Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
FINALIS SECURITIES LLC
000305908
ERIGO CAPITAL PARTNERS LLC
NONE
NONE
NONE
FINALIS SECURITIES LLC
000305908
ERIGO CAPITAL PARTNERS, LLC
NONE
FINALIS SECURITIES, LLC
000305908
THOMAS ARTHUR HERMAN
002234629
FINALIS SECURITIES LLC
000305908
NONE
NONE
FINALIS SECURITIES LLC
000305908
NONE
NONE
FINALIS SECURITIES LLC
000305908
NONE
NONE
FINALIS SECURITIES LLC
000305908
FINALIS SECURITIES LLC
000305908
SHAWN PATRICK EDWARD FLYNN
007159075
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
RECIPIENT 2 IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT AND INCENTIVE FEES PAID TO THE INVESTMENT MANAGER (OR AFFILIATES) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT. THE ISSUER NO LONGER HAS AGREEMENTS WITH RECIPIENT 1.
D/A
$0.00
Yes
$0.00
Yes
RECIPIENT 2 IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT AND INCENTIVE FEES PAID TO THE INVESTMENT MANAGER (OR AFFILIATES) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT. THE ISSUER NO LONGER HAS AGREEMENTS WITH RECIPIENT 1.
D/A
$0.00
Yes
$0.00
Yes
RECIPIENT 2 IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT AND INCENTIVE FEES PAID TO THE INVESTMENT MANAGER (OR AFFILIATES) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT. THE ISSUER NO LONGER HAS AGREEMENTS WITH RECIPIENT 1.
D/A
$0.00
Yes
$0.00
Yes
RECIPIENT 2 IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT AND INCENTIVE FEES PAID TO THE INVESTMENT MANAGER (OR AFFILIATES) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT. THE ISSUER NO LONGER HAS AGREEMENTS WITH RECIPIENT 1.
D/A
$0.00
Yes
$0.00
Yes
THOSE LISTED IN ITM. 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE IM/AFFILIATES ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION. THE ISSUER NO LONGER HAS AGREEMENTS WITH RECIPIENT 1 OR 2.
D/A
$0.00
Yes
$0.00
Yes
THOSE LISTED IN ITM. 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE IM/AFFILIATES ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION. THE ISSUER NO LONGER HAS AGREEMENTS WITH RECIPIENT 1 OR 2
D
$0.00
Yes
$0.00
No
FINALIS SECURITIES LLC WILL RECEIVE 1.5% OF ANY CAPITAL RAISED WITH THEIR ASSISTANCE.
D
$0.00
Yes
$0.00
No
FINALIS SECURITIES LLC WILL RECEIVE 1.5% OF ANY CAPITAL RAISED WITH THEIR ASSISTANCE.
D
$0.00
Yes
$0.00
No
FINALIS SECURITIES LLC WILL RECEIVE 1.5% OF ANY CAPITAL RAISED WITH THEIR ASSISTANCE.
D/A
$380,020.00
Yes
$0.00
Yes
IM HAS AGREED TO PAY BROKERS WHO INTRODUCE INVESTORS TO THE FUND A % OF THE FEE AND INCENTIVE ALLOCATION DUE TO THE IM OR ITS AFFILIATES. THOSE AGREEMENTS DO NOT INCREASE THE FEES OR EXPENSES OF THE FUND. THERE IS NO AGREEMENT IN PLACE WITH RECIPIENTS
D/A
$0.00
Yes
$0.00
Yes
RECIPIENT 2 IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT AND INCENTIVE FEES PAID TO THE INVESTMENT MANAGER (OR AFFILIATES) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT. THE ISSUER NO LONGER HAS AGREEMENTS WITH RECIPIENT 1.
D/A
$0.00
Yes
$0.00
Yes
RECIPIENT 2 IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT AND INCENTIVE FEES PAID TO THE INVESTMENT MANAGER (OR AFFILIATES) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT. THE ISSUER NO LONGER HAS AGREEMENTS WITH RECIPIENT 1.
D/A
$0.00
Yes
$0.00
Yes
RECIPIENT 2 IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT AND INCENTIVE FEES PAID TO THE INVESTMENT MANAGER (OR AFFILIATES) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT. THE ISSUER NO LONGER HAS AGREEMENTS WITH RECIPIENT 1.
D/A
$0.00
Yes
$0.00
Yes
RECIPIENT 2 IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT AND INCENTIVE FEES PAID TO THE INVESTMENT MANAGER (OR AFFILIATES) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT. THE ISSUER NO LONGER HAS AGREEMENTS WITH RECIPIENT 1.
D/A
$0.00
Yes
$889,719.00
Yes
THE FUND SHALL PAY RECIPIENT 2 A PERCENTAGE OF THE INCENTIVE ALLOCATION PAID TO GP BASED ON THE AMOUNT INVESTED ATTIME OF INCENTIVE ALLOCATIONS PAID TO GP.
D/A
$0.00
Yes
$0.00
Yes
THOSE LISTED IN ITM. 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE IM/AFFILIATES ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION. THE ISSUER NO LONGER HAS AGREEMENTS WITH RECIPIENT 1 OR 2.
D/A
$0.00
Yes
$0.00
Yes
THOSE LISTED IN ITM. 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE IM/AFFILIATES ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION. THE ISSUER NO LONGER HAS AGREEMENTS WITH RECIPIENT 1 OR 2
D/A
$380,020.00
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.
D/A
$167,500.00
Yes
$0.00
Yes
FINALIS AND INTE RECEIVE A RETAINER FEE, AND A FEE EQUAL TO A PERCENTAGE OF CERTAIN ASSETS UNDER MANAGEMENT. CRITEO RECEIVES THE GREATER OF: (I) THE FIRST YEAR MGMT FEE PAID BY CERTAIN CLIENTS; AND (II) A PERCENTAGE OF CERTAIN ASSETS UNDER MANAGEMENT.
D/A
$167,500.00
Yes
$0.00
Yes
FINALIS AND INTE RECEIVE A RETAINER FEE, AND A FEE EQUAL TO A PERCENTAGE OF CERTAIN ASSETS UNDER MANAGEMENT. CRITEO RECEIVES THE GREATER OF: (I) THE FIRST YEAR MGMT FEE PAID BY CERTAIN CLIENTS; AND (II) A PERCENTAGE OF 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 MANGEMENT AND/OR THE INCENTIVE ALLOCATION
D/A
$380,020.00
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.
