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
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OMB APPROVAL |
OMB Number: | 3235-0076 |
Estimated average burden |
hours per response: | 4.00 |
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1. Issuer's Identity
CIK (Filer ID Number) | Previous Names |
| Entity Type |
1476164 |
Bluerock Real Estate Special Opportunity (Plus) Income Fund II, LLC. |
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| Corporation |
| Limited Partnership |
X | Limited Liability Company |
| General Partnership |
| Business Trust |
| Other (Specify) |
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Name of Issuer |
Bluerock Special Opportunity & Income Fund II, LLC |
Jurisdiction of Incorporation/Organization |
DELAWARE |
Year of Incorporation/Organization |
X | Over Five Years Ago |
| Within Last Five Years (Specify Year) | |
| Yet to Be Formed |
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2. Principal Place of Business and Contact Information
Name of Issuer |
Bluerock Special Opportunity & Income Fund II, LLC |
Street Address 1 | Street Address 2 |
C/O BLUEROCK REAL ESTATE, L.L.C. | 70 EAST 55TH STREET, 9TH FLOOR |
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
NEW YORK | NEW YORK | 10022 | (888) 558-1031 |
3. Related Persons
Last Name | First Name | Middle Name |
BR SOIF II Manager | n/a | n/a |
Street Address 1 | Street Address 2 |
70 East 55th Street, 9th Floor |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10022 |
Relationship: | | Executive Officer | | Director | X | Promoter |
Clarification of Response (if Necessary): Manager of Bluerock Special Opportunity + Income Fund II
Last Name | First Name | Middle Name |
Kamfar | R. | Ramin |
Street Address 1 | Street Address 2 |
70 East 55th Street, 9th Floor |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10022 |
Relationship: | X | Executive Officer | | Director | X | Promoter |
Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
Babb III | James | G. |
Street Address 1 | Street Address 2 |
70 East 55th Street, 9th Floor |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10022 |
Relationship: | X | Executive Officer | | Director | | Promoter |
Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
Ruddy | Jordan | B. |
Street Address 1 | Street Address 2 |
70 East 55th Street, 9th Floor |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10022 |
Relationship: | X | Executive Officer | | Director | | Promoter |
Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
Novack | Jerold | E. |
Street Address 1 | Street Address 2 |
70 East 55th Street, 9th Floor |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10022 |
Relationship: | X | Executive Officer | | Director | | Promoter |
Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
Anderson | Patricia | S. |
Street Address 1 | Street Address 2 |
70 East 55th Street, 9th Floor |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10022 |
Relationship: | X | Executive Officer | | Director | | Promoter |
Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
Konig | Michael | L. |
Street Address 1 | Street Address 2 |
70 East 55th Street, 9th Floor |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10022 |
Relationship: | X | Executive Officer | | Director | | Promoter |
Clarification of Response (if Necessary):
4. Industry Group
| Agriculture |
| Banking & Financial Services |
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| Commercial Banking |
| Insurance |
| Investing |
| Investment Banking |
| Pooled Investment Fund |
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| Is the issuer registered as an investment company under the Investment Company Act of 1940? |
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| Other Banking & Financial Services |
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| Business Services |
| Energy |
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| Health Care |
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| Manufacturing |
| Real Estate |
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| Retailing |
| Restaurants |
| Technology |
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| Travel |
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| Tourism & Travel Services |
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| Other |
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5. Issuer Size
Revenue Range | OR | Aggregate Net Asset Value Range |
| 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 505 |
| Rule 504 (b)(1)(i) | X | Rule 506 |
| Rule 504 (b)(1)(ii) | | Securities Act Section 4(5) |
| Rule 504 (b)(1)(iii) | X | Investment Company Act Section 3(c) |
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X | Section 3(c)(1) | | Section 3(c)(9) |
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| Section 3(c)(2) | | Section 3(c)(10) |
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| Section 3(c)(3) | | Section 3(c)(11) |
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| Section 3(c)(4) | | Section 3(c)(12) |
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| Section 3(c)(5) | | Section 3(c)(13) |
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| Section 3(c)(6) | | Section 3(c)(14) |
