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 | | Entity Type |
0001773819 | | | Corporation | X | Limited Partnership | | Limited Liability Company | | General Partnership | | Business Trust | | Other (Specify) | |
Name of Issuer |
Griffin Capital Qualified Opportunity Zone Fund, L.P. |
Jurisdiction of Incorporation/Organization |
DELAWARE |
Year of Incorporation/Organization |
| Over Five Years Ago | X | Within Last Five Years (Specify Year) | 2018 | | Yet to Be Formed | |
2. Principal Place of Business and Contact Information
Name of Issuer |
Griffin Capital Qualified Opportunity Zone Fund, L.P. |
Street Address 1 | Street Address 2 |
GRIFFIN CAPITAL PLAZA | 1520 EAST GRAND AVENUE |
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
EL SEGUNDO | CALIFORNIA | 90245 | 3104696100 |
3. Related Persons
Last Name | First Name | Middle Name |
Shields | Kevin | A. |
Street Address 1 | Street Address 2 |
Griffin Capital Plaza | 1520 E. Grand Avenue |
City | State/Province/Country | ZIP/PostalCode |
El Segundo | CALIFORNIA | 90245 |
Relationship: | X | Executive Officer | | Director | | Promoter |
Clarification of Response (if Necessary):
Executive Officer of the Sponsor of the Issuer
Last Name | First Name | Middle Name |
Miller | Joseph | E. |
Street Address 1 | Street Address 2 |
Griffin Capital Plaza | 1520 E. Grand Avenue |
City | State/Province/Country | ZIP/PostalCode |
El Segundo | CALIFORNIA | 90245 |
Relationship: | X | Executive Officer | | Director | | Promoter |
Clarification of Response (if Necessary):
Executive Officer of the Sponsor
Last Name | First Name | Middle Name |
Griffin Capital QOZ, LLC | n/a |
Street Address 1 | Street Address 2 |
Griffin Capital Plaza | 1520 E. Grand Avenue |
City | State/Province/Country | ZIP/PostalCode |
El Segundo | CALIFORNIA | 90245 |
Relationship: | X | Executive Officer | | Director | | Promoter |
Clarification of Response (if Necessary):
General Partner of the Issuer
Last Name | First Name | Middle Name |
Rupert | David | C. |
Street Address 1 | Street Address 2 |
Griffin Capital Plaza | 1520 E. Grand Avenue |
City | State/Province/Country | ZIP/PostalCode |
El Segundo | CALIFORNIA | 90245 |
Relationship: | X | Executive Officer | | Director | | Promoter |
Clarification of Response (if Necessary):
Executive Officer of the Sponsor
Last Name | First Name | Middle Name |
Kaplan | Eric | J. |
Street Address 1 | Street Address 2 |
Griffin Capital Plaza | 1520 E. Grand Avenue |
City | State/Province/Country | ZIP/PostalCode |
El Segundo | CALIFORNIA | 90245 |
Relationship: | X | Executive Officer | | Director | | Promoter |
Clarification of Response (if Necessary):
Executive Officer of the Sponsor
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? | | | | Other Banking & Financial Services | | | Business Services | | Energy | | | | | | | | | | | | | | | Health Care | | | | | | | | | | | | Manufacturing | | Real Estate | | | | | | | | | | | | | Retailing | | Restaurants | | Technology | | | | | | | | Travel | | | | | | | Tourism & Travel Services |
| | | | Other | |
5. Issuer Size
Revenue Range | OR | Aggregate Net Asset Value Range |
| No Revenues | | No Aggregate Net Asset Value |
| $1 - $1,000,000 | | $1 - $5,000,000 |
| $1,000,001 - $5,000,000 | | $5,000,001 - $25,000,000 |
| $5,000,001 - $25,000,000 | | $25,000,001 - $50,000,000 |
| $25,000,001 - $100,000,000 | | $50,000,001 - $100,000,000 |
| Over $100,000,000 | | Over $100,000,000 |
X | 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) | | X | Rule 506(b) | | | Rule 506(c) | | | Securities Act Section 4(a)(5) | | | Investment Company Act Section 3(c) |
| | Section 3(c)(1) | | Section 3(c)(9) |
| | Section 3(c)(2) | | Section 3(c)(10) |
| | Section 3(c)(3) | | Section 3(c)(11) |
| | Section 3(c)(4) | | Section 3(c)(12) |
| | Section 3(c)(5) | | Section 3(c)(13) |
| | Section 3(c)(6) | | Section 3(c)(14) |
| | |
7. Type of Filing
| New Notice | | Date of First Sale | 2019-04-11 | | | First Sale Yet to Occur |
X | Amendment |
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? | | |
9. Type(s) of Securities Offered (select all that apply)
X | Equity | X | 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? | | |
Clarification of Response (if Necessary):
11. Minimum Investment
Minimum investment accepted from any outside investor | $150,000 | USD |
12. Sales Compensation
Recipient | Recipient CRD Number | | None |
|
Vik Goel | 3165104 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
WestPark Capital, Inc. | 39914 |
Street Address 1 | Street Address 2 |
1900 AVENUE OF THE STARS | SUITE 310 |
City | State/Province/Country | ZIP/Postal Code |
LOS ANGELES | CALIFORNIA | 90067 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Brian Pacen | 4219262 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Client One Securities, LLC | 152974 |
Street Address 1 | Street Address 2 |
