All Securities Law, Franchise Law, and Take-Over Law Filings for 3/29/2020 through 4/4/2020 Securities Law Registration Filings Made with DFI’s Securities Division Firm Name Location Date File Number Status Received Rodin Global Property Trust, Inc. New York, NY 4/3/2020 857639-29 Pending Number of Registration Filings: 1 Securities Law Exemption Filings Made with DFI’s Securities Division Firm Name Location Date File Number Status Received Number of Exemption Filings: 0 Securities Law Federal Covered Security-Investment Company Filings Made with DFI’s Securities Division Firm Name Location Date File Number Status Received Advisors Disciplined Trust 1997 Monument, CO 4/3/2020 857603-05 Filed Human Behavior Opportunities Portfolio, Series 2020-1Q Domini Investment Trust Domini New York, NY 4/3/2020 857619-03 Filed Sustainable Solutions Fund Institutional Shares Domini Investment Trust Domini New York, NY 4/3/2020 857618-03 Filed Sustainable Solutions Fund Investor Shares FT 8582 Stonebridge Preferred Wheaton, IL 4/3/2020 857604-05 Filed Income Portfolio, Series 26 FT 8583 Emerging Markets Wheaton, IL 4/3/2020 857610-05 Filed Strength Portfolio, Series 48 FT 8584 Income Dividend Equity Wheaton, IL 4/3/2020 857611-05 Filed Allocation (IDEA) Portfolio, Series 24 FT 8589 Capital Strength Buy- Wheaton, IL 4/3/2020 857605-05 Filed Write Portfolio, Series 50 FT 8590 S&P Dividend Wheaton, IL 4/3/2020 857606-05 Filed Aristocrats Buy-Write Portfolio, Series 10 FT 8602 Precious Metals Select Wheaton, IL 4/3/2020 857608-05 Filed Portfolio, Series 44 FT 8611 Senior Loan and Wheaton, IL 4/3/2020 857609-05 Filed Dividend Growers Portfolio, Series 27 FT 8612 Senior Loan Select Wheaton, IL 4/3/2020 857612-05 Filed Closed-End Portfolio, Series 40 4/20/2020 9:35:23 AM Page 1 of 15 All Securities Law, Franchise Law, and Take-Over Law Filings for 3/29/2020 through 4/4/2020 Securities Law Federal Covered Security-Investment Company Filings Made with DFI’s Securities Division Firm Name Location Date File Number Status Received FT 8621 Cboe Vest Large Cap Wheaton, IL 4/3/2020 857614-05 Filed Deep Buffered Portfolio Series FT 8653 Richard Bernstein Wheaton, IL 4/3/2020 857613-05 Filed Advisors Quality Income Portfolio, Series 37 FT 8657 Global Bond Income Wheaton, IL 4/3/2020 857607-05 Filed Closed-End Portfolio, Series 34 Metropolitan West Funds Los Angeles, CA 4/3/2020 857617-03 Filed Metropolitan West Unconstrained Bond Fund Class P Shares Metropolitan West Funds Total Los Angeles, CA 4/3/2020 857616-03 Filed Return Bond Fund Class I-2 Shares CIM Real Assets & Credit Fund Los Angeles, CA 4/2/2020 857599-59 Pending-Cleared Class A CIM Real Assets & Credit Fund Los Angeles, CA 4/2/2020 857601-59 Pending-Cleared Class C CIM Real Assets & Credit Fund Los Angeles, CA 4/2/2020 857600-59 Pending-Cleared Class I CIM Real Assets & Credit Fund Los Angeles, CA 4/2/2020 857602-59 Pending-Cleared Class L Touchstone Strategic Trust Cincinnati, OH 4/1/2020 857596-03 Filed Touchstone Large Company Growth Fund Class A Carlyle Tactical Private Credit Centennial, CO 3/31/2020 857588-59 Filed Fund Class M Shares The Advisors` Inner