Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NONE
NONE
DEUTSCHE BANK SECURITIES INC.
000002525
NONE
NONE
DEUTCHE BANK SECURITIES INC.
000002525
NONE
NONE
DEUTSCHE BANK SECURITIES INC.
000002525
NONE
NONE
DEUTSCHE BANK SECURITIES INC.
000002525
DEUTSCHE BANK SECURITIES INC.
000002525
DEUTSCHE BANK TRUST COMPANY AMERICAS
NONE
NONE
NONE
DEUTSCHE BANK SECURITIES INC.
000002525
NONE
NONE
DEUTSCHE BANK SECURITIES, INC.
000002525
DEUTSCHE BANK SECURITIES, INC.
000002525
DEUTSCHE BANK TRUST COMPANY AMERICAS
NONE
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2026-07-01
D/A
$904,732.00
Yes
$0.00
Yes
IF APPLICABLE, EMPLOYEES OF THE RECIPIENT LISTED IN ITEM 12, ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.
2026-06-05
D/A
$17,576,487.00
Yes
$0.00
No
2026-03-20
D/A
$0.00
No
$13,402,580.00
Yes
2026-03-20
D/A
$0.00
No
$27,624,529.00
Yes
AMOUNTS INCLUDE PAYMENTS TO MERRILL LYNCH, PIERCE, FENNER + SMITH INCORPORATED WHOSE ENGAGEMENT HAS SINCE BEEN TERMINATED.
2026-03-13
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 SERVED AS PLACEMENT AGENTS AND WERE ENTITLED TO A PERCENTAGE OF THE FEES PAID TO THE INVESTMENT MANAGER ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.
2026-03-13
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 SERVED AS PLACEMENT AGENTS AND WERE ENTITLED TO A PERCENTAGE OF THE FEES PAID TO THE INVESTMENT MANAGER ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.
2026-03-13
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 SERVED AS PLACEMENT AGENTS AND WERE ENTITLED TO A PERCENTAGE OF THE FEES PAID TO THE INVESTMENT MANAGER ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.
2026-03-13
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 SERVED AS PLACEMENT AGENTS AND WERE ENTITLED TO A PERCENTAGE OF THE FEES PAID TO THE INVESTMENT MANAGER ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT
2026-02-27
D/A
$19,184,116.00
Yes
$0.00
No
INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.
2026-02-27
D/A
$22,508,731.00
Yes
$0.00
No
INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.
2026-01-16
D/A
$10,630,530.00
Yes
$0.00
No
2025-10-17
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
2025-10-17
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
2025-10-17
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
2025-10-01
D/A
$15,375,616.00
No
$0.00
No
SALES COMMISSIONS REPRESENT PAYMENTS TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D.
2025-08-11
D/A
$20,109,630.00
No
$0.00
No
SALES COMMISSIONS REPRESENT PAYMENTS TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D.
2025-07-01
D/A
$904,732.00
Yes
$0.00
Yes
RECIPIENTS LISTED IN ITEM 12 (EXCLUDING WFD, BUT INCLUDING, IF APPLICABLE, EMPLOYEES OF WFD) ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE IM (OR ITS AFFILIATES) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.
2025-06-06
D/A
$15,706,752.00
Yes
$0.00
No
2025-05-07
D/A
$904,732.00
Yes
$0.00
Yes
RECIPIENTS LISTED IN ITEM 12 (EXCLUDING WFD, BUT INCLUDING, IF APPLICABLE, EMPLOYEES OF WFD) ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE IM (OR ITS AFFILIATES) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.
2025-03-21
D/A
$0.00
No
$27,058,105.00
Yes
AMOUNTS INCLUDE PAYMENTS TO MERRILL LYNCH, PIERCE, FENNER + SMITH INCORPORATED WHOSE ENGAGEMENT HAS SINCE BEEN TERMINATED.
2025-03-21
D/A
$0.00
No
$13,285,100.00
Yes
2025-03-14
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 SERVE OR HAVE SERVED AS PLACEMENT AGENTS AND ARE, IF APPLIABLE, ENTITLED TO A PERCENTAGE OF THE FEES PAID TO THE INVESTMENT MANAGER ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.
2025-03-14
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 SERVE OR HAVE SERVED AS PLACEMENT AGENTS AND ARE, IF APPLIABLE, ENTITLED TO A PERCENTAGE OF THE FEES PAID TO THE GENERAL PARTNER ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.
2025-03-14
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 SERVE OR HAVE SERVED AS PLACEMENT AGENTS AND ARE, IF APPLIABLE, ENTITLED TO A PERCENTAGE OF THE FEES PAID TO THE INVESTMENT MANAGER ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.
2025-03-14
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 SERVE OR HAVE SERVED AS PLACEMENT AGENTS AND ARE, IF APPLIABLE, ENTITLED TO A PERCENTAGE OF THE FEES PAID TO THE INVESTMENT MANAGER ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.
2025-02-28
D/A
$22,459,081.00
Yes
$0.00
No
INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.
2025-02-28
D/A
$19,061,916.00
Yes
$0.00
No
INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.
2025-02-21
D/A
$9,838,087.00
Yes
$0.00
Yes
RECIPIENTS LISTED IN ITEM 12 (EXCLUDING WFD, BUT INCLUDING, IF APPLICABLE, EMPLOYEES OF WFD) ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE IM (OR ITS AFFILIATES) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.
2025-01-17
D/A
$9,785,095.00
Yes
$0.00
No
2024-10-18
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
2024-10-18
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
2024-10-18
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
2024-10-01
D/A
$11,130,343.00
No
$0.00
No
SALES COMMISSIONS REPRESENT PAYMENTS TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D.
2024-08-09
D/A
$13,904,681.00
No
$0.00
No
SALES COMMISSIONS REPRESENT PAYMENTS TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D.
2024-05-07
D/A
$786,748.00
Yes
$0.00
Yes
RECIPIENTS LISTED IN ITEM 12 (EXCLUDING WFD, BUT INCLUDING, IF APPLICABLE, EMPLOYEES OF WFD) ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE IM (OR ITS AFFILIATES) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.