Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
ELIZABETH FURBER
001906852
FIRST DOMINION CAPITAL CORP
000016330
NONE
NONE
FIRST DOMINION CAPITAL CORP
000016330
NONE
NONE
FIRST DOMINION CAPITAL CORP
000016330
NONE
NONE
FIRST DOMINION CAPITAL CORP.
000016330
NONE
NONE
FIRST DOMINION CAPITAL CORP.
000016330
NONE
NONE
FIRST DOMINION CAPITAL CORP. (DBA BHARGAVA CAPITAL)
000016330
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D/A
$380,020.00
Yes
$0.00
Yes
IM HAS AGREED TO PAY BROKERS WHO INTRODUCE INVESTORS TO THE FUND A % OF THE FEE AND INCENTIVE ALLOCATION DUE TO THE IM OR ITS AFFILIATES. THOSE AGREEMENTS DO NOT INCREASE THE FEES OR EXPENSES OF THE FUND. THERE IS NO AGREEMENT IN PLACE WITH RECIPIENTS
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. NO PAYMENTS MADE TO DATE.
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. NO PAYMENTS MADE TO DATE.
D/A
$380,020.00
Yes
$0.00
Yes
THE INVESTMENT MANAGER HAS AGREED TO PAY BROKERS WHO INTRODUCE INVESTORS TO THE FUND A PERCENTAGE OF THE FEE AND INCENTIVE ALLOCATION DUE TO THE INVESTMENT MANAGER OR ITS AFFILIATES. THOSE AGREEMENTS DO NOT INCREASE THE FEES OR EXPENSES OF THE 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. NO PAYMENTS MADE TO DATE.
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. NO PAYMENTS MADE TO DATE.
D/A
$14,814.00
Yes
$0.00
Yes
RECIPIENTS LISTED IN ITEM 12 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
$380,020.00
Yes
$0.00
Yes
THE INVESTMENT MANAGER HAS AGREED TO PAY BROKERS WHO INTRODUCE INVESTORS TO THE FUND A PERCENTAGE OF THE FEE AND INCENTIVE ALLOCATION DUE TO THE INVESTMENT MANAGER OR ITS AFFILIATES. THOSE AGREEMENTS DO NOT INCREASE THE FEES OR EXPENSES OF THE FUND.