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7. Type of Filing
| New Notice |
| Date of First Sale | 1/28/10 |
| | First Sale Yet to Occur |
X | Amendment |
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? |
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9. Type(s) of Securities Offered (select all that apply)
| 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) |
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10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
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Clarification of Response (if Necessary): 11. Minimum Investment
Minimum investment accepted from any outside investor | $5,000 | USD |
12. Sales Compensation
Recipient |
Recipient CRD Number | | None |
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Independent Financial Group | 7717 |
(Associated) Broker or Dealer | X | None |
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(Associated) Broker or Dealer CRD Number | X | None |
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None | None |
Street Address 1 | Street Address 2 |
4630 Campus Drive | Suite 104 |
City | State/Province/Country | ZIP/Postal Code |
Newport Beach | CALIFORNIA | 92660 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
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WASHINGTON |
INDIANA |
NEVADA |
IDAHO |
MINNESOTA |
CALIFORNIA |
MARYLAND |
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Recipient |
Recipient CRD Number | | None |
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Omni Brokerage | 16878 |
(Associated) Broker or Dealer | X | None |
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(Associated) Broker or Dealer CRD Number | X | None |
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None | None |
Street Address 1 | Street Address 2 |
1 City Blvd West | Suite 870 |
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 |
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Recipient |
Recipient CRD Number | | None |
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Ivan West | 4921015 |
(Associated) Broker or Dealer | | None |
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(Associated) Broker or Dealer CRD Number | | None |
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ARI FINANCIAL SERVICES, INC. | 137608 |
Street Address 1 | Street Address 2 |
10740 NALL AVENUE, SUITE 235 |
City | State/Province/Country | ZIP/Postal Code |
OVERLAND PARK | KANSAS | 66211 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
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Recipient |
Recipient CRD Number | | None |
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Calton & Associates | 20999 |
(Associated) Broker or Dealer | X | None |
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(Associated) Broker or Dealer CRD Number | X | None |
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None | None |
Street Address 1 | Street Address 2 |
14497 N. DALE MABRY HWY STE. 215 |
City | State/Province/Country | ZIP/Postal Code |
TAMPA | FLORIDA | 33618 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
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NEW JERSEY |
FLORIDA |
NORTH CAROLINA |
PENNSYLVANIA |
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Recipient |
Recipient CRD Number | | None |
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J P Turner | 43177 |
(Associated) Broker or Dealer | X | None |
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(Associated) Broker or Dealer CRD Number | X | None |
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None | None |
Street Address 1 | Street Address 2 |
210 S 9th St |
City | State/Province/Country | ZIP/Postal Code |
Lewiston | NEW YORK | 14092 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
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ILLINOIS |
NEW YORK |
MINNESOTA |
TEXAS |
CALIFORNIA |
FLORIDA |
IOWA |
NEBRASKA |
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Recipient |
Recipient CRD Number | | None |
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Joel Fihn | 5093217 |
(Associated) Broker or Dealer | | None |
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(Associated) Broker or Dealer CRD Number | | None |
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Private Asset Group | 142541 |
Street Address 1 | Street Address 2 |
3070 Bristol | Suite 500 |
City | State/Province/Country | ZIP/Postal Code |
Costa Mesa | CALIFORNIA | 92626 |
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 Ferguson | 4947624 |
(Associated) Broker or Dealer | | None |
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(Associated) Broker or Dealer CRD Number | | None |
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Steven Falk & Associates | 14297 |
Street Address 1 | Street Address 2 |
300 N Lake Ave | Suite 420 |
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 |
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Kevin Blair | 5140079 |
(Associated) Broker or Dealer | | None |
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(Associated) Broker or Dealer CRD Number | | None |
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CapWest Securities | 30002 |
Street Address 1 | Street Address 2 |
3900 S Wadworth | Suite 590 |
