Published pursuant to provisions of General Business Law [Art. 23-A, § 359-e(2)]
DEALERS; BROKERS
32 Swish 33, LLC230 W. 41st St., Suite 1703, New York, NY 10036State or country in which incorporated — New York limited liability companyAlliant Holdings I, LLC701B St., 6th Fl., San Diego, CA 92101State or country in which incorporated — Delaware limited liability companyAmvestar Affordable Housing Fund, LLC645 Mayport Rd., Suite 5, Atlantic Beach, FL 32233Partnership — Amvestar Capital, LLCBlank Equity Mercury Fund, LLC1010 Northern Blvd., Suite 208, Great Neck, NY 11021State or country in which incorporated — DelawareBlue Heron Partners, L.P.3522 Ashford Dunwoody Rd., #379, Atlanta, GA 30319Partnership — LMK Capital Management, LLCBTA 2012 Private Placement Program104 S. Pecos, Midland, TX 79701CallWave, Inc.150 Spear St., Suite 550, San Francisco, CA 94105State or country in which incorporated — DelawareCelmatix Inc.One Little W. 12th St., New York, NY 10014State or country in which incorporated — DelawareCentennial Real Estate Fund III, LP3348 Peachtree Rd., NE, Suite 1000, Atlanta, GA 30326Partnership — Centennial Real Estate Fund III GP, LLCChatching, Inc.1061 E. Indiantown Rd., Suite 400, Jupiter, FL 33477State or country in which incorporated — FloridaChatham Investment Fund IV, LLC400 Galleria Pkwy., Suite 1950, Atlanta, GA 30339Chatham Investment Fund QP IV, LLC400 Galleria Pkwy., Suite 1950, Atlanta, GA 30339Colchis P2P Income Fund, L.P.One Maritime Plaza, Suite 1975, San Francisco, CA 94111Partnership — Colchis Income Advisors I, LLCCommunity Financial Shares, Inc.357 Roosevelt Rd., Glen Ellyn, IL 60137State or country in which incorporated — DelawareDirecTex Holding Corp.678 N. Main, Gladewater, TX 75647State or country in which incorporated — TexasDouglas Scott Securities, Inc.101 W. Renner Rd., Suite 480, Richardson, TX 75082State or country in which incorporated — TexasF.I.T.T. Energy Products, Inc.26831 Crown Valley Pkwy., #230, Mission Viejo, CA 92691State or country in which incorporated — NevadaGame On 365, LLC520 White Plains Rd., Suite 500, Tarrytown, NY 10591Partnership — Vito GalassoGrow Small Cap Equity Long/Short L.P.One America Plaza, 600 W. Broadway, Suite 930, San Diego, CA 92101Partnership — GROW Partners LLCHighwood Partners QP, LPc/o Leonard Capital Management, Inc., 2155 Jackson Rd., Suite 1, Ann Arbor, MI 48103Partnership — Leonard Capital Management, Inc.Highwood Partners L.P.c/o Leonard Capital Management, Inc., 2155 Jackson Rd., Suite 1, Ann Arbor, MI 48103Partnership — Leonard Capital Management, Inc.IEX Group, Inc.One Liberty Plaza, 23rd Fl., New York, NY 10006State or country in which incorporated — New YorkInvestment Managers Series Trust803 W. Michigan St., Milwaukee, WI 53233State or country in which incorporated — DelawareJAV 2010-1, LLC16 Boulder Brook Rd., Greenwich, CT 06830State or country in which incorporated — DelawareJavelin Capital Markets, LLC443 Park Ave. S, 10th Fl., New York, NY 10016State or country in which incorporated — DelawareKBR Capital Markets, LLC255 Shoreline Dr., Suite 428, Redwood City, CA 94065State or country in which incorporated — DelawareKeystone Vista Lone Star Fund I, Ltd.1117 Eldridge Pkwy., Houston, TX 77077Partnership — Plazas Texas Holdings, Inc.LBC Credit Partners III, L.P.2929 Arch St., Suite 1550, Philadelphia, PA 19104Partnership — LBC Credit Funding III, L.P.Linsalata Capital Partners Fund VI, L.P.5900 Landerbrook, Suite 