| | | | | | | | | | | | | | | | | | | | | |
EDGAR Submission |
Schema Version: X0603 |
Submission Type: D/A |
Test or Live: LIVE |
Primary Issuer: |
| CIK: 1442128 |
| Entity Name: UNITED DEVELOPMENT FUNDING LAND OPPORTUNITY FUND LP |
| Issuer Address: |
| | Street 1: 1301 MUNICIPAL WAY |
| | Street 2: SUITE 100 |
| | City: GRAPEVINE |
| | State or Country: TX |
| | ZIP Code: 76051 |
| Issuer Phone Number: 817-835-0650 |
| Jurisdiction of Inc.: DELAWARE |
| Issuer Previous Name List: |
| | Value: None |
| EDGAR Previous Name List: |
| | Value: None |
| Entity Type: Limited Partnership |
| Year of Inc.: |
| | Within Five Years? Yes |
| | Value: 2008 |
Issuer List: |
| Issuer: |
| | CIK: 1442125 |
| | Entity Name: UNITED DEVELOPMENT FUNDING LAND OPPORTUNITY FUND INVESTORS LLC |
| | Issuer Address: |
| | | Street 1: 1301 MUNICIPAL WAY |
| | | Street 2: SUITE 100 |
| | | City: GRAPEVINE |
| | | State or Country: TX |
| | | ZIP Code: 76051 |
| | Issuer Phone Number: 817-835-0650 |
| | Jurisdiction of Inc.: DELAWARE |
| | Issuer Previous Name List: |
| | | Value: None |
| | EDGAR Previous Name List: |
| | | Value: None |
| | Entity Type: Limited Liability Company |
| | Year of Inc.: |
| | | Within Five Years? Yes |
| | | Value: 2008 |
Related-Persons List: |
| Related-Person Info: |
| | Related-Person Name: |
| | | First Name: Todd |
| | | Middle Name: F |
| | | Last Name: Etter |
| | Related-Person Address: |
| | | Street 1: 1301 Municipal Way |
| | | Street 2: Suite 100 |
| | | City: Grapevine |
| | | State or Country: TX |
| | | ZIP Code: 76051 |
| | Related-Person Relationship List: |
| | | Relationship: Executive Officer |
| | Relationship Clarification: |
| Related-Person Info: |
| | Related-Person Name: |
| | | First Name: Hollis |
| | | Middle Name: M |
| | | Last Name: Greenlaw |
| | Related-Person Address: |
| | | Street 1: 1301 Municipal Way |
| | | Street 2: Suite 100 |
| | | City: Grapevine |
| | | State or Country: TX |
| | | ZIP Code: 76051 |
| | Related-Person Relationship List: |
| | | Relationship: Executive Officer |
| | Relationship Clarification: |
| Related-Person Info: |
| | Related-Person Name: |
| | | First Name: Ben |
| | | Middle Name: L |
| | | Last Name: Wissink |
| | Related-Person Address: |
| | | Street 1: 1301 Municipal Way |
| | | Street 2: Suite 100 |
| | | City: Grapevine |
| | | State or Country: TX |
| | | ZIP Code: 76051 |
| | Related-Person Relationship List: |
| | | Relationship: Executive Officer |
| | Relationship Clarification: |
| Related-Person Info: |
| | Related-Person Name: |
| | | First Name: Cara |
| | | Middle Name: D |
| | | Last Name: Obert |
| | Related-Person Address: |
| | | Street 1: 1301 Municipal Way |
| | | Street 2: Suite 100 |
| | | City: Grapevine |
| | | State or Country: TX |
| | | ZIP Code: 76051 |
| | Related-Person Relationship List: |
| | | Relationship: Executive Officer |
| | Relationship Clarification: |
| Related-Person Info: |
| | Related-Person Name: |
| | | First Name: Hillary |
| | | Last Name: Hagan |
| | Related-Person Address: |
| | | Street 1: 1301 Municipal Way |
| | | Street 2: Suite 100 |
| | | City: Grapevine |
| | | State or Country: TX |
| | | ZIP Code: 76051 |
| | Related-Person Relationship List: |
| | | Relationship: Executive Officer |
| | Relationship Clarification: |
Offering Data: |
| Industry Group: |
| | Industry Group Type: Other Real Estate |
| Issuer Size: |
| | Revenue Range: $5,000,001 - $25,000,000 |
| Federal Exemptions Exclusions: |
| | Item: 06 |
| | Item: 3C |
| | Item: 3C.5 |
| Type of Filing: |
| | New or Amendment: |
| | | Is Amendment? Yes |
| | | Previous Accession Number: 1442128-9-6 |
| | Date of First Sale: |
| | | Value: 7/18/08 |
| Duration of Offering: |
| | More Than One Year? Yes |
| Types of Securities Offered: |
| | Is Equity Type? Yes |
| | Is Pooled Investment Fund Type? Yes |
| Business-Combination Transaction: |
| | Is Business-Combination Transaction? No |
| | Clarification of Response: |
| Minimum Investment Accepted: 5,632 |
| Sales Compensation List: |
| | Recipient: |
| | | Recipient Name: A. Ken Flake |
| | | Recipient CRD Number: 209342 |
| | | Associated BD Name: VSR Financial Services Inc |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 4606 FM 1960 West |
| Street 2: Suite 400 |
| City: Houston |
| State or Country: TX |
| ZIP Code: 77069 |
| | | States of Solicitation List: |
| State: CA |
| State: CO |
| State: TX |
| | Recipient: |
| | | Recipient Name: Andrew C. Bolt |
| | | Recipient CRD Number: 1594587 |
| | | Associated BD Name: Harrison Douglas Inc. |
| | | Associated BDCRD Number: 16515 |
| | | Recipient Address: |
| Street 1: 3025 South Parker |
| Street 2: Suite 801 |
| City: Aurora |
| State or Country: CO |
| ZIP Code: 80014 |
| | | States of Solicitation List: |
| State: MD |
| State: TN |
| State: TX |
| | Recipient: |
| | | Recipient Name: Anthony Lombardi |
| | | Recipient CRD Number: 2921904 |
| | | Associated BD Name: Centaurus Financial |
| | | Associated BDCRD Number: 30833 |
| | | Recipient Address: |
| Street 1: 2177 Salk Avenue |
| Street 2: Suite 180 |
| City: Carlsbad |
| State or Country: CA |
| ZIP Code: 92008 |
| | | States of Solicitation List: |
| State: CA |
| State: MI |
| | Recipient: |
| | | Recipient Name: Robert Bragg |
| | | Recipient CRD Number: 4767535 |
| | | Associated BD Name: VSR Financial Services Inc. |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 15435 Gleneagle Dr. |