Circle Fund Oaks, PA 3/31/2020 857589-03 Pending-Cleared Westwood Alternative Income Fund A Class Shares The Advisors` Inner Circle Fund Oaks, PA 3/31/2020 857590-03 Pending-Cleared Westwood Alternative Income Fund C Class Shares The Advisors` Inner Circle Fund Oaks, PA 3/31/2020 857591-03 Pending-Cleared Westwood High Income Fund C Class Shares The Advisors` Inner Circle Fund Oaks, PA 3/31/2020 857592-03 Pending-Cleared Westwood LargeCap Value Fund C Class Shares The Advisors` Inner Circle Fund Oaks, PA 3/31/2020 857593-03 Pending-Cleared Westwood SmallCap Fund Y Class Shares The Advisors` Inner Circle Fund Oaks, PA 3/31/2020 857594-03 Pending-Cleared Westwood Total Return Fund A Class Shares The Advisors` Inner Circle Fund Oaks, PA 3/31/2020 857595-03 Pending-Cleared Westwood Total Return Fund C Class Shares 4/20/2020 9:35:23 AM Page 2 of 15 All Securities Law, Franchise Law, and Take-Over Law Filings for 3/29/2020 through 4/4/2020 Securities Law Federal Covered Security-Investment Company Filings Made with DFI’s Securities Division Firm Name Location Date File Number Status Received Tulsa Real Estate Fund, LLC East Point, GA 3/31/2020 857598-25 Filed Mutual Fund Series Trust Omaha, NE 3/30/2020 857586-03 Filed AlphaCentric Municipal Opportunities Fund Class A Northern Lights Fund Trust III Omaha, NE 3/30/2020 857587-03 Filed Swan Defined Risk U.S. Small Cap Fund Class A Shares Number of Investment Company Filings: 32 Federal Covered Security-Regulation D Notice Filings Made with DFI’s Securities Division Firm Name Location Date File Number Status Received AmCap Necessity Retail Fund Stamford, CT 4/3/2020 857629-07 Filed LLC Asymmetry Ventures Fund I, a Seattle, WA 4/3/2020 857636-07 Filed series of Asymmetry Ventures, LP BREP Europe VI Real Estate New York, NY 4/3/2020 857625-07 Filed Fund, L.P. Carter Multifamily Growth & Tampa, FL 4/3/2020 857632-07 Filed Income Fund II, LLC CO Fund I, a series of Moving Seattle, WA 4/3/2020 857635-07 Filed Capital, LP Cold Bore Capital Fund II L.P. Chicago, IL 4/3/2020 857626-07 Filed CSW Arbour Square IV Blue Bell, PA 4/3/2020 857627-07 Filed Doylestown, L.P. FactoryFix, Inc. Chicago, IL 4/3/2020 857630-07 Filed FMIIP Fund I, L.P. Raleigh, NC 4/3/2020 857637-07 Filed Intellinetics, Inc. Columbus, OH 4/3/2020 857623-07 Filed Manna Tree Partners Fund I, L.P. Vail, CO 4/3/2020 857622-07 Filed ML Avenue Sidecar, LLC Minneapolis, MN 4/3/2020 857624-07 Filed OVP-Stellar Cyber LLC Norwalk, CT 4/3/2020 857628-07 Filed Rise Fund II FOF, L.P. Ft Worth, TX 4/3/2020 857634-07 Filed Sarasota City Center Holdings, Tampa, FL 4/3/2020 857621-07 Filed LLC Sculptor Real Estate IV Private New York, NY 4/3/2020 857631-07 Filed Investors Offshore, L.P. Smart Markets Fund, L.P. San Francisco, CA 4/3/2020 857620-07 Filed 4/20/2020 9:35:23 AM Page 3 of 15 All Securities Law, Franchise Law, and Take-Over Law Filings for 3/29/2020 through 4/4/2020 Federal Covered Security-Regulation D Notice Filings Made with DFI’s Securities Division Firm Name Location Date File Number Status Received Western Wealth Capital LIV US North Vancouver, 4/3/2020 857633-07 Filed Investor, LP