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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
 
 
EDGAR System rendering:  Amendment to Notice of an Exempt Offering of Securities
 

FORM D
Notice of Exempt Offering of Securities

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

OMB APPROVAL
OMB Number: 3235-0076
Estimated Average burden hours per response: 4.0
1. Issuer's Identity
CIK (Filer ID Number)Previous Name(s)box uncheckedNoneEntity Type
0001476164
Bluerock Real Estate Special Opportunity (Plus) Income Fund II, LLC.
radio uncheckedCorporation
radio unchecked Limited Partnership
radio checked Limited Liability Company
radio unchecked General Partnership
radio unchecked Business Trust
radio uncheckedOther 
Name of Issuer
 Bluerock Special Opportunity & Income Fund II, LLC
Jurisdiction of Incorporation/Organization
DELAWARE 
Year of Incorporation/Organization
radio checkedOver Five Years Ago
radio uncheckedWithin Last Five Years (Specify Year)
 
radio uncheckedYet 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/Postal CodePhone No. of Issuer
 NEW YORK
 NEW YORK
 
 10022
 (888) 558-1031 



3. Related Persons

Last NameFirst NameMiddle Name
BR SOIF II Manager
n/a
n/a
Street Address 1Street Address 2
 70 East 55th Street, 9th Floor 
 
CityState/Province/CountryZIP/Postal Code
 New York
 NEW YORK
 10022
 
Relationship:box uncheckedExecutive Officerbox uncheckedDirectorbox checkedPromoter
Clarification of Response (if Necessary)
Manager of Bluerock Special Opportunity + Income Fund II


Last NameFirst NameMiddle Name
Kamfar
R.
Ramin
Street Address 1Street Address 2
 70 East 55th Street, 9th Floor 
 
CityState/Province/CountryZIP/Postal Code
 New York
 NEW YORK
 10022
 
Relationship:box checkedExecutive Officerbox uncheckedDirectorbox checkedPromoter
Clarification of Response (if Necessary)
 


Last NameFirst NameMiddle Name
Babb III
James
G.
Street Address 1Street Address 2
 70 East 55th Street, 9th Floor 
 
CityState/Province/CountryZIP/Postal Code
 New York
 NEW YORK
 10022
 
Relationship:box checkedExecutive Officerbox uncheckedDirectorbox uncheckedPromoter
Clarification of Response (if Necessary)
 


Last NameFirst NameMiddle Name
Ruddy
Jordan
B.
Street Address 1Street Address 2
 70 East 55th Street, 9th Floor 
 
CityState/Province/CountryZIP/Postal Code
 New York
 NEW YORK
 10022
 
Relationship:box checkedExecutive Officerbox uncheckedDirectorbox uncheckedPromoter
Clarification of Response (if Necessary)
 


Last NameFirst NameMiddle Name
Novack
Jerold
E.
Street Address 1Street Address 2
 70 East 55th Street, 9th Floor 
 
CityState/Province/CountryZIP/Postal Code
 New York
 NEW YORK
 10022
 
Relationship:box checkedExecutive Officerbox uncheckedDirectorbox uncheckedPromoter
Clarification of Response (if Necessary)
 


Last NameFirst NameMiddle Name
Anderson
Patricia
S.
Street Address 1Street Address 2
 70 East 55th Street, 9th Floor 
 
CityState/Province/CountryZIP/Postal Code
 New York
 NEW YORK
 10022
 
Relationship:box checkedExecutive Officerbox uncheckedDirectorbox uncheckedPromoter
Clarification of Response (if Necessary)
 


Last NameFirst NameMiddle Name
Konig
Michael
L.
Street Address 1Street Address 2
 70 East 55th Street, 9th Floor 
 
CityState/Province/CountryZIP/Postal Code
 New York
 NEW YORK
 10022
 
Relationship:box checkedExecutive Officerbox uncheckedDirectorbox uncheckedPromoter
Clarification of Response (if Necessary)
 




4. Industry Group
 radio uncheckedAgriculture
Banking & Financial Services
 radio unchecked Commercial Banking
 radio unchecked Insurance
 radio uncheckedInvesting
 radio unchecked Investment Banking
 radio unchecked Pooled Investment Fund

 radio uncheckedOther Banking & Financial Services
radio unchecked Business Services
Energy
 radio unchecked Coal Mining
 radio unchecked Electric Utilities
 radio unchecked Energy Conservation
 radio unchecked Environmental Services
 radio unchecked Oil & Gas
 radio unchecked Other Energy
Health Care
 radio unchecked Biotechnology
 radio unchecked Health Insurance
 radio unchecked Hospitals & Physicians
 radio unchecked Pharmaceuticals
 radio unchecked Other Health Care
   
