Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
NONE
NONE
CITIGROUP GLOBAL MARKETS INC.
000007059
NONE
NONE
CITIGROUP GLOBAL MARKETS INC.
000007059
NONE
NONE
CITIGROUP GLOBAL MARKETS INC.
000007059
NONE
NONE
CITIGROUP GLOBAL MARKETS INC.
000007059
NONE
NONE
CITIGROUP GLOBAL MARKETS INC.
000007059
CITIGROUP GLOBAL MARKETS INC.
000007059
NONE
NONE
CITI PRIVATE ALTERNATIVES, LLC
000153777
CITIGROUP GLOBAL MARKETS INC.
000007059
NONE
NONE
CITIGROUP GLOBAL MARKETS INC.
000007059
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D/A
$28,656.00
No
$0.00
No
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.
D/A
$0.00
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.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ABOVE 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.
D/A
$0.00
Yes
$0.00
Yes
RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A % OF THE MGMT FEE PAID TO THE INVEST. MGR (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MGMT AND/OR THE INCENTIVE ALLOCATION. #1 IN ITEM 12 IS NO LONGER ACTIVE.
D/A
$228,225.00
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.
D
$0.00
Yes
$0.00
Yes
RECIPIENTS LISTED IN ITEM 12 MAY RECEIVE AN AMOUNT EQUAL TO A PERCENTAGE OF THE CARRIED INTEREST DISTRIBUTION (IF ANY) PAYABLE TO THE GENERAL PARTNER.
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.
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.
D/A
$897,500.00
No
$0.00
No
SALES COMMISSIONS REPRESENT THE TOTAL SALES COMMISSIONS TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE AS A RESULT OF COMPLETED SALES OF INTERESTS IN THE ISSUER AND/OR ITS FEEDER FUNDS.
D/A
$372,711.00
Yes
$0.00
No
ESTIMATE INCLUDES FEES THAT MAY BE PAID OVER THE NEXT 12 MONTHS.
D/A
$159,408.00
Yes
$0.00
No
SALES COMMISSIONS REPRESENT AN ESTIMATE OF THE TOTAL SALES COMMISSIONS PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE.
D/A
$0.00
Yes
$0.00
No
SALES COMMISSIONS REPRESENT AN ESTIMATE OF THE TOTAL SALES COMMISSIONS PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE.
D/A
$0.00
Yes
$0.00
No
SALES COMMISSIONS REPRESENT AN ESTIMATE OF THE TOTAL SALES COMMISSIONS PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE.
D/A
$3,400,000.00
Yes
$0.00
No
ESTIMATE BASED ON COMPENSATION ARRANGEMENTS WITH ENTITIES IDENTIFIED IN ITEM 12.
D/A
$897,500.00
No
$0.00
No
SALES COMMISSIONS REPRESENT THE TOTAL SALES COMMISSIONS TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE AS A RESULT OF COMPLETED SALES OF INTERESTS IN THE ISSUER AND/OR ITS FEEDER FUNDS.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ABOVE 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.
D/A
$897,500.00
No
$0.00
No
SALES COMMISSIONS REPRESENT THE TOTAL SALES COMMISSIONS TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE AS A RESULT OF COMPLETED SALES OF INTERESTS IN THE ISSUER AND/OR ITS FEEDER FUNDS.
D/A
$334,044.00
Yes
$0.00
No
SALES COMMISSIONS REPRESENT AN ESTIMATE OF THE TOTAL SALES COMMISSIONS PAID TO THE ENTITY LISTED IN ITEM 12 ABOVE.
D/A
$0.00
No
$0.00
No
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.
D/A
$0.00
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.
D/A
$0.00
No
$0.00
No
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.
D/A
$21,500,000.00
Yes
$0.00
No
SALES COMMISSIONS REPRESENTS AN ESTIMATE OF TOTAL SALES COMMISSIONS TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 OVER TIME AS A RESULT OF THE ANTICIPATED SALES OF INTERESTS IN THE ISSUER AND/OR CERTAIN RELATED ENTITIES, SUBJECT TO FUTURE CONTINGENCIES.
D/A
$21,500,000.00
Yes
$0.00
No
SALES COMMISSIONS REPRESENTS AN ESTIMATE OF TOTAL SALES COMMISSIONS TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 OVER TIME AS A RESULT OF THE ANTICIPATED SALES OF INTERESTS IN THE ISSUER AND/OR CERTAIN RELATED ENTITIES, SUBJECT TO FUTURE CONTINGENCIES.
D/A
$21,500,000.00
Yes
$0.00
No
SALES COMMISSIONS REPRESENTS AN ESTIMATE OF TOTAL SALES COMMISSIONS TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 OVER TIME AS A RESULT OF THE ANTICIPATED SALES OF INTERESTS IN THE ISSUER AND/OR CERTAIN RELATED ENTITIES, SUBJECT TO FUTURE CONTINGENCIES.
