Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NONE
NONE
CREDIT SUISSE ASSET MANAGEMENT LTD.
113463
NONE
NONE
CREDIT SUISSE ASSET MANAGEMENT LTD
113463
CREDIT SUISSE SECURITIES (USA) LLC
816
CREDIT SUISSE ASSET MANAGEMENT LIMITED
113463
NONE
NONE
CREDIT SUISSE ASSET MANAGEMENT LIMITED
113463
CREDIT SUISSE ASSET MANAGEMENT LIMITED
113463
CREDIT SUISSE ASSET MANAGEMENT LIMITED
113463
CREDIT SUISSE SECURITIES (USA) LLC
816
CREDIT SUISSE ASSET MANAGEMENT LIMITED
113463
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2023-11-28
D/A
$605,000.00
No
$0.00
Yes
THE SALES COMMISSION REFLECTS THE AGGREGATE AMOUNT PAID TO THE PLACEMENT AGENTS IN RESPECT OF THE PARALLEL PARTNERSHIPS THAT COMPRISE THE FUND, INCLUDING THE ISSUER.
2023-11-28
D/A
$605,000.00
No
$0.00
Yes
THE SALES COMMISSION REFLECTS THE AGGREGATE AMOUNT PAID TO THE PLACEMENT AGENTS IN RESPECT OF THE PARALLEL PARTNERSHIPS THAT COMPRISE THE FUND, INCLUDING THE ISSUER.
2023-11-28
D/A
$605,000.00
No
$0.00
Yes
THE SALES COMMISSION REFLECTS THE AGGREGATE AMOUNT PAID TO THE PLACEMENT AGENTS IN RESPECT OF THE PARALLEL PARTNERSHIPS THAT COMPRISE THE FUND, INCLUDING THE ISSUER.
2023-11-28
D/A
$605,000.00
No
$0.00
Yes
THE SALES COMMISSION REFLECTS THE AGGREGATE AMOUNT PAID TO THE PLACEMENT AGENTS IN RESPECT OF THE PARALLEL PARTNERSHIPS THAT COMPRISE THE FUND, INCLUDING THE ISSUER.
2021-08-19
D/A
$504,383.00
Yes
$0.00
No
A PLACEMENT AGENT HAS BEEN RETAINED AND IS ENTITLED TO RENUMERATION BASED ON A PERCENTAGE OF COMMITMENTS ACCEPTED. THE AMOUNT IN ITEM 15 RELATES ONLY TO THE APPROXIMATE PORTION OF SUCH REMUNERATION WHICH IS ATTRIBUTABLE TO THE AMOUNT IN ITEM 13(B).
2021-04-09
D/A
$165,000.00
Yes
$0.00
No
2021-04-09
D/A
$165,000.00
Yes
$0.00
No
2020-08-20
D/A
$504,382.00
Yes
$0.00
No
A PLACEMENT AGENT HAS BEEN RETAINED AND IS ENTITLED TO RENUMERATION BASED ON A PERCENTAGE OF COMMITMENTS ACCEPTED. THE AMOUNT IN ITEM 15 RELATES ONLY TO THE APPROXIMATE PORTION OF SUCH REMUNERATION WHICH IS ATTRIBUTABLE TO THE AMOUNT IN ITEM 13(B).
2020-04-09
D
$165,000.00
Yes
$0.00
No
2020-04-09
D
$165,000.00
Yes
$0.00
No
2019-08-22
D/A
$504,382.00
Yes
$0.00
No
A PLACEMENT AGENT HAS BEEN RETAINED AND WILL BE APPORTIONED A PERCENTAGE OF COMMITMENTS RAISED. THE AMOUNT LISTED IN ITEM 15 IS IN REFERENCE TO THE AMOUNT IN ITEM 13(B) ABOVE.
2019-03-11
D
$280,000.00
No
$0.00
No
2018-12-28
D
$280.00
No
$0.00
No
2018-05-17
D
$370,139.00
No
$0.00
No
2017-12-14
D/A
$0.00
No
$0.00
No
A PLACEMENT AGENT HAS BEEN RETAINED AND WILL BE APPORTIONED A PERCENTAGE OF COMMITMENTS RAISED.
2017-12-14
D/A
$0.00
No
$0.00
No
A PLACEMENT AGENT HAS BEEN RETAINED AND WILL BE APPORTIONED A PERCENTAGE OF COMMITMENTS RAISED.
2017-12-14
D/A
$0.00
No
$0.00
No
A PLACEMENT AGENT HAS BEEN RETAINED AND WILL BE APPORTIONED A PERCENTAGE OF COMMITMENTS RAISED.
2017-12-14
D/A
$0.00
No
$0.00
No
A PLACEMENT AGENT HAS BEEN RETAINED AND WILL BE APPORTIONED A PERCENTAGE OF COMMITMENTS RAISED.