   
   
  
radio unchecked Manufacturing
Real Estate
 radio uncheckedCommercial
 radio uncheckedConstruction
 radio uncheckedREITS & Finance
 radio checkedResidential
radio uncheckedOther Real Estate
radio unchecked Retailing
radio uncheckedRestaurants
Technology
radio unchecked Computers
radio unchecked Telecommunications
radio unchecked Other Technology
Travel
radio unchecked Airlines & Airports
radio unchecked Lodging & Conventions
radio unchecked Tourism & Travel Services
radio unchecked Other Travel
radio uncheckedOther

  
   
5. Issuer Size
Revenue RangeAggregate Net Asset Value Range
radio uncheckedNo Revenuesradio unchecked No Aggregate Net Asset Value
radio unchecked $1 - $1,000,000radio unchecked$1 - $5,000,000
radio unchecked $1,000,001 - $5,000,000radio unchecked $5,000,001 - $25,000,000
radio unchecked$5,000,001 - $25,000,000radio unchecked $25,000,001 - $50,000,000
radio unchecked$25,000,001 - $100,000,000radio unchecked $50,000,001 - $100,000,000
radio unchecked Over $100,000,000radio unchecked Over $100,000,000
radio checked Decline to Disclose radio uncheckedDecline to Disclose
radio unchecked Not Applicableradio unchecked Not Applicable

 
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
box uncheckedRule 504(b)(1) (not (i), (ii)
or (iii))		box uncheckedRule 505      
box uncheckedRule 504 (b)(1)(i) box checkedRule 506
box uncheckedRule 504 (b)(1)(ii) box uncheckedSecurities Act Section 4(5)
box uncheckedRule 504 (b)(1)(iii)box checkedInvestment Company Act Section 3(c)
box checkedSection 3(c)(1)box uncheckedSection 3(c)(9)
box uncheckedSection 3(c)(2)box uncheckedSection 3(c)(10)
box uncheckedSection 3(c)(3)box uncheckedSection 3(c)(11)
box uncheckedSection 3(c)(4)box uncheckedSection 3(c)(12)
box uncheckedSection 3(c)(5)box uncheckedSection 3(c)(13)
box uncheckedSection 3(c)(6)box uncheckedSection 3(c)(14)
box uncheckedSection 3(c)(7)
 
 

7. Type of Filing
box unchecked New Notice Date of First Sale 
2010-01-28
box unchecked First Sale Yet to Occur
box checked Amendment


 
 
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? radio checked Yes radio unchecked No
 
 
9. Type(s) of Securities Offered (select all that apply)
box checkedPooled Investment Fund Interestsbox uncheckedEquity
box uncheckedTenant-in-Common Securities box uncheckedDebt
box uncheckedMineral Property Securitiesbox uncheckedOption, Warrant or Other Right to Acquire Another Security
box uncheckedSecurity to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Securitybox uncheckedOther (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? radio unchecked Yes radio checked No
Clarification of Response (if Necessary)
 
 
 
11. Minimum Investment
Minimum investment accepted from any outside investor$
 5000
USD

12. Sales Compensation
Recipient Recipient CRD Numberbox uncheckedNone
 Independent Financial Group
 7717
(Associated) Broker or Dealerbox checkedNone(Associated) Broker or Dealer CRD Number box checkedNone
  
  
Street Address 1      Street Address 2
4630 Campus Drive
Suite 104
City State/Province/CountryZIP/Postal Code
 Newport Beach
 CALIFORNIA
 92660
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
WASHINGTON
INDIANA
NEVADA
IDAHO
MINNESOTA
CALIFORNIA
MARYLAND
Recipient Recipient CRD Numberbox uncheckedNone
 Omni Brokerage
 16878
(Associated) Broker or Dealerbox checkedNone(Associated) Broker or Dealer CRD Number box checkedNone
  