280, Mayfield Heights, OH 44124Partnership — Lincap VI GP, LLCLSF SEG Investments, L.P.Washington Mall, Suite 304, Seven Reid St., Hamilton, Bermuda HM 11Partnership — Lone Star Partners V, L.P.Maklnnovations, LLC26394 US Hwy. 70, Box 2669, Ruidoso Downs, NM 88346State or country in which incorporated — New MexicoOligomerix, Inc.3960 Broadway, Suite 340D, New York, NY 10032State or country in which incorporated — DelawareOpen Field Investors (Cayman) Limitedc/o Ogiers Fiduciary Services Cayman, Ltd., 89 Nexus Way, Camana Bay, Grand Cayman KY-1 9007, Cayman IslandsState or country in which incorporated — Cayman Islands exempted companyOrganic Alliance, Inc.401 Monterey St., Suite 202, Salinas, CA 93901State or country in which incorporated — NevadaPark Hill Group LLC345 Park Ave., 15th Fl., New York, NY 10154PNG Gold Corporation570 Granville St., Suite 800, Vancouver, BC, Canada V6C 3P1State or country in which incorporated — CanadaPrincipal Funds, Inc. - Overseas FundPrincipal Financial Group, 711 High St., Des Moines, IA 50392State or country in which incorporated — MarylandProsper Funding LLC111 Sutter St., 22nd Fl., San Francisco, CA 94104State or country in which incorporated — DelawareR.C. Temme CorporationP.O. Box 667, Woodland Hills, CA 91365State or country in which incorporated — CaliforniaRDA Partners, LP108 Webster Bldg., 3411 Silverside Rd., Wilmington, DE 19810State or country in which incorporated — DelawareRed Swan Ventures 1Q, L.P.45 W. 25th St., New York, NY 10010Partnership — Red Swan Ventures, LLCResource Real Estate Multifamily Income Fund, L.P.One Commerce Sq., 2005 Market St., 15th Fl., Philadelphia, PA 19103State or country in which incorporated — DelawareRiverside Venture Partnership II LLCc/o Westport Capital Markets, 257 Riverside Ave., Westport, CT 06880Rufus Partners, LP598 Madison Ave., 8th Fl., New York, NY 10022Partnership — Chitral V, LLC, general partnerS-I IPVF Holdings, LLC8505 Monroe Rd., Houston, TX 77061SG Blocks, Inc.400 Madison Ave., Suite 16C, New York, NY 10017State or country in which incorporated — DelawareShopwithStella.com, LLC190 W. 10th St., Suite 1-D, New York, NY 10014Partnership — Samantha RadocchiaSkrimshaw Global Macro Spread Opportunity Fund, L.P.95 Rowayton Ave., Suite B, Norwalk, CT 06853Partnership — Skrimshaw Investment Management, LLCSlalom, LLC821 Second Ave., Suite 1900, Seattle, WA 98104Sprout Pharmaceuticals, Inc.4208 Six Fork Rd., Suite 1010, Raleigh, NC 27609State or country in which incorporated — DelawareSymphony Event Driven Opportunities Fundc/o JPMorgan Hedge Fund Services, 303 Broadway, Suite 900, Cincinnati, OH 45202Symphony CLO Opportunities Fund, L.P.555 California St., Suite 2975, San Francisco, CA 94104Partnership — Symphony Asset Management LLC, general partnerTaglich Brothers, Inc.275 Madison Ave., Suite 1618, New York, NY 10016State or country in which incorporated — New YorkTopCo Group, Inc.1306 Town Plaza Court, Winter Springs, FL 32708State or country in which incorporated — NevadaUltrasound Medical Devices, Inc.3917 Research Park Dr., Suite B7, Ann Arbor, MI 48108State or country in which incorporated — DelawareVini LLC, The7430 SW. 142nd Terrace, Miami, FL 33158State or country in which incorporated — FloridaWSO Holdings, LP277 Park Ave., 50th Fl., New York, NY 10172Partnership — WSO Holdings, LLCWSO Investments, Inc.277 Park Ave., 50th Fl., New York, NY 10172State or country in which incorporated — Delaware
