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 |
0001831648 | | | Corporation | | Limited Partnership | | Limited Liability Company | | General Partnership | | Business Trust | X | Other (Specify) | Delaware Statutory Trust |
Name of Issuer |
Diversified Residential Portfolio DST |
Jurisdiction of Incorporation/Organization |
DELAWARE |
Year of Incorporation/Organization |
| Over Five Years Ago | X | Within Last Five Years (Specify Year) | 2020 | | Yet to Be Formed | |
2. Principal Place of Business and Contact Information
Name of Issuer |
Diversified Residential Portfolio DST |
Street Address 1 | Street Address 2 |
C/O INLAND PRIVATE CAPITAL CORPORATION | 2901 BUTTERFIELD ROAD |
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
OAK BROOK | ILLINOIS | 60523 | (630) 218-8000 |
3. Related Persons
Last Name | First Name | Middle Name |
Inland Private Capital Corporation | N/A |
Street Address 1 | Street Address 2 |
2901 Butterfield Road |
City | State/Province/Country | ZIP/PostalCode |
Oak Brook | ILLINOIS | 60523 |
Relationship: | X | Executive Officer | | Director | | Promoter |
Clarification of Response (if Necessary):
Sponsor of the Issuer
Last Name | First Name | Middle Name |
Diversified Residential Portfolio Exchange, L.L.C. | N/A |
Street Address 1 | Street Address 2 |
c/o Inland Private Capital Corporation | 2901 Butterfield Road |
City | State/Province/Country | ZIP/PostalCode |
Oak Brook | ILLINOIS | 60523 |
Relationship: | X | Executive Officer | | Director | | Promoter |
Clarification of Response (if Necessary):
Signatory Trustee of the Issuer
Last Name | First Name | Middle Name |
Diversified Residential Portfolio Depositor, L.L.C. | N/A |
Street Address 1 | Street Address 2 |
c/o Inland Private Capital Corporation | 2901 Butterfield Road |
City | State/Province/Country | ZIP/PostalCode |
Oak Brook | ILLINOIS | 60523 |
Relationship: | X | Executive Officer | | Director | | Promoter |
Clarification of Response (if Necessary):
Depositor of the Issuer
Last Name | First Name | Middle Name |
Lampi | Keith | D. |
Street Address 1 | Street Address 2 |
c/o Inland Private Capital Corporation | 2901 Butterfield Road |
City | State/Province/Country | ZIP/PostalCode |
Oak Brook | ILLINOIS | 60523 |
Relationship: | X | Executive Officer | | Director | | Promoter |
Clarification of Response (if Necessary):
President of the sole member of the Signatory Trustee of the Issuer
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 | 2020-11-19 | | | 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 | | 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 | $25,000 | USD |
12. Sales Compensation
Recipient | Recipient CRD Number | | None |
|
Nationwide Planning Associates Inc. | 31029 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
115 West Century Road | Suite 360 |
City | State/Province/Country | ZIP/Postal Code |
Paramus | NEW JERSEY | 07652 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
FLORIDA | NEW JERSEY | NEW YORK | VERMONT | |
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 |
| |
CALIFORNIA | INDIANA | NEW YORK | OREGON | PENNSYLVANIA | |
Recipient | Recipient CRD Number | | None |
|
Avantax Investment Services, Inc. | 13686 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
3200 Olympus Boulevard | Suite 100 |
City | State/Province/Country | ZIP/Postal Code |
Dallas | TEXAS | 75019 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
ARIZONA | CALIFORNIA | FLORIDA | HAWAII | ILLINOIS | MAINE | MINNESOTA | MISSOURI | NEVADA | NEW JERSEY | NEW YORK | PENNSYLVANIA | TEXAS | WASHINGTON | |
Recipient | Recipient CRD Number | | None |
|
DAI Securities, LLC | 36673 |
(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 NE | Suite 435 |
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 | FLORIDA | NEW YORK | OHIO | OREGON | |
Recipient | Recipient CRD Number | | None |
|
Emerson Equity LLC | 130032 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
155 Bovet Road | Sutie 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 |
| |
CALIFORNIA | COLORADO | MINNESOTA | OREGON | |
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 210 |
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 |
| |
CALIFORNIA | COLORADO | DISTRICT OF COLUMBIA | IDAHO | MASSACHUSETTS | MISSOURI | NEW JERSEY | TEXAS | UTAH | WYOMING | |
Recipient | Recipient CRD Number | | None |
|
Stonecrest Capital Markets, Inc. | 39616 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
300 W. 6th Street | Suite 1520 |
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 |
|