  
Street Address 1      Street Address 2
1 City Blvd West
Suite 870
City State/Province/CountryZIP/Postal Code
 Orange
 CALIFORNIA
 92868
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
UTAH
CALIFORNIA
Recipient Recipient CRD Numberbox uncheckedNone
 Ivan West
 4921015
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 ARI FINANCIAL SERVICES, INC.
 137608
Street Address 1      Street Address 2
10740 NALL AVENUE, SUITE 235
 
City State/Province/CountryZIP/Postal Code
 OVERLAND PARK
 KANSAS
 66211
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
FLORIDA
Recipient Recipient CRD Numberbox uncheckedNone
 Calton & Associates
 20999
(Associated) Broker or Dealerbox checkedNone(Associated) Broker or Dealer CRD Number box checkedNone
  
  
Street Address 1      Street Address 2
14497 N. DALE MABRY HWY STE. 215
 
City State/Province/CountryZIP/Postal Code
 TAMPA
 FLORIDA
 33618
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
NEW JERSEY
FLORIDA
NORTH CAROLINA
PENNSYLVANIA
Recipient Recipient CRD Numberbox uncheckedNone
 J P Turner
 43177
(Associated) Broker or Dealerbox checkedNone(Associated) Broker or Dealer CRD Number box checkedNone
  
  
Street Address 1      Street Address 2
210 S 9th St
 
City State/Province/CountryZIP/Postal Code
 Lewiston
 NEW YORK
 14092
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
ILLINOIS
NEW YORK
MINNESOTA
TEXAS
CALIFORNIA
FLORIDA
IOWA
NEBRASKA
Recipient Recipient CRD Numberbox uncheckedNone
 Joel Fihn
 5093217
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 Private Asset Group
 142541
Street Address 1      Street Address 2
3070 Bristol
Suite 500
City State/Province/CountryZIP/Postal Code
 Costa Mesa
 CALIFORNIA
 92626
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD Numberbox uncheckedNone
 John Ferguson
 4947624
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 Steven Falk & Associates
 14297
Street Address 1      Street Address 2
300 N Lake Ave
Suite 420
City State/Province/CountryZIP/Postal Code
 Pasadena
 CALIFORNIA
 91101
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD Numberbox uncheckedNone
 Kevin Blair
 5140079
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 CapWest Securities
 30002
Street Address 1      Street Address 2
3900 S Wadworth
Suite 590
City State/Province/CountryZIP/Postal Code
 Lakewood
 COLORADO
 80235
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
COLORADO
Recipient Recipient CRD Numberbox uncheckedNone
 Michael Todd
 5592059
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 CapWest Securities
 30002
Street Address 1      Street Address 2
19465 Deerfield Ave
Suite 401
City State/Province/CountryZIP/Postal Code
 Lansdowne
 VIRGINIA
 20176
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
VIRGINIA
Recipient Recipient CRD Numberbox uncheckedNone
 Page Potter
 3078634
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 Sigma Financial
 14303
Street Address 1      Street Address 2
809 10th Ave N
Suite 60
City State/Province/CountryZIP/Postal Code
 Sartell
 MINNESOTA
 56377
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
MINNESOTA
MARYLAND
Recipient Recipient CRD Numberbox uncheckedNone
 Ray Kim
 4446196
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 Private Asset Group
 142541
Street Address 1      Street Address 2
3070 Bristol
Suite 500
City State/Province/CountryZIP/Postal Code
 Costa Mesa
 CALIFORNIA
 92626
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD Numberbox uncheckedNone
 Robert Tweed
 2339324
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 CapWest Securities
 30002
Street Address 1      Street Address 2
2060 Huntington Dr.
Suite 1
City State/Province/CountryZIP/Postal Code
 San Marino
 CALIFORNIA
 91108
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
LOUISIANA
WASHINGTON
CALIFORNIA
Recipient Recipient CRD Numberbox uncheckedNone
 Stephen Rice
 2023704
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 Lighthouse Capital
 41812
Street Address 1      Street Address 2
1499 Bayshore Highway
Suite 120
City State/Province/CountryZIP/Postal Code
 Burlingame
 CALIFORNIA
 94010
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD Numberbox uncheckedNone
 Tom Velken
 1600404
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 Sigma Financial
 14303
Street Address 1      Street Address 2
1340 Treat Blvd.
#130
City State/Province/CountryZIP/Postal Code
 Walnut Creek
 CALIFORNIA
 94597
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
NEW JERSEY
Recipient Recipient CRD Numberbox uncheckedNone
 Tracy Baggerly
 3195686
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 American Independent Securities
 135288
Street Address 1      Street Address 2
1036 E Iron Eagle
Suite 130
City State/Province/CountryZIP/Postal Code
 Eagle
 IDAHO
 83616
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
IDAHO
Recipient Recipient CRD Numberbox uncheckedNone
 Edwin Suzuki
 4851317
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 Newport Coast Securities
 16944
Street Address 1      Street Address 2
18872 MACARTHUR BLVD., SUITE 100
 
