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Bluerock Special Opportunity & Income Fund II, LLC – ‘D/A’ on 4/3/13

On:  Wednesday, 4/3/13, at 8:44am ET   ·   Effective:  4/3/13   ·   Accession #:  1476164-13-2   ·   File #:  21-135888

Previous ‘D’:  ‘D/A’ on 7/12/10   ·   Latest ‘D’:  This Filing

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  As Of                Filer                Filing    For·On·As Docs:Size

 4/03/13  Bluerock Special Opportun… II LLC D/A         4/03/13    1:42K

Amendment to Notice of an Offering of Securities Made Without Registration   —   Form D
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: D/A         Amendment to Notice of an Offering of Securities    HTML     41K 
                          Made Without Registration --                           
                          primary_doc.xml/7.6                                    




        

This ‘D/A’ Document is an XML Data File that may be rendered in various formats:

  Form D    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 

 
SEC Info rendering:  Amendment to Notice of an Exempt Offering of Securities
 

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
  None
Entity Type
1476164
Bluerock Real Estate Special Opportunity (Plus) Income Fund II, LLC.
  Corporation
  Limited Partnership
XLimited Liability Company
  General Partnership
  Business Trust
  Other (Specify)

Name of Issuer
Bluerock Special Opportunity & Income Fund II, LLC
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
XOver Five Years Ago
  Within Last Five Years (Specify Year)
  Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
Bluerock Special Opportunity & Income Fund II, LLC
Street Address 1Street Address 2
C/O BLUEROCK REAL ESTATE, L.L.C.70 EAST 55TH STREET, 9TH FLOOR
CityState/Province/CountryZIP/PostalCodePhone Number of Issuer
NEW YORKNEW YORK10022(888) 558-1031

3. Related Persons

Last NameFirst NameMiddle Name
BR SOIF II Managern/an/a
Street Address 1Street Address 2
70 East 55th Street, 9th Floor
CityState/Province/CountryZIP/PostalCode
New YorkNEW YORK10022
Relationship:  Executive Officer  DirectorXPromoter

Clarification of Response (if Necessary):

Manager of Bluerock Special Opportunity + Income Fund II
Last NameFirst NameMiddle Name
KamfarR.Ramin
Street Address 1Street Address 2
70 East 55th Street, 9th Floor
CityState/Province/CountryZIP/PostalCode
New YorkNEW YORK10022
Relationship:XExecutive Officer  DirectorXPromoter

Clarification of Response (if Necessary):


Last NameFirst NameMiddle Name
Babb IIIJamesG.
Street Address 1Street Address 2
70 East 55th Street, 9th Floor
CityState/Province/CountryZIP/PostalCode
New YorkNEW YORK10022
Relationship:XExecutive Officer  Director  Promoter

Clarification of Response (if Necessary):


Last NameFirst NameMiddle Name
RuddyJordanB.
Street Address 1Street Address 2
70 East 55th Street, 9th Floor
CityState/Province/CountryZIP/PostalCode
New YorkNEW YORK10022
Relationship:XExecutive Officer  Director  Promoter

Clarification of Response (if Necessary):


Last NameFirst NameMiddle Name
NovackJeroldE.
Street Address 1Street Address 2
70 East 55th Street, 9th Floor
CityState/Province/CountryZIP/PostalCode
New YorkNEW YORK10022
Relationship:XExecutive Officer  Director  Promoter

Clarification of Response (if Necessary):


Last NameFirst NameMiddle Name
AndersonPatriciaS.
Street Address 1Street Address 2
70 East 55th Street, 9th Floor
CityState/Province/CountryZIP/PostalCode
New YorkNEW YORK10022
Relationship:XExecutive Officer  Director  Promoter

Clarification of Response (if Necessary):