City | State/Province/Country | ZIP/Postal Code |
Lakewood | COLORADO | 80235 |
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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Michael Todd | 5592059 |
(Associated) Broker or Dealer | | None |
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(Associated) Broker or Dealer CRD Number | | None |
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CapWest Securities | 30002 |
Street Address 1 | Street Address 2 |
19465 Deerfield Ave | Suite 401 |
City | State/Province/Country | ZIP/Postal Code |
Lansdowne | VIRGINIA | 20176 |
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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Page Potter | 3078634 |
(Associated) Broker or Dealer | | None |
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(Associated) Broker or Dealer CRD Number | | None |
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Sigma Financial | 14303 |
Street Address 1 | Street Address 2 |
809 10th Ave N | Suite 60 |
City | State/Province/Country | ZIP/Postal Code |
Sartell | MINNESOTA | 56377 |
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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Ray Kim | 4446196 |
(Associated) Broker or Dealer | | None |
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(Associated) Broker or Dealer CRD Number | | None |
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Private Asset Group | 142541 |
Street Address 1 | Street Address 2 |
3070 Bristol | Suite 500 |
City | State/Province/Country | ZIP/Postal Code |
Costa Mesa | CALIFORNIA | 92626 |
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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Robert Tweed | 2339324 |
(Associated) Broker or Dealer | | None |
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(Associated) Broker or Dealer CRD Number | | None |
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CapWest Securities | 30002 |
Street Address 1 | Street Address 2 |
2060 Huntington Dr. | Suite 1 |
City | State/Province/Country | ZIP/Postal Code |
San Marino | CALIFORNIA | 91108 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
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LOUISIANA |
WASHINGTON |
CALIFORNIA |
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Recipient |
Recipient CRD Number | | None |
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Stephen Rice | 2023704 |
(Associated) Broker or Dealer | | None |
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(Associated) Broker or Dealer CRD Number | | None |
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Lighthouse Capital | 41812 |
Street Address 1 | Street Address 2 |
1499 Bayshore Highway | Suite 120 |
City | State/Province/Country | ZIP/Postal Code |
Burlingame | CALIFORNIA | 94010 |
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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Tom Velken | 1600404 |
(Associated) Broker or Dealer | | None |
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(Associated) Broker or Dealer CRD Number | | None |
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Sigma Financial | 14303 |
Street Address 1 | Street Address 2 |
1340 Treat Blvd. | #130 |
City | State/Province/Country | ZIP/Postal Code |
Walnut Creek | CALIFORNIA | 94597 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
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Recipient |
Recipient CRD Number | | None |
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Tracy Baggerly | 3195686 |
(Associated) Broker or Dealer | | None |
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(Associated) Broker or Dealer CRD Number | | None |
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American Independent Securities | 135288 |
Street Address 1 | Street Address 2 |
1036 E Iron Eagle | Suite 130 |
City | State/Province/Country | ZIP/Postal Code |
Eagle | IDAHO | 83616 |
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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Edwin Suzuki | 4851317 |
(Associated) Broker or Dealer | | None |
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(Associated) Broker or Dealer CRD Number | | None |
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Newport Coast Securities | 16944 |
Street Address 1 | Street Address 2 |
18872 MACARTHUR BLVD., SUITE 100 |
City | State/Province/Country | ZIP/Postal Code |
IRVINE | CALIFORNIA | 92612 |
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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Hugh Barndollar III | 3027317 |
(Associated) Broker or Dealer | | None |
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(Associated) Broker or Dealer CRD Number | | None |
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Newport Coast Securities | 16944 |
Street Address 1 | Street Address 2 |
18872 MACARTHUR BLVD., SUITE 100 |
City | State/Province/Country | ZIP/Postal Code |
IRVINE | CALIFORNIA | 92612 |
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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Kenneth Finnell | 1184110 |
(Associated) Broker or Dealer | | None |
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(Associated) Broker or Dealer CRD Number | | None |