| Street 2: Suite 210 |
| City: Colorado Springs |
| State or Country: CO |
| ZIP Code: 80921 |
| | | States of Solicitation List: |
| State: CO |
| State: FL |
| State: VA |
| | Recipient: |
| | | Recipient Name: Robert Hinz |
| | | Recipient CRD Number: 1026405 |
| | | Associated BD Name: VSR Financial Services Inc. |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 600 Stewart St. |
| Street 2: Suite 602 |
| City: Seattle |
| State or Country: WA |
| ZIP Code: 98101 |
| | | States of Solicitation List: |
| State: HI |
| State: WA |
| | Recipient: |
| | | Recipient Name: Robert Wamhoff |
| | | Recipient CRD Number: 2082701 |
| | | Associated BD Name: VSR Financial Services Inc. |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 745 Dunn Road |
| City: Hazelwood |
| State or Country: MO |
| ZIP Code: 63042 |
| | | States of Solicitation List: |
| State: FL |
| State: IL |
| State: KY |
| State: MO |
| State: TX |
| | Recipient: |
| | | Recipient Name: Robert Tweed |
| | | Recipient CRD Number: 2339324 |
| | | Associated BD Name: CapWest Securities Inc. |
| | | Associated BDCRD Number: 30002 |
| | | Recipient Address: |
| Street 1: 2060 Huntington Drive |
| Street 2: Suite 1 |
| City: San Marino |
| State or Country: CA |
| ZIP Code: 91108 |
| | | States of Solicitation List: |
| State: CA |
| | Recipient: |
| | | Recipient Name: Bradley R. Calley |
| | | Recipient CRD Number: 4502601 |
| | | Associated BD Name: IMS Securities Inc. |
| | | Associated BDCRD Number: 35567 |
| | | Recipient Address: |
| Street 1: 1301 Municipal Way |
| Street 2: Suite 100 |
| City: Grapevine |
| State or Country: TX |
| ZIP Code: 76051 |
| | | States of Solicitation List: |
| State: TX |
| | Recipient: |
| | | Recipient Name: Bryon Martinsen |
| | | Recipient CRD Number: 1621649 |
| | | Associated BD Name: Centaurus Financial Inc. |
| | | Associated BDCRD Number: 30833 |
| | | Recipient Address: |
| Street 1: 220 Fort Salonga Rd. |
| Street 2: Suite 301C |
| City: Northport |
| State or Country: NY |
| ZIP Code: 11768 |
| | | States of Solicitation List: |
| State: NY |
| | Recipient: |
| | | Recipient Name: Robert Setser |
| | | Recipient CRD Number: 1005169 |
| | | Associated BD Name: Direct Capital Securities Inc. |
| | | Associated BDCRD Number: 29639 |
| | | Recipient Address: |
| Street 1: 1250 S. Capital of Texas Highway |
| Street 2: Building 1, Suite 410 |
| City: Austin |
| State or Country: TX |
| ZIP Code: 78746 |
| | | States of Solicitation List: |
| State: CA |
| | Recipient: |
| | | Recipient Name: Michael L. Sampson |
| | | Recipient CRD Number: None |
| | | Associated BD Name: Eagle One Investments LLC |
| | | Associated BDCRD Number: 45254 |
| | | Recipient Address: |
| Street 1: 401 Westview Court |
| City: Washington |
| State or Country: IA |
| ZIP Code: 52353 |
| | | States of Solicitation List: |
| State: IA |
| | Recipient: |
| | | Recipient Name: Dana Kellogg |
| | | Recipient CRD Number: 2496097 |
| | | Associated BD Name: ePlanning Securities Inc. |
| | | Associated BDCRD Number: 46000 |
| | | Recipient Address: |
| Street 1: 3721 Douglas Blvd. |
| Street 2: Suite 200 |
| City: Roseville |
| State or Country: CA |
| ZIP Code: 95661 |
| | | States of Solicitation List: |
| State: CA |
| | Recipient: |
| | | Recipient Name: Brian H. Breuel |
| | | Recipient CRD Number: 813742 |
| | | Associated BD Name: QA3 Financial Corporation |
| | | Associated BDCRD Number: 14754 |
| | | Recipient Address: |
| Street 1: 6 Gordon Avenue |
| City: Lawrenceville |
| State or Country: NJ |
| ZIP Code: 08648 |
| | | States of Solicitation List: |
| State: NJ |
| | Recipient: |
| | | Recipient Name: Brian D. Day-Lewis |
| | | Recipient CRD Number: 4513044 |
| | | Associated BD Name: Investors Capital |
| | | Associated BDCRD Number: 30613 |
| | | Recipient Address: |
| Street 1: 3 Roberge Drive |
| City: Tyngsboro |
| State or Country: MA |
| ZIP Code: 01879 |
| | | States of Solicitation List: |
| State: IN |
| State: MA |
| | Recipient: |
| | | Recipient Name: Charles R. Byrnes III |
| | | Recipient CRD Number: 2360145 |
| | | Associated BD Name: Investors Capital |
| | | Associated BDCRD Number: 30613 |
| | | Recipient Address: |
| Street 1: 230 Broadway East |
| Street 2: Suite 203 |
| City: Lynnfield |
| State or Country: MA |
| ZIP Code: 01940 |
| | | States of Solicitation List: |
| State: MA |
| | Recipient: |
| | | Recipient Name: Ferdinand Dosono |
| | | Recipient CRD Number: 2110497 |
| | | Associated BD Name: National Securities Corporation |
| | | Associated BDCRD Number: 7569 |
| | | Recipient Address: |
| Street 1: 2970 Haleko Rd. |
| Street 2: Suite 201 |
| City: Lihue |
| State or Country: HI |
| ZIP Code: 96766 |
| | | States of Solicitation List: |
| State: HI |
| | Recipient: |
| | | Recipient Name: Jalon OConnell |
| | | Recipient CRD Number: 3005016 |
| | | Associated BD Name: National Securities Corporation |
| | | Associated BDCRD Number: 7569 |
| | | Recipient Address: |
| Street 1: 9300 Wilshire Blvd. |
| Street 2: Suite 420 |
| City: Beverly Hills |
| State or Country: CA |
| ZIP Code: 90212 |
| | | States of Solicitation List: |
| State: CA |
| State: HI |
| | Recipient: |
| | | Recipient Name: Bruce M. Kimball |
| | | Recipient CRD Number: 2576920 |
| | | Associated BD Name: Geneos Wealth Management |
| | | Associated BDCRD Number: 120894 |
| | | Recipient Address: |
| Street 1: 1720 Oak Village |
| Street 2: Suite 100 |
| City: Arlington |