Last NameFirst NameMiddle Name
KonigMichaelL.
Street Address 1Street Address 2
70 East 55th Street, 9th Floor
CityState/Province/CountryZIP/PostalCode
New YorkNEW YORK10022
Relationship:XExecutive Officer  Director  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
  Oil & Gas
  Other Energy
Health Care
  Biotechnology
  Health Insurance
  Hospitals & Physicians
  Pharmaceuticals
  Other Health Care
  Manufacturing
Real Estate
  Commercial
  Construction
  REITS & Finance
XResidential
  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 RangeORAggregate 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
XDecline 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 505
  Rule 504 (b)(1)(i)XRule 506
  Rule 504 (b)(1)(ii)  Securities Act Section 4(5)
  Rule 504 (b)(1)(iii)XInvestment Company Act Section 3(c)
XSection 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)
  Section 3(c)(7)

7. Type of Filing

  New Notice Date of First Sale 1/28/10   First Sale Yet to Occur
XAmendment

8. Duration of Offering

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

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

  EquityXPooled 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?
  YesXNo

Clarification of Response (if Necessary):

11. Minimum Investment

Minimum investment accepted from any outside investor$5,000USD

12. Sales Compensation

Recipient
Recipient CRD Number  None
Independent Financial Group7717
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
4630 Campus DriveSuite 104
CityState/Province/CountryZIP/Postal Code
Newport BeachCALIFORNIA92660
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
WASHINGTON
INDIANA
NEVADA
IDAHO
MINNESOTA
CALIFORNIA
MARYLAND

Recipient
Recipient CRD Number  None
Omni Brokerage16878
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
1 City Blvd WestSuite 870
CityState/Province/CountryZIP/Postal Code
OrangeCALIFORNIA92868
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
UTAH
CALIFORNIA

Recipient
Recipient CRD Number  None
Ivan West4921015
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
ARI FINANCIAL SERVICES, INC.137608
Street Address 1Street Address 2
10740 NALL AVENUE, SUITE 235
CityState/Province/CountryZIP/Postal Code
OVERLAND PARKKANSAS66211
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
Calton & Associates20999
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
14497 N. DALE MABRY HWY STE. 215
CityState/Province/CountryZIP/Postal Code
TAMPAFLORIDA33618
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
NEW JERSEY
FLORIDA
NORTH CAROLINA
PENNSYLVANIA

Recipient
Recipient CRD Number  None
J P Turner43177
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
210 S 9th St
CityState/Province/CountryZIP/Postal Code
LewistonNEW YORK14092
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
ILLINOIS
NEW YORK
MINNESOTA
TEXAS
CALIFORNIA
FLORIDA
IOWA
NEBRASKA

Recipient
Recipient CRD Number  None
Joel Fihn5093217
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Private Asset Group142541
Street Address 1Street Address 2
3070 BristolSuite 500
CityState/Province/CountryZIP/Postal Code
Costa MesaCALIFORNIA92626
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CALIFORNIA

Recipient
Recipient CRD Number  None
John Ferguson4947624
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Steven Falk & Associates14297
Street Address 1Street Address 2
300 N Lake AveSuite 420
CityState/Province/CountryZIP/Postal Code
PasadenaCALIFORNIA91101
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CALIFORNIA

Recipient
Recipient CRD Number  None
Kevin Blair5140079
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
CapWest Securities30002
Street Address 1Street Address 2
3900 S WadworthSuite 590
CityState/Province/CountryZIP/Postal Code
LakewoodCOLORADO80235
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
COLORADO

Recipient
Recipient CRD Number  None
Michael Todd5592059
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
CapWest Securities30002
Street Address 1Street Address 2
19465 Deerfield AveSuite 401
CityState/Province/CountryZIP/Postal Code
LansdowneVIRGINIA20176
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
VIRGINIA

Recipient
Recipient CRD Number  None
Page Potter3078634
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Sigma Financial14303
Street Address 1Street Address 2
809 10th Ave NSuite 60
CityState/Province/CountryZIP/Postal Code
SartellMINNESOTA56377
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
MINNESOTA
MARYLAND

Recipient
Recipient CRD Number  None
Ray Kim4446196
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Private Asset Group142541
Street Address 1Street Address 2
3070 BristolSuite 500
CityState/Province/CountryZIP/Postal Code
Costa MesaCALIFORNIA92626
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CALIFORNIA

Recipient
Recipient CRD Number  None
Robert Tweed2339324
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
CapWest Securities30002
Street Address 1Street Address 2
2060 Huntington Dr.Suite 1
CityState/Province/CountryZIP/Postal Code
San MarinoCALIFORNIA91108
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
LOUISIANA
WASHINGTON
CALIFORNIA