City State/Province/CountryZIP/Postal Code
 IRVINE
 CALIFORNIA
 92612
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD Numberbox uncheckedNone
 Hugh Barndollar III
 3027317
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 Newport Coast Securities
 16944
Street Address 1      Street Address 2
18872 MACARTHUR BLVD., SUITE 100
 
City State/Province/CountryZIP/Postal Code
 IRVINE
 CALIFORNIA
 92612
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
FLORIDA
Recipient Recipient CRD Numberbox uncheckedNone
 Kenneth Finnell
 1184110
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 Newport Coast Securities
 16944
Street Address 1      Street Address 2
18872 MACARTHUR BLVD., SUITE 100
 
City State/Province/CountryZIP/Postal Code
 IRVINE
 CALIFORNIA
 92612
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD Numberbox uncheckedNone
 Gordon Yee
 2339698
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 National Securities
 7569
Street Address 1      Street Address 2
9300 WILSHIRE BLVD., SUITE 420
 
City State/Province/CountryZIP/Postal Code
 BEVERLY HILLS
 CALIFORNIA
 90212
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
HAWAII
Recipient Recipient CRD Numberbox uncheckedNone
 Pamela Harlan Wilson
 1337224
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 National Securities
 7569
Street Address 1      Street Address 2
9300 WILSHIRE BLVD., SUITE 420
 
City State/Province/CountryZIP/Postal Code
 BEVERLY HILLS
 CALIFORNIA
 90212
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD Numberbox uncheckedNone
 Ferdinand Dosono
 2110497
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 National Securities
 7569
Street Address 1      Street Address 2
9300 WILSHIRE BLVD., SUITE 420
 
City State/Province/CountryZIP/Postal Code
 BEVERLY HILLS
 CALIFORNIA
 90212
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
HAWAII
Recipient Recipient CRD Numberbox uncheckedNone
 Joshua Ungerecht
 5183573
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 Steven Faulk & Associates
 14297
Street Address 1      Street Address 2
11280 GRANITE RIDGE DR SUITE 1042
 
City State/Province/CountryZIP/Postal Code
 LAS VEGAS
 NEVADA
 89135
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
TEXAS
Recipient Recipient CRD Numberbox uncheckedNone
 Kyle Jobin
 4915438
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 Sigma Financial
 14303
Street Address 1      Street Address 2
191 NORTH AVE., SUITE E
 
City State/Province/CountryZIP/Postal Code
 MOUNT CLEMENS
 MICHIGAN
 48043
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
MICHIGAN
Recipient Recipient CRD Numberbox checkedNone
 Tracy Turner
  
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 Lighthouse Capital
 41812
Street Address 1      Street Address 2
1499 Bayshore Highway, Suite 120
 
City State/Province/CountryZIP/Postal Code
 Burlingame
 CALIFORNIA
 94010
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD Numberbox uncheckedNone
 Katherine Kirkpatrick
 4530467
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 American Independent Securities Group
 135288
Street Address 1      Street Address 2
1036 E. IRON EAGLE DR., SUITE 105
 
City State/Province/CountryZIP/Postal Code
 EAGLE
 IDAHO
 83616
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
IDAHO
Recipient Recipient CRD Numberbox checkedNone
 David S. Martin
  
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 American Independent Securities Group
 135288
Street Address 1      Street Address 2
1036 E. IRON EAGLE DR., SUITE 105
 
City State/Province/CountryZIP/Postal Code
 EAGLE
 IDAHO
 83616
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD Numberbox uncheckedNone
 Berthel Fisher & Company
 13609
(Associated) Broker or Dealerbox checkedNone(Associated) Broker or Dealer CRD Number box checkedNone
  
  
Street Address 1      Street Address 2
701 TAMA STREET
 
City State/Province/CountryZIP/Postal Code
 MARION
 IOWA
 52302-0609
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
SOUTH CAROLINA
ILLINOIS
NEW YORK
MINNESOTA
ALABAMA
TEXAS
ARIZONA
COLORADO
IOWA
Recipient Recipient CRD Numberbox checkedNone
 Mark Upchurch
  
