Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
NONE
NONE
MORGAN STANLEY SMITH BARNEY LLC
000149777
NONE
NONE
MORGAN STANLEY
000149777
NONE
NONE
MORGAN STANLEY SMITH BARNEY LLC
000149777
NONE
NONE
MORGAN STANLEY SMITH BARNEY LLC
000149777
NONE
NONE
MORGAN STANLEY WEALTH MANAGEMENT
000149777
MORGAN STANLEY
000149777
NOT APPLICABLE
NONE
NONE
NONE
MORGAN STANLEY SMITH BARNEY LLC
000149777
NONE
NONE
MORGAN STANLEY SMITH BARNEY LLC
000149777
MORGAN STANLEY SMITH BARNEY LLC
000149777
NONE
NONE
NONE
NONE
MORGAN STANLEY SMITH BARNEY LLC
000149777
NONE
NONE
MORGAN STANLEY SMITH BARNEY LLC
000149777
NONE
NONE
MORGAN STANLEY SMITH BARNEY LLC
000149777
NONE
NONE
MORGAN STANLEY BARNEY LLC
000149777
MORGAN STANLEY SMITH BARNEY LLC
000149777
NONE
NONE
NONE
NONE
MORGAN STANLEY SMITH BARNEY LLC
000149777
MORGAN STANLEY
000149777
MORGAN STANLEY + CO. LLC
000008209
MORGAN STANLEY
000149777
MORGAN STANLEY SMITH BARNEY LLC
000008209
MORGAN STANLEY
000149777
MORGAN STANLEY SMITH BARNEY LLC
000149777
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
IF APPLICABLE, EMPLOYEES OF THE RECIPIENT 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.
D/A
$904,732.00
Yes
$0.00
Yes
IF APPLICABLE, EMPLOYEES OF THE RECIPIENT 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.
D/A
$9,917,607.00
Yes
$0.00
No
THE AMOUNT OF THE SALES COMMISSIONS IS ESTIMATED FOR THE ISSUER AND CERTAIN RELATED ENTITIES.
D/A
$5,396,502.00
Yes
$0.00
No
THE AMOUNT OF THE SALES COMMISSIONS IS ESTIMATED FOR THE ISSUER AND CERTAIN RELATED ENTITIES.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ABOVE 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
$0.00
No
$0.00
No
ANY COMMISSIONS ARE PAID FROM A POTENTIAL INVESTOR DIRECTLY TO THE FINANCIAL INTERMEDIARIES IN AMOUNTS THAT ARE IN THE DISCRETION OF THE FINANCIAL INTERMEDIARIES AND THE ISSUER IS NOT ABLE TO ESTIMATE THE AMOUNT OF SUCH COMMISSIONS.
D/A
$0.00
No
$0.00
No
ANY COMMISSIONS ARE PAID FROM A POTENTIAL INVESTOR DIRECTLY TO THE FINANCIAL INTERMEDIARIES IN AMOUNTS THAT ARE IN THE DISCRETION OF THE FINANCIAL INTERMEDIARIES AND THE ISSUER IS NOT ABLE TO ESTIMATE THE AMOUNT OF SUCH COMMISSIONS.
D/A
$0.00
Yes
$0.00
Yes
RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A % OF THE MGMT FEE PAID TO THE INVEST. MGR (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MGMT AND/OR THE INCENTIVE ALLOCATION. #1 IN ITEM 12 IS NO LONGER ACTIVE.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A % OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION. #1 IN ITEM 12 IS NO LONGER ACTIVE.
D/A
$409,789.00
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
IF APPLICABLE, EMPLOYEES OF THE RECIPIENT 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.
D/A
$5,250,000.00
Yes
$0.00
No
SALES COMMISSION REPRESENTS AN ESTIMATE OF THE TOTAL SALES COMMISSIONS TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 OVER TIME AS A RESULT OF THE ANTICIPATED SALES OF INTERESTS IN THE ISSUER AND/OR CERTAIN RELATED ENTITIES, SUBJECT TO FUTURE CONTINGENCIES.
D/A
$5,250,000.00
Yes
$0.00
No
SALES COMMISSION REPRESENTS AN ESTIMATE OF THE TOTAL SALES COMMISSIONS TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 OVER TIME AS A RESULT OF THE ANTICIPATED SALES OF INTERESTS IN THE ISSUER AND/OR CERTAIN RELATED ENTITIES, SUBJECT TO FUTURE CONTINGENCIES.