Vanderbilt Securities, LLC | 5953 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
125 Froehlich Farm Boulevard |
City | State/Province/Country | ZIP/Postal Code |
Woodbury | NEW YORK | 11797 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
ARIZONA | INDIANA | NEW JERSEY | NEW YORK | OHIO | |
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 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
ARIZONA | CALIFORNIA | COLORADO | FLORIDA | IDAHO | INDIANA | IOWA | KANSAS | NEBRASKA | NEW JERSEY | NEW YORK | NORTH CAROLINA | PENNSYLVANIA | TEXAS | UTAH | VIRGINIA | |
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 |
20 E. Thomas Road | Suite 2000 |
City | State/Province/Country | ZIP/Postal Code |
Phoenix | ARIZONA | 85012 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
ALABAMA | CALIFORNIA | COLORADO | HAWAII | KANSAS | NEBRASKA | NEVADA | NEW HAMPSHIRE | TEXAS | WASHINGTON | |
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 |
| |
ARIZONA | CALIFORNIA | COLORADO | IDAHO | LOUISIANA | NEBRASKA | PENNSYLVANIA | TEXAS | |
Recipient | Recipient CRD Number | | None |
|
Stifel, Nicolaus & Company, Incorporated | 793 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
501 North Broadway |
City | State/Province/Country | ZIP/Postal Code |
St. Louis | MISSOURI | 63102 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
ARIZONA | CALIFORNIA | COLORADO | FLORIDA | MASSACHUSETTS | MICHIGAN | NORTH CAROLINA | WASHINGTON | WYOMING | |
Recipient | Recipient CRD Number | | None |
|
National Securities Corporation | 7569 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
5000 T-Rex Avenue | Suite 300 |
City | State/Province/Country | ZIP/Postal Code |
Boca Raton | FLORIDA | 33431 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
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 Boulevard |
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 | | All States |
| |
ARKANSAS | CALIFORNIA | FLORIDA | ILLINOIS | IOWA | NEBRASKA | TEXAS | UTAH | |
Recipient | Recipient CRD Number | | None |
|
Arkadios Capital | 282710 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
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 |
| |
DISTRICT OF COLUMBIA | ILLINOIS | |
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 |
| |
CALIFORNIA | FLORIDA | TEXAS | UTAH | |
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 |
| |
ARIZONA | CALIFORNIA | MARYLAND | MASSACHUSETTS | MINNESOTA | NEW JERSEY | NEW YORK | NORTH CAROLINA | OHIO | OREGON | |
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 |
10 Exchange Place | Suite 1410 |
City | State/Province/Country | ZIP/Postal Code |
Jersey City | NEW JERSEY | 07302 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
CALIFORNIA | FLORIDA | MAINE | NEW JERSEY | NEW YORK | TEXAS | VIRGINIA | WISCONSIN | |
Recipient | Recipient CRD Number | | None |
|
Triad Advisors LLC | 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 | | All States |
| |
MINNESOTA | NEW JERSEY | NEW YORK | RHODE ISLAND | |
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 |
| |
CALIFORNIA | ILLINOIS | MICHIGAN | MINNESOTA | |
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 Parkway | Suite 750N |
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 | | All States |
| |
CALIFORNIA | MINNESOTA | NORTH CAROLINA | OREGON | WASHINGTON | |
Recipient | Recipient CRD Number | | None |
|
Cabin Securities, Inc. | 137608 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
6240 W. 135th Street | Suite 214 |
City | State/Province/Country | ZIP/Postal Code |
Overland Park | KANSAS | 66223 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
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 |
1300 South Clinton Street |
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 |
| |
DELAWARE | NEW JERSEY | NORTH CAROLINA | PENNSYLVANIA | |
Recipient | Recipient CRD Number | | None |
|
JRL Capital Corporation | 10225 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
100 Pacifica | Suite 360 |
City | State/Province/Country | ZIP/Postal Code |
Irvine | CALIFORNIA | 92618 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
American Trust Investment Services, Inc. | 3001 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
1244 119th Street |
City | State/Province/Country | ZIP/Postal Code |
Whiting | INDIANA | 46394 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
CALIFORNIA | COLORADO | FLORIDA | |
Recipient | Recipient CRD Number | | None |
|
American Investors Company | 38 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
2440 Camino Ramon | Suite 103 |