11460 TOMAHAWK CREEK PARKWAY |
City | State/Province/Country | ZIP/Postal Code |
LEAWOOD | KANSAS | 66211 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
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 RD. |
City | State/Province/Country | ZIP/Postal Code |
FAIRFIELD | IOWA | 52556 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
ARIZONA | CALIFORNIA | COLORADO | CONNECTICUT | FLORIDA | ILLINOIS | IOWA | KENTUCKY | MARYLAND | MASSACHUSETTS | MICHIGAN | NEW JERSEY | NEW YORK | OHIO | PENNSYLVANIA | SOUTH CAROLINA | TEXAS | UTAH | VIRGINIA | WASHINGTON | |
Recipient | Recipient CRD Number | | None |
|
WealthForge Securities, LLC | 152550 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
6800 PARAGON PLACE | SUITE 200 |
City | State/Province/Country | ZIP/Postal Code |
RICHMOND | VIRGINIA | 23230 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
CALIFORNIA | FLORIDA | KENTUCKY | NEW HAMPSHIRE | TEXAS | VIRGINIA | |
Recipient | Recipient CRD Number | | None |
|
Tony Barouti | 3031995 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Emerson Equity LLC | 130032 |
Street Address 1 | Street Address 2 |
155 BOVET ROAD | SUITE 725 |
City | State/Province/Country | ZIP/Postal Code |
SAN MATEO | CALIFORNIA | 94402 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
James Parry | 1877092 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Arkadios Capital, Inc. | 282710 |
Street Address 1 | Street Address 2 |
309 EAST PACES FERRY ROAD | SUITE 1000 |
City | State/Province/Country | ZIP/Postal Code |
ATLANTA | GEORGIA | 30305 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Independent Financial Group, LLC | 7717 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
12671 High Bluff Drive | Suite 200 |
City | State/Province/Country | ZIP/Postal Code |
San Diego | CALIFORNIA | 92130 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
ARIZONA | CALIFORNIA | COLORADO | DELAWARE | NEVADA | NEW JERSEY | OREGON | PENNSYLVANIA | TEXAS | UTAH | WASHINGTON | WISCONSIN | |
Recipient | Recipient CRD Number | | None |
|
Bart Zandbergen | 2290066 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Gramercy Securities, Inc. | 8177 |
Street Address 1 | Street Address 2 |
24901 Dana Point Harbor Drive | Suite 200 |
City | State/Province/Country | ZIP/Postal Code |
Dana Point | CALIFORNIA | 92629 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Steven Kolinsky | 1090913 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
American Portfolios Financial Services, Inc. | 18487 |
Street Address 1 | Street Address 2 |
500 North Franklin Turnpike | Suite 104 |
City | State/Province/Country | ZIP/Postal Code |
Ramsey | NEW JERSEY | 07446 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
NEW JERSEY | NEW YORK | PENNSYLVANIA | |
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 Road | Suite 530 |
City | State/Province/Country | ZIP/Postal Code |
Orange | CALIFORNIA | 92868 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
ARIZONA | CALIFORNIA | FLORIDA | LOUISIANA | WASHINGTON | |
Recipient | Recipient CRD Number | | None |
|
Brett Machtig | 1420080 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
United Planners' Financial Services of America | 20804 |
Street Address 1 | Street Address 2 |
5270 W. 84th Street | Suite 310 |
City | State/Province/Country | ZIP/Postal Code |
Bloomington | MINNESOTA | 55437 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Rahul Halwasiya | 5489762 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
National Securities Corporation | 7569 |
Street Address 1 | Street Address 2 |
100 N. Biscayne Boulevard | Suite 2001 |
City | State/Province/Country | ZIP/Postal Code |
Miami | FLORIDA | 33132 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Azeem Sheikh | 4222384 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
National Securities Corporation | 7569 |
Street Address 1 | Street Address 2 |
100 N. Biscayne Boulevard | Suite 2001 |
City | State/Province/Country | ZIP/Postal Code |
Miami | FLORIDA | 33132 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
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 |
| |
CALIFORNIA | GEORGIA | NEW YORK | NORTH CAROLINA | TEXAS | |
Recipient | Recipient CRD Number | | None |
|
Concorde Investment Services, LLC | 151604 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
19500 Victor Parkway | Suite 550 |
City | State/Province/Country | ZIP/Postal Code |
Livonia | MICHIGAN | 48152 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
ALABAMA | CALIFORNIA | FLORIDA | ILLINOIS | MAINE | MASSACHUSETTS | NEW YORK | SOUTH CAROLINA | TEXAS | |
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 South Clinton Street | Suite 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 | | All States |
| |
CALIFORNIA | MARYLAND | NORTH CAROLINA | PENNSYLVANIA | |
Recipient | Recipient CRD Number | | None |
|
