Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
NONE
NONE
CANDLEWOOD SECURITIES, LLC
000126042
NONE
NONE
CANDLEWOOD SECURITIES, LLC
000126042
NONE
NONE
CANDLEWOOD SECURITIES LLC
000126042
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D/A
$395,000.00
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 INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$22,508,731.00
Yes
$0.00
No
INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.
D/A
$19,184,116.00
Yes
$0.00
No
INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.
D/A
$395,000.00
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 INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$19,061,916.00
Yes
$0.00
No
INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.
D/A
$22,459,081.00
Yes
$0.00
No
INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.
D/A
$395,000.00
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 INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