Recipient
Recipient CRD Number  None
Stephen Rice2023704
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Lighthouse Capital41812
Street Address 1Street Address 2
1499 Bayshore HighwaySuite 120
CityState/Province/CountryZIP/Postal Code
BurlingameCALIFORNIA94010
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CALIFORNIA

Recipient
Recipient CRD Number  None
Tom Velken1600404
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Sigma Financial14303
Street Address 1Street Address 2
1340 Treat Blvd.#130
CityState/Province/CountryZIP/Postal Code
Walnut CreekCALIFORNIA94597
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
NEW JERSEY

Recipient
Recipient CRD Number  None
Tracy Baggerly3195686
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
American Independent Securities135288
Street Address 1Street Address 2
1036 E Iron EagleSuite 130
CityState/Province/CountryZIP/Postal Code
EagleIDAHO83616
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
IDAHO

Recipient
Recipient CRD Number  None
Edwin Suzuki4851317
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Newport Coast Securities16944
Street Address 1Street Address 2
18872 MACARTHUR BLVD., SUITE 100
CityState/Province/CountryZIP/Postal Code
IRVINECALIFORNIA92612
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CALIFORNIA

Recipient
Recipient CRD Number  None
Hugh Barndollar III3027317
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Newport Coast Securities16944
Street Address 1Street Address 2
18872 MACARTHUR BLVD., SUITE 100
CityState/Province/CountryZIP/Postal Code
IRVINECALIFORNIA92612
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
Kenneth Finnell1184110
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Newport Coast Securities16944
Street Address 1Street Address 2
18872 MACARTHUR BLVD., SUITE 100
CityState/Province/CountryZIP/Postal Code
IRVINECALIFORNIA92612
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CALIFORNIA

Recipient
Recipient CRD Number  None
Gordon Yee2339698
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
National Securities7569
Street Address 1Street Address 2
9300 WILSHIRE BLVD., SUITE 420
CityState/Province/CountryZIP/Postal Code
BEVERLY HILLSCALIFORNIA90212
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
HAWAII

Recipient
Recipient CRD Number  None
Pamela Harlan Wilson1337224
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
National Securities7569
Street Address 1Street Address 2
9300 WILSHIRE BLVD., SUITE 420
CityState/Province/CountryZIP/Postal Code
BEVERLY HILLSCALIFORNIA90212
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CALIFORNIA

Recipient
Recipient CRD Number  None
Ferdinand Dosono2110497
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
National Securities7569
Street Address 1Street Address 2
9300 WILSHIRE BLVD., SUITE 420
CityState/Province/CountryZIP/Postal Code
BEVERLY HILLSCALIFORNIA90212
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
HAWAII

Recipient
Recipient CRD Number  None
Joshua Ungerecht5183573
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Steven Faulk & Associates14297
Street Address 1Street Address 2
11280 GRANITE RIDGE DR SUITE 1042
CityState/Province/CountryZIP/Postal Code
LAS VEGASNEVADA89135
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
TEXAS

Recipient
Recipient CRD Number  None
Kyle Jobin4915438
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Sigma Financial14303
Street Address 1Street Address 2
191 NORTH AVE., SUITE E
CityState/Province/CountryZIP/Postal Code
MOUNT CLEMENSMICHIGAN48043
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
MICHIGAN

Recipient
Recipient CRD NumberXNone
Tracy TurnerNone
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Lighthouse Capital41812
Street Address 1Street Address 2
1499 Bayshore Highway, Suite 120
CityState/Province/CountryZIP/Postal Code
BurlingameCALIFORNIA94010
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CALIFORNIA

Recipient
Recipient CRD Number  None
Katherine Kirkpatrick4530467
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
American Independent Securities Group135288
Street Address 1Street Address 2
1036 E. IRON EAGLE DR., SUITE 105
CityState/Province/CountryZIP/Postal Code
EAGLEIDAHO83616
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
IDAHO

