Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NONE
NONE
THE LINKS GROUP LLC
114005
NONE
NONE
THE LINKS GROUP LLC
114005
NONE
NONE
THE LINKS GROUP
114005
THE LINKS GROUP
114005
THE LINKS GROUP
114005
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2011-03-17
D/A
$885,052.00
Yes
$0.00
No
THE AMOUNT REPORTED ABOVE WAS WITH RESPECT FOR SERVICES RENDERED BY THE LINKS GROUP LLC PRIOR TO JULY 16, 2010.
2011-03-17
D/A
$2,535,103.00
Yes
$0.00
No
THE AMOUNT REPORTED ABOVE WAS WITH RESPECT FOR SERVICES RENDERED BY THE LINKS GROUP LLC PRIOR TO JULY 16, 2010.
2011-03-17
D/A
$53,213.00
Yes
$0.00
No
THE AMOUNT REPORTED ABOVE WAS WITH RESPECT FOR SERVICES RENDERED BY THE LINKS GROUP LLC PRIOR TO JULY 16, 2010.
2011-03-17
D/A
$984,009.00
Yes
$0.00
No
THE AMOUNT REPORTED ABOVE WAS WITH RESPECT FOR SERVICES RENDERED BY THE LINKS GROUP LLC PRIOR TO JULY 16, 2010.
2011-03-10
D/A
$0.00
No
$0.00
No
ADVISER PAYS UP TO 20% OF ITS 20% INCENTIVE FEES AND 20% OF ITS 1% MANAGEMENT FEES TO THE SELLING AGENT - SEE ITEM 12.
2010-03-17
D/A
$2,535,103.00
Yes
$0.00
No
2010-03-17
D/A
$53,213.00
Yes
$0.00
No
2010-03-17
D/A
$984,009.00
Yes
$0.00
No
2010-03-17
D/A
$885,052.00
Yes
$0.00
No
2010-03-12
D/A
$0.00
No
$0.00
No
ADVISER PAYS UP TO 20% OF ITS 20% INCENTIVE FEES AND 20% OF ITS 1% MANAGEMENT FEES TO THE SELLING AGENT - SEE ITEM 12.
2009-08-14
D
$0.00
Yes
$0.00
Yes
BROKER-DEALER RECEIVES PERCENTAGE OF MANAGEMENT FEE.
2009-06-05
D/A
$0.00
No
$1,683.00
No
THE INVESTMENT MANAGER PAYS UP TO 20% OF ITS 20% INCENTIVE FEES AND 20% OF ITS 1% MANAGEMENT FEES TO THE SELLING AGENTS - SEE ITEM 12. ITEM 15 REFLECTS THE REQUESTED INFORMATION COMMENCING FROM 3/15/09.
2009-04-24
D
$0.00
No
$1,683.00
No
THE INVESTMENT MANAGER PAYS UP TO 20% OF ITS 20% INCENTIVE FEES AND 20% OF ITS 1% MANAGEMENT FEES TO THE SELLING AGENTS - SEE ITEM 12. ITEM 15 REFLECTS THE REQUESTED INFORMATION COMMENCING FROM 3/15/09.
2009-03-16
D/A
$0.00
No
$0.00
No
ADVISER PAYS UP TO 20% OF ITS 20% INCENTIVE FEES AND 20% OF ITS 1% MANAGEMENT FEES TO THE SELLING AGENTS - SEE ITEM 12. THE CURRENT OFFERING COMMENCED PRIOR TO 3/15/09; ITEM 15 REFLECTS THE REQUESTED THE REQUESTED INFORMATION COMMENCING FROM SUCH DATE.
2009-03-16
D/A
$0.00
No
$0.00
No
THE FEES TO LINKS GROUP LLC IS APPROXIMATELY 2.54% OF BOTH MGT AND 20% PERFORMANCE BUT IS A SLIDING SCALE DEPENDING ON THE AUM. CURRENT OFFERING COMMENCED PRIOR TO 3/15/09; ITEM 15 REFLECTS INFORMATION COMMENCING FROM SUCH DATE.