City | State/Province/Country | ZIP/Postal Code |
San Ramon | CALIFORNIA | 94583 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
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 |
| |
|
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. Pacific Coast Highway | Suite 1300 |
City | State/Province/Country | ZIP/Postal Code |
El Segundo | CALIFORNIA | 90245 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
COLORADO | DISTRICT OF COLUMBIA | FLORIDA | MARYLAND | NORTH CAROLINA | |
Recipient | Recipient CRD Number | | None |
|
RCX Capital Group, LLC | 114290 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
2002 Timberloch Place | Suite 200 |
City | State/Province/Country | ZIP/Postal Code |
Dallas | TEXAS | 77380 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
CALIFORNIA | WASHINGTON | WISCONSIN | |
Recipient | Recipient CRD Number | | None |
|
Harbour Investments, Inc. | 19258 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
575 D'Onofrio Drive | Suite 300 |
City | State/Province/Country | ZIP/Postal Code |
Madison | WISCONSIN | 53719 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Ameritas Investment Company, LLC | 14869 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
5900 "O" Street |
City | State/Province/Country | ZIP/Postal Code |
Lincoln | NEBRASKA | 68510 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
CALIFORNIA | KANSAS | NEBRASKA | OHIO | |
Recipient | Recipient CRD Number | | None |
|
Commonwealth Financial Network | 8032 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
29 Sawyer Road |
City | State/Province/Country | ZIP/Postal Code |
Waltham | MASSACHUSETTS | 02453 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Saxony Securities, Inc. | 115547 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
7401 Watson Road | Suite 86 |
City | State/Province/Country | ZIP/Postal Code |
St. Louis | MISSOURI | 63119 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
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 |
80 State Street |
City | State/Province/Country | ZIP/Postal Code |
Albany | NEW YORK | 12207 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
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 |
117 Paul Drive | Suite B |
City | State/Province/Country | ZIP/Postal Code |
San Rafael | CALIFORNIA | 94903 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Boustead Securities, LLC | 141391 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
6 Venture |
City | State/Province/Country | ZIP/Postal Code |
Irvine | CALIFORNIA | 92618 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
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 Highway | Suite 1201 |
City | State/Province/Country | ZIP/Postal Code |
Fort Lauderdale | FLORIDA | 33308 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Thornhill Securities, Inc. | 22333 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
111 Congress Avenue | Suite 1000 |
City | State/Province/Country | ZIP/Postal Code |
Austin | TEXAS | 78701 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
ARIZONA | CALIFORNIA | COLORADO | DISTRICT OF COLUMBIA | MISSOURI | PENNSYLVANIA | TEXAS | |
Recipient | Recipient CRD Number | | None |
|
American Portfolios Financial Servivces | 18487 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
4250 Veterans Memorial Highway | 4th Floor East |
City | State/Province/Country | ZIP/Postal Code |
Holbrook | NEW YORK | 11741 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Colorado Financial Service Corporation | 104343 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
188 Inverness Drive West | Suite 100 |
City | State/Province/Country | ZIP/Postal Code |
Centennial | COLORADO | 80112 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
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 | | All States |
| |
|
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 E. 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 |
| |
|
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 Road | Suite 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 |
| |
|
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 |
400 First Street South | Suite 300 |
City | State/Province/Country | ZIP/Postal Code |
Saint Cloud | MINNESOTA | 56301 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
COLORADO | FLORIDA | INDIANA | MARYLAND | MINNESOTA | 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 Street 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 |
| |
|
Recipient | Recipient CRD Number | | None |
|