Recipient
Recipient CRD NumberXNone
David S. MartinNone
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
American Independent Securities Group135288
Street Address 1Street Address 2
1036 E. IRON EAGLE DR., SUITE 105
CityState/Province/CountryZIP/Postal Code
EAGLEIDAHO83616
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CALIFORNIA

Recipient
Recipient CRD Number  None
Berthel Fisher & Company13609
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
701 TAMA STREET
CityState/Province/CountryZIP/Postal Code
MARIONIOWA52302-0609
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
SOUTH CAROLINA
ILLINOIS
NEW YORK
MINNESOTA
ALABAMA
TEXAS
ARIZONA
COLORADO
IOWA

Recipient
Recipient CRD NumberXNone
Mark UpchurchNone
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Brookstone Securities Inc.13366
Street Address 1Street Address 2
2920 DRANE FIELD ROAD
CityState/Province/CountryZIP/Postal Code
LAKELANDFLORIDA33813
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
TEXAS

Recipient
Recipient CRD Number  None
Cambridge Legacy Securities103722
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
15660 N DALLAS PARKWAYSUITE 700
CityState/Province/CountryZIP/Postal Code
DALLASTEXAS75248
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
TEXAS
FLORIDA

Recipient
Recipient CRD Number  None
Stephen M. Rice2023704
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Colorado Financial Services Corp.22734
Street Address 1Street Address 2
1499 BATSHORE HWY, SUITE 120
CityState/Province/CountryZIP/Postal Code
BURLINGAMECALIFORNIA94010
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CALIFORNIA

Recipient
Recipient CRD Number  None
Robert R. Tweed2339324
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Concorde Investment Services151604
Street Address 1Street Address 2
2060 HUNTINGTON DRIVESUITE 1
CityState/Province/CountryZIP/Postal Code
SAN MARINOCALIFORNIA91108
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CALIFORNIA

Recipient
Recipient CRD Number  None
Daniel Luke4324353
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
DFPG Investments Inc.155576
Street Address 1Street Address 2
406 W. SOUTH JORDAN PKWYSUITE 200
CityState/Province/CountryZIP/Postal Code
SOUTH JORDANUTAH84095
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
UTAH

Recipient
Recipient CRD Number  None
Bruce Soltani4650376
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Girard Securities18697
Street Address 1Street Address 2
9560 WAPLES STREET
CityState/Province/CountryZIP/Postal Code
SAN DIEGOCALIFORNIA92121
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CALIFORNIA

Recipient
Recipient CRD Number  None
Mark Cline3206962
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Great Nation Investment Corp.19981
Street Address 1Street Address 2
400 S.E. 12TH STREET, STE. D
CityState/Province/CountryZIP/Postal Code
FT. LAUDERDALEFLORIDA33316
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
Neldon L. Watson1791393
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Great Nation Investment Corp.19981
Street Address 1Street Address 2
5408-A BELL STREET
CityState/Province/CountryZIP/Postal Code
AMARILLOTEXAS79109
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
TEXAS

Recipient
Recipient CRD NumberXNone
Alex MartinezNone
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
MAM Securities41140
Street Address 1Street Address 2
101 CALIFORNIA STREET
CityState/Province/CountryZIP/Postal Code
SAN FRANCISCOCALIFORNIA94111
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CALIFORNIA

Recipient
Recipient CRD Number  None
Oak Tree Securities18126
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
33655 AIRLINE HWY
CityState/Province/CountryZIP/Postal Code
PAICINESCALIFORNIA95043
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CALIFORNIA

Recipient
Recipient CRD Number  None
Jeff Cederberg4557771
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Primex29394
Street Address 1Street Address 2
45 KNOLLWOOD ROAD
CityState/Province/CountryZIP/Postal Code
ELMSFORDNEW YORK10523
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CALIFORNIA

Recipient
Recipient CRD Number  None
Michael Steinthal435071
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Primex29394
Street Address 1Street Address 2
45 KNOLLWOOD ROAD
CityState/Province/CountryZIP/Postal Code
ELMSFORDNEW YORK10523
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
DISTRICT OF COLUMBIA

Recipient
Recipient CRD Number  None
Jack R. Halley2130728
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Sandlapper Securities137906
Street Address 1Street Address 2
908 TOWER CT
CityState/Province/CountryZIP/Postal Code
CAMARILLOCALIFORNIA93010
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CALIFORNIA