D/A
$5,250,000.00
Yes
$0.00
No
SALES COMMISSION REPRESENTS AN ESTIMATE OF THE TOTAL SALES COMMISSIONS TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 OVER TIME AS A RESULT OF THE ANTICIPATED SALES OF INTERESTS IN THE ISSUER AND/OR CERTAIN RELATED ENTITIES, SUBJECT TO FUTURE CONTINGENCIES.
D/A
$5,250,000.00
Yes
$0.00
No
SALES COMMISSION REPRESENTS AN ESTIMATE OF THE TOTAL SALES COMMISSIONS TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 OVER TIME AS A RESULT OF THE ANTICIPATED SALES OF INTERESTS IN THE ISSUER AND/OR CERTAIN RELATED ENTITIES, SUBJECT TO FUTURE CONTINGENCIES.
D/A
$5,250,000.00
Yes
$0.00
No
SALES COMMISSION REPRESENTS AN ESTIMATE OF THE TOTAL SALES COMMISSIONS TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 OVER TIME AS A RESULT OF THE ANTICIPATED SALES OF INTERESTS IN THE ISSUER AND/OR CERTAIN RELATED ENTITIES, SUBJECT TO FUTURE CONTINGENCIES.
D/A
$19,604,375.00
Yes
$2,000,000.00
Yes
REFLECTS AGGREGATE SALES COMMISSIONS AND FINDERS- FEES PAID BY THE ISSUER AND ITS AFFILIATED VEHICLES.
D/A
$19,604,375.00
Yes
$2,000,000.00
Yes
REFLECTS AGGREGATE SALES COMMISSIONS AND FINDERS- FEES PAID BY THE ISSUER AND ITS AFFILIATED VEHICLES.
D/A
$368,379.00
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
$30,000,000.00
Yes
$0.00
No
SALES COMMISSIONS REPRESENTS THE TOTAL SALES COMMISSIONS PAID OR TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE OVER TIME AS A RESULT OF THE SALES OR ANTICIPATED SALES OF INTERESTS IN THE ISSUER.
D/A
$3,150,880.00
No
$0.00
No
STIFEL, NICOLAUS + CO. INC. BECAME SUCCESSOR TO BARCLAYS CAPITAL INC.-S PLACEMENT PROGRAM AND MORGAN STANLEY SMITH BARNEY LLC BECAME SUCCESSOR TO CREDIT SUISSE SECURITIES (USA) LLC-S PLACEMENT PROGRAM. COMPENSATION DUE IS PAID TO THE SUCCESSOR.
D/A
$6,949,943.00
No
$0.00
No
STIFEL, NICOLAUS + CO. INC. BECAME SUCCESSOR TO BARCLAYS CAPITAL INC.-S PLACEMENT PROGRAM AND MORGAN STANLEY SMITH BARNEY LLC BECAME SUCCESSOR TO CREDIT SUISSE SECURITIES (USA) LLC-S PLACEMENT PROGRAM. COMPENSATION DUE IS PAID TO THE SUCCESSOR.
D/A
$2,166,874.00
No
$0.00
No
STIFEL, NICOLAUS + CO. INC. BECAME SUCCESSOR TO BARCLAYS CAPITAL INC.-S PLACEMENT PROGRAM AND MORGAN STANLEY SMITH BARNEY LLC BECAME SUCCESSOR TO CREDIT SUISSE SECURITIES (USA) LLC-S PLACEMENT PROGRAM. COMPENSATION DUE IS PAID TO THE SUCCESSOR.
D/A
$0.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
D/A
$1,176,880.00
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
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
D/A
$0.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
D/A
$996,407.00
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
$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
$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
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT PAY ANY SALES COMMISSIONS OR FINDERS- FEES EXPENSES. THE INVESTMENT MANAGER OF THE ISSUER PAYS A PORTION OF THE MANAGEMENT FEES IT RECEIVES FROM THE ISSUER TO THE ENTITIES LISTED IN ITEM 12.
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT PAY ANY SALES COMMISSIONS OR FINDERS- FEES EXPENSES. THE INVESTMENT MANAGER OF THE ISSUER PAYS A PORTION OF THE MANAGEMENT FEES IT RECEIVES FROM THE ISSUER TO THE ENTITIES LISTED IN ITEM 12.
