Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
NONE
NONE
CASTLE HILL CAPITAL PARTNERS, INC.
000044131
BURKE FORREST FARNELL
004946661
CASTLE HILL CAPITAL PARTNERS, INC
000044131
BURKE FORREST FARNELL
004946661
CASTLE HILL CAPITAL PARTNERS, INC.
000044131
CASTLE HILL CAPITAL PARTNERS, INC.
000044131
N/A
NONE
NONE
NONE
CASTLE HILL CAPITAL PARTNERS, INC.
000044131
NONE
NONE
CASTLE HILL CAPITAL PARTNERS, INC.
000044131
--
000044131
CASTLE HILL CAPITAL PARTNERS INC.
000044131
--
000044131
CASTLE HILL CAPITAL PARTNERS INC
000044131
CASTLE HILL CAPITAL PARTNERS
000044131
THOMAS LOUIS BIANCO
001171868
NONE
NONE
CASTLE HILL CAPITAL PARTNERS, INC.
000044131
CASTLE HILL CAPITAL PARTNERS, INC.
000044131
N/A
NONE
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D/A
$0.00
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
$70,458.00
Yes
$0.00
Yes
CASTLE HILL IS PAID DIRECT OR INDIRECT COMMISSIONSOR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$108,777.00
Yes
$0.00
Yes
CASTLE HILL IS PAID DIRECT OR INDIRECT COMMISSIONS/SIMILAR SALES COMPENSATION EQUAL TO A % OF THE FEE PAID TO THE GP FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION. THE ISSUER NO LONGER HAS AGREEMENTS WITH RECIPIENT 1 OR 2.
D/A
$0.00
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 GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
No
$48,000.00
No
CONSISTS OF RETAINERS PAYABLE TO PLACEMENT AGENTS AND TRANSACTION FEES AS DESCRIBED IN THE ISSUER-S CONFIDENTIAL OFFERING MATERIALS.
CASTLE HILL PARTNERS, INC. AND AVALON SECURITIES, LTD. ARE NO LONGER INVOLVED IN THE OFFERING.
D/A
$0.00
No
$48,000.00
No
CONSISTS OF RETAINERS PAYABLE TO PLACEMENT AGENTS AND TRANSACTION FEES AS DESCRIBED IN THE ISSUER-S CONFIDENTIAL OFFERING MATERIALS. CASTLE HILL PARTNERS, INC. AND AVALON SECURITIES, LTD. ARE NO LONGER INVOLVED IN THE OFFERING.
D/A
$0.00
Yes
$0.00
Yes
ONLY CURRENT BROKERS ARE LISTED IN ITEM 12 AND PAID DIRECT OR INDIRECT COMMISSIONS OR SIMILAR COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE MANAGING MEMBER OR ITS AFFILIATE, THE INVESTMENT MANAGER, FROM ASSETS UNDER MANAGEMENT.
D/A
$1,290.00
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
$371,982.00
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
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE 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 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
$37,748.00
Yes
$0.00
Yes
CASTLE HILL IS PAID DIRECT OR INDIRECT COMMISSIONSOR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$3,008.00
Yes
$0.00
Yes
CASTLE HILL IS PAID DIRECT OR INDIRECT COMMISSIONS/SIMILAR SALES COMPENSATION EQUAL TO A % OF THE FEE PAID TO THE GP FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION. THE ISSUER NO LONGER HAS AGREEMENTS WITH RECIPIENT 1 OR 2.
D/A
$40,755.00
Yes
$0.00
Yes
CASTLE HILL IS PAID DIRECT OR INDIRECT COMMISSIONS/SIMILAR SALES COMPENSATION EQUAL TO A % OF THE FEE PAID TO THE GP FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION. THE ISSUER NO LONGER HAS AGREEMENTS WITH RECIPIENT 1 OR 2.
D/A
$0.00
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 GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
ONLY CURRENT BROKERS ARE LISTED IN ITEM 12 AND PAID DIRECT OR INDIRECT COMMISSIONS OR SIMILAR COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE MANAGING MEMBER OR ITS AFFILIATE, THE INVESTMENT MANAGER, FROM ASSETS UNDER MANAGEMENT.
D/A
$130,313.00
No
$15,000.00
No
REPORTED SALES COMMISSIONS INCLUDE FEES PAID BY BOTH ISSUER AND VCFA VENTURE PARTNERS VII - CAYMAN
D/A
$205,576.00
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
$1,290.00
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
$0.00
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 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 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 ENTITIES LISTED IN ITEM 12 ABOVE ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