| State or Country: TX |
| ZIP Code: 76017 |
| | | States of Solicitation List: |
| State: MD |
| State: OK |
| State: TX |
| | Recipient: |
| | | Recipient Name: Buster Godbee |
| | | Recipient CRD Number: 2284452 |
| | | Associated BD Name: Cambridge Legacy Securities |
| | | Associated BDCRD Number: 103722 |
| | | Recipient Address: |
| Street 1: 101 Plaza Carmona Place |
| Street 2: Suite D |
| City: Hot Springs |
| State or Country: AR |
| ZIP Code: 71919 |
| | | States of Solicitation List: |
| State: AR |
| | Recipient: |
| | | Recipient Name: David M. Breedlove |
| | | Recipient CRD Number: 1422471 |
| | | Associated BD Name: Cambridge Legacy Securities |
| | | Associated BDCRD Number: 103722 |
| | | Recipient Address: |
| Street 1: 1024 Pruitt Place |
| City: Tyler |
| State or Country: TX |
| ZIP Code: 75703 |
| | | States of Solicitation List: |
| State: CA |
| State: TX |
| | Recipient: |
| | | Recipient Name: David Theis |
| | | Recipient CRD Number: 1422471 |
| | | Associated BD Name: QA3 Financial Corporation |
| | | Associated BDCRD Number: 14754 |
| | | Recipient Address: |
| Street 1: 103 Marty Drive |
| Street 2: Suite 101 |
| City: Buffalo |
| State or Country: MN |
| ZIP Code: 55313 |
| | | States of Solicitation List: |
| State: MN |
| | Recipient: |
| | | Recipient Name: Michael Doherty |
| | | Recipient CRD Number: None |
| | | Associated BD Name: QA3 Financial Corporation |
| | | Associated BDCRD Number: 14754 |
| | | Recipient Address: |
| Street 1: 103 Marty Drive |
| Street 2: Suite 101 |
| City: Buffalo |
| State or Country: MN |
| ZIP Code: 55313 |
| | | States of Solicitation List: |
| State: MN |
| | Recipient: |
| | | Recipient Name: Deborah Deitering |
| | | Recipient CRD Number: 729452 |
| | | Associated BD Name: IMS Securities Inc. |
| | | Associated BDCRD Number: 35567 |
| | | Recipient Address: |
| Street 1: 4205 Snug Harbor |
| City: College Station |
| State or Country: TX |
| ZIP Code: 77545 |
| | | States of Solicitation List: |
| State: TX |
| | Recipient: |
| | | Recipient Name: Dennis Van Pater |
| | | Recipient CRD Number: 1364583 |
| | | Associated BD Name: VSR Financial Services Inc. |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 7700 San Jacinto Place |
| Street 2: Suite 100 |
| City: Plano |
| State or Country: TX |
| ZIP Code: 75024 |
| | | States of Solicitation List: |
| State: TX |
| | Recipient: |
| | | Recipient Name: Dilip Shah |
| | | Recipient CRD Number: 4565670 |
| | | Associated BD Name: Cambridge Legacy Securities |
| | | Associated BDCRD Number: 103722 |
| | | Recipient Address: |
| Street 1: 535 West Burnell |
| Street 2: Suite 120 |
| City: Lewisville |
| State or Country: TX |
| ZIP Code: 75057 |
| | | States of Solicitation List: |
| State: TX |
| | Recipient: |
| | | Recipient Name: Donald J. Beary |
| | | Recipient CRD Number: 15818 |
| | | Associated BD Name: VSR Financial Services Inc. |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 8620 W. 110th St. |
| City: Overland Park |
| State or Country: KS |
| ZIP Code: 66210 |
| | | States of Solicitation List: |
| State: KS |
| | Recipient: |
| | | Recipient Name: Dorann Hurley |
| | | Recipient CRD Number: 1782641 |
| | | Associated BD Name: Geneos Wealth Management |
| | | Associated BDCRD Number: 120894 |
| | | Recipient Address: |
| Street 1: 111 SW 4th St. |
| City: Corvallis |
| State or Country: OR |
| ZIP Code: 97333 |
| | | States of Solicitation List: |
| State: AR |
| State: CO |
| State: KS |
| State: NV |
| State: NM |
| State: OR |
| State: SD |
| State: TX |
| State: WA |
| | Recipient: |
| | | Recipient Name: Douglas K. Van Allen |
| | | Recipient CRD Number: None |
| | | Associated BD Name: Geneos Wealth Management |
| | | Associated BDCRD Number: 120894 |
| | | Recipient Address: |
| Street 1: 111 SW 4th St. |
| City: Corvallis |
| State or Country: OR |
| ZIP Code: 97333 |
| | | States of Solicitation List: |
| State: OR |
| | Recipient: |
| | | Recipient Name: Gary Tad Lindsey |
| | | Recipient CRD Number: 2398788 |
| | | Associated BD Name: QA3 Financial Corporation |
| | | Associated BDCRD Number: 14754 |
| | | Recipient Address: |
| Street 1: 132 E. 500 South |
| Street 2: Suite 1 |
| City: Bountiful |
| State or Country: UT |
| ZIP Code: 84010 |
| | | States of Solicitation List: |
| State: UT |
| | Recipient: |
| | | Recipient Name: Gregory M. Ellis |
| | | Recipient CRD Number: 4046935 |
| | | Associated BD Name: VSR Financial Services |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 6421 Perkins |
| Street 2: Suite 1A |
| City: Baton Rouge |
| State or Country: LA |
| ZIP Code: 70808 |
| | | States of Solicitation List: |
| State: LA |
| | Recipient: |
| | | Recipient Name: Jeannette Glaza |
| | | Recipient CRD Number: 1363844 |
| | | Associated BD Name: VSR Financial Services |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 15435 Gleneagle Dr. |
| Street 2: Suite 210 |
| City: Colorado Springs |
| State or Country: CO |
| ZIP Code: 80921 |
| | | States of Solicitation List: |
| State: CO |
| | Recipient: |
| | | Recipient Name: Jeffrey Nesseth |
| | | Recipient CRD Number: 1983482 |
| | | Associated BD Name: QA3 Financial Corporation |
| | | Associated BDCRD Number: 14754 |
| | | Recipient Address: |
| Street 1: 7000 Central Parkway NE |
| Street 2: Suite 1340 |
| City: Atlanta |
| State or Country: 2Q |
| ZIP Code: 30328 |
| | | States of Solicitation List: |
| State: CA |
| State: GA |