D/A
$21,500,000.00
Yes
$0.00
No
SALES COMMISSIONS REPRESENTS AN ESTIMATE OF TOTAL SALES COMMISSIONS TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 OVER TIME AS A RESULT OF THE ANTICIPATED SALES OF INTERESTS IN THE ISSUER AND/OR CERTAIN RELATED ENTITIES, SUBJECT TO FUTURE CONTINGENCIES.
D/A
$21,500,000.00
Yes
$0.00
No
SALES COMMISSIONS REPRESENTS AN ESTIMATE OF TOTAL SALES COMMISSIONS TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 OVER TIME AS A RESULT OF THE ANTICIPATED SALES OF INTERESTS IN THE ISSUER AND/OR CERTAIN RELATED ENTITIES, SUBJECT TO FUTURE CONTINGENCIES.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ABOVE 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.
D/A
$3,400,000.00
Yes
$0.00
No
ESTIMATE BASED ON COMPENSATION ARRANGEMENTS WITH ENTITIES IDENTIFIED IN ITEM 12.
D/A
$0.00
Yes
$0.00
Yes
RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A % OF THE MGMT FEE PAID TO THE INVEST. MGR (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MGMT AND/OR THE INCENTIVE ALLOCATION. #1 IN ITEM 12 IS NO LONGER ACTIVE.
D/A
$0.00
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.
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.
D/A
$0.00
Yes
$0.00
Yes
IN ADDITION TO FEES PAID DIRECTLY TO THEM BY CERTAIN PERSONS IN CONNECTION WITH THE OFFERING, THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF MANAGEMENT FEES OR NET ASSET VALUE ATTRIBUTABLE TO CERTAIN AUM.
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.
D/A
$0.00
Yes
$0.00
Yes
IN ADDITION TO FEES PAID DIRECTLY TO THEM BY CERTAIN PERSONS IN CONNECTION WITH THE OFFERING, THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF MANAGEMENT FEES OR NET ASSET VALUE ATTRIBUTABLE TO CERTAIN AUM.
D/A
$0.00
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.
D/A
$0.00
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.
D/A
$18,250.00
Yes
$0.00
No
SALES COMMISSIONS REPRESENT AN ESTIMATE OF THE TOTAL SALES COMMISSIONS PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE.
D/A
$77,333.00
Yes
$0.00
No
SALES COMMISSIONS REPRESENT AN ESTIMATE OF THE TOTAL SALES COMMISSIONS PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE.
D/A
$14,000.00
Yes
$0.00
No
SALES COMMISSIONS REPRESENT AN ESTIMATE OF THE TOTAL SALES COMMISSIONS PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ABOVE 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.
D/A
$221,844.00
Yes
$0.00
No
SALES COMMISSIONS REPRESENT AN ESTIMATE OF THE TOTAL SALES COMMISSIONS PAID TO THE ENTITY LISTED IN ITEM 12 ABOVE.
D/A
$21,500,000.00
Yes
$0.00
No
SALES COMMISSIONS REPRESENTS AN ESTIMATE OF TOTAL SALES COMMISSIONS TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 OVER TIME AS A RESULT OF THE ANTICIPATED SALES OF INTERESTS IN THE ISSUER AND/OR CERTAIN RELATED ENTITIES, SUBJECT TO FUTURE CONTINGENCIES.
D/A
$21,500,000.00
Yes
$0.00
No
SALES COMMISSIONS REPRESENTS AN ESTIMATE OF TOTAL SALES COMMISSIONS TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 OVER TIME AS A RESULT OF THE ANTICIPATED SALES OF INTERESTS IN THE ISSUER AND/OR CERTAIN RELATED ENTITIES, SUBJECT TO FUTURE CONTINGENCIES.
D/A
$21,500,000.00
Yes
$0.00
No
SALES COMMISSIONS REPRESENTS AN ESTIMATE OF TOTAL SALES COMMISSIONS TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 OVER TIME AS A RESULT OF THE ANTICIPATED SALES OF INTERESTS IN THE ISSUER AND/OR CERTAIN RELATED ENTITIES, SUBJECT TO FUTURE CONTINGENCIES.
D/A
$21,500,000.00
Yes
$0.00
No
SALES COMMISSIONS REPRESENTS AN ESTIMATE OF TOTAL SALES COMMISSIONS TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 OVER TIME AS A RESULT OF THE ANTICIPATED SALES OF INTERESTS IN THE ISSUER AND/OR CERTAIN RELATED ENTITIES, SUBJECT TO FUTURE CONTINGENCIES.
D/A
$21,500,000.00
Yes
$0.00
No
SALES COMMISSIONS REPRESENTS AN ESTIMATE OF TOTAL SALES COMMISSIONS TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 OVER TIME AS A RESULT OF THE ANTICIPATED SALES OF INTERESTS IN THE ISSUER AND/OR CERTAIN RELATED ENTITIES, SUBJECT TO FUTURE CONTINGENCIES.
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.
D/A
$0.00
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.
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.
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.
