inc.	147529
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1421 Prince Street	Suite 200
City	State/Province/Country	ZIP/Postal Code
Alexandria	VIRGINIA	22314
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
RHODE ISLAND HAWAII NEW YORK GEORGIA NEVADA TENNESSEE CALIFORNIA OKLAHOMA VIRGINIA OHIO DELAWARE WYOMING IOWA FLORIDA MARYLAND MASSACHUSETTS SOUTH DAKOTA SOUTH CAROLINA ILLINOIS INDIANA CONNECTICUT WEST VIRGINIA DISTRICT OF COLUMBIA MINNESOTA WISCONSIN ARIZONA KENTUCKY MISSOURI KANSAS OREGON MISSISSIPPI LOUISIANA NEW HAMPSHIRE WASHINGTON NEW JERSEY NEW MEXICO TEXAS COLORADO PENNSYLVANIA NORTH CAROLINA

Recipient	Recipient CRD Number None
MSI Financial Services, Inc.	14251
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1295 State Street
City	State/Province/Country	ZIP/Postal Code
Springfield	MASSACHUSETTS	01111
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	X Foreign/non-US

Recipient	Recipient CRD Number None
Money Concepts Capital Corp.v	12963
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
11440 North Jog Road
City	State/Province/Country	ZIP/Postal Code
Palm Beach Gardens	FLORIDA	33418
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Neidiger, Tucker, Bruner, Inc.	7425
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
9540 South Maroon Circle	Suite 250
City	State/Province/Country	ZIP/Postal Code
Englewood	COLORADO	80112
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Newbridge Securities Corporation	104065
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
5200 Town Center Circle	Tower 1, Suite 306
City	State/Province/Country	ZIP/Postal Code
Boca Raton	FLORIDA	33486
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	X Foreign/non-US
RHODE ISLAND VERMONT HAWAII VIRGINIA MICHIGAN DELAWARE IDAHO IOWA MARYLAND MASSACHUSETTS ARKANSAS ILLINOIS UTAH INDIANA MINNESOTA ARIZONA MISSOURI MONTANA MISSISSIPPI NEW HAMPSHIRE NEW JERSEY PUERTO RICO NEW MEXICO ALASKA ALABAMA TEXAS NORTH CAROLINA NORTH DAKOTA NEBRASKA NEW YORK GEORGIA NEVADA TENNESSEE CALIFORNIA OKLAHOMA OHIO WYOMING FLORIDA SOUTH DAKOTA SOUTH CAROLINA CONNECTICUT WEST VIRGINIA DISTRICT OF COLUMBIA WISCONSIN KENTUCKY KANSAS OREGON LOUISIANA WASHINGTON COLORADO PENNSYLVANIA

Recipient	Recipient CRD Number None
Newport Coast Securities, Inc.	16944
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
180 Maiden Lane	17th Floor
City	State/Province/Country	ZIP/Postal Code
New York	NEW YORK	10038
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
ARKANSAS HAWAII CONNECTICUT GEORGIA NEVADA MINNESOTA CALIFORNIA MISSISSIPPI VIRGINIA MICHIGAN ALASKA WYOMING ALABAMA COLORADO PENNSYLVANIA NEBRASKA

Recipient	Recipient CRD Number None
Ni Advisors	134502
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
638 Webster Street	Suite 410
City	State/Province/Country	ZIP/Postal Code
Oakland	CALIFORNIA	94607
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
MAINE NEW YORK NEW JERSEY MICHIGAN NEVADA FLORIDA CALIFORNIA PENNSYLVANIA MARYLAND OREGON MASSACHUSETTS

Recipient	Recipient CRD Number None
Niagara International Capital Limited	135327
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
8940 Main Street
City	State/Province/Country	ZIP/Postal Code
Clarence	NEW YORK	14031
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
NEW YORK GEORGIA NEVADA CALIFORNIA OKLAHOMA VIRGINIA MICHIGAN OHIO IDAHO DELAWARE WYOMING FLORIDA IOWA MARYLAND MASSACHUSETTS SOUTH DAKOTA SOUTH CAROLINA ARKANSAS UTAH ILLINOIS INDIANA CONNECTICUT DISTRICT OF COLUMBIA MINNESOTA WISCONSIN ARIZONA MISSOURI OREGON MONTANA MISSISSIPPI LOUISIANA NEW HAMPSHIRE WASHINGTON NEW JERSEY PUERTO RICO ALASKA TEXAS COLORADO PENNSYLVANIA NORTH CAROLINA NORTH DAKOTA

