ABERDEEN / CLASS HOUSTON / FUND HAUPPAUGE / SERIES WHEATON / DALLAS / LISLE / MINOT / HOUSTON / CLASS BOSTON / MENLO PARK / WILLOWGROVE / AUSTIN / NEWARK / BOSTON / NEW YORK / JACKSONVILLE / SOUTHINGTON / WHEATON / COLUMBUS / KALISPELL / CLASS MILWAUKEE / DES MOINES / OAKBROOK / SAN DIEGO / MILWAUKEE / WARRENDALE / /
Company
JPMORGAN TR 1 JPMORGAN GROWTH LONG SHORT FUND / FT 2694 MLP CLOSED END FUND / LUCAS VENTURE GROUP 7 LLC / INTERVENTION ENERGY LLC / NEVADA GEOTHERNAL POWER INC / FIRSTATLANTIC FINANCIAL HOLDINGS INC / TYHEE DEVELOPMENT CORP / Filed SOCIALWISE INC / JPMORGAN GLOBAL / LAKE HILLS CHURCH NORTHSTAR SENIOR CARE TR INC / LUCAS VENTURE GROUP 6 LLC / JPMORGAN US / WI SERIES TR EP ASIA SMALL CO FUND / PRUDENTIAL JENNISON SMALL CO FUND INC / ZINC AIR INC / S&P / CLEARVIEW ENERGY LP / ATHENA FINANCE LLC / INVESCO / CLOSED END INCOME & TREASURY LTD / ARGYLE ENERGY 2010 4 YEP OFFSET DEVELOPMENT LP / VINCULUM WINE LTD / JPMORGAN MID CAP / PRINCIPAL FUNDS INC GLOBAL / DFA INVESTMENT DIMENSIONS GROUP INC / CALVERT IMPACT FUND INC / /
Country
China / /
Currency
USD / /
Facility
Cleared TX EX MUNICIPAL PORTFOLIO MONUMENT / /
Organization
ASSET ENDOWMENT FUND / JPMORGAN GROWTH LONG SHORT FUND / END FUND / GOTTEX MULTI ASSET ENDOWMENT FUND / /
Person
VAN KAMPEN UNI TR / B BETHESDA / / /
Position
Pending-Cleared ADVISORS CORPORATE TR CUTWATER INCOME OPPORTUNITIES PORTFOLIO SERIES / /
Product
DURATION PORTFOLIO SERIES 10 LISLE / PORTFOLIO SERIES 18 WHEATON / PORTFOLIO SERIES 38 WHEATON / /
$OO6HFXULWLHV/DZ)UDQFKLVH/DZDQG7DNH2YHU/DZ)LOLQJV IRUWKURXJK Securities Law Registration Filings Made with DFI’s Securities Division Firm Name