Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
HIGHTOWER SECURITIES LLC
116681
HIGHTOWER SECURITIES LLC
116681
NONE
NONE
HIGHTOWER SECURITIES, LLC
116681
NONE
NONE
HIGHTOWER SECURITIES LLC
116681
NONE
NONE
HIGHTOWER SECURITES LLC
116681
HIGHTOWER SECURITIES LLC
116681
MORE THAN 5
NONE
HIGHTOWER SECURITIES, LLC
116681
MORE THAN 5
NONE
HIGHTOWER SECURITIES LLC
116681
MORE THAN 5
NONE
NONE
NONE
HIGHTOWER SECURITIES, LLC
116681
NONE
NONE
HIGHTOWER SECURITIES, LLC
116681
HIGHTOWER SECURITIES LLC
116681
MORE THAN 5
NONE
HIGHTOWER SECURITIES, LLC
116681
MORE THAN 5
NONE
HIGHTOWER SECURITIES, LLC
116681
N/A
NONE
NONE
NONE
HIGHTOWER SECURITIES, LLC
116681
NONE
NONE
HIGH TOWER SECURITIES, LLC
116681
NONE
NONE
HIGHTOWER SECURITIES, LLC
116681
NONE
NONE
HIGHTOWER SECURITIES LLC
116681
HIGHTOWER SECURITIES, LLC
116681
MORE THAN 5
NONE
HIGHTOWER SECURITIES, LLC
116681
MORE THAN 5
NONE
HIGHTOWER SECURITIES, LLC
116681
MORE THAN 5
NONE
HIGHTOWER SECURITIES, LLC
116681
N/A
NONE
HIGHTOWER SECURITIES, LLC
116681
MORE THAN 5
NONE
HIGHTOWER SECURITIES LLC
116681
MORE THAN 5
NONE
NONE
NONE
HIGHTOWER SECURITIES LLC
116681
NONE
NONE
HIGHTOWER SECURITIES, LLC
116681
HIGHTOWER SECURITIES LLC
116681
MORE THAN 5
NONE
HIGHTOWER SECURITIES, LLC
116681
HIGHTOWER SECURITIES, LLC
116681
NONE
NONE
HIGHTOWER SECURITES LLC
116681
HIGHTOWER SECURITIES, LLC
116681
MORE THAN 5
NONE
NONE
NONE
HIGHTOWER SECURITIES, LLC
116681
HIGHTOWER SECURITIES, LLC
116681
MORE THAN 5
NONE
HIGHTOWER SECURITIES LLC
116681
MORE THAN 5
NONE
HIGHTOWER SECURITIES LLC
116681
MORE THAN 5
NONE
HIGHTOWER SECURITIES, LLC
116681
MORE THAN 5
NONE
NONE
NONE
HIGH TOWER SECURITIES, LLC
116681
HIGHTOWER SECURITIES, LLC
116681
MORE THAN 5
NONE
NONE
NONE
HIGHTOWER SECURITIES LLC
116681
HIGHTOWER SECURITIES, LLC
116681
MORE THAN 5
NONE
HIGHTOWER SECURITIES, LLC
116681
HIGHTOWER SECURITIES, LLC
116681
HIGHTOWER SECURITIES, LLC
116681
MORE THAN 5
NONE
HIGHTOWER SECURITIES
116681
HIGHTOWER ADVISORS, LLC
145323
HIGHTOWER SECURITIES, LLC
116681
MORE THAN 5
NONE
HIGH TOWER SECURITIES LLC
116681
HIGH TOWER SECURITIES LLC
116681
HIGHTOWER SECURITIES
116681
HIGHTOWER ADVISORS LLC
145323
ANDREW BETTS
54166586
HIGHTOWER SECURITIES, LLC
116681
SARAH C. LEITZKE
684035
HIGHTOWER SECURITIES, LLC
116681
NONE
NONE
HIGHTOWER SECURITIES, LLC
116681
STEPHEN ROSEN
2504144
HIGHTOWER SECURITIES, LLC
116681
NONE
NONE
HIGHTOWER SECURITIES, LLC
116681
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D/A
$2,228,846.00
Yes
$0.00
No
SALES COMMISSIONS REPORTED ARE THOSE PAID THROUGH MAY, 2025.