BC Number of Regulation D Notice Filings: 18 Franchise Law Filings Made with DFI’s Securities Division Legal Name / Trade Name Location Date File Number Status Received Velofix Holdings USA, Inc. / Vancouver, BC 4/3/2020 626057 Registered Velofix FARRELL'S EXTREME Urbandale, IA 4/3/2020 626056 Registered BODYSHAPING, INC. / Farrell's eXtreme Bodyshaping® AMERICAN BANKERS ASSOC / WASHINGTON, 4/3/2020 626055 Registered AMERICAN INSTITUTE OF DC BANKING Conserva Irrigation Franchising, Richmond, VA 4/3/2020 626054 Registered LLC / Conserva Irrigation Stagecoach North America Ltd. / Woking, 4/3/2020 626053 Registered Stagecoach Master Franchise TES FRANCHISING, LLC / THE SOUTHBURY, CT 4/3/2020 626052 Registered ENTREPRENEUR'S SOURCE Bark Busters North America, LLC Danville, CA 4/3/2020 626051 Registered / Bark Busters PrideStaff, Inc. / PrideStaff® and FRESNO, CA 4/3/2020 626040 Registered PrideStaff Financial® Fish Window Cleaning Services, Manchester, MO 4/3/2020 626050 Registered Inc. / FISH WINDOW CLEANING Allen Training Centers, Inc. / Westminster, CO 4/3/2020 626049 Registered Allen Training Centers Outdoor Lighting Perspectives Richmond, VA 4/3/2020 626048 Registered Franchising, Inc. / Outdoor Lighting Business RPM Summit Group, LLC / Incline Village, NV 4/3/2020 626047 Registered Rocket Fizz Miracle-Ear, Inc. / Miracle-Ear Minneapolis, MN 4/3/2020 626046 Registered Chefs For Seniors Franchising, Cottage Grove, WI 4/3/2020 626045 Registered LLC / Chefs For Seniors Aire Serv LLC / Aire Serv Waco, TX 4/3/2020 626043 Registered Certa ProPainters, Ltd. / Audubon, PA 4/3/2020 626042 Registered CertaPro Painters First Choice Business Brokers, Las Vegas, NV 4/3/2020 626041 Registered Inc. / First Choice Business Brokers 4/20/2020 9:35:23 AM Page 4 of 15 All Securities Law, Franchise Law, and Take-Over Law Filings for 3/29/2020 through 4/4/2020 Franchise Law Filings Made with DFI’s Securities Division Legal Name / Trade Name Location Date File Number Status Received Painting Masters Franchise Los Angeles, CA 4/2/2020 626039 Registered Corporation / Painting Masters Squeeze Franchising, LLC / Studio City, CA 4/2/2020 626035 Registered Squeeze Decorating Den Systems, Inc. / Easton, MD 4/2/2020 626037 Registered Decorating Den Interiors ROSATI'S FRANCHISING, INC. / Schaumburg, IL 4/2/2020 626038 Registered Rosati's Pizza PIZZA RANCH, INC / Pizza ORANGE CITY, IA 4/2/2020 626036 Registered Ranch Uptown Cheapskate, LLC / North Salt Lake, 4/2/2020 626034 Registered Uptown Cheapskate UT YESCO Franchising LLC / Salt Lake City, UT 4/2/2020 626033 Registered YESCO Archadeck Franchising Richmond, VA 4/2/2020 626032 Registered Corporation / Archadeck Outdoor Living A&W RESTAURANTS INC / Lexington, KY 4/2/2020 626031 Registered A&W All American Food; A&W Restaurants UA HOLDINGS INC / UNITED CLAREMORE, OK 4/2/2020 626030 Registered AXLE LABOR FINDERS PALM BEACH 4/2/2020 626029 Registered INTERNATIONAL INC / Labor GARDENS, FL Finders GOSH ENTERPRISES, INC. / COLUMBUS, OH 4/2/2020 626028 Registered Charleys, Charleys Philly Steaks, Charley's Grilled Subs, Charleys Philly Steaks Wings, Philly Steaks T.B.