Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NONE
NONE
PALLADIUM CAPITAL GROUP, LLC
000129400
NONE
NONE
PALLADIUM CAPITAL GROUP, LLC
000129400
NONE
NONE
PALLADIUM CAPITAL ADVISORS, LLC
000129400
NONE
NONE
PALLADIUM CAPITAL GROUP, LLC
000129400
NONE
NONE
PALLADIUM CAPITAL GROUP, LLC
000129400
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2026-02-27
D/A
$299,157.00
No
$0.00
No
2026-02-27
D/A
$721,459.00
No
$0.00
No
2026-02-06
D/A
$1,866,626.00
Yes
$19,107.00
Yes
AMERIPRISE, PALLADIUM AND AMERICAN ENTERPRISE IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE MANAGEMENT COMPANY (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
2026-02-06
D/A
$67,572.00
Yes
$0.00
Yes
AMERIPRISE, PALLADIUM AND AMERICAN ENTERPRISE IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE MANAGEMENT COMPANY (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
2025-08-19
D
$560,000.00
No
$0.00
No
ISSUER ISSUED TO PLACEMENT AGENTS (OR THEIR DESIGNEES) WARRANTS TO PURCHASE UP TO 140,000 SHARES AT AN EXERCISE PRICE OF $8.00 (SUBJECT TO PRICE-BASED ADJUSTMENT) UNDER SECTION 4(A)(2)
2025-02-28
D/A
$278,222.00
No
$0.00
No
2025-02-28
D/A
$710,041.00
No
$0.00
No
2025-02-07
D/A
$1,866,626.00
Yes
$19,107.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE MANAGEMENT COMPANY (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
2025-02-07
D/A
$67,572.00
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.
2024-05-31
D
$537,000.00
No
$0.00
No
ISSUER ISSUED TO PLACEMENT AGENTS (OR THEIR DESIGNEES) WARRANTS TO PURCHASE UP TO 887,114 SHARES AT AN EXERCISE PRICE OF $1.816 (SUBJECT TO PRICE-BASED ADJUSTMENT) UNDER SECTION 4(A)(2)
2024-05-31
D
$303,000.00
No
$0.00
No
ISSUER ISSUED TO PLACEMENT AGENTS (OR THEIR DESIGNEES) WARRANTS TO PURCHASE UP TO 500,550 SHARES AT AN EXERCISE PRICE OF $1.816 (SUBJECT TO PRICE-BASED ADJUSTMENT) UNDER SECTION 4(A)(2)