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT PAY SALES COMMISSIONS OR FINDERS- FEES EXPENSES. THE INVESTMENT ADVISER OF THE ISSUER PAYS A PORTION OF THE MANAGEMENT FEES IT RECEIVES TO THE ENTITIES LISTED IN ITEM 12.
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT PAY SALES COMMISSIONS OR FINDERS- FEES EXPENSES. THE INVESTMENT ADVISER OF THE ISSUER PAYS A PORTION OF THE MANAGEMENT FEES IT RECEIVES TO THE ENTITIES LISTED IN ITEM 12.
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT PAY SALES COMMISSIONS OR FINDERS- FEES EXPENSES. THE INVESTMENT ADVISER OF THE ISSUER PAYS A PORTION OF THE MANAGEMENT FEES IT RECEIVES TO THE ENTITIES LISTED IN ITEM 12.
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT PAY ANY SALES COMMISSIONS OR FINDERS- FEES EXPENSES. THE INVESTMENT MANAGER OF THE ISSUER PAYS A PORTION OF THE MANAGEMENT FEES IT RECEIVES FROM THE ISSUER TO THE ENTITIES LISTED IN ITEM 12.
D/A
$897,500.00
No
$0.00
No
SALES COMMISSIONS REPRESENT THE TOTAL SALES COMMISSIONS TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE AS A RESULT OF COMPLETED SALES OF INTERESTS IN THE ISSUER AND/OR ITS FEEDER FUNDS.
D/A
$656,012.00
Yes
$0.00
No
AGREEMENTS WITH ABG, LLC AND J.P. MORGAN SECURITIES, LLC WERE TERMINATED ON APRIL 29, 2020, AND APRIL 1, 2023, RESPECTIVELY.
D/A
$3,400,000.00
Yes
$0.00
No
ESTIMATE BASED ON COMPENSATION ARRANGEMENTS WITH ENTITIES IDENTIFIED IN ITEM 12.
D/A
$897,500.00
No
$0.00
No
SALES COMMISSIONS REPRESENT THE TOTAL SALES COMMISSIONS TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE AS A RESULT OF COMPLETED SALES OF INTERESTS IN THE ISSUER AND/OR ITS FEEDER FUNDS.
D/A
$4,900,000.00
Yes
$0.00
No
ESTIMATE BASED ON COMPENSATION ARRANGEMENTS WITH ENTITIES IDENTIFIED IN ITEM 12.
D/A
$6,787,880.00
Yes
$0.00
No
AGREEMENTS WITH ABG, LLC AND J.P. MORGAN SECURITIES LLC WERE EACH TERMINATED ON APRIL 29, 2020, AND APRIL 1, 2023, RESPECTIVELY.
D/A
$15,375,616.00
No
$0.00
No
SALES COMMISSIONS REPRESENT PAYMENTS TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D.
D/A
$0.00
Yes
$0.00
Yes
RECIPIENTS IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MGR. (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN AUM AND/OR THE INCENTIVE ALLOCATION. FALLLINE TERMINATED REGISTRATION WITH THE SEC JAN. 21, 2020.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ABOVE 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
$897,500.00
No
$0.00
No
SALES COMMISSIONS REPRESENT THE TOTAL SALES COMMISSIONS TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE AS A RESULT OF COMPLETED SALES OF INTERESTS IN THE ISSUER AND/OR ITS FEEDER FUNDS.
D/A
$20,109,630.00
No
$0.00
No
SALES COMMISSIONS REPRESENT PAYMENTS TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D.
D/A
$1,517,439.00
No
$11,000.00
Yes
ESTIMATE REPRESENTS FEES PAID TO DATE. FINDERS RECEIVE A PORTION OF FEES PAID TO THE GENERAL PARTNER AND ITS AFFILIATES. BUTLER CAPITAL INVESTMENTS, LLC IS NO LONGER SERVING AS A PLACEMENT AGENT AS OF JANUARY 1, 2012.