D/A
$9,472,030.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12 ARE NO LONGER REGISTERED BROKER-DEALERS + THEREFORE RECEIVE NO COMMISSIONS.
D/A
$1,531,804.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12 ARE NO LONGER REGISTERED BROKER-DEALERS + THEREFORE RECEIVE NO COMMISSIONS.
D/A
$25,981.00
Yes
$7,220.00
Yes
PLACEMENT AGENT FEES ARE TO BE PAID BASED UPON AN ESTABLISHED FEE SCHEDULE.
D/A
$10,019.00
Yes
$2,780.00
Yes
PLACEMENT AGENT FEES ARE TO BE PAID BASED UPON AN ESTABLISHED FEE SCHEDULE.
D/A
$7,713,863.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12 DO NOT ACT AS BROKER-DEALERS FOR THE ISSUER + THEREFORE RECEIVE NO COMMISSIONS.
D
$0.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS FEES. AXCELUS FINANCIAL WILL PAY ALL SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
D/A
$0.00
No
$0.00
No
CERTAIN INVESTORS ARE REQUIRED TO PAY (I) AN UPFRONT PLACEMENT FEE AND/OR (II) AN ONGOING ANNUAL FEE TO THE PLACEMENT AGENT.
D
$0.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. AXCELUS FINANCIAL WILL PAY ALL SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
D/A
$10,324,052.00
No
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$0.00
No
$0.00
No
CERTAIN INVESTORS ARE REQUIRED TO PAY (I) AN UPFRONT PLACEMENT FEE AND/OR (II) AN ONGOING ANNUAL FEE TO THE PLACEMENT AGENT.
D/A
$56,000,000.00
Yes
$0.00
Yes
THE FIGURE ABOVE INCLUDES ESTIMATED AMOUNTS EXPECTED TO BE PAID TO PLACEMENT AGENTS IN THE NEXT 12 MONTHS BASED ON PROJECTED SALES AND COMMISSION RATES.
D
$0.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. AXCELUS FINANCIAL WILL PAY ALL SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
D/A
$2,835,364.00
Yes
$0.00
No
THE INVESTMENT ADVISOR HAS PAID TOTAL COMMISSION OF $2,835,364 AND WILL PAY ANOTHER ESTIMATED $120,000 OVER THE NEXT TWELVE MONTHS.
D
$0.00
No
$0.00
No
ISSUER PAYS NO SALES COMMISSIONS OR FINDERS- FEES. AXCELUS FINANCIAL WILL PAY ALL SALES COMMISSIONS FROM ITS CORPORATE RESOURCES.
D/A
$1,399,670.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12 ARE NO LONGER REGISTERED BROKER-DEALERS + THEREFORE RECEIVE NO COMMISSIONS.
D/A
$8,973,544.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12 ARE NO LONGER REGISTERED BROKER-DEALERS + THEREFORE RECEIVE NO COMMISSIONS.
D/A
$3,156,473.00
Yes
$0.00
No
SALES COMMISSIONS REPORTED ARE THOSE PAID THROUGH MAY, 2025.
D/A
$7,109,231.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12 DO NOT ACT AS BROKER-DEALERS FOR THE ISSUER + THEREFORE RECEIVE NO COMMISSIONS.
D/A
$2,835,364.00
Yes
$0.00
No
THE INVESTMENT ADVISOR HAS PAID TOTAL COMMISSION OF $2,835,364 AND WILL PAY ANOTHER ESTIMATED $120,000 OVER THE NEXT TWELVE MONTHS.