Recipient	Recipient CRD Number None
The O.N. Equity Sales Company	2936
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
10300 Alliance Road
City	State/Province/Country	ZIP/Postal Code
Blue Ash	OHIO	45242
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Primex	29394
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
54 West 21st Street	12th Floor
City	State/Province/Country	ZIP/Postal Code
New York	NEW YORK	10010
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	X Foreign/non-US
RHODE ISLAND VERMONT HAWAII MAINE VIRGINIA MICHIGAN DELAWARE IDAHO IOWA MARYLAND MASSACHUSETTS ARKANSAS ILLINOIS UTAH INDIANA MINNESOTA ARIZONA MISSOURI MONTANA MISSISSIPPI NEW HAMPSHIRE NEW JERSEY NEW MEXICO ALASKA ALABAMA TEXAS NORTH CAROLINA NORTH DAKOTA NEBRASKA NEW YORK GEORGIA NEVADA TENNESSEE CALIFORNIA OKLAHOMA OHIO WYOMING FLORIDA SOUTH DAKOTA SOUTH CAROLINA CONNECTICUT WEST VIRGINIA DISTRICT OF COLUMBIA WISCONSIN KENTUCKY KANSAS OREGON LOUISIANA WASHINGTON COLORADO PENNSYLVANIA

Recipient	Recipient CRD Number None
ProEquities, Inc.	15708
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
2801 Highway 280 South
City	State/Province/Country	ZIP/Postal Code
Birmingham	ALABAMA	35223
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	X Foreign/non-US
RHODE ISLAND VERMONT HAWAII MAINE VIRGINIA MICHIGAN DELAWARE IDAHO IOWA MARYLAND MASSACHUSETTS ARKANSAS ILLINOIS UTAH INDIANA MINNESOTA ARIZONA MISSOURI MONTANA MISSISSIPPI NEW HAMPSHIRE NEW JERSEY NEW MEXICO ALASKA ALABAMA TEXAS NORTH CAROLINA NORTH DAKOTA NEBRASKA NEW YORK GEORGIA NEVADA TENNESSEE CALIFORNIA OKLAHOMA OHIO WYOMING FLORIDA SOUTH DAKOTA SOUTH CAROLINA CONNECTICUT WEST VIRGINIA DISTRICT OF COLUMBIA WISCONSIN KENTUCKY KANSAS OREGON LOUISIANA WASHINGTON COLORADO PENNSYLVANIA

Recipient	Recipient CRD Number None
Prospera Financial Services, Inc.	10740
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
5429 LBJ Freeway	Suite 400
City	State/Province/Country	ZIP/Postal Code
Dallas	TEXAS	75240
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	X Foreign/non-US

Recipient	Recipient CRD Number None
Purshe Kaplan Sterling Investments	35747
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
18 Corporate Woods Blvd.
City	State/Province/Country	ZIP/Postal Code
Albany	NEW YORK	12211
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	X Foreign/non-US
RHODE ISLAND VERMONT HAWAII MAINE VIRGINIA MICHIGAN DELAWARE IDAHO IOWA MARYLAND MASSACHUSETTS ARKANSAS ILLINOIS UTAH INDIANA MINNESOTA ARIZONA MISSOURI MONTANA MISSISSIPPI NEW HAMPSHIRE NEW JERSEY NEW MEXICO ALASKA ALABAMA TEXAS NORTH CAROLINA NORTH DAKOTA NEBRASKA NEW YORK GEORGIA NEVADA TENNESSEE CALIFORNIA OKLAHOMA OHIO WYOMING FLORIDA SOUTH DAKOTA SOUTH CAROLINA CONNECTICUT WEST VIRGINIA DISTRICT OF COLUMBIA WISCONSIN KENTUCKY KANSAS OREGON LOUISIANA WASHINGTON COLORADO PENNSYLVANIA