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Newport Coast Securities | 16944 |
Street Address 1 | Street Address 2 |
18872 MACARTHUR BLVD., SUITE 100 |
City | State/Province/Country | ZIP/Postal Code |
IRVINE | CALIFORNIA | 92612 |
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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Gordon Yee | 2339698 |
(Associated) Broker or Dealer | | None |
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(Associated) Broker or Dealer CRD Number | | None |
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National Securities | 7569 |
Street Address 1 | Street Address 2 |
9300 WILSHIRE BLVD., SUITE 420 |
City | State/Province/Country | ZIP/Postal Code |
BEVERLY HILLS | CALIFORNIA | 90212 |
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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Pamela Harlan Wilson | 1337224 |
(Associated) Broker or Dealer | | None |
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(Associated) Broker or Dealer CRD Number | | None |
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National Securities | 7569 |
Street Address 1 | Street Address 2 |
9300 WILSHIRE BLVD., SUITE 420 |
City | State/Province/Country | ZIP/Postal Code |
BEVERLY HILLS | CALIFORNIA | 90212 |
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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Ferdinand Dosono | 2110497 |
(Associated) Broker or Dealer | | None |
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(Associated) Broker or Dealer CRD Number | | None |
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National Securities | 7569 |
Street Address 1 | Street Address 2 |
9300 WILSHIRE BLVD., SUITE 420 |
City | State/Province/Country | ZIP/Postal Code |
BEVERLY HILLS | CALIFORNIA | 90212 |
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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Joshua Ungerecht | 5183573 |
(Associated) Broker or Dealer | | None |
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(Associated) Broker or Dealer CRD Number | | None |
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Steven Faulk & Associates | 14297 |
Street Address 1 | Street Address 2 |
11280 GRANITE RIDGE DR SUITE 1042 |
City | State/Province/Country | ZIP/Postal Code |
LAS VEGAS | NEVADA | 89135 |
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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Kyle Jobin | 4915438 |
(Associated) Broker or Dealer | | None |
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(Associated) Broker or Dealer CRD Number | | None |
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Sigma Financial | 14303 |
Street Address 1 | Street Address 2 |
191 NORTH AVE., SUITE E |
City | State/Province/Country | ZIP/Postal Code |
MOUNT CLEMENS | MICHIGAN | 48043 |
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 | X | None |
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Tracy Turner | None |
(Associated) Broker or Dealer | | None |
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(Associated) Broker or Dealer CRD Number | | None |
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Lighthouse Capital | 41812 |
Street Address 1 | Street Address 2 |
1499 Bayshore Highway, Suite 120 |
City | State/Province/Country | ZIP/Postal Code |
Burlingame | CALIFORNIA | 94010 |
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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Katherine Kirkpatrick | 4530467 |
(Associated) Broker or Dealer | | None |
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(Associated) Broker or Dealer CRD Number | | None |
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American Independent Securities Group | 135288 |
Street Address 1 | Street Address 2 |
1036 E. IRON EAGLE DR., SUITE 105 |
City | State/Province/Country | ZIP/Postal Code |
EAGLE | IDAHO | 83616 |
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 | X | None |
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David S. Martin | None |
(Associated) Broker or Dealer | | None |
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(Associated) Broker or Dealer CRD Number | | None |
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American Independent Securities Group | 135288 |
Street Address 1 | Street Address 2 |
1036 E. IRON EAGLE DR., SUITE 105 |
City | State/Province/Country | ZIP/Postal Code |
EAGLE | IDAHO | 83616 |
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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Berthel Fisher & Company | 13609 |
(Associated) Broker or Dealer | X | None |
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(Associated) Broker or Dealer CRD Number | X | None |
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None | None |
Street Address 1 | Street Address 2 |
701 TAMA STREET |
City | State/Province/Country | ZIP/Postal Code |
MARION | IOWA | 52302-0609 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
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SOUTH CAROLINA |
ILLINOIS |
NEW YORK |
MINNESOTA |
ALABAMA |
TEXAS |
ARIZONA |
COLORADO |
IOWA |
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Recipient |
Recipient CRD Number | X | None |
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Mark Upchurch | None |
