Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

COLE PARTNERS LLC
113464
COLE PARTNERS LLC
113464
NONE
NONE
COLE PARTNERS, LLC
113464
NONE
NONE
COLE PARTNERS
113464
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2011-03-01
D/A
$0.00
Yes
$0.00
Yes
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
2011-02-15
D/A
$0.00
No
$0.00
No
2011-02-15
D/A
$4,480.00
Yes
$0.00
No
2010-03-01
D/A
$0.00
Yes
$0.00
Yes
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
2010-01-19
D
$0.00
No
$0.00
No
SALES COMMISSION IN THE AMOUNT OF ONE TO TEN PERCENT OF THE GENERAL PARTNER-S MANAGEMENT FEES AND INCENTIVE ALLOCATIONS WITH RESPECT TO ASSETS RAISED BY THE BROKER-DEALER.