| State: IA |
| State: NV |
| | Recipient: |
| | | Recipient Name: Jeffrey Ausgburger |
| | | Recipient CRD Number: None |
| | | Associated BD Name: QA3 Financial Corporation |
| | | Associated BDCRD Number: 14754 |
| | | Recipient Address: |
| Street 1: One Valmont Plaza |
| Street 2: 4th Floor |
| City: Omaha |
| State or Country: NE |
| ZIP Code: 68154 |
| | | States of Solicitation List: |
| State: IL |
| | Recipient: |
| | | Recipient Name: Jesse Griffin Jr. |
| | | Recipient CRD Number: 1165095 |
| | | Associated BD Name: VSR Financial Services |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 2646 Southwest Mapp Rd. |
| Street 2: Suite 104 |
| City: Palm City |
| State or Country: FL |
| ZIP Code: 34990 |
| | | States of Solicitation List: |
| State: FL |
| State: ME |
| State: NJ |
| State: TX |
| | Recipient: |
| | | Recipient Name: Jim Armagost |
| | | Recipient CRD Number: 7157 |
| | | Associated BD Name: VSR Financial Services |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 803 West 25th St. |
| City: Kearney |
| State or Country: NE |
| ZIP Code: 68845 |
| | | States of Solicitation List: |
| State: CO |
| State: MN |
| State: NE |
| State: WY |
| | Recipient: |
| | | Recipient Name: John Gorely |
| | | Recipient CRD Number: 225973 |
| | | Associated BD Name: VSR Financial Services |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 182 Mine Lake Court |
| Street 2: Suite 100 |
| City: Raleigh |
| State or Country: NC |
| ZIP Code: 27615 |
| | | States of Solicitation List: |
| State: DC |
| State: GA |
| State: NC |
| | Recipient: |
| | | Recipient Name: Ken Klespies |
| | | Recipient CRD Number: 1258664 |
| | | Associated BD Name: VSR Financial Services |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 2212 Muirfield Way |
| City: Oldsmar |
| State or Country: FL |
| ZIP Code: 34677 |
| | | States of Solicitation List: |
| State: FL |
| State: IN |
| | Recipient: |
| | | Recipient Name: Kevin Yaley |
| | | Recipient CRD Number: 2893171 |
| | | Associated BD Name: Berthel Fisher and Company Financial Services |
| | | Associated BDCRD Number: 13609 |
| | | Recipient Address: |
| Street 1: 401 Jefferson St. |
| City: Burlington |
| State or Country: IA |
| ZIP Code: 52601 |
| | | States of Solicitation List: |
| State: IA |
| | Recipient: |
| | | Recipient Name: Kim Kopacka |
| | | Recipient CRD Number: 3153396 |
| | | Associated BD Name: IMS Securities Inc. |
| | | Associated BDCRD Number: 35567 |
| | | Recipient Address: |
| Street 1: 21 Kercheval Avenue |
| Street 2: Suite 320B |
| City: Gross Point Farms |
| State or Country: MI |
| ZIP Code: 48236 |
| | | States of Solicitation List: |
| State: CA |
| State: GA |
| State: IL |
| State: IN |
| State: MI |
| State: VA |
| | Recipient: |
| | | Recipient Name: Kris Etter |
| | | Recipient CRD Number: 4562123 |
| | | Associated BD Name: IMS Securities Inc. |
| | | Associated BDCRD Number: 35567 |
| | | Recipient Address: |
| Street 1: 10205 Westheimer |
| Street 2: Suite 500 |
| City: Houston |
| State or Country: TX |
| ZIP Code: 77042 |
| | | States of Solicitation List: |
| State: TX |
| | Recipient: |
| | | Recipient Name: Megan Schneider |
| | | Recipient CRD Number: 4458332 |
| | | Associated BD Name: Geneos Wealth Management |
| | | Associated BDCRD Number: 120894 |
| | | Recipient Address: |
| Street 1: 111 SW 4th St. |
| City: Corvallis |
| State or Country: OR |
| ZIP Code: 97333 |
| | | States of Solicitation List: |
| State: OR |
| | Recipient: |
| | | Recipient Name: MF Long II |
| | | Recipient CRD Number: 1778299 |
| | | Associated BD Name: VSR Financial Services |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 5800 Granite Parkway |
| Street 2: Suite 100 |
| City: Plano |
| State or Country: TX |
| ZIP Code: 75024 |
| | | States of Solicitation List: |
| State: TX |
| | Recipient: |
| | | Recipient Name: Michael Staines |
| | | Recipient CRD Number: 5303142 |
| | | Associated BD Name: Berthel Fisher and Company Financial Services Inc. |
| | | Associated BDCRD Number: 13609 |
| | | Recipient Address: |
| Street 1: 300 Harding Blvd. |
| Street 2: Suite 209 |
| City: Roseville |
| State or Country: CA |
| ZIP Code: 95678 |
| | | States of Solicitation List: |
| State: AZ |
| State: CA |
| State: NJ |
| | Recipient: |
| | | Recipient Name: Mike Henry |
| | | Recipient CRD Number: 243365 |
| | | Associated BD Name: Cambridge Legacy Securities |
| | | Associated BDCRD Number: 103722 |
| | | Recipient Address: |
| Street 1: 2028 E. Ben White Blvd. |
| Street 2: Suite 500 |
| City: Austin |
| State or Country: TX |
| ZIP Code: 78741 |
| | | States of Solicitation List: |
| State: TX |
| | Recipient: |
| | | Recipient Name: Nir Regev |
| | | Recipient CRD Number: 1847410 |
| | | Associated BD Name: VSR Financial Services |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 261 Clarkson Executive Park |
| City: Ellisville |
| State or Country: MO |
| ZIP Code: 63011 |
| | | States of Solicitation List: |
| State: MO |
| | Recipient: |
| | | Recipient Name: Paul Burkemper |
| | | Recipient CRD Number: 2222925 |
| | | Associated BD Name: VSR Financial Services |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 10825 Watson Rd. |
| Street 2: Suite 100 |
| City: St. Louis |
| State or Country: MO |
| ZIP Code: 63127 |
| | | States of Solicitation List: |
| State: MO |
| | Recipient: |
| | | Recipient Name: Randy Stevenson |
| | | Recipient CRD Number: 2114058 |