Recipient
Recipient CRD Number  None
Rena Morris4867589
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Sandlapper Securities137906
Street Address 1Street Address 2
908 TOWER CT
CityState/Province/CountryZIP/Postal Code
CAMARILLOCALIFORNIA93010
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CALIFORNIA

Recipient
Recipient CRD Number  None
Stephen Holt5900842
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Sandlapper Securities137906
Street Address 1Street Address 2
908 TOWER CT
CityState/Province/CountryZIP/Postal Code
CAMARILLOCALIFORNIA93010
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
CALIFORNIA

Recipient
Recipient CRD Number  None
Randy W. Burke2702441
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Synergy Investment Group46035
Street Address 1Street Address 2
8320 UNIVERSITY EXECUTIVE PARK DRIVE
CityState/Province/CountryZIP/Postal Code
CHARLOTTENORTH CAROLINA28262
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
TENNESSEE

Recipient
Recipient CRD Number  None
Roger D. Sidener867487
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Synergy Investment Group46035
Street Address 1Street Address 2
8320 UNIVERSITY EXECUTIVE PARK DRIVE
CityState/Province/CountryZIP/Postal Code
CHARLOTTENORTH CAROLINA28262
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
TEXAS

Recipient
Recipient CRD Number  None
Julia Sawyer1199967
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
Synergy Investment Group46035
Street Address 1Street Address 2
8320 UNIVERSITY EXECUTIVE PARK DRIVE
CityState/Province/CountryZIP/Postal Code
CHARLOTTENORTH CAROLINA28262
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
OHIO

Recipient
Recipient CRD Number  None
Matthew Grygar4161771
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
The Helix Financial Group147803
Street Address 1Street Address 2
909 LAKE CAROLYN PARKWAYSUITE 310
CityState/Province/CountryZIP/Postal Code
IRVINGTEXAS75039
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
TEXAS

Recipient
Recipient CRD Number  None
Titan Securities131392
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
14801 QUORUM DR
CityState/Province/CountryZIP/Postal Code
DALLASTEXAS75254
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
TEXAS
KANSAS

Recipient
Recipient CRD Number  None
John Schooler2368308
(Associated) Broker or Dealer  None
(Associated) Broker or Dealer CRD Number  None
WFP Securities35098
Street Address 1Street Address 2
6020 CORNERSTONE COURT WEST
CityState/Province/CountryZIP/Postal Code
SAN DIEGOCALIFORNIA92121
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
WASHINGTON

Recipient
Recipient CRD Number  None
Sammons Securities115368
(Associated) Broker or DealerXNone
(Associated) Broker or Dealer CRD NumberXNone
NoneNone
Street Address 1Street Address 2
4261 PARK ROAD
CityState/Province/CountryZIP/Postal Code
ANN ARBORMICHIGAN48103
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
  All States
  Foreign/non-US
SOUTH DAKOTA
UTAH
IDAHO
MINNESOTA
CALIFORNIA
IOWA
MISSOURI
KANSAS
MONTANA

13. Offering and Sales Amounts

Total Offering Amount$55,000,000USD
or  Indefinite
Total Amount Sold$55,000,000USD
Total Remaining to be Sold$0USD
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:
577

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$3,850,000USD
XEstimate
Finders' Fees$0USD
  Estimate

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.

$0USD
XEstimate

Clarification of Response (if Necessary):

Manager receives a monthly asset management fee equal to 1/12 of 1% of the higher of the cost or the value of each asset.

Signature and Submission

Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.

Terms of Submission

In submitting this notice, each issuer named above is:
  • Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, in the accordance with applicable law, the information furnished to offerees.*
  • Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against the issuer in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of:  (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.
  • Certifying that, if the issuer is claiming a Rule 505 exemption, the issuer is not disqualified from relying on Rule 505 for one of the reasons stated in Rule 505(b)(2)(iii).

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.

IssuerSignatureName of SignerTitleDate
Bluerock Special Opportunity & Income Fund II, LLC/s/ Jordan B. RuddyJordan B. RuddyAuthorized Signatory 4/2/13

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.


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