Kelvin Bishop | 5148999 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Money Concepts Capital Corp. | 12963 |
Street Address 1 | Street Address 2 |
1040 William Way NW |
City | State/Province/Country | ZIP/Postal Code |
Cleveland | TENNESSEE | 37312 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Hillary J. Wertlieb | 2239224 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
American Portfolios Financial Services, Inc. | 18487 |
Street Address 1 | Street Address 2 |
50 Hampstead Avenue | Suite C |
City | State/Province/Country | ZIP/Postal Code |
Lynbrook | NEW YORK | 11563 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Justin Hewins | 4953572 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
American Portfolios Financial Services, Inc. | 18487 |
Street Address 1 | Street Address 2 |
7 Eves Drive | Suite 100 |
City | State/Province/Country | ZIP/Postal Code |
Marlton | NEW JERSEY | 08053 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Robert Vanderpool | 3180026 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
American Portfolios Financial Services, Inc. | 18487 |
Street Address 1 | Street Address 2 |
1017 Kings Way Lane |
City | State/Province/Country | ZIP/Postal Code |
Tarpon Springs | FLORIDA | 34688 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Brett Vendig | 5964397 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Arete Wealth Management LLC | 44856 |
Street Address 1 | Street Address 2 |
790 Farmington Avenue | Building 3 |
City | State/Province/Country | ZIP/Postal Code |
Farmington | CONNECTICUT | 06032 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Christopher Patras | 1162494 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Ausdal Financial Partners, Inc. | 7995 |
Street Address 1 | Street Address 2 |
15 Spinning Wheel Road | Suite 31 |
City | State/Province/Country | ZIP/Postal Code |
Hinsdale | ILLINOIS | 60521 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
DFPG Investments, LLC | 155576 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
9017 S. Riverside Drive | Suite 21 |
City | State/Province/Country | ZIP/Postal Code |
Sandy | UTAH | 84070 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
ARIZONA | CALIFORNIA | MISSOURI | SOUTH CAROLINA | UTAH | |
Recipient | Recipient CRD Number | | None |
|
Steve Arnold | 710263 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Emerson Equity LLC | 130032 |
Street Address 1 | Street Address 2 |
9699 Bay Harbor Circle | Suite 203 |
City | State/Province/Country | ZIP/Postal Code |
Fort Myers | FLORIDA | 33919 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Steve Hein | 4433826 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Kestra Investment Services LLC | 42046 |
Street Address 1 | Street Address 2 |
4600 Military Trail | Suite 226 |
City | State/Province/Country | ZIP/Postal Code |
Jupiter | FLORIDA | 33458 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Brian Laughlin | 2621524 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Kestra Investment Services LLC | 42046 |
Street Address 1 | Street Address 2 |
304 S. Harbor City Boulevard | Suite 200 |
City | State/Province/Country | ZIP/Postal Code |
Melbourne | FLORIDA | 32901 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
William Hugh Black | 709696 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Lion Street Financial LLC | 165828 |
Street Address 1 | Street Address 2 |
515 Congress Avenue | Suite 2500 |
City | State/Province/Country | ZIP/Postal Code |
Austin | TEXAS | 78701 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Guy A. Harrigan | 1817525 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Lion Street Financial LLC | 165828 |
Street Address 1 | Street Address 2 |
4770 Baseline Road | Suite 380 |
City | State/Province/Country | ZIP/Postal Code |
Boulder | COLORADO | 80303 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Mark Baran | 870541 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
McDermott Investment Services, LLC | 154926 |
Street Address 1 | Street Address 2 |
44 East Broad Street | 2nd Floor |
City | State/Province/Country | ZIP/Postal Code |
Bethlehem | PENNSYLVANIA | 18018 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Scot A. Shier | 2462276 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Money Concepts Capital Corp. | 12963 |
Street Address 1 | Street Address 2 |
2372 SE Bristol Street | Suite C |
City | State/Province/Country | ZIP/Postal Code |
Newport Beach | CALIFORNIA | 92660 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Stacey Morimoto | 4420782 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Stax Capital | 300607 |
Street Address 1 | Street Address 2 |
4901 Morena Boulevard | Suite 121 |
City | State/Province/Country | ZIP/Postal Code |
San Diego | CALIFORNIA | 92117 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Dave Dahill | 6581024 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Thornhill Securities Inc. | 22333 |