Recipient	Recipient CRD Number None
Royal Alliance Associates, Inc.	23131
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
One World Financial Center	15th Floor
City	State/Province/Country	ZIP/Postal Code
New York	NEW YORK	10281
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	Foreign/non-US

Recipient	Recipient CRD Number None
Sagepoint Financial, Inc.	133763
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
2800 N. Central Avenue	Suite 2100
City	State/Province/Country	ZIP/Postal Code
Phoenix	ARIZONA	85004-1072
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	X Foreign/non-US

Recipient	Recipient CRD Number None
Securities America, Inc.	10205
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
12325 Port Grace Blvd
City	State/Province/Country	ZIP/Postal Code
Lavista	NEBRASKA	68128
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	X Foreign/non-US

Recipient	Recipient CRD Number None
Spire Securities, LLC	144131
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1840 Michael Faraday Dr.	Suite 105
City	State/Province/Country	ZIP/Postal Code
Reston	VIRGINIA	20190
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	X Foreign/non-US

Recipient	Recipient CRD Number None
Stephen A. Kohn & Associates, Ltd.	41067
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
3232 South Vance Street	Suite 210
City	State/Province/Country	ZIP/Postal Code
Lakewood	COLORADO	80227
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
HAWAII NEW YORK GEORGIA NEVADA TENNESSEE CALIFORNIA MICHIGAN OHIO IDAHO WYOMING FLORIDA MASSACHUSETTS SOUTH DAKOTA SOUTH CAROLINA UTAH ILLINOIS INDIANA CONNECTICUT MINNESOTA WISCONSIN ARIZONA MISSOURI KANSAS OREGON MONTANA LOUISIANA WASHINGTON NEW JERSEY NEW MEXICO TEXAS ALABAMA COLORADO PENNSYLVANIA NORTH CAROLINA NORTH DAKOTA NEBRASKA

Recipient	Recipient CRD Number None
Summit Brokerage Services, Inc.	34643
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
595 S. Federal Hwy.	Suite 500
City	State/Province/Country	ZIP/Postal Code
Boca Raton	FLORIDA	33432
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
RHODE ISLAND VERMONT HAWAII MAINE VIRGINIA MICHIGAN DELAWARE IDAHO IOWA MARYLAND MASSACHUSETTS ARKANSAS ILLINOIS UTAH INDIANA MINNESOTA ARIZONA MISSOURI MONTANA MISSISSIPPI NEW HAMPSHIRE NEW JERSEY NEW MEXICO ALASKA ALABAMA TEXAS NORTH CAROLINA NORTH DAKOTA NEBRASKA NEW YORK GEORGIA NEVADA TENNESSEE CALIFORNIA OKLAHOMA OHIO WYOMING FLORIDA SOUTH DAKOTA SOUTH CAROLINA CONNECTICUT WEST VIRGINIA DISTRICT OF COLUMBIA WISCONSIN KENTUCKY KANSAS OREGON LOUISIANA WASHINGTON COLORADO PENNSYLVANIA

Recipient	Recipient CRD Number None
The Strategic Financial Alliance, Inc.	126514
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
2200 Century Parkway	Suite 500
City	State/Province/Country	ZIP/Postal Code
Atlanta	GEORGIA	30345
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
RHODE ISLAND VERMONT HAWAII MAINE VIRGINIA MICHIGAN DELAWARE IDAHO IOWA MARYLAND MASSACHUSETTS ARKANSAS ILLINOIS UTAH INDIANA MINNESOTA ARIZONA MISSOURI MONTANA MISSISSIPPI NEW HAMPSHIRE NEW JERSEY NEW MEXICO ALASKA ALABAMA TEXAS NORTH CAROLINA NORTH DAKOTA NEBRASKA NEW YORK GEORGIA NEVADA TENNESSEE CALIFORNIA OKLAHOMA OHIO WYOMING FLORIDA SOUTH DAKOTA SOUTH CAROLINA CONNECTICUT WEST VIRGINIA DISTRICT OF COLUMBIA WISCONSIN KENTUCKY KANSAS OREGON LOUISIANA WASHINGTON COLORADO PENNSYLVANIA