| | | Associated BD Name: VSR Financial Services |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 719 W. Front St. |
| Street 2: Suite 176 |
| City: Tyler |
| State or Country: TX |
| ZIP Code: 75702 |
| | | States of Solicitation List: |
| State: TX |
| | Recipient: |
| | | Recipient Name: Robert J. Kramer |
| | | Recipient CRD Number: 1715096 |
| | | Associated BD Name: VSR Financial Services |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 2116 N. Court |
| Street 2: Suite 1 |
| City: Ottumwa |
| State or Country: IA |
| ZIP Code: 52501 |
| | | States of Solicitation List: |
| State: IA |
| | Recipient: |
| | | Recipient Name: John Redfearn III |
| | | Recipient CRD Number: 2771876 |
| | | Associated BD Name: QA3 Financial Corporation |
| | | Associated BDCRD Number: 14754 |
| | | Recipient Address: |
| Street 1: 7000 Central Parkway NE |
| Street 2: Suite 1340 |
| City: Atlanta |
| State or Country: GA |
| ZIP Code: 30328 |
| | | States of Solicitation List: |
| State: GA |
| State: MO |
| State: NV |
| | Recipient: |
| | | Recipient Name: Russell Childs |
| | | Recipient CRD Number: 1192883 |
| | | Associated BD Name: Cambridge Legacy Securities |
| | | Associated BDCRD Number: 103722 |
| | | Recipient Address: |
| Street 1: 4100 Spring Valley Rd. |
| Street 2: Suite 500 |
| City: Dallas |
| State or Country: TX |
| ZIP Code: 75244 |
| | | States of Solicitation List: |
| State: TX |
| | Recipient: |
| | | Recipient Name: Ryan Benning |
| | | Recipient CRD Number: 4205469 |
| | | Associated BD Name: Berthel Fisher and Company Financial Services |
| | | Associated BDCRD Number: 13609 |
| | | Recipient Address: |
| Street 1: 931 S. Washington St. |
| Street 2: Suite 1 |
| City: Bismark |
| State or Country: ND |
| ZIP Code: 58504 |
| | | States of Solicitation List: |
| State: ND |
| | Recipient: |
| | | Recipient Name: Shawn Davis |
| | | Recipient CRD Number: 2911230 |
| | | Associated BD Name: Berthel Fisher and Company Financial Services |
| | | Associated BDCRD Number: 13609 |
| | | Recipient Address: |
| Street 1: 300 Harding Blvd. |
| Street 2: Suite 209 |
| City: Roseville |
| State or Country: CA |
| ZIP Code: 95678 |
| | | States of Solicitation List: |
| State: CA |
| | Recipient: |
| | | Recipient Name: Steven Shirley |
| | | Recipient CRD Number: None |
| | | Associated BD Name: VSR Financial Services |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 8620 W. 110th St. |
| Street 2: Suite 200 |
| City: Overland Park |
| State or Country: KS |
| ZIP Code: 66210 |
| | | States of Solicitation List: |
| State: TX |
| | Recipient: |
| | | Recipient Name: Terry L. Sonnenfeld |
| | | Recipient CRD Number: 2216263 |
| | | Associated BD Name: Geneos Wealth Management |
| | | Associated BDCRD Number: 120894 |
| | | Recipient Address: |
| Street 1: 902 E. 2nd Street |
| Street 2: Suite 150 |
| City: Winona |
| State or Country: MN |
| ZIP Code: 55987 |
| | | States of Solicitation List: |
| State: MN |
| | Recipient: |
| | | Recipient Name: Allan W. Cranfill |
| | | Recipient CRD Number: 2346578 |
| | | Associated BD Name: VSR Financial Services Inc. |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 3601 North Robison Road |
| City: Texarkana |
| State or Country: TX |
| ZIP Code: 75501 |
| | | States of Solicitation List: |
| State: TX |
| | Recipient: |
| | | Recipient Name: Mikiel R. Featherston |
| | | Recipient CRD Number: 1885948 |
| | | Associated BD Name: VSR Financial Services Inc. |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 7200 North Mopac Expressway |
| Street 2: Suite 320 |
| City: Austin |
| State or Country: TX |
| ZIP Code: 78731 |
| | | States of Solicitation List: |
| State: TX |
| | Recipient: |
| | | Recipient Name: Lisa Allen |
| | | Recipient CRD Number: 1198978 |
| | | Associated BD Name: VSR Financial Services Inc. |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 7200 North Mopac Expressway |
| Street 2: Suite 320 |
| City: Austin |
| State or Country: TX |
| ZIP Code: 78731 |
| | | States of Solicitation List: |
| State: TX |
| | Recipient: |
| | | Recipient Name: Alvery A. Bartlett Jr. |
| | | Recipient CRD Number: 13975 |
| | | Associated BD Name: Berthel Fisher and Company Financial Services Inc. |
| | | Associated BDCRD Number: 13609 |
| | | Recipient Address: |
| Street 1: 8000 Maryland Avenue |
| Street 2: Suite 1031 |
| City: St. Louis |
| State or Country: MO |
| ZIP Code: 63105 |
| | | States of Solicitation List: |
| State: MO |
| | Recipient: |
| | | Recipient Name: Andrew J. Crabb |
| | | Recipient CRD Number: 3077317 |
| | | Associated BD Name: Geneos Wealth Management |
| | | Associated BDCRD Number: 120894 |
| | | Recipient Address: |
| Street 1: 9055 E. Mineral Circle |
| Street 2: Suite 200 |
| City: Centennial |
| State or Country: CO |
| ZIP Code: 80112 |
| | | States of Solicitation List: |
| State: CO |
| | Recipient: |
| | | Recipient Name: William M. Conroy III |
| | | Recipient CRD Number: 1345235 |
| | | Associated BD Name: VSR Financial Services Inc. |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 600 Stewart Street |
| Street 2: Suite 602 |
| City: Seattle |
| State or Country: WA |
| ZIP Code: 98101 |
| | | States of Solicitation List: |
| State: WA |
| | Recipient: |
| | | Recipient Name: Richard M. Braverman |
| | | Recipient CRD Number: 1023227 |
| | | Associated BD Name: Geneos Wealth Management Inc. |
| | | Associated BDCRD Number: 120894 |
| | | Recipient Address: |
