Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
NONE
NONE
UBS FINANCIAL SERVICES INC.
000008174
UBS FINANCIAL SERVICES INC.
000008174
NOT APPLICABLE
NONE
UBS FINANCIAL SERVICES INC.
000008174
NONE
NONE
NONE
NONE
UBS FINANCIAL SERVICES INC.
000008174
NONE
NONE
UBS FINANCIAL SERVICES INC.
000008174
JAMES MADDEN
002074516
UBS FINANCIAL SERVICES
000008174
UBS FINANCIAL SERVICES INC.
000008174
UBS FINANCIAL SERVICES INC.
000008174
NONE
NONE
UBS FINANCIAL SERVICES
000008174
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D/A
$9,917,607.00
Yes
$0.00
No
THE AMOUNT OF THE SALES COMMISSIONS IS ESTIMATED FOR THE ISSUER AND CERTAIN RELATED ENTITIES.
D/A
$5,396,502.00
Yes
$0.00
No
THE AMOUNT OF THE SALES COMMISSIONS IS ESTIMATED FOR THE ISSUER AND CERTAIN RELATED ENTITIES.
D/A
$0.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE FEES PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
D/A
$0.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE FEES PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
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
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
$15,629,228.00
Yes
$0.00
No
ISSUER PAYS SALES COMMISSIONS WHICH ARE EQUAL TO A PERCENTAGE OF PREMIUM RECEIVED BY THE ISSUER.
D/A
$0.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
D/A
$996,407.00
Yes
$0.00
Yes
THE RECIPIENT LISTED IN ITEM 12 IS 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
$1,176,880.00
Yes
$0.00
Yes
THE RECIPIENT LISTED IN ITEM 12 IS 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 MANAGEMENT COMPANY (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
RECIPIENTS 1 AND 3 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 1 AND 3 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
$136,215.00
No
$0.00
No
AS OF 2020, THE ISSUER NO LONGER USED THE SERVICES OF J.P. MORGAN SECURITIES INC.
D/A
$8,000,000.00
Yes
$0.00
Yes
SALES COMMISSIONS REPRESENT AN ESTIMATE OF THE TOTAL SALES COMMISSIONS TO BE PAID OVER TIME AS A RESULT OF THE ANTICIPATED SALES OF INTERESTS IN THE ISSUER AND/OR ITS RELATED PARALLEL FUND.
D/A
$7,000,000.00
Yes
$0.00
Yes
SALES COMMISSIONS REPRESENT AN ESTIMATE OF THE TOTAL SALES COMMISSIONS TO BE PAID OVER TIME AS A RESULT OF THE ANTICIPATED SALES OF INTERESTS IN THE ISSUER AND/OR ITS RELATED PARALLEL FUND.
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
$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
$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
$0.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE FEES PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
D/A
$0.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE FEES PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
D/A
$4,574,396.00
No
$0.00
No
THE AMOUNT IN ITEM 15 INCLUDES SALES COMMISSIONS PAID TO PLACEMENT AGENTS FOR NON-US INVESTORS.
D/A
$14,248,377.00
Yes
$0.00
No
THE AMOUNT IN ITEM 15 INCLUDES SALES COMMISSIONS PAID TO PLACEMENT AGENTS FOR NON-US INVESTORS.
D/A
$0.00
Yes
$0.00
Yes
RECIPIENTS IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MGR. (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN AUM AND/OR THE INCENTIVE ALLOCATION. FALLLINE TERMINATED REGISTRATION WITH THE SEC JAN. 21, 2020.
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
THE PLACEMENT AGENT WILL RECEIVE A FEE BASED ON EACH INVESTOR-S CAPITAL COMMITMENTS FOR THOSE INVESTORS INTRODUCED TO THE ISSUER BY THE PLACEMENT AGENT.
D/A
$0.00
Yes
$0.00
Yes
THE PLACEMENT AGENT WILL RECEIVE A FEE BASED ON EACH INVESTOR-S CAPITAL COMMITMENTS FOR THOSE INVESTORS INTRODUCED TO THE ISSUER BY THE PLACEMENT AGENT.
D/A
$16,000,000.00
Yes
$0.00
No
THE AMOUNT OF THE SALES COMMISSIONS IS ESTIMATED FOR THE ISSUER AND CERTAIN RELATED ENTITIES.
D/A
$0.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE FEES PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
D/A
$16,000,000.00
Yes
$0.00
No
THE AMOUNT OF THE SALES COMMISSIONS IS ESTIMATED FOR THE ISSUER AND CERTAIN RELATED ENTITIES.
D/A
$0.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE FEES PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
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
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
$15,609,727.00
Yes
$0.00
No
ISSUER PAYS SALES COMMISSIONS WHICH ARE EQUAL TO A PERCENTAGE OF PREMIUM RECEIVED BY THE ISSUER.
D/A
$0.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
D/A
$418,847.00
Yes
$0.00
Yes
THE RECIPIENT LISTED IN ITEM 12 IS 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
$380,878.00
Yes
$0.00
Yes
THE RECIPIENT LISTED IN ITEM 12 IS 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 MANAGEMENT COMPANY (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/GENERAL PARTNER] (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
$133,515.00
No
$0.00
No
AS OF JUNE 5, 2019, THE ISSUER NO LONGER USES THE SERVICES OF J.P. MORGAN SECURITIES INC.
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
$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
$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
$17,000,000.00
Yes
$0.00
No
SALES COMMISSIONS REPRESENT AN ESTIMATE OF TOTAL SALES COMMISSIONS PAID OR TO BE PAID TO THE ENTITY LISTED IN ITEM 12 OVER TIME FROM THE SALE OR ANTICIPATED SALES OF INTERESTS IN THE ISSUER AND/OR CERTAIN RELATED ENTITIES, SUBJECT TO FUTURE CONTINGENCIES.
D/A
$0.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE FEES PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
D/A
$0.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE FEES PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
D/A
$11,909,786.00
Yes
$0.00
No
THE AMOUNT IN ITEM 15 INCLUDES SALES COMMISSIONS PAID TO PLACEMENT AGENTS FOR NON-US INVESTORS.
D/A
$3,526,925.00
No
$0.00
No
THE AMOUNT IN ITEM 15 INCLUDES SALES COMMISSIONS PAID TO PLACEMENT AGENTS FOR NON-US INVESTORS.
D/A
$6,872,500.00
Yes
$0.00
Yes
PLACEMENT AGENT FEES REFLECT AMOUNTS THAT MAY BE PAID IN CONNECTION WITH THE FUND AND AFFILIATED FUNDS IN THE OFFERING.
D/A
$0.00
Yes
$0.00
Yes
RECIPIENTS IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MGR. (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN AUM AND/OR THE INCENTIVE ALLOCATION. FALLLINE TERMINATED REGISTRATION WITH THE SEC JAN. 21, 2020.
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
$9,000,000.00
Yes
$0.00
No
THE AMOUNT OF THE SALES COMMISSIONS IS ESTIMATED FOR THE ISSUER AND CERTAIN RELATED ENTITIES.
D/A
$0.00
No
$0.00
No
SALES AGENT RECEIVES/RECEIVED A PORTION OF THE FEES PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
D/A
$9,000,000.00
Yes
$0.00
No
THE AMOUNT OF THE SALES COMMISSIONS IS ESTIMATED FOR THE ISSUER AND CERTAIN RELATED ENTITIES.
D/A
$0.00
No
$0.00
No
SALES AGENT RECEIVES/RECEIVED A PORTION OF THE FEES PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
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 MANAGEMENT COMPANY (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