Street Address 1 | Street Address 2 |
109 E. 10th Street | #300 |
City | State/Province/Country | ZIP/Postal Code |
Austin | TEXAS | 78701 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Timothy Couch | 4073942 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Dempsey Lord Smith LLC | 141238 |
Street Address 1 | Street Address 2 |
900 Old Dawson Village Road | East Suite 110 |
City | State/Province/Country | ZIP/Postal Code |
Dawsonville | GEORGIA | 30534 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Toni Sutherland | 2729672 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Emerson Equity LLC | 130032 |
Street Address 1 | Street Address 2 |
9055 Soquel Drive | #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 |
| |
|
Recipient | Recipient CRD Number | | None |
|
Robin Naylor | 1392433 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Emerson Equity LLC | 130032 |
Street Address 1 | Street Address 2 |
18331 S.E. 280th Street |
City | State/Province/Country | ZIP/Postal Code |
Kent | WASHINGTON | 98042 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
John Ross | 2633125 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Kestra Investment Services LLC | 42046 |
Street Address 1 | Street Address 2 |
2609 Montega Drive |
City | State/Province/Country | ZIP/Postal Code |
Springfield | ILLINOIS | 62704 |
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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James Teegarden | 2812366 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Lion Street Financial, LLC | 165828 |
Street Address 1 | Street Address 2 |
4770 Baseline Road | Suite 380 |
City | State/Province/Country | ZIP/Postal Code |
Boulder | COLORADO | 80303 |
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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Jody Balmer | 2286742 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
National Securities Corporation | 7569 |
Street Address 1 | Street Address 2 |
One Union Square 600 University Street | Suite 2900 |
City | State/Province/Country | ZIP/Postal Code |
Seattle | WASHINGTON | 98101 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
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|
Recipient | Recipient CRD Number | | None |
|
Michael C. Pak | 3140859 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
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Wedbush Securities Inc. | 877 |
Street Address 1 | Street Address 2 |
5949 Sherry Lane | Suite 1475 |
City | State/Province/Country | ZIP/Postal Code |
Dallas | TEXAS | 75225 |
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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James R. Larew | 2322343 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Wedbush Securities Inc. | 877 |
Street Address 1 | Street Address 2 |
100 Wilshire Boulevard | Suite 900 |
City | State/Province/Country | ZIP/Postal Code |
Los Angeles | CALIFORNIA | 90017 |
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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Western International Securities Inc. | 39262 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
70 S. LAKE AVE. | SUITE 700 |
City | State/Province/Country | ZIP/Postal Code |
PASADENA | CALIFORNIA | 91101 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
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|
Recipient | Recipient CRD Number | | None |
|
Ameriprise Financial Services Inc. | 6363 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
707 2nd Avenue South |
City | State/Province/Country | ZIP/Postal Code |
Minneapolis | MINNESOTA | 55402 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
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ARIZONA | CALIFORNIA | COLORADO | FLORIDA | GEORGIA | ILLINOIS | LOUISIANA | MASSACHUSETTS | MICHIGAN | NEW YORK | OHIO | PENNSYLVANIA | RHODE ISLAND | TEXAS | UTAH | VIRGINIA | WASHINGTON | WISCONSIN | |
Recipient | Recipient CRD Number | | None |
|
Dennis P. Thurman | 2342398 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Arete Wealth Management LLC | 44856 |
Street Address 1 | Street Address 2 |
1115 W. Fulton Market | 3rd Floor |
City | State/Province/Country | ZIP/Postal Code |
Chicago | ILLINOIS | 60607 |
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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Adam Carmel | 1074710 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Larimer Capital Corporation | 18189 |
Street Address 1 | Street Address 2 |
1720 South Bellaire Street | Suite 1110 |
City | State/Province/Country | ZIP/Postal Code |
Denver | COLORADO | 80222 |
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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Gregory J. Meyer | 3088783 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