| Street 1: 2173 Embassy Drive |
| City: Lancaster |
| State or Country: PA |
| ZIP Code: 17603 |
| | | States of Solicitation List: |
| State: PA |
| | Recipient: |
| | | Recipient Name: Samuel R. Monchik |
| | | Recipient CRD Number: 4113886 |
| | | Associated BD Name: Geneos Wealth Management Inc. |
| | | Associated BDCRD Number: 120894 |
| | | Recipient Address: |
| Street 1: 2173 Embassy Drive |
| City: Lancaster |
| State or Country: PA |
| ZIP Code: 17603 |
| | | States of Solicitation List: |
| State: PA |
| | Recipient: |
| | | Recipient Name: Brian M. Borakowski |
| | | Recipient CRD Number: 4093679 |
| | | Associated BD Name: Berthel Fisher and Company Financial Services Inc. |
| | | Associated BDCRD Number: 13609 |
| | | Recipient Address: |
| Street 1: 936 N 87th Place |
| City: Scottsdale |
| State or Country: AZ |
| ZIP Code: 85257 |
| | | States of Solicitation List: |
| State: AZ |
| | Recipient: |
| | | Recipient Name: Charles E. Ohara |
| | | Recipient CRD Number: 735399 |
| | | Associated BD Name: Symetra Investment Services Inc. |
| | | Associated BDCRD Number: 19061 |
| | | Recipient Address: |
| Street 1: 342 Broadway |
| City: Newport |
| State or Country: RI |
| ZIP Code: 02840 |
| | | States of Solicitation List: |
| State: RI |
| | Recipient: |
| | | Recipient Name: Charles R. Elhoff Jr. |
| | | Recipient CRD Number: 76936 |
| | | Associated BD Name: VSR Financial Services Inc. |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 1000 Ballpark Way |
| Street 2: Suite 214 |
| City: Arlington |
| State or Country: TX |
| ZIP Code: 76011 |
| | | States of Solicitation List: |
| State: TX |
| | Recipient: |
| | | Recipient Name: Charles R. Fischer |
| | | Recipient CRD Number: 1186289 |
| | | Associated BD Name: IMS Securities Inc. |
| | | Associated BDCRD Number: 35567 |
| | | Recipient Address: |
| Street 1: 1500 Valley River Dr. |
| Street 2: Suite 315 |
| City: Eugene |
| State or Country: OR |
| ZIP Code: 97401 |
| | | States of Solicitation List: |
| State: OR |
| | Recipient: |
| | | Recipient Name: Cheri L. Johnson |
| | | Recipient CRD Number: 2823107 |
| | | Associated BD Name: Kaiser and Company |
| | | Associated BDCRD Number: 14186 |
| | | Recipient Address: |
| Street 1: 5790 Soundview Drive |
| Street 2: Suite 201A |
| City: Gig Harbor |
| State or Country: WA |
| ZIP Code: 14186 |
| | | States of Solicitation List: |
| State: WA |
| | Recipient: |
| | | Recipient Name: Christopher I. Hall |
| | | Recipient CRD Number: 4654096 |
| | | Associated BD Name: QA3 Financial Corp. |
| | | Associated BDCRD Number: 14754 |
| | | Recipient Address: |
| Street 1: 2826 NW Windham LP |
| City: Bend |
| State or Country: OR |
| ZIP Code: 97701 |
| | | States of Solicitation List: |
| State: OR |
| | Recipient: |
| | | Recipient Name: Charles R. Bigbie III |
| | | Recipient CRD Number: 1158301 |
| | | Associated BD Name: Geneos Wealth Management Inc. |
| | | Associated BDCRD Number: 120894 |
| | | Recipient Address: |
| Street 1: 7233 S 85th E Avenue |
| Street 2: Suite 400 |
| City: Tulsa |
| State or Country: OK |
| ZIP Code: 74133 |
| | | States of Solicitation List: |
| State: OK |
| | Recipient: |
| | | Recipient Name: Denton L. Smith |
| | | Recipient CRD Number: 427316 |
| | | Associated BD Name: Geneos Wealth Management Inc. |
| | | Associated BDCRD Number: 120894 |
| | | Recipient Address: |
| Street 1: 64 East Broadway |
| Street 2: Suite 215 |
| City: Tempe |
| State or Country: AZ |
| ZIP Code: 85282 |
| | | States of Solicitation List: |
| State: AZ |
| | Recipient: |
| | | Recipient Name: Elizabeth R. Huckeby |
| | | Recipient CRD Number: 4061056 |
| | | Associated BD Name: QA3 Financial Corp. |
| | | Associated BDCRD Number: 14754 |
| | | Recipient Address: |
| Street 1: 357 S. McCaslin Blvd |
| Street 2: Suite 200 |
| City: Louisville |
| State or Country: CO |
| ZIP Code: 80027 |
| | | States of Solicitation List: |
| State: CO |
| | Recipient: |
| | | Recipient Name: Eric P. Weschke |
| | | Recipient CRD Number: 2486324 |
| | | Associated BD Name: Alternative Wealth Strategies |
| | | Associated BDCRD Number: 130933 |
| | | Recipient Address: |
| Street 1: 11 Dorn Court |
| City: Setauket |
| State or Country: NY |
| ZIP Code: 11733 |
| | | States of Solicitation List: |
| State: NY |
| | Recipient: |
| | | Recipient Name: FW Libardono Jr |
| | | Recipient CRD Number: 706551 |
| | | Associated BD Name: Investors Capital Corp. |
| | | Associated BDCRD Number: 30613 |
| | | Recipient Address: |
| Street 1: 70 Washington Street |
| Street 2: Suite 103 |
| City: Salem |
| State or Country: MA |
| ZIP Code: 01970 |
| | | States of Solicitation List: |
| State: MA |
| | Recipient: |
| | | Recipient Name: Gary D. Gray |
| | | Recipient CRD Number: 4171086 |
| | | Associated BD Name: Newbridge Securities Corporation |
| | | Associated BDCRD Number: 104065 |
| | | Recipient Address: |
| Street 1: 7700 N. Kendall Drive |
| Street 2: Suite 408 |
| City: Miami |
| State or Country: FL |
| ZIP Code: 33156 |
| | | States of Solicitation List: |
| State: FL |
| | Recipient: |
| | | Recipient Name: Gary C. Haack |
| | | Recipient CRD Number: 2796834 |
| | | Associated BD Name: WFG Investments Inc. |
| | | Associated BDCRD Number: 22704 |
| | | Recipient Address: |
| Street 1: 16500 San Pedro |
| Street 2: Suite 300 |
| City: San Antonio |
| State or Country: TX |
| ZIP Code: 78232 |
| | | States of Solicitation List: |