TFS Securities, Inc. | 20626 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
437 Newman Springs Road |
City | State/Province/Country | ZIP/Postal Code |
Lincroft | NEW JERSEY | 07738 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
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 Avenue | Suite 700 |
City | State/Province/Country | ZIP/Postal Code |
Pasadena | CALIFORNIA | 91101 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Great Point Capital LLC | 114203 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
200 West Jackson Boulevard | Suite 1000 |
City | State/Province/Country | ZIP/Postal Code |
Chicago | ILLINOIS | 60606 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Cetera Financial Specialists LLC | 10358 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
200 North Martingale Road | 7th Floor |
City | State/Province/Country | ZIP/Postal Code |
Schaumburg | ILLINOIS | 60173 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
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 | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
McDermott Investment Services, LLC | 154926 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
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 |
|
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 |
| |
|
Recipient | Recipient CRD Number | | None |
|
Cabot Lodge Securities LLC | 159712 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
200 Vesey Street | 24th 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 | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Herold & Lantern Investments, Inc. | 30996 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
35 Pinelawn Road | Suite 101E |
City | State/Province/Country | ZIP/Postal Code |
Melville | NEW YORK | 11747 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
Infinity Financial Services | 144302 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
212 9th Street | Suite 202 |
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 |
| |
|
Recipient | Recipient CRD Number | | None |
|
NPB Financial Group, LLC | 137743 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
3500 W. Olive Avenue | Third Floor |
City | State/Province/Country | ZIP/Postal Code |
Burbank | CALIFORNIA | 91505 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
Recipient | Recipient CRD Number | | None |
|
APW Capital, Inc. | 43814 |
(Associated) Broker or Dealer | X | None |
| (Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
100 Enterprise Drive | Suite 504 |
City | State/Province/Country | ZIP/Postal Code |
Rockaway | NEW JERSEY | 07866 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
| |
|
13. Offering and Sales Amounts
Total Offering Amount | $221,999,204 | USD | |
Total Amount Sold | $213,728,219 | USD |
Total Remaining to be Sold | $8,270,985 | USD | |
Clarification of Response (if Necessary):
Regarding Item 11, the Issuer may accept smaller investments in the Sponsor's sole discretion.14. Investors
| Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering. | |
| Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: | |
15. Sales Commissions & Finder's Fees Expenses
Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
Sales Commissions | $19,757,929 | USD | |
Finders' Fees | $0 | USD | |
Clarification of Response (if Necessary):
Sales Commissions include estimates of the maximum amount of Selling Commissions, Dealer Fees and Placement Agent Fees that may be paid to one or more Related Persons.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):
Item 16 is an estimate of acquisition fees, reimbursements for certain acquisition and financing costs, and offering and organizational expenses that may accrue to one or more Related Persons.Signature and Submission
Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.
Terms of Submission
In submitting this notice, each issuer named above is: |
- Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, in the accordance with applicable law, the information furnished to offerees.*
- Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against the issuer in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.
- Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) or Rule 506(d).
|
Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.
For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.
Issuer | Signature | Name of Signer | Title | Date |
Diversified Residential Portfolio DST | /s/ Keith D. Lampi | Keith D. Lampi | President/COO of the member of Signatory Trustee of Issuer | 2021-07-14 |
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.