Recipient	Recipient CRD Number None
Trade-PMR Inc.	46350
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
2511 NW 41st Street
City	State/Province/Country	ZIP/Postal Code
Gainesville	FLORIDA	32606
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	X Foreign/non-US

Recipient	Recipient CRD Number None
TransAm Securities, Inc.	18923
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1111 Douglas Avenue
City	State/Province/Country	ZIP/Postal Code
Altamonte Springs	FLORIDA	32714
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
SOUTH CAROLINA NEW YORK INDIANA GEORGIA ARIZONA OREGON VIRGINIA NEW JERSEY MICHIGAN OHIO TEXAS ALABAMA COLORADO FLORIDA NORTH CAROLINA MASSACHUSETTS

Recipient	Recipient CRD Number None
TransAmerica Financial Advisors, Inc.	16164
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
570 Carillon Parkway
City	State/Province/Country	ZIP/Postal Code
St. Petersburg	FLORIDA	33716-1202
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	X Foreign/non-US

Recipient	Recipient CRD Number None
Triad Advisors, Inc.	25803
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
5155 Peachtree Parkway	Suite 3220
City	State/Province/Country	ZIP/Postal Code
Norcross	GEORGIA	30092
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	X Foreign/non-US

Recipient	Recipient CRD Number None
United Planners' Financial Services of America	20804
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
7333 E. Doubletree Ranch Rd.	Ste 120
City	State/Province/Country	ZIP/Postal Code
Scottsdale	ARIZONA	85258-2023
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	X Foreign/non-US
RHODE ISLAND VERMONT HAWAII MAINE VIRGINIA MICHIGAN DELAWARE IDAHO IOWA MARYLAND MASSACHUSETTS ARKANSAS ILLINOIS UTAH INDIANA MINNESOTA ARIZONA MISSOURI MONTANA MISSISSIPPI NEW HAMPSHIRE NEW JERSEY NEW MEXICO ALASKA ALABAMA TEXAS NORTH CAROLINA NORTH DAKOTA NEBRASKA NEW YORK GEORGIA NEVADA TENNESSEE CALIFORNIA OKLAHOMA OHIO WYOMING FLORIDA SOUTH DAKOTA SOUTH CAROLINA CONNECTICUT WEST VIRGINIA DISTRICT OF COLUMBIA WISCONSIN KENTUCKY KANSAS OREGON LOUISIANA WASHINGTON COLORADO PENNSYLVANIA

Recipient	Recipient CRD Number None
Voya Financial Advisors, Inc.	2882
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
909 Locust Street
City	State/Province/Country	ZIP/Postal Code
Des Moines	IOWA	50309
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	X Foreign/non-US

Recipient	Recipient CRD Number None
VSR Financial Services, Inc.	14503
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
8620 W 110th Street
City	State/Province/Country	ZIP/Postal Code
Overland Park	KANSAS	66210
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	X Foreign/non-US

Recipient	Recipient CRD Number None
Whitehall-Parker Securities, Inc.	10608
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
477 Pacific Ave.	2nd Floor
City	State/Province/Country	ZIP/Postal Code
San Francisco	CALIFORNIA	94133
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
WASHINGTON NEW YORK NEVADA TEXAS COLORADO ARIZONA CALIFORNIA OREGON

Recipient	Recipient CRD Number None
Wilbanks Securities, Inc.	40673
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
4334 Northwest Expressway	Suite 222
City	State/Province/Country	ZIP/Postal Code
Oklahoma City	OKLAHOMA	73116
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
VERMONT HAWAII NEW YORK GEORGIA NEVADA TENNESSEE CALIFORNIA OKLAHOMA VIRGINIA MICHIGAN OHIO IDAHO DELAWARE WYOMING FLORIDA IOWA MARYLAND MASSACHUSETTS SOUTH DAKOTA SOUTH CAROLINA ARKANSAS UTAH ILLINOIS INDIANA CONNECTICUT WEST VIRGINIA DISTRICT OF COLUMBIA MINNESOTA WISCONSIN ARIZONA KENTUCKY MISSOURI KANSAS OREGON MONTANA MISSISSIPPI LOUISIANA NEW HAMPSHIRE WASHINGTON NEW JERSEY NEW MEXICO ALASKA TEXAS ALABAMA COLORADO PENNSYLVANIA NORTH CAROLINA NEBRASKA