D/A
$0.00
Yes
$0.00
Yes
SALE COMMISSIONS AND/OR FINDERS- FEES ARE EXPECTED TO BE PAID IN CONNECTION WITH THE OFFERING TO CERTAIN INVESTORS, IN THE FORM OF CERTAIN UPFRONT AND ANNUAL PAYMENTS CALCULATED BASED ON CAPITAL COMMITMENTS AND/OR INVESTED CAPITAL OF CERTAIN INVESTORS.
D/A
$0.00
Yes
$0.00
Yes
SALE COMMISSIONS AND/OR FINDERS- FEES ARE EXPECTED TO BE PAID IN CONNECTION WITH THE OFFERING TO CERTAIN INVESTORS, IN THE FORM OF CERTAIN UPFRONT AND ANNUAL PAYMENTS CALCULATED BASED ON CAPITAL COMMITMENTS AND/OR INVESTED CAPITAL OF CERTAIN INVESTORS.
D/A
$0.00
Yes
$0.00
Yes
SALE COMMISSIONS AND/OR FINDERS- FEES ARE EXPECTED TO BE PAID IN CONNECTION WITH THE OFFERING TO CERTAIN INVESTORS, IN THE FORM OF CERTAIN UPFRONT AND ANNUAL PAYMENTS CALCULATED BASED ON CAPITAL COMMITMENTS AND/OR INVESTED CAPITAL OF CERTAIN INVESTORS.
D/A
$0.00
Yes
$0.00
Yes
SALE COMMISSIONS AND/OR FINDERS- FEES ARE EXPECTED TO BE PAID IN CONNECTION WITH THE OFFERING TO CERTAIN INVESTORS, IN THE FORM OF CERTAIN UPFRONT AND ANNUAL PAYMENTS CALCULATED BASED ON CAPITAL COMMITMENTS AND/OR INVESTED CAPITAL OF CERTAIN INVESTORS.
D/A
$0.00
Yes
$0.00
Yes
SALE COMMISSIONS AND/OR FINDERS- FEES ARE EXPECTED TO BE PAID IN CONNECTION WITH THE OFFERING TO CERTAIN INVESTORS, IN THE FORM OF CERTAIN UPFRONT AND ANNUAL PAYMENTS CALCULATED BASED ON CAPITAL COMMITMENTS AND/OR INVESTED CAPITAL OF CERTAIN INVESTORS.
D/A
$0.00
Yes
$0.00
Yes
RECIPIENTS LISTED IN ITEM 12 (EXCLUDING WFD, BUT INCLUDING, IF APPLICABLE, EMPLOYEES OF WFD) 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
$904,732.00
Yes
$0.00
Yes
RECIPIENTS LISTED IN ITEM 12 (EXCLUDING WFD, BUT INCLUDING, IF APPLICABLE, EMPLOYEES OF WFD) 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
$16,000,000.00
Yes
$0.00
No
THE AMOUNT OF THE SALES COMMISSIONS IS ESTIMATED FOR THE ISSUER AND CERTAIN RELATED ENTITIES.
D/A
$16,000,000.00
Yes
$0.00
No
THE AMOUNT OF THE SALES COMMISSIONS IS ESTIMATED FOR THE ISSUER AND CERTAIN RELATED ENTITIES.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ABOVE 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
$904,732.00
Yes
$0.00
Yes
RECIPIENTS LISTED IN ITEM 12 (EXCLUDING WFD, BUT INCLUDING, IF APPLICABLE, EMPLOYEES OF WFD) 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
$3,400,000.00
Yes
$0.00
No
ESTIMATE BASED ON COMPENSATION ARRANGEMENTS WITH ENTITIES IDENTIFIED IN ITEM 12.
D/A
$4,900,000.00
Yes
$0.00
No
ESTIMATE BASED ON COMPENSATION ARRANGEMENTS WITH ENTITIES IDENTIFIED IN ITEM 12.
D/A
$0.00
Yes
$0.00
Yes
RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A % OF THE MGMT FEE PAID TO THE INVEST. MGR (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MGMT AND/OR THE INCENTIVE ALLOCATION. #1 IN ITEM 12 IS NO LONGER ACTIVE.
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 ISSUER DOES NOT PAY ANY SALES COMMISSIONS OR FINDERS- FEES EXPENSES. THE INVESTMENT MANAGER OF THE ISSUER PAYS A PORTION OF THE MANAGEMENT FEES IT RECEIVES FROM THE ISSUER TO MMX GLOBAL PARTNERS, LLC AND MORGAN STANLEY SMITH BARNEY, LLC.
