Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
NONE
NONE
SOUTHERN TRUST SECURITIES, INC.
103781
SOUTHERN TRUST SECURITIES, INC.
103781
FRANK JAY GOLDMAN
2040316
TRADEPRO SECURITIES INC
103781
FRANK JAY GOLDMAN
2040316
NONE
NONE
TRADEPRO SECURITIES,INC.
103781
NONE
NONE
TRADEPRO SECURITIES INC
103781
NONE
NONE
TRADEPRO SECURITIES INC.
103781
NONE
NONE
TRADEPRO SECURITIES, INC.
103781
TRADEPRO SECURITIES
103781
TERENCE DOLAN
2352516
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D/A
$0.00
No
$0.00
No
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) AS OUTLINED IN THE REFERRAL AGREEMENT.
D
$0.00
No
$0.00
No
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) AS OUTLINED IN THE REFERRAL AGREEMENT.
D/A
$0.00
Yes
$58,741.00
Yes
PLACEMENT AGENT FEES TO BE PAID UPON AN ESTABLISHED FEE SCHEDULE.
D/A
$0.00
Yes
$0.00
Yes
ONLY CURRENT BROKERS ARE LISTED IN ITEM 12 AND PAID DIRECT OR INDIRECT COMMISSIONS OR SIMILAR 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
$23,112.00
Yes
PLACEMENT AGENT FEES TO BE PAID UPON AN ESTABLISHED FEE SCHEDULE.
D/A
$0.00
Yes
$0.00
Yes
ONLY CURRENT BROKERS ARE LISTED IN ITEM 12 AND PAID DIRECT OR INDIRECT COMMISSIONS OR SIMILAR 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
ONLY CURRENT BROKERS ARE LISTED IN ITEM 12 AND PAID DIRECT OR INDIRECT COMMISSIONS OR SIMILAR COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MGR. (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
ONLY CURRENT BROKERS ARE LISTED IN ITEM 12 AND PAID DIRECT OR INDIRECT COMMISSIONS OR SIMILAR COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MGR. (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
ONLY CURRENT BROKERS ARE LISTED IN ITEM 12 AND PAID DIRECT OR INDIRECT COMMISSIONS OR SIMILAR COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MGR. (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 MANAGEMENT COMPANY (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
ONLY CURRENT BROKERS ARE LISTED IN ITEM 12 AND PAID DIRECT OR INDIRECT COMMISSIONS OR SIMILAR COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MGR. (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
ONLY CURRENT BROKERS ARE LISTED IN ITEM 12 AND PAID DIRECT OR INDIRECT COMMISSIONS OR SIMILAR 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
ONLY CURRENT BROKERS ARE LISTED IN ITEM 12 AND PAID DIRECT OR INDIRECT COMMISSIONS OR SIMILAR COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MGR. (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
ONLY CURRENT BROKERS ARE LISTED IN ITEM 12 AND PAID DIRECT OR INDIRECT COMMISSIONS OR SIMILAR COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MGR. (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 MANAGEMENT COMPANY (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
ONLY CURRENT BROKERS ARE LISTED IN ITEM 12 AND PAID DIRECT OR INDIRECT COMMISSIONS OR SIMILAR 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
ONLY CURRENT BROKERS ARE LISTED IN ITEM 12 AND PAID DIRECT OR INDIRECT COMMISSIONS OR SIMILAR COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MGR. (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
ONLY CURRENT BROKERS ARE LISTED IN ITEM 12 AND PAID DIRECT OR INDIRECT COMMISSIONS OR SIMILAR COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MGR. (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
ONLY CURRENT BROKERS ARE LISTED IN ITEM 12 AND PAID DIRECT OR INDIRECT COMMISSIONS OR SIMILAR COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MGR. (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 MANAGEMENT COMPANY (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
ONLY CURRENT BROKERS ARE LISTED IN ITEM 12 AND PAID DIRECT OR INDIRECT COMMISSIONS OR SIMILAR COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MGR. (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
ONLY CURRENT BROKERS ARE LISTED IN ITEM 12 AND PAID DIRECT OR INDIRECT COMMISSIONS OR SIMILAR 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
ONLY CURRENT BROKERS ARE LISTED IN ITEM 12 AND PAID DIRECT OR INDIRECT COMMISSIONS OR SIMILAR COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MGR. (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
ONLY CURRENT BROKERS ARE LISTED IN ITEM 12 AND PAID DIRECT OR INDIRECT COMMISSIONS OR SIMILAR COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MGR. (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 MANAGEMENT COMPANY (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
ONLY CURRENT BROKERS ARE LISTED IN ITEM 12 AND PAID DIRECT OR INDIRECT COMMISSIONS OR SIMILAR 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
ONLY CURRENT BROKERS ARE LISTED IN ITEM 12 AND PAID DIRECT OR INDIRECT COMMISSIONS OR SIMILAR COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MGR. (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
ONLY CURRENT BROKERS ARE LISTED IN ITEM 12 AND PAID DIRECT OR INDIRECT COMMISSIONS OR SIMILAR COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MGR. (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
ONLY CURRENT BROKERS ARE LISTED IN ITEM 12 AND PAID DIRECT OR INDIRECT COMMISSIONS OR SIMILAR COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MGR. (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 MANAGEMENT COMPANY (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
