Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NONE
NONE
HMC INVESTMENTS, LLC
000040581
NONE
NONE
HMC INVESTMENTS, INC.
000040581
NONE
NONE
HMC INVESTMENTS INC.
000040581
NONE
NONE
HMC INVESTMENTS, INC.
000040581
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2025-06-06
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENT LISTED IN ITEM 12 NO LONGER HAS A RELATIONSHIP WITH THE ISSUER.
2024-12-13
D/A
$0.00
Yes
$0.00
Yes
HMC INVESTMENTS, INC. ("HMCI"), AN AFFILIATE OF THE ISSUER, SERVES AS THE ISSUER-S PLACEMENT AGENT. THE ISSUER-S INVESTMENT ADVISOR PAYS ALL FEES OF HMCI, NONE OF WHICH ARE BASED ON SALES VOLUMES.
2024-11-01
D/A
$0.00
Yes
$0.00
Yes
HMC INVESTMENTS INC. ("HMCI"), AN AFFILIATE OF THE ISSUER, SERVES AS THE ISSUER-S PLACEMENT AGENT. THE ISSUER-S INVESTMENT ADVISOR PAYS ALL FEES OF HMCI, NONE OF WHICH ARE BASED ON SALES VOLUMES.
2024-08-09
D/A
$0.00
Yes
$0.00
Yes
HMC INVESTMENTS INC. ("HMCI"), AN AFFILIATE OF THE ISSUER, SERVES AS THE ISSUER-S PLACEMENT AGENT. THE ISSUER-S INVESTMENT MANAGER PAYS ALL FEES OF HMCI, NONE OF WHICH ARE BASED ON SALES VOLUMES.
2024-07-26
D/A
$0.00
Yes
$0.00
Yes
HMC INVESTMENTS, INC. ("HMCI"), AN AFFILIATE OF THE ISSUER, SERVES AS THE ISSUER-S PLACEMENT AGENT. THE ISSUER-S INVESTMENT MANAGER PAYS ALL FEES OF HMCI, NONE OF WHICH ARE BASED ON SALES VOLUMES.
2024-06-07
D/A
$0.00
Yes
$0.00
Yes
HMC INVESTMENTS, LLC ("HMCI"), AN AFFILIATE OF THE ISSUER, SERVES AS THE ISSUER-S PLACEMENT AGENT.THE ISSUER-S INVESTMENT ADVISOR PAYS ALL FEES OF HMCI, NONE OF WHICH ARE BASED ON SALES VOLUMES.