(Associated) Broker or Dealer | | None |
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(Associated) Broker or Dealer CRD Number | | None |
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Brookstone Securities Inc. | 13366 |
Street Address 1 | Street Address 2 |
2920 DRANE FIELD ROAD |
City | State/Province/Country | ZIP/Postal Code |
LAKELAND | FLORIDA | 33813 |
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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Cambridge Legacy Securities | 103722 |
(Associated) Broker or Dealer | X | None |
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(Associated) Broker or Dealer CRD Number | X | None |
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None | None |
Street Address 1 | Street Address 2 |
15660 N DALLAS PARKWAY | SUITE 700 |
City | State/Province/Country | ZIP/Postal Code |
DALLAS | TEXAS | 75248 |
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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Stephen M. Rice | 2023704 |
(Associated) Broker or Dealer | | None |
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(Associated) Broker or Dealer CRD Number | | None |
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Colorado Financial Services Corp. | 22734 |
Street Address 1 | Street Address 2 |
1499 BATSHORE HWY, SUITE 120 |
City | State/Province/Country | ZIP/Postal Code |
BURLINGAME | CALIFORNIA | 94010 |
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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Robert R. Tweed | 2339324 |
(Associated) Broker or Dealer | | None |
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(Associated) Broker or Dealer CRD Number | | None |
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Concorde Investment Services | 151604 |
Street Address 1 | Street Address 2 |
2060 HUNTINGTON DRIVE | SUITE 1 |
City | State/Province/Country | ZIP/Postal Code |
SAN MARINO | CALIFORNIA | 91108 |
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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Daniel Luke | 4324353 |
(Associated) Broker or Dealer | | None |
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(Associated) Broker or Dealer CRD Number | | None |
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DFPG Investments Inc. | 155576 |
Street Address 1 | Street Address 2 |
406 W. SOUTH JORDAN PKWY | SUITE 200 |
City | State/Province/Country | ZIP/Postal Code |
SOUTH JORDAN | UTAH | 84095 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
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Recipient |
Recipient CRD Number | | None |
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Bruce Soltani | 4650376 |
(Associated) Broker or Dealer | | None |
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(Associated) Broker or Dealer CRD Number | | None |
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Girard Securities | 18697 |
Street Address 1 | Street Address 2 |
9560 WAPLES STREET |
City | State/Province/Country | ZIP/Postal Code |
SAN DIEGO | CALIFORNIA | 92121 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
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Recipient |
Recipient CRD Number | | None |
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Mark Cline | 3206962 |
(Associated) Broker or Dealer | | None |
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(Associated) Broker or Dealer CRD Number | | None |
|
Great Nation Investment Corp. | 19981 |
Street Address 1 | Street Address 2 |
400 S.E. 12TH STREET, STE. D |
City | State/Province/Country | ZIP/Postal Code |
FT. LAUDERDALE | FLORIDA | 33316 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
|
|
|
Recipient |
Recipient CRD Number | | None |
|
Neldon L. Watson | 1791393 |
(Associated) Broker or Dealer | | None |
|
(Associated) Broker or Dealer CRD Number | | None |
|
Great Nation Investment Corp. | 19981 |
Street Address 1 | Street Address 2 |
5408-A BELL STREET |
City | State/Province/Country | ZIP/Postal Code |
AMARILLO | TEXAS | 79109 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
|
|
|
Recipient |
Recipient CRD Number | X | None |
|
Alex Martinez | None |
(Associated) Broker or Dealer | | None |
|
(Associated) Broker or Dealer CRD Number | | None |
|
MAM Securities | 41140 |
Street Address 1 | Street Address 2 |
101 CALIFORNIA STREET |
City | State/Province/Country | ZIP/Postal Code |
SAN FRANCISCO | CALIFORNIA | 94111 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
|
|
|
Recipient |
Recipient CRD Number | | None |
|
Oak Tree Securities | 18126 |
(Associated) Broker or Dealer | X | None |
|
(Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
33655 AIRLINE HWY |
City | State/Province/Country | ZIP/Postal Code |
PAICINES | CALIFORNIA | 95043 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
|
|
|
Recipient |
Recipient CRD Number | | None |
|
Jeff Cederberg | 4557771 |
(Associated) Broker or Dealer | | None |
|
(Associated) Broker or Dealer CRD Number | | None |
|
Primex | 29394 |
Street Address 1 | Street Address 2 |
45 KNOLLWOOD ROAD |
City | State/Province/Country | ZIP/Postal Code |
ELMSFORD | NEW YORK | 10523 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
|
|
|
Recipient |
Recipient CRD Number | | None |
|
Michael Steinthal | 435071 |