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT PAY SALES COMMISSIONS OR FINDERS- FEES EXPENSES. THE INVESTMENT ADVISER OF THE ISSUER PAYS A PORTION OF THE MANAGEMENT FEES IT RECEIVES TO MMX GLOBAL PARTNERS, LLC AND MORGAN STANLEY SMITH BARNEY, LLC.
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT PAY ANY SALES COMMISSIONS OR FINDERS- FEES EXPENSES. THE INVESTMENT MANAGER OF THE ISSUER PAYS A PORTION OF THE MANAGEMENT FEES IT RECEIVES FROM THE ISSUER TO MMX GLOBAL PARTNERS AND MORGAN STANLEY SMITH BARNEY LLC.
D/A
$234,407.00
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
RECIPIENTS LISTED IN ITEM 12 (EXCLUDING WFD, BUT INCLUDING, IF APPLICABLE, EMPLOYEES OF WFD) 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
$397,500.00
No
$0.00
No
SALES COMMISSIONS REPRESENT THE TOTAL SALES COMMISSIONS TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE AS A RESULT OF COMPLETED SALES OF INTERESTS IN THE ISSUER AND/OR ITS FEEDER FUNDS.
D/A
$19,604,375.00
Yes
$1,900,000.00
Yes
REFLECTS AGGREGATE SALES COMMISSIONS AND FINDERS- FEES PAID BY THE ISSUER AND ITS AFFILIATED VEHICLES.
D/A
$19,604,375.00
Yes
$1,900,000.00
Yes
REFLECTS AGGREGATE SALES COMMISSIONS AND FINDERS- FEES PAID BY THE ISSUER AND ITS AFFILIATED VEHICLES.
D/A
$368,379.00
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
$234,407.00
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
$30,000,000.00
Yes
$0.00
No
SALES COMMISSIONS REPRESENTS THE TOTAL SALES COMMISSIONS PAID OR TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE OVER TIME AS A RESULT OF THE SALES OR ANTICIPATED SALES OF INTERESTS IN THE ISSUER.
D/A
$48,138.00
Yes
$0.00
No
EACH INVESTOR PAYS UP TO 3% OF ITS AGGREGATE INVESTMENT TO AGENT UPFRONT, IN ADDITION TO ANY AMOUNTS INVESTED IN THE FUND. THE MANAGER PAYS AGENT A PORTION OF THE FEES PAID TO IT BY THE FUND ON AN ONGOING BASIS.
D/A
$186,615.00
Yes
$0.00
No
EACH INVESTOR PAYS UP TO 3% OF ITS AGGREGATE INVESTMENT TO AGENT UPFRONT, IN ADDITION TO ANY AMOUNTS INVESTED IN THE FUND. THE MANAGER PAYS AGENT A PORTION OF THE FEES PAID TO IT BY THE FUND ON AN ONGOING BASIS.
D/A
$2,166,874.00
No
$0.00
No
STIFEL, NICOLAUS + CO. INC. BECAME SUCCESSOR TO BARCLAYS CAPITAL INC.-S PLACEMENT PROGRAM AND MORGAN STANLEY SMITH BARNEY LLC BECAME SUCCESSOR TO CREDIT SUISSE SECURITIES (USA) LLC-S PLACEMENT PROGRAM. COMPENSATION DUE IS PAID TO THE SUCCESSOR.
D/A
$0.00
Yes
$0.00
Yes
RECIPIENTS LISTED IN ITEM 12 (EXCLUDING WFD, BUT INCLUDING, IF APPLICABLE, EMPLOYEES OF WFD) 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
$2,999,899.00
No
$0.00
No
STIFEL, NICOLAUS + CO. INC. BECAME SUCCESSOR TO BARCLAYS CAPITAL INC.-S PLACEMENT PROGRAM AND MORGAN STANLEY SMITH BARNEY LLC BECAME SUCCESSOR TO CREDIT SUISSE SECURITIES (USA) LLC-S PLACEMENT PROGRAM. COMPENSATION DUE IS PAID TO THE SUCCESSOR.