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 Brookstone Securities Inc.
 13366
Street Address 1      Street Address 2
2920 DRANE FIELD ROAD
 
City State/Province/CountryZIP/Postal Code
 LAKELAND
 FLORIDA
 33813
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
TEXAS
Recipient Recipient CRD Numberbox uncheckedNone
 Cambridge Legacy Securities
 103722
(Associated) Broker or Dealerbox checkedNone(Associated) Broker or Dealer CRD Number box checkedNone
  
  
Street Address 1      Street Address 2
15660 N DALLAS PARKWAY
SUITE 700
City State/Province/CountryZIP/Postal Code
 DALLAS
 TEXAS
 75248
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
TEXAS
FLORIDA
Recipient Recipient CRD Numberbox uncheckedNone
 Stephen M. Rice
 2023704
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 Colorado Financial Services Corp.
 22734
Street Address 1      Street Address 2
1499 BATSHORE HWY, SUITE 120
 
City State/Province/CountryZIP/Postal Code
 BURLINGAME
 CALIFORNIA
 94010
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD Numberbox uncheckedNone
 Robert R. Tweed
 2339324
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 Concorde Investment Services
 151604
Street Address 1      Street Address 2
2060 HUNTINGTON DRIVE
SUITE 1
City State/Province/CountryZIP/Postal Code
 SAN MARINO
 CALIFORNIA
 91108
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD Numberbox uncheckedNone
 Daniel Luke
 4324353
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 DFPG Investments Inc.
 155576
Street Address 1      Street Address 2
406 W. SOUTH JORDAN PKWY
SUITE 200
City State/Province/CountryZIP/Postal Code
 SOUTH JORDAN
 UTAH
 84095
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
UTAH
Recipient Recipient CRD Numberbox uncheckedNone
 Bruce Soltani
 4650376
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 Girard Securities
 18697
Street Address 1      Street Address 2
9560 WAPLES STREET
 
City State/Province/CountryZIP/Postal Code
 SAN DIEGO
 CALIFORNIA
 92121
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD Numberbox uncheckedNone
 Mark Cline
 3206962
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 Great Nation Investment Corp.
 19981
Street Address 1      Street Address 2
400 S.E. 12TH STREET, STE. D
 
City State/Province/CountryZIP/Postal Code
 FT. LAUDERDALE
 FLORIDA
 33316
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
FLORIDA
Recipient Recipient CRD Numberbox uncheckedNone
 Neldon L. Watson
 1791393
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 Great Nation Investment Corp.
 19981
Street Address 1      Street Address 2
5408-A BELL STREET
 
City State/Province/CountryZIP/Postal Code
 AMARILLO
 TEXAS
 79109
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
TEXAS
Recipient Recipient CRD Numberbox checkedNone
 Alex Martinez
  
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 MAM Securities
 41140
Street Address 1      Street Address 2
101 CALIFORNIA STREET
 
City State/Province/CountryZIP/Postal Code
 SAN FRANCISCO
 CALIFORNIA
 94111
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD Numberbox uncheckedNone
 Oak Tree Securities
 18126
(Associated) Broker or Dealerbox checkedNone(Associated) Broker or Dealer CRD Number box checkedNone
  
  
Street Address 1      Street Address 2
33655 AIRLINE HWY
 
City State/Province/CountryZIP/Postal Code
 PAICINES
 CALIFORNIA
 95043
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD Numberbox uncheckedNone
 Jeff Cederberg
 4557771
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 Primex
 29394
Street Address 1      Street Address 2
45 KNOLLWOOD ROAD
 
City State/Province/CountryZIP/Postal Code
 ELMSFORD
 NEW YORK
 10523
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD Numberbox uncheckedNone
 Michael Steinthal
 435071
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 Primex
 29394
Street Address 1      Street Address 2
45 KNOLLWOOD ROAD
 
City State/Province/CountryZIP/Postal Code
 ELMSFORD
 NEW YORK
 10523
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
DISTRICT OF COLUMBIA
Recipient Recipient CRD Numberbox uncheckedNone
 Jack R. Halley
 2130728
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 Sandlapper Securities
 137906
Street Address 1      Street Address 2
908 TOWER CT
 