Recipient	Recipient CRD Number None
Woodbury Financial Services, Inc.	421
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
7755 3rd Street North
City	State/Province/Country	ZIP/Postal Code
Oakdale	MINNESOTA	55128
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	X Foreign/non-US
RHODE ISLAND VERMONT HAWAII MAINE VIRGINIA MICHIGAN DELAWARE IDAHO IOWA MARYLAND MASSACHUSETTS ARKANSAS ILLINOIS UTAH INDIANA MINNESOTA ARIZONA MISSOURI MONTANA MISSISSIPPI NEW HAMPSHIRE NEW JERSEY NEW MEXICO ALASKA ALABAMA TEXAS NORTH CAROLINA NORTH DAKOTA NEBRASKA NEW YORK GEORGIA NEVADA TENNESSEE CALIFORNIA OKLAHOMA OHIO WYOMING FLORIDA SOUTH DAKOTA SOUTH CAROLINA CONNECTICUT WEST VIRGINIA DISTRICT OF COLUMBIA WISCONSIN KENTUCKY KANSAS OREGON LOUISIANA WASHINGTON COLORADO PENNSYLVANIA

Recipient	Recipient CRD Number None
Worden Capital Management LLC	148366
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
100 Ring Road West	Suite 210
City	State/Province/Country	ZIP/Postal Code
Garden City	NEW YORK	11530
State(s) of Solicitation (select all that apply) Check “All States” or check individual States All States	Foreign/non-US
RHODE ISLAND VERMONT HAWAII VIRGINIA MICHIGAN IDAHO IOWA MARYLAND MASSACHUSETTS ARKANSAS ILLINOIS UTAH INDIANA MINNESOTA ARIZONA MISSOURI MONTANA MISSISSIPPI NEW HAMPSHIRE NEW JERSEY PUERTO RICO NEW MEXICO ALASKA ALABAMA TEXAS NORTH CAROLINA NORTH DAKOTA NEBRASKA NEW YORK GEORGIA NEVADA TENNESSEE CALIFORNIA OKLAHOMA OHIO WYOMING FLORIDA SOUTH DAKOTA SOUTH CAROLINA CONNECTICUT WEST VIRGINIA DISTRICT OF COLUMBIA KENTUCKY WISCONSIN KANSAS OREGON LOUISIANA WASHINGTON COLORADO PENNSYLVANIA

Recipient	Recipient CRD Number None
World Equity Group, Inc.	29087
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
1650 N. Arlington Heights Rd.	Suite 100
City	State/Province/Country	ZIP/Postal Code
Arlington Heights	ILLINOIS	60004-3984
State(s) of Solicitation (select all that apply) Check “All States” or check individual States X All States	X Foreign/non-US

13. Offering and Sales Amounts

Total Offering Amount	$100,000,000	USD	or Indefinite
Total Amount Sold	$0	USD
Total Remaining to be Sold	$100,000,000	USD	or Indefinite

Clarification of Response (if Necessary):

14. Investors

Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering.

Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering:

0

15. Sales Commissions & Finder's Fees Expenses

Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.

Sales Commissions	$11,000,000	USD	X Estimate
Finders' Fees	$0	USD	Estimate

Clarification of Response (if Necessary):

Assumes the maximum offering proceeds are received.

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.

$100,000,000 USD X Estimate

Clarification of Response (if Necessary):

Assumes the maximum offering proceeds are received.

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 Regulation D for one of the reasons stated in Rule 505(b)(2)(iii) 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
Atlas Eagle Ford 2016 L.P.	/s/ Justin T. Atkinson	Justin T. Atkinson	Senior Vice President	2016-09-14

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.