D/A
$6,529,998.00
No
$0.00
No
STIFEL, NICOLAUS + CO. INC. BECAME SUCCESSOR TO BARCLAYS CAPITAL INC.-S PLACEMENT PROGRAM AND MORGAN STANLEY SMITH BARNEY LLC BECAME SUCCESSOR TO CREDIT SUISSE SECURITIES (USA) LLC-S PLACEMENT PROGRAM. COMPENSATION DUE IS PAID TO THE SUCCESSOR.
D/A
$0.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
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
$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
$0.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
D/A
$0.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT PAY ANY SALES COMMISSIONS OR FINDERS- FEES EXPENSES. THE INVESTMENT MANAGER OF THE ISSUER PAYS A PORTION OF THE MANAGEMENT FEES IT RECEIVES FROM THE ISSUER TO MMX GLOBAL PARTNERS, LLC AND MORGAN STANLEY SMITH BARNEY, LLC.
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT PAY SALES COMMISSIONS OR FINDERS- FEES EXPENSES. THE INVESTMENT ADVISER OF THE ISSUER PAYS A PORTION OF THE MANAGEMENT FEES IT RECEIVES TO MMX GLOBAL PARTNERS, LLC AND MORGAN STANLEY SMITH BARNEY, LLC.
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT PAY ANY SALES COMMISSIONS OR FINDERS- FEES EXPENSES. THE INVESTMENT MANAGER OF THE ISSUER PAYS A PORTION OF THE MANAGEMENT FEES IT RECEIVES FROM THE ISSUER TO MMX GLOBAL PARTNERS AND MORGAN STANLEY SMITH BARNEY LLC.
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT PAY ANY SALES COMMISSIONS OR FINDERS- FEES EXPENSES. THE INVESTMENT MANAGER OF THE ISSUER PAYS A PORTION OF THE MANAGEMENT FEES IT RECEIVES FROM THE ISSUER TO MMX GLOBAL PARTNERS, LLC AND MORGAN STANLEY SMITH BARNEY LLC.
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT PAY SALES COMMISSIONS OR FINDERS- FEES EXPENSES. THE INVESTMENT ADVISER OF THE ISSUER PAYS A PORTION OF THE MANAGEMENT FEES IT RECEIVES TO MMX GLOBAL PARTNERS AND MORGAN STANLEY SMITH BARNEY..
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT PAY SALES COMMISSIONS OR FINDERS- FEES EXPENSES. THE INVESTMENT ADVISER OF THE ISSUER PAYS A PORTION OF THE MANAGEMENT FEES IT RECEIVES TO MMX GLOBAL PARTNERS, LLC AND MORGAN STANLEY SMITH BARNEY, LLC.
D/A
$9,838,087.00
Yes
$0.00
Yes
RECIPIENTS LISTED IN ITEM 12 (EXCLUDING WFD, BUT INCLUDING, IF APPLICABLE, EMPLOYEES OF WFD) 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
SALE COMMISSIONS AND/OR FINDERS- FEES ARE EXPECTED TO BE PAID IN CONNECTION WITH THE OFFERING TO CERTAIN INVESTORS, IN THE FORM OF CERTAIN UPFRONT AND ANNUAL PAYMENTS CALCULATED BASED ON CAPITAL COMMITMENTS AND/OR INVESTED CAPITAL OF CERTAIN INVESTORS.
D/A
$0.00
Yes
$0.00
Yes
SALE COMMISSIONS AND/OR FINDERS- FEES ARE EXPECTED TO BE PAID IN CONNECTION WITH THE OFFERING TO CERTAIN INVESTORS, IN THE FORM OF CERTAIN UPFRONT AND ANNUAL PAYMENTS CALCULATED BASED ON CAPITAL COMMITMENTS AND/OR INVESTED CAPITAL OF CERTAIN INVESTORS.
D/A
$0.00
Yes
$0.00
Yes
SALE COMMISSIONS AND/OR FINDERS- FEES ARE EXPECTED TO BE PAID IN CONNECTION WITH THE OFFERING TO CERTAIN INVESTORS, IN THE FORM OF CERTAIN UPFRONT AND ANNUAL PAYMENTS CALCULATED BASED ON CAPITAL COMMITMENTS AND/OR INVESTED CAPITAL OF CERTAIN INVESTORS.