| State: TX |
| | Recipient: |
| | | Recipient Name: Gene L. Fahlsing |
| | | Recipient CRD Number: 1285592 |
| | | Associated BD Name: Capital Financial Services Inc. |
| | | Associated BDCRD Number: 8408 |
| | | Recipient Address: |
| Street 1: 20410 Brookmont Rd. |
| City: Morrison |
| State or Country: CO |
| ZIP Code: 80465 |
| | | States of Solicitation List: |
| State: CO |
| | Recipient: |
| | | Recipient Name: Gregory L. Gibson |
| | | Recipient CRD Number: 4348507 |
| | | Associated BD Name: Investors Capital Corp. |
| | | Associated BDCRD Number: 30613 |
| | | Recipient Address: |
| Street 1: 4171 Poplar Avenue |
| City: Memphis |
| State or Country: TN |
| ZIP Code: 38117 |
| | | States of Solicitation List: |
| State: TN |
| | Recipient: |
| | | Recipient Name: Gregory S. Kuras |
| | | Recipient CRD Number: 1444445 |
| | | Associated BD Name: American Portfolios Financial Services |
| | | Associated BDCRD Number: 18487 |
| | | Recipient Address: |
| Street 1: 200 Highway 71 |
| City: Spring Lake Heights |
| State or Country: NJ |
| ZIP Code: 07762 |
| | | States of Solicitation List: |
| State: NJ |
| | Recipient: |
| | | Recipient Name: James O. Conaway |
| | | Recipient CRD Number: 1920946 |
| | | Associated BD Name: QA3 Financial Services |
| | | Associated BDCRD Number: 14754 |
| | | Recipient Address: |
| Street 1: 3000 E. Birch |
| Street 2: Suite 109 |
| City: Brea |
| State or Country: CA |
| ZIP Code: 92821 |
| | | States of Solicitation List: |
| State: NY |
| | Recipient: |
| | | Recipient Name: James R. Slacke |
| | | Recipient CRD Number: 1531064 |
| | | Associated BD Name: Centaurus Financial Inc. |
| | | Associated BDCRD Number: 30833 |
| | | Recipient Address: |
| Street 1: 940 Saratoga Avenue |
| Street 2: Suite 107 |
| City: San Jose |
| State or Country: CA |
| ZIP Code: 95129 |
| | | States of Solicitation List: |
| State: CA |
| | Recipient: |
| | | Recipient Name: Jason A. McGinty |
| | | Recipient CRD Number: 4499263 |
| | | Associated BD Name: Centaurus Financial Inc. |
| | | Associated BDCRD Number: 30833 |
| | | Recipient Address: |
| Street 1: 2300 E. Katella Avenue |
| Street 2: Suite 200 |
| City: Anaheim |
| State or Country: CA |
| ZIP Code: 92806 |
| | | States of Solicitation List: |
| State: TX |
| | Recipient: |
| | | Recipient Name: Jason D. Waxler |
| | | Recipient CRD Number: 1756279 |
| | | Associated BD Name: American Portfolios Financial Services |
| | | Associated BDCRD Number: 18487 |
| | | Recipient Address: |
| Street 1: 134 Huntville Road |
| City: Katonah |
| State or Country: NY |
| ZIP Code: 10536 |
| | | States of Solicitation List: |
| State: NY |
| | Recipient: |
| | | Recipient Name: John J. Herrod |
| | | Recipient CRD Number: 5626076 |
| | | Associated BD Name: Berthel Fisher and Company Financial Services Inc |
| | | Associated BDCRD Number: 13609 |
| | | Recipient Address: |
| Street 1: 1474 Stone Point Drive |
| City: Roseville |
| State or Country: CA |
| ZIP Code: 95661 |
| | | States of Solicitation List: |
| State: CA |
| | Recipient: |
| | | Recipient Name: Jay A. Wallinger |
| | | Recipient CRD Number: 2407056 |
| | | Associated BD Name: VSR Financial Services Inc. |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 113 North Main |
| City: Stuart |
| State or Country: NE |
| ZIP Code: 68780 |
| | | States of Solicitation List: |
| State: CO |
| State: NE |
| | Recipient: |
| | | Recipient Name: Jeffrey G. Meyers |
| | | Recipient CRD Number: 2192759 |
| | | Associated BD Name: QA3 Financial Corp. |
| | | Associated BDCRD Number: 14754 |
| | | Recipient Address: |
| Street 1: 8717 W 110th St. |
| Street 2: Suite 620 |
| City: Overland Park |
| State or Country: KS |
| ZIP Code: 66210 |
| | | States of Solicitation List: |
| State: IN |
| | Recipient: |
| | | Recipient Name: James D. Phelan |
| | | Recipient CRD Number: 362251 |
| | | Associated BD Name: IMS Securities Inc. |
| | | Associated BDCRD Number: 35567 |
| | | Recipient Address: |
| Street 1: 4412 Spicewood Springs |
| Street 2: Suite 300 |
| City: Austin |
| State or Country: TX |
| ZIP Code: 78759 |
| | | States of Solicitation List: |
| State: TX |
| | Recipient: |
| | | Recipient Name: James R. Kennedy |
| | | Recipient CRD Number: 1961588 |
| | | Associated BD Name: VSR Financial Services Inc. |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 106 South Seaman Street |
| City: Eastland |
| State or Country: TX |
| ZIP Code: 76448 |
| | | States of Solicitation List: |
| State: TX |
| | Recipient: |
| | | Recipient Name: John D. Crockett |
| | | Recipient CRD Number: 1463224 |
| | | Associated BD Name: Centaurus Financial Inc. |
| | | Associated BDCRD Number: 30833 |
| | | Recipient Address: |
| Street 1: 16825 48th Avenue West |
| Street 2: Suite 112 |
| City: Lynnwood |
| State or Country: WA |
| ZIP Code: 98037 |
| | | States of Solicitation List: |
| State: WA |
| | Recipient: |
| | | Recipient Name: John H. Towers |
| | | Recipient CRD Number: 700221 |
| | | Associated BD Name: VSR Financial Services Inc. |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 5800 Granite Parkway |
| Street 2: Suite 100 |
| City: Plano |
| State or Country: TX |
| ZIP Code: 75024 |
| | | States of Solicitation List: |
| State: TX |
| | Recipient: |
| | | Recipient Name: John T. Lady |
| | | Recipient CRD Number: 2045202 |
| | | Associated BD Name: VSR Financial Services Inc. |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 330 Pelham Road |