2017-11-22
D/A
$6,706,200.00
Yes
$0.00
No
"SALES COMMISSION" IS AN ESTIMATE OF THE TOTAL FEES TO BE PAID TO CREDIT SUISSE ASSET MANAGEMENT LIMITED OVER TIME AS A RESULT OF ANTICIPATED SALES OF INTERESTS IN THE ISSUER, MASTER AND PARALLEL FUNDS. AMOUNTS WERE CONVERTED FROM EUROS AS OF 2 MARCH 2016
2017-05-11
D/A
$10,652,853.00
Yes
$0.00
No
ESTIMATED $463,450,000 INTRODUCED BY CREDIT SUISSE. AMOUNTS ARE CALCULATED BASED ON THE EXCHANGE RATE OF 1 GBP = 1.2912 USD.
2017-01-11
D
$6,706,200.00
Yes
$0.00
No
SALES COMMISSION IS AN ESTIMATE OF THE TOTAL FEES TO BE PAID TO CREDIT SUISSE ASSET MANAGEMENT LIMITED OVER TIME AS A RESULT OF ANTICIPATED SALES OF INTERESTS IN THE ISSUER, MASTER AND PARALLEL FUNDS. AMOUNTS WERE CONVERTED FROM EUROS AS OF 2 MARCH 2016.
2016-09-08
D
$4,500,000.00
Yes
$0.00
No
2016-08-10
D
$0.00
No
$0.00
No
2016-06-24
D
$0.00
No
$0.00
No
2016-03-04
D
$4,470,800.00
Yes
$0.00
No
"SALES COMMISSION" IS AN ESTIMATE OF THE TOTAL FEES TO BE PAID TO CREDIT SUISSE ASSET MANAGEMENT LIMITED OVER TIME AS A RESULT OF ANTICIPATED SALES OF INTERESTS IN THE ISSUER, FEEDER AND PARALLEL FUNDS. AMOUNTS WERE CONVERTED FROM EUROS AS OF 2 MARCH 2016
2016-03-04
D
$6,706,200.00
Yes
$0.00
No
"SALES COMMISSION" IS AN ESTIMATE OF THE TOTAL FEES TO BE PAID TO CREDIT SUISSE ASSET MANAGEMENT LIMITED OVER TIME AS A RESULT OF ANTICIPATED SALES OF INTERESTS IN THE ISSUER, FEEDER AND PARALLEL FUNDS. AMOUNTS WERE CONVERTED FROM EUROS AS OF 2 MARCH 2016
2016-03-04
D
$6,706,200.00
Yes
$0.00
No
"SALES COMMISSION" IS AN ESTIMATE OF THE TOTAL FEES TO BE PAID TO CREDIT SUISSE ASSET MANAGEMENT LIMITED OVER TIME AS A RESULT OF ANTICIPATED SALES OF INTERESTS IN THE ISSUER, MASTER AND PARALLEL FUNDS. AMOUNTS WERE CONVERTED FROM EUROS AS OF 2 MARCH 2016
2015-07-14
D
$0.00
No
$0.00
No
THE ISSUER DOES NOT PAY SALES COMMISSIONS OR FINDERS- FEES. SALES COMPENSATION IS PAID BY AN AFFILIATE OF THE ISSUER, WHICH IS GENERALLY BASED ON THE AGGREGATE CAPITAL SUBSCRIPTIONS OF THE INVESTORS IN THE FUND, PLUS, E.G., CERTAIN REIMBURSABLE EXPENSES.
2014-06-03
D
$633,000.00
Yes
$0.00
No
2014-05-16
D
$3,516,240.00
No
$0.00
No
A PLACEMENT AGENT HAS BEEN RETAINED AND WILL BE PAID A FEE BASED ON THE VALUE OF THE ASSETS TO BE ACQUIRED BY THE ISSUER AND THE COMMITMENTS RAISED. THIS AMOUNT IS BASED ON THE EXCHANGE RATE OF 1 GBP = 1.6744 USD.
2014-04-14
D
$0.00
No
$0.00
No
THE ISSUER DOES NOT PAY SALES COMMISSIONS OR FINDERS- FEES. SALES COMPENSATION IS PAID BY AN AFFILIATE OF THE ISSUER, WHICH IS GENERALLY BASED ON THE AGGREGATE CAPITAL SUBSCRIPTIONS OF THE INVESTORS IN THE FUND, PLUS, E.G., CERTAIN REIMBURSABLE EXPENSES.
2013-12-13
D
$0.00
No
$0.00
No
2013-11-27
D/A
$720,164.00
Yes
$0.00
No
2013-11-27
D/A
$0.00
Yes
$372,311.00
Yes
2012-11-30
D
$127,000.00
Yes
$0.00
No
2012-11-30
D
$0.00
Yes
$127,155.00
Yes