Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

RACE ROCK CAPITAL LLC
000153363
N/A
NONE
NONE
NONE
RACE ROCK CAPITAL LLC
000153363
NONE
NONE
RACE ROCK CAPITAL LLC
000153363
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2026-05-05
D
$47,805.00
Yes
$0.00
Yes
2026-04-24
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.
2025-11-26
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER NO LONGER HAS AN AGGREMENT WITH KIRK THOMAS ROSTRON. NO PAYMENTS MADE TO DATE.
2025-04-25
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.
2024-11-27
D/A
$0.00
Yes
$0.00
Yes
NO PAYMENTS MADE TO DATE.
2024-07-12
D
$28,000.00
Yes
$0.00
Yes
2024-04-26
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.