| Street 2: Suite 101B |
| City: Greenville |
| State or Country: SC |
| ZIP Code: 29615 |
| | | States of Solicitation List: |
| State: SC |
| | Recipient: |
| | | Recipient Name: Steven D. Kaestner |
| | | Recipient CRD Number: 2844064 |
| | | Associated BD Name: VSR Financial Services Inc. |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 933 East Britton |
| City: Oklahoma City |
| State or Country: OK |
| ZIP Code: 73114 |
| | | States of Solicitation List: |
| State: OK |
| | Recipient: |
| | | Recipient Name: Michael H. Cunningham |
| | | Recipient CRD Number: 2499939 |
| | | Associated BD Name: VSR Financial Services Inc. |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 933 East Britton |
| City: Oklahoma City |
| State or Country: OK |
| ZIP Code: 73114 |
| | | States of Solicitation List: |
| State: OK |
| | Recipient: |
| | | Recipient Name: Karl F. Frank |
| | | Recipient CRD Number: 4769985 |
| | | Associated BD Name: Geneos Walth Management Inc. |
| | | Associated BDCRD Number: 120894 |
| | | Recipient Address: |
| Street 1: 9780 Mt Pyramid Court |
| Street 2: Suite 130 |
| City: Englewood |
| State or Country: CO |
| ZIP Code: 80112 |
| | | States of Solicitation List: |
| State: CO |
| | Recipient: |
| | | Recipient Name: Kenneth W. Finnell |
| | | Recipient CRD Number: 1184110 |
| | | Associated BD Name: Newport Coast Securities Inc. |
| | | Associated BDCRD Number: 16944 |
| | | Recipient Address: |
| Street 1: 43460 Ridge Park Drive |
| Street 2: Suite 200 |
| City: Temecula |
| State or Country: CA |
| ZIP Code: 92590 |
| | | States of Solicitation List: |
| State: CA |
| | Recipient: |
| | | Recipient Name: Kevin N. Nevin |
| | | Recipient CRD Number: 2460059 |
| | | Associated BD Name: VSR Financial Services Inc. |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 1660 Highway 100 South |
| Street 2: Siute 500 |
| City: St. Louis Park |
| State or Country: MN |
| ZIP Code: 55416 |
| | | States of Solicitation List: |
| State: MN |
| | Recipient: |
| | | Recipient Name: Kraig W. Killough |
| | | Recipient CRD Number: 2463476 |
| | | Associated BD Name: EDI Financial Inc. |
| | | Associated BDCRD Number: 15699 |
| | | Recipient Address: |
| Street 1: 4265 San Felipe St. |
| Street 2: Suite 1100 |
| City: Houston |
| State or Country: TX |
| ZIP Code: 77027 |
| | | States of Solicitation List: |
| State: TX |
| | Recipient: |
| | | Recipient Name: Kimberly A. Barry |
| | | Recipient CRD Number: 4790882 |
| | | Associated BD Name: TNP Securities LLC |
| | | Associated BDCRD Number: 149178 |
| | | Recipient Address: |
| Street 1: 2999 Oak Road |
| Street 2: Suite 800 |
| City: Walnut Creek |
| State or Country: CA |
| ZIP Code: 94597 |
| | | States of Solicitation List: |
| State: CA |
| | Recipient: |
| | | Recipient Name: Lawrence Smith |
| | | Recipient CRD Number: 2378563 |
| | | Associated BD Name: Investors Capital Corp. |
| | | Associated BDCRD Number: 30613 |
| | | Recipient Address: |
| Street 1: 800 Summer Street |
| Street 2: Suite 415 |
| City: Stamford |
| State or Country: CT |
| ZIP Code: 06901 |
| | | States of Solicitation List: |
| State: CT |
| | Recipient: |
| | | Recipient Name: Lawrence Breen III |
| | | Recipient CRD Number: 1333876 |
| | | Associated BD Name: VSR Financial Services Inc. |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 1515 International Parkway |
| Street 2: Suite 1019 |
| City: Lake Mary |
| State or Country: FL |
| ZIP Code: 32746 |
| | | States of Solicitation List: |
| State: MO |
| | Recipient: |
| | | Recipient Name: Linda S. Collier |
| | | Recipient CRD Number: 1304049 |
| | | Associated BD Name: VSR Financial Services Inc. |
| | | Associated BDCRD Number: 14503 |
| | | Recipient Address: |
| Street 1: 2150 North 107th Street |
| Street 2: Suite 521 |
| City: Seattle |
| State or Country: WA |
| ZIP Code: 98133 |
| | | States of Solicitation List: |
| State: WA |
| | Over 100 Recipient Flag? Yes |
| Offering Sales Amounts: |
| | Total Offering Amount: 124,950,000 |
| | Total Amount Sold: 23,336,490 |
| | Total Remaining: 101,613,510 |
| | Clarification of Response: Total Offering Amount: $100,000,000 represents aggregate amount for limited partnership interests and $24,950,000 represents aggregate amount for limited liability company membership interests being offered in connection with offering |
| Investors: |
| | Has Non-Accredited Investors? Yes |
| | Number Non-Accredited Investors: 22 |
| | Total Number Already Invested: 505 |
| Sales Commissions Finders Fees: |
| | Sales Commissions: |
| | | Dollar Amount: 8,743,000 |
| | | Is Estimate? Yes |
| | Finders Fees: |
| | | Dollar Amount: 0 |
| | Clarification of Response: |
| Use of Proceeds: |
| | Gross Proceeds Used: |
| | | Dollar Amount: 0 |
| | Clarification of Response: |
| Signature Block: |
| | Authorized Representative? No |
| | Signature: |
| | | Issuer Name: UNITED DEVELOPMENT FUNDING LAND OPPORTUNITY FUND LP |
| | | Signature Name: /Hollis M. Greenlaw/ |
| | | Name of Signer: Hollis M. Greenlaw |
| | | Signature Title: President of managing member of gp of Issuer gp |
| | | Signature Date: 3/16/10 |
| | Signature: |
| | | Issuer Name: UNITED DEVELOPMENT FUNDING LAND OPPORTUNITY FUND INVESTORS LLC |
| | | Signature Name: /Hollis M. Greenlaw/ |
| | | Name of Signer: Hollis M. Greenlaw |
| | | Signature Title: Pres. of managing member of gp of Issuer managing member |
| | | Signature Date: 3/16/10 |