(Associated) Broker or Dealer | | None |
|
(Associated) Broker or Dealer CRD Number | | None |
|
Primex | 29394 |
Street Address 1 | Street Address 2 |
45 KNOLLWOOD ROAD |
City | State/Province/Country | ZIP/Postal Code |
ELMSFORD | NEW YORK | 10523 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
|
|
|
Recipient |
Recipient CRD Number | | None |
|
Jack R. Halley | 2130728 |
(Associated) Broker or Dealer | | None |
|
(Associated) Broker or Dealer CRD Number | | None |
|
Sandlapper Securities | 137906 |
Street Address 1 | Street Address 2 |
908 TOWER CT |
City | State/Province/Country | ZIP/Postal Code |
CAMARILLO | CALIFORNIA | 93010 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
|
|
|
Recipient |
Recipient CRD Number | | None |
|
Rena Morris | 4867589 |
(Associated) Broker or Dealer | | None |
|
(Associated) Broker or Dealer CRD Number | | None |
|
Sandlapper Securities | 137906 |
Street Address 1 | Street Address 2 |
908 TOWER CT |
City | State/Province/Country | ZIP/Postal Code |
CAMARILLO | CALIFORNIA | 93010 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
|
|
|
Recipient |
Recipient CRD Number | | None |
|
Stephen Holt | 5900842 |
(Associated) Broker or Dealer | | None |
|
(Associated) Broker or Dealer CRD Number | | None |
|
Sandlapper Securities | 137906 |
Street Address 1 | Street Address 2 |
908 TOWER CT |
City | State/Province/Country | ZIP/Postal Code |
CAMARILLO | CALIFORNIA | 93010 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
|
|
|
Recipient |
Recipient CRD Number | | None |
|
Randy W. Burke | 2702441 |
(Associated) Broker or Dealer | | None |
|
(Associated) Broker or Dealer CRD Number | | None |
|
Synergy Investment Group | 46035 |
Street Address 1 | Street Address 2 |
8320 UNIVERSITY EXECUTIVE PARK DRIVE |
City | State/Province/Country | ZIP/Postal Code |
CHARLOTTE | NORTH CAROLINA | 28262 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
|
|
|
Recipient |
Recipient CRD Number | | None |
|
Roger D. Sidener | 867487 |
(Associated) Broker or Dealer | | None |
|
(Associated) Broker or Dealer CRD Number | | None |
|
Synergy Investment Group | 46035 |
Street Address 1 | Street Address 2 |
8320 UNIVERSITY EXECUTIVE PARK DRIVE |
City | State/Province/Country | ZIP/Postal Code |
CHARLOTTE | NORTH CAROLINA | 28262 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
|
|
|
Recipient |
Recipient CRD Number | | None |
|
Julia Sawyer | 1199967 |
(Associated) Broker or Dealer | | None |
|
(Associated) Broker or Dealer CRD Number | | None |
|
Synergy Investment Group | 46035 |
Street Address 1 | Street Address 2 |
8320 UNIVERSITY EXECUTIVE PARK DRIVE |
City | State/Province/Country | ZIP/Postal Code |
CHARLOTTE | NORTH CAROLINA | 28262 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
|
|
|
Recipient |
Recipient CRD Number | | None |
|
Matthew Grygar | 4161771 |
(Associated) Broker or Dealer | | None |
|
(Associated) Broker or Dealer CRD Number | | None |
|
The Helix Financial Group | 147803 |
Street Address 1 | Street Address 2 |
909 LAKE CAROLYN PARKWAY | SUITE 310 |
City | State/Province/Country | ZIP/Postal Code |
IRVING | TEXAS | 75039 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
|
|
|
Recipient |
Recipient CRD Number | | None |
|
Titan Securities | 131392 |
(Associated) Broker or Dealer | X | None |
|
(Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
14801 QUORUM DR |
City | State/Province/Country | ZIP/Postal Code |
DALLAS | TEXAS | 75254 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
|
|
|
Recipient |
Recipient CRD Number | | None |
|
John Schooler | 2368308 |
(Associated) Broker or Dealer | | None |
|
(Associated) Broker or Dealer CRD Number | | None |
|
WFP Securities | 35098 |
Street Address 1 | Street Address 2 |
6020 CORNERSTONE COURT WEST |
City | State/Province/Country | ZIP/Postal Code |
SAN DIEGO | CALIFORNIA | 92121 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
|
|
|
Recipient |
Recipient CRD Number | | None |
|
Sammons Securities | 115368 |
(Associated) Broker or Dealer | X | None |
|
(Associated) Broker or Dealer CRD Number | X | None |
|
None | None |
Street Address 1 | Street Address 2 |
4261 PARK ROAD |
City | State/Province/Country | ZIP/Postal Code |
ANN ARBOR | MICHIGAN | 48103 |
State(s) of Solicitation (select all that apply) Check “All States” or check individual States | | All States |
|
|
SOUTH DAKOTA |
UTAH |
IDAHO |
MINNESOTA |
CALIFORNIA |
IOWA |
MISSOURI |
KANSAS |
MONTANA |
|
13. Offering and Sales Amounts
Total Offering Amount | $55,000,000 | USD |
|
Total Amount Sold | $55,000,000 | USD |
Total Remaining to be Sold | $0 | USD |
|
Clarification of Response (if Necessary): 14. Investors
| Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering. |
|
| Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: |
|
15. Sales Commissions & Finder's Fees Expenses
Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
Sales Commissions | $3,850,000 | 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): 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.
Issuer | Signature | Name of Signer | Title | Date |
Bluerock Special Opportunity & Income Fund II, LLC | /s/ Jordan B. Ruddy | Jordan B. Ruddy | Authorized 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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