Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
NONE
NONE
RBC CAPITAL MARKETS, LLC
000031194
NONE
NONE
RBC CAPITAL MARKETS, LLC
000031194
NONE
NONE
RBC CAPITAL MARKETS, LLC
000031194
NONE
NONE
RBC WEALTH MANAGEMENT
000031194
NONE
NONE
RBC CAPITAL MARKETS, LLC
000031194
NONE
NONE
RBC WEALTH MANAGEMENT
000031194
NONE
NONE
RBC CAPITAL MARKETS, LLC
000031194
NONE
NONE
RBC CAPITAL MARKETS, LLC
000031194
NONE
NONE
RBC CAPITAL MARKETS, LLC
000031194
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D/A
$30,000,000.00
Yes
$0.00
No
SALES COMMISSIONS REPRESENTS THE TOTAL SALES COMMISSIONS PAID OR TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE OVER TIME AS A RESULT OF THE SALES OR ANTICIPATED SALES OF INTERESTS IN THE ISSUER.
D/A
$7,441.00
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
$17,685.00
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
$146,302.00
Yes
$0.00
Yes
THE INVESTMENT MANAGER NO LONGER ENGAGES RECIPIENTS 1 AND 2 LISTED IN ITEM 12. PAYMENTS HAVE BEEN MADE TO RECIPIENT 3 AND 4 LISTED IN ITEM 12.
D/A
$51,796.00
Yes
$0.00
Yes
THE INVESTMENT MANAGER NO LONGER ENGAGES RECIPIENTS 1 AND 2 LISTED IN ITEM 12. PAYMENTS HAVE BEEN MADE TO RECIPIENT 3 AND 4 LISTED IN ITEM 12.
D/A
$656,012.00
Yes
$0.00
No
AGREEMENTS WITH ABG, LLC AND J.P. MORGAN SECURITIES, LLC WERE TERMINATED ON APRIL 29, 2020, AND APRIL 1, 2023, RESPECTIVELY.
D/A
$3,400,000.00
Yes
$0.00
No
ESTIMATE BASED ON COMPENSATION ARRANGEMENTS WITH ENTITIES IDENTIFIED IN ITEM 12.
D/A
$4,900,000.00
Yes
$0.00
No
ESTIMATE BASED ON COMPENSATION ARRANGEMENTS WITH ENTITIES IDENTIFIED IN ITEM 12.
D/A
$113,962.00
Yes
$0.00
Yes
THE INVESTMENT MANAGER NO LONGER ENGAGES RECIPIENTS 1 AND 2 LISTED IN ITEM 12. PAYMENTS HAVE BEEN MADE TO RECIPIENT 3 LISTED IN ITEM 12.
D/A
$41,625.00
Yes
$0.00
Yes
THE INVESTMENT MANAGER NO LONGER ENGAGES RECIPIENTS 1 AND 2 LISTED IN ITEM 12. PAYMENTS HAVE BEEN MADE TO RECIPIENT 3 LISTED IN ITEM 12.
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
$6,787,880.00
Yes
$0.00
No
AGREEMENTS WITH ABG, LLC AND J.P. MORGAN SECURITIES LLC WERE EACH TERMINATED ON APRIL 29, 2020, AND APRIL 1, 2023, RESPECTIVELY.
D/A
$83,998.00
Yes
$0.00
Yes
THE INVESTMENT MANAGER NO LONGER ENGAGES RECIPIENTS 1 AND 2 LISTED IN ITEM 12. PAYMENTS HAVE BEEN MADE TO RECIPIENT 3 LISTED IN ITEM 12.
D/A
$32,627.00
Yes
$0.00
Yes
THE INVESTMENT MANAGER NO LONGER ENGAGES RECIPIENTS 1 AND 2 LISTED IN ITEM 12. PAYMENTS HAVE BEEN MADE TO RECIPIENT 3 LISTED IN ITEM 12.
D/A
$59,040.00
Yes
$0.00
Yes
THE INVESTMENT MANAGER NO LONGER ENGAGES RECIPIENTS 1 AND 2 LISTED IN ITEM 12. PAYMENTS HAVE BEEN MADE TO RECIPIENT 3 LISTED IN ITEM 12.
D/A
$24,174.00
Yes
$0.00
Yes
THE INVESTMENT MANAGER NO LONGER ENGAGES RECIPIENTS 1 AND 2 LISTED IN ITEM 12. PAYMENTS HAVE BEEN MADE TO RECIPIENT 3 LISTED IN ITEM 12.
D/A
$0.00
Yes
$0.00
Yes
CERTAIN INVESTORS ARE REQUIRED TO PAY (I) AN UPFRONT PLACEMENT FEE AND/OR (II) AN ONGOING ANNUAL FEE TO THE PLACEMENT AGENT.
D/A
$3,400,000.00
Yes
$0.00
No
ESTIMATE BASED ON COMPENSATION ARRANGEMENTS WITH ENTITIES IDENTIFIED IN ITEM 12.
D/A
$4,900,000.00
Yes
$0.00
No
ESTIMATE BASED ON COMPENSATION ARRANGEMENTS WITH ENTITIES IDENTIFIED IN ITEM 12.
D/A
$30,000,000.00
Yes
$0.00
No
SALES COMMISSIONS REPRESENTS THE TOTAL SALES COMMISSIONS PAID OR TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE OVER TIME AS A RESULT OF THE SALES OR ANTICIPATED SALES OF INTERESTS IN THE ISSUER.
D/A
$615,926.00
Yes
$0.00
No
AGREEMENTS WITH ABG, LLC AND J.P. MORGAN SECURITIES, LLC WERE EACH TERMINATED ON APRIL 29, 2020 AND APRIL 1, 2023, RESPECTIVELY.
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
$6,650,585.00
Yes
$0.00
No
AGREEMENT WITH ABG, LLC AND J.P. MORGAN SECURITIES LLC WERE EACH TERMINATED ON APRIL 29, 2020, AND APRIL 1, 2023, RESPECTIVELY.
D/A
$0.00
Yes
$0.00
Yes
THE INVESTMENT MANAGER NO LONGER ENGAGES RECIPIENTS 1 AND 2 LISTED IN ITEM 12. TO DATE, NO PAYMENTS HAVE BEEN MADE TO ANY RECIPIENT LISTED IN ITEM 12.
D/A
$0.00
Yes
$0.00
Yes
THE INVESTMENT MANAGER NO LONGER ENGAGES RECIPIENTS 1 AND 2 LISTED IN ITEM 12. TO DATE, NO PAYMENTS HAVE BEEN MADE TO ANY RECIPIENT LISTED IN ITEM 12.
