Registered Amarillo / Status Westerville / Phoenix / COLUMBUS / SEATTLE / WILMINGTON / CHIGACO / Orange / Fork / DES MOINES / BOSTON / NEW YORK / NEWPORT BEACH / /
Company
File Number Status Oasis Senior Advisors Franchise Systems LLC / CAVANAL HILL FUNDS / Registered RBB FUND INC / Registered Black Diamond AB / US Franchising Inc. / NUVEEN / Registered Apex Fun Run LLC / Registered Peak Franchising Inc. / Name Date Received File Number Status PRINCIPAL FUNDS INC / Registered TTP Franchising Inc. / Pending-Cleared PRINCIPAL FUNDS INC INTERNATIONAL / SP FRANCHISING INC. / Registered KALEIDOSCOOPS INC / SCHRODER SERIES TR SCHRODER EMERGING / Registered SCHRODER / Top Ten Percent FIBRENEW USA LTD. / RUSSELL INVESTMENT CO / Registered PRINCIPAL FUNDS INC / Registered SB Acquisition LLC / Kaleidoscoops Sub Zero Franchising Inc. / /
Country
United States / /
OperatingSystem
Fork / /
Organization
BOND FUND / FUNDS SPECTRUM FUND DUBLIN / /
Person
Max Muscle / /
Position
ADVISOR / GLOBAL MULTI CAP EQUITY FUND ADVISOR / ADVISORS / Registered ADVISORS / Regional Director / Securities Division Firm Name Location Date Received File Number Status ADVISORS / /
All Securities Law, Franchise Law, and Take-Over Law Filings for[removed]through[removed]Securities Law Registration Filings Made with DFI’s Securities Division Firm Name