D/A
$9,471,286.00
No
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
D
$33,000,000.00
Yes
$0.00
Yes
THE FIGURE ABOVE INCLUDES ESTIMATED AMOUNTS EXPECTED TO BE PAID TO PLACEMENT AGENTS IN THE NEXT 12 MONTHS BASED ON PROJECTED SALES AND COMMISSION RATES.
D/A
$3,676,592.00
Yes
$0.00
No
SALES COMMISSIONS REPORTED ARE THOSE PAID DURING THE TIME PERIOD OF JUNE 2023 THROUGH MAY, 2024.
D/A
$8,492,294.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MG! FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12 ARE NO LONGER REGISTERED BROKER-DEALERS + THEREFORE RECEIVE NO COMMISSIONS.
D/A
$1,269,906.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MG! FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE.
CERTAIN ENTITIES LISTED IN ITEM 12 ARE NO LONGER REGISTERED BROKER-DEALERS + THEREFORE RECEIVE NO COMMISSIONS.
D/A
$6,561,158.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12 DO NOT ACT AS BROKER-DEALERS FOR THE ISSUER + THEREFORE RECEIVE NO COMMISSIONS.
D/A
$2,716,731.00
Yes
$0.00
No
THE INVESTMENT ADVISOR HAS PAID TOTAL COMMISSION OF $2,716,731 AND WILL PAY ANOTHER ESTIMATED $120,000 OVER THE NEXT TWELVE MONTHS.
D/A
$8,736,866.00
No
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
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 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 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 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 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 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 MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$3,961,996.00
Yes
$0.00
No
SALES COMMISSIONS REPORTED ARE THOSE PAID DURING THE TIME PERIOD OF JUNE 2022 THROUGH MAY, 2023.
D/A
$1,152,787.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MG! FEES TO SELLING AGENTS-SEE ITEM
12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS
INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12 ARE
NO LONGER REGISTERED BROKER-DEALERS + THEREFORE RECEIVE NO
COMMISSIONS.
D/A
$8,017,026.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MG! FEES TO SELLING AGENTS-SEE ITEM
12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS
INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12 ARE
NO LONGER REGISTERED BROKER-DEALERS + THEREFORE RECEIVE NO
COMMISSIONS.
D/A
$6,332,946.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12 DO NOT ACT AS BROKER-DEALERS FOR THE ISSUER + THEREFORE RECEIVE NO COMMISSIONS.
D/A
$2,598,010.00
Yes
$0.00
No
THE INVESTMENT ADVISOR HAS PAID TOTAL COMMISSION OF $2,598,010 AND WILL PAY ANOTHER ESTIMATED $120,000 OVER THE NEXT TWELVE MONTHS.
D/A
$8,001,850.00
No
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
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 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 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 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 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 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 MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$3,295,092.00
Yes
$0.00
No
SALES COMMISSIONS REPORTED ARE THOSE PAID DURING THE TIME PERIOD OF JUNE 2021 THROUGH MAY, 2022.
D/A
$7,581,781.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MG! FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12 ARE NO LONGER REGISTERED BROKER-DEALERS + THEREFORE RECEIVE NO COMMISSIONS.
D/A
$1,060,101.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12 ARE NO LONGER REGISTERED BROKER-DEALERS + THEREFORE RECEIVE NO COMMISSIONS.
D/A
$5,538,752.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12 ARE NO LONGER REGISTERED BROKER-DEALERS + THEREFORE RECEIVE NO COMMISSIONS.
D/A
$2,474,338.00
Yes
$0.00
No
THE INVESTMENT ADVISOR HAS PAID TOTAL COMMISSION OF $2,474,338 AND WILL PAY ANOTHER ESTIMATED $130,000 OVER THE NEXT TWELVE MONTHS.
D/A
$7,297,695.00
No
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
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 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 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 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 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 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 MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$3,055,456.00
Yes
$0.00
No
SALES COMMISSIONS REPORTED ARE THOSE PAID DURING THE TIME PERIOD OF JUNE 2020 THROUGH MAY, 2021.
