Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
NONE
NONE
PICKWICK CAPITAL PARTNERS, LLC
000130672
JOHN M MURPHY
002427633
PICKWICK CAPITAL PARTNERS LLC
000130672
NONE
NONE
PICKWICK CAPITAL PARTNERS, LLC
000130672
NONE
NONE
PICKWICK CAPITAL PARTNERS, LLC
000130672
NONE
NONE
PICKWICK CAPITAL PARTNERS, LLC
000130672
PICKWICK CAPITAL PARTNERS, LLC
000130672
JONATHAN RUSSELL DARNELL
004846947
NONE
NONE
PICKWICK CAPITAL PARTNERS, LLC
000130672
NONE
NONE
PICKWICK CAPITAL PARTNERS, LLC
000130672
NONE
NONE
PICKWICK CAPITAL PARTNERS LLC
000130672
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 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.
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 INVESTMENT MANAGER FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
No
$0.00
No
EACH BD IS ENTITLED TO RECEIVE A % OF MGT FEE + INCENTIVE FEE ATTRIBUTABLE TO INVESTORS IT INTRODUCED TO THE FUND. ON 2/11/12, 4/8/15, 4/12/18 + 3/29/19 THE FUND CEASED TO USE THE SVCS OF CAP GROWTH SEC, PICKWICK CAP, LCS SEC + EASTERLY SEC.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES IN ITEM 12 WERE PAID A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) FROM ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION. THE SECOND ENTITY IN ITEM 12 TERMINATED ITS SEC REGISTRATION AND IS NO LONGER ACTIVE.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) FROM ASSETS UNDER MANAGEMENT AND/OR THE PERFORMANCE COMPENSATION.
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
$725,210.00
Yes
$225,400.00
Yes
RECIPIENTS 1 AND 2 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. NO SALES COMMISSIONS PAID TO DATE TO RECIPIENT TWO.
D/A
$579,709.00
Yes
$225,400.00
Yes
RECIPIENTS 1 AND 2 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. NO SALES COMMISION PAID TO DATE TO RECIPIENT TWO.
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.
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 INVESTMENT MANAGER FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
No
$0.00
No
EACH BD IS ENTITLED TO RECEIVE A % OF MGT FEE + INCENTIVE FEE ATTRIBUTABLE TO INVESTORS IT INTRODUCED TO THE FUND. ON 2/11/12, 4/8/15, 4/12/18 + 3/29/19 THE FUND CEASED TO USE THE SVCS OF CAP GROWTH SEC, PICKWICK CAP, LCS SEC + EASTERLY SEC.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES IN ITEM 12 WERE PAID A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) FROM ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION. THE SECOND ENTITY IN ITEM 12 TERMINATED ITS SEC REGISTRATION AND IS NO LONGER ACTIVE.
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 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
$725,210.00
Yes
$225,400.00
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. NO SALES COMMISSIONS PAID TO DATE TO RECIPIENT TWO.
D/A
$579,709.00
Yes
$225,400.00
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. NO SALES COMMISION PAID TO DATE TO RECIPIENT TWO.