D/A
$0.00
Yes
$0.00
Yes
SALE COMMISSIONS AND/OR FINDERS- FEES ARE EXPECTED TO BE PAID IN CONNECTION WITH THE OFFERING TO CERTAIN INVESTORS, IN THE FORM OF CERTAIN UPFRONT AND ANNUAL PAYMENTS CALCULATED BASED ON CAPITAL COMMITMENTS AND/OR INVESTED CAPITAL OF CERTAIN INVESTORS.
D/A
$0.00
Yes
$0.00
Yes
SALE COMMISSIONS AND/OR FINDERS- FEES ARE EXPECTED TO BE PAID IN CONNECTION WITH THE OFFERING TO CERTAIN INVESTORS, IN THE FORM OF CERTAIN UPFRONT AND ANNUAL PAYMENTS CALCULATED BASED ON CAPITAL COMMITMENTS AND/OR INVESTED CAPITAL OF CERTAIN INVESTORS.
D/A
$0.00
Yes
$0.00
Yes
SALE COMMISSIONS AND/OR FINDERS- FEES ARE EXPECTED TO BE PAID IN CONNECTION WITH THE OFFERING TO CERTAIN INVESTORS, IN THE FORM OF CERTAIN UPFRONT AND ANNUAL PAYMENTS CALCULATED BASED ON CAPITAL COMMITMENTS AND/OR INVESTED CAPITAL OF CERTAIN INVESTORS.
D/A
$615,926.00
Yes
$0.00
No
AGREEMENTS WITH ABG, LLC AND J.P. MORGAN SECURITIES, LLC WERE EACH TERMINATED ON APRIL 29, 2020 AND APRIL 1, 2023, RESPECTIVELY.
D/A
$321,000.00
No
$0.00
No
SALES COMMISSIONS REPRESENT THE TOTAL SALES COMMISSIONS TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE AS A RESULT OF COMPLETED SALES OF INTERESTS IN THE ISSUER AND/OR ITS FEEDER FUNDS.
D/A
$6,650,585.00
Yes
$0.00
No
AGREEMENT WITH ABG, LLC AND J.P. MORGAN SECURITIES LLC WERE EACH TERMINATED ON APRIL 29, 2020, AND APRIL 1, 2023, RESPECTIVELY.
D/A
$11,130,343.00
No
$0.00
No
SALES COMMISSIONS REPRESENT PAYMENTS TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D.
D
$0.00
No
$0.00
No
SALES COMMISSIONS REPRESENT THE TOTAL SALES COMMISSIONS TO BE PAID TO THE ENTITIES LISTED IN ITEM 12 ABOVE AS A RESULT OF COMPLETED SALES OF INTERESTS IN THE ISSUER AND/OR ITS FEEDER FUNDS.
D/A
$0.00
Yes
$0.00
Yes
RECIPIENTS IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MGR. (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN AUM AND/OR THE INCENTIVE ALLOCATION. FALLLINE TERMINATED REGISTRATION WITH THE SEC JAN. 21, 2020.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ABOVE 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
$13,904,681.00
No
$0.00
No
SALES COMMISSIONS REPRESENT PAYMENTS TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D.
D/A
$1,009,569.00
No
$11,000.00
Yes
ESTIMATE REPRESENTS FEES PAID TO DATE. FINDERS RECEIVE A PORTION OF FEES PAID TO THE GENERAL PARTNER AND ITS AFFILIATES. BUTLER CAPITAL INVESTMENTS, LLC IS NO LONGER SERVING AS A PLACEMENT AGENT AS OF JANUARY 1, 2012.
D/A
$9,000,000.00
Yes
$0.00
No
THE AMOUNT OF THE SALES COMMISSIONS IS ESTIMATED FOR THE ISSUER AND CERTAIN RELATED ENTITIES.
D/A
$9,000,000.00
Yes
$0.00
No
THE AMOUNT OF THE SALES COMMISSIONS IS ESTIMATED FOR THE ISSUER AND CERTAIN RELATED ENTITIES.
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
$786,748.00
Yes
$0.00
Yes
RECIPIENTS LISTED IN ITEM 12 (EXCLUDING WFD, BUT INCLUDING, IF APPLICABLE, EMPLOYEES OF WFD) 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 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
$0.00
Yes
$0.00
Yes
RECIPIENTS LISTED IN ITEM 12 (EXCLUDING WFD, BUT INCLUDING, IF APPLICABLE, EMPLOYEES OF WFD) 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.