City State/Province/CountryZIP/Postal Code
 CAMARILLO
 CALIFORNIA
 93010
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD Numberbox uncheckedNone
 Rena Morris
 4867589
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 Sandlapper Securities
 137906
Street Address 1      Street Address 2
908 TOWER CT
 
City State/Province/CountryZIP/Postal Code
 CAMARILLO
 CALIFORNIA
 93010
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD Numberbox uncheckedNone
 Stephen Holt
 5900842
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 Sandlapper Securities
 137906
Street Address 1      Street Address 2
908 TOWER CT
 
City State/Province/CountryZIP/Postal Code
 CAMARILLO
 CALIFORNIA
 93010
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
CALIFORNIA
Recipient Recipient CRD Numberbox uncheckedNone
 Randy W. Burke
 2702441
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 Synergy Investment Group
 46035
Street Address 1      Street Address 2
8320 UNIVERSITY EXECUTIVE PARK DRIVE
 
City State/Province/CountryZIP/Postal Code
 CHARLOTTE
 NORTH CAROLINA
 28262
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
TENNESSEE
Recipient Recipient CRD Numberbox uncheckedNone
 Roger D. Sidener
 867487
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 Synergy Investment Group
 46035
Street Address 1      Street Address 2
8320 UNIVERSITY EXECUTIVE PARK DRIVE
 
City State/Province/CountryZIP/Postal Code
 CHARLOTTE
 NORTH CAROLINA
 28262
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
TEXAS
Recipient Recipient CRD Numberbox uncheckedNone
 Julia Sawyer
 1199967
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 Synergy Investment Group
 46035
Street Address 1      Street Address 2
8320 UNIVERSITY EXECUTIVE PARK DRIVE
 
City State/Province/CountryZIP/Postal Code
 CHARLOTTE
 NORTH CAROLINA
 28262
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
OHIO
Recipient Recipient CRD Numberbox uncheckedNone
 Matthew Grygar
 4161771
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 The Helix Financial Group
 147803
Street Address 1      Street Address 2
909 LAKE CAROLYN PARKWAY
SUITE 310
City State/Province/CountryZIP/Postal Code
 IRVING
 TEXAS
 75039
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
TEXAS
Recipient Recipient CRD Numberbox uncheckedNone
 Titan Securities
 131392
(Associated) Broker or Dealerbox checkedNone(Associated) Broker or Dealer CRD Number box checkedNone
  
  
Street Address 1      Street Address 2
14801 QUORUM DR
 
City State/Province/CountryZIP/Postal Code
 DALLAS
 TEXAS
 75254
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
TEXAS
KANSAS
Recipient Recipient CRD Numberbox uncheckedNone
 John Schooler
 2368308
(Associated) Broker or Dealerbox uncheckedNone(Associated) Broker or Dealer CRD Number box uncheckedNone
 WFP Securities
 35098
Street Address 1      Street Address 2
6020 CORNERSTONE COURT WEST
 
City State/Province/CountryZIP/Postal Code
 SAN DIEGO
 CALIFORNIA
 92121
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
WASHINGTON
Recipient Recipient CRD Numberbox uncheckedNone
 Sammons Securities
 115368
(Associated) Broker or Dealerbox checkedNone(Associated) Broker or Dealer CRD Number box checkedNone
  
  
Street Address 1      Street Address 2
4261 PARK ROAD
 
City State/Province/CountryZIP/Postal Code
 ANN ARBOR
 MICHIGAN
 48103
State(s) of Solicitationbox uncheckedAll Statesbox uncheckedForeign/Non-US
 
SOUTH DAKOTA
UTAH
IDAHO
MINNESOTA
CALIFORNIA
IOWA
MISSOURI
KANSAS
MONTANA



13. Offering and Sales Amounts
 
Total Offering Amount $
55000000
USDbox uncheckedIndefinite
Total Amount Sold $
55000000
USD
Total Remaining to be Sold $
0
USDbox uncheckedIndefinite
Clarification of Response (if Necessary)
  
 
14. Investors

box uncheckedSelect if securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
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 & Finders’ 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$
3850000
USDbox checkedEstimate
Finders' Fees$
0
USDbox uncheckedEstimate
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.
 $ 
0
USDbox checkedEstimate
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, 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 it 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 the Issuer is not disqualified from relying on any Regulation D exemption it has identified in Item 6 above 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 Signatory2013-04-02





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