NPB Financial Group, LLC | 137743 |
Street Address 1 | Street Address 2 |
5435 Balboa Boulevard | Suite 106 |
City | State/Province/Country | ZIP/Postal Code |
Encino | CALIFORNIA | 91316 |
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 |
|
Robert A. Horning | 2311640 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
McDermott Investment Services, LLC | 154926 |
Street Address 1 | Street Address 2 |
6633 S. Halm Avenue |
City | State/Province/Country | ZIP/Postal Code |
Los Angeles | CALIFORNIA | 90056 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
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|
Recipient | Recipient CRD Number | | None |
|
George Kuruvilla | 1000316 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
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LifeMark Securities Corp. | 16204 |
Street Address 1 | Street Address 2 |
374 Park Avenue |
City | State/Province/Country | ZIP/Postal Code |
Yonkers | NEW YORK | 10703 |
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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David B. Levinson | 705929 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
American Trust Investment Services, Inc. | 3001 |
Street Address 1 | Street Address 2 |
4722 Main Street |
City | State/Province/Country | ZIP/Postal Code |
Lisle | ILLINOIS | 60532 |
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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Evan Thurmond | 4453804 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
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IFP Securities, LLC | 297287 |
Street Address 1 | Street Address 2 |
9700 Bunsen Parkway |
City | State/Province/Country | ZIP/Postal Code |
Louisville | KENTUCKY | 40299 |
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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Scott Sells | 2608020 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
IFP Securities, LLC | 297287 |
Street Address 1 | Street Address 2 |
9700 Bunsen Parkway |
City | State/Province/Country | ZIP/Postal Code |
Louisville | KENTUCKY | 40299 |
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 |
|
Adam Coop | 4444217 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
IFP Securities, LLC | 297287 |
Street Address 1 | Street Address 2 |
9700 Bunsen Parkway |
City | State/Province/Country | ZIP/Postal Code |
Louisville | KENTUCKY | 40299 |
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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Samuel Barber | 4750380 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
LifeMark Securities | 16204 |
Street Address 1 | Street Address 2 |
400 WEST METRO PARK |
City | State/Province/Country | ZIP/Postal Code |
ROCHESTER | NEW YORK | 14623 |
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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John E Freiburger | 2163773 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
|
Kestra Investment Services LLC | 42046 |
Street Address 1 | Street Address 2 |
5707 SOUTHWEST PARKWAY | BUILDING 2, SUITE 400 |
City | State/Province/Country | ZIP/Postal Code |
AUSTIN | TEXAS | 78735 |
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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Ran Fuchs | 5593133 |
(Associated) Broker or Dealer | | None |
| (Associated) Broker or Dealer CRD Number | | None |
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IDB Capital Corp. | 106032 |
Street Address 1 | Street Address 2 |
511 Fifth Avenue |
City | State/Province/Country | ZIP/Postal Code |
New York | NEW YORK | 10017 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
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13. Offering and Sales Amounts
Total Offering Amount | $452,844,768 | USD | |
Total Amount Sold | $452,844,768 | USD |
Total Remaining to be Sold | $0 | USD | |
Clarification of Response (if Necessary):
Regarding Item 11, the Issuer may accept smaller investments in the Issuer's sole discretion.14. Investors
| Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering. | |
| Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: | |
15. Sales Commissions & Finder's Fees Expenses
Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
Sales Commissions | $5,500,000 | 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 Regulation D exemption for the offering, the issuer is not disqualified from relying on Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) or Rule 506(d).
|
Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.
For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.
Issuer | Signature | Name of Signer | Title | Date |
Griffin Capital Qualified Opportunity Zone Fund, L.P. | /s/ Joseph E. Miller | Joseph E. Miller | Executive Officer of the Sponsor | 2020-09-24 |
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.