D/A
$1,022,822.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12 ARE NO LONGER REGISTERED BROKER-DEALERS + THEREFORE RECEIVE NO COMMISSIONS.
D/A
$7,211,966.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MG! FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN
PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12
ARE NO LONGER REGISTERED BROKER-DEALERS + THEREFORE RECEIVE NO COMMISSIONS.
D/A
$5,123,687.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12 ARE NO LONGER REGISTERED BROKER-DEALERS + THEREFORE RECEIVE NO COMMISSIONS.
D/A
$2,346,288.00
Yes
$0.00
No
THE INVESTMENT ADVISOR HAS PAID TOTAL COMMISSION OF $2,346,288 AND WILL PAY ANOTHER ESTIMATED $150,000 OVER THE NEXT TWELVE MONTHS.
D/A
$6,607,355.00
Yes
$0.00
Yes
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
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 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 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 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 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 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 MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$3,494,244.00
Yes
$0.00
No
SALES COMMISSIONS REPORTED ARE THOSE PAID DURING THE TIME PERIOD OF JUNE 2019 THROUGH MAY, 2020.
D/A
$6,905,784.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MG! FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN
PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12
ARE NO LONGER REGISTERED BROKER-DEALERS + THEREFORE RECEIVE NO COMMISSIONS.
D/A
$1,001,817.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12 ARE NO LONGER REGISTERED BROKER-DEALERS + THEREFORE RECEIVE NO COMMISSIONS.
D/A
$6,836,104.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12
ARE NO LONGER REGISTERED BROKER-DEALERS + THEREFORE RECEIVE NO COMMISSIONS.
D/A
$997,614.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12 ARE NO LONGER REGISTERED BROKER-DEALERS + THEREFORE RECEIVE NO COMMISSIONS.
D/A
$4,773,852.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12
ARE NO LONGER REGISTERED BROKER-DEALERS + THEREFORE RECEIVE NO COMMISSIONS.
D/A
$2,198,366.00
Yes
$0.00
No
THE INVESTMENT ADVISOR HAS PAID TOTAL COMMISSION OF $2,198,366 AND WILL PAY ANOTHER $220,000 OVER THE NEXT TWELVE MONTHS.
D/A
$5,468,461.00
Yes
$0.00
Yes
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
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 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 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 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 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 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 MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$4,118,348.00
Yes
$0.00
No
SALES COMMISSIONS REPORTED ARE THOSE PAID DURING THE TIME PERIOD OF JUNE 2018 THROUGH MAY, 2019.
D/A
$981,844.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12 ARE NO LONGER REGISTERED BROKER-DEALERS + THEREFORE RECEIVE NO COMMISSIONS.
D/A
$4,415,400.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12
ARE NO LONGER REGISTERED BROKER-DEALERS + THEREFORE RECEIVE NO COMMISSIONS.
D/A
$6,557,775.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12
ARE NO LONGER REGISTERED BROKER-DEALERS + THEREFORE RECEIVE NO COMMISSIONS.
D/A
$1,977,929.00
Yes
$0.00
No
THE INVESTMENT ADVISOR HAS PAID TOTAL COMMISSION OF $1,677,929 AND WILL PAY ANOTHER $300,000 OVER THE NEXT TWELVE MONTHS.
D/A
$4,122,094.00
Yes
$0.00
Yes
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
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 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 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 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 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 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 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 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 MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$5,386,856.00
Yes
$0.00
No
SALES COMMISSIONS REPORTED ARE THOSE PAID DURING THE TIME PERIOD OF JUNE 2017 THROUGH MAY, 2018.
D/A
$17,500.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES, WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
D/A
$94,405.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES, WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
D/A
$967,282.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12
ARE NO LONGER REGISTERED BROKER-DEALERS + THEREFORE RECEIVE NO COMMISSIONS.
D/A
$