Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
NONE
NONE
CAIS CAPITAL, LLC
000154512
NONE
NONE
CAIS CAPITAL, LLC
000154512
CAIS CAPITAL LLC
000154512
NOT APPLICABLE
NONE
NONE
NONE
CAIS CAPITAL LLC
000154512
NONE
NONE
CAIS CAPITAL, LLC
000154512
NONE
NONE
CAIS CAPITAL LLC
000154512
CAIS CAPITAL LLC
000154512
CAIS CAPITAL LLC
000154512
NONE
NONE
CAIS CAPITAL LLC
000154512
CAIS CAPITAL LLC
000154512
NONE
NONE
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
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 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
$113,456,463.00
Yes
$0.00
Yes
PLACEMENT AGENT FEES REFLECT AMOUNTS THAT MAY BE PAID IN CONNECTION WITH THE FUND AND AFFILIATED FUNDS IN THE OFFERING.
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
$85,218.00
Yes
$0.00
Yes
CAIS CAPITAL LLC AND SA STONE WEALTH MANAGEMENT INC., 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
D/A
$7,631.00
Yes
$0.00
Yes
CAIS CAPITAL LLC AND SA STONE WEALTH MANAGEMENT INC., 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
D/A
$0.00
No
$0.00
No
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 (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION
D/A
$0.00
No
$0.00
No
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 (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION
D/A
$112,392,500.00
Yes
$0.00
Yes
PLACEMENT AGENT FEES REFLECT AMOUNTS THAT MAY BE PAID IN CONNECTION WITH THE FUND AND AFFILIATED FUNDS IN THE OFFERING.
D/A
$3,400,000.00
Yes
$0.00
No
ESTIMATE BASED ON COMPENSATION ARRANGEMENTS WITH ENTITIES IDENTIFIED IN ITEM 12.
D/A
$0.00
Yes
$0.00
Yes
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
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
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
$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 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
$3,400,000.00
Yes
$0.00
No
ESTIMATE BASED ON COMPENSATION ARRANGEMENTS WITH ENTITIES IDENTIFIED IN ITEM 12.
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
$183,584.00
Yes
$0.00
Yes
CAIS CAPITAL LLC AND SA STONE WEALTH MANAGEMENT INC., 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
D/A
$54,922.00
Yes
$0.00
Yes
CAIS CAPITAL LLC AND SA STONE WEALTH MANAGEMENT INC., 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
D/A
$183,145.00
Yes
$0.00
Yes
CAIS CAPITAL LLC AND SA STONE WEALTH MANAGEMENT INC., 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
D/A
$0.00
No
$0.00
No
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 (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION
D/A
$0.00
No
$0.00
No
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 (OR ITS AFFILIATE) FROM THE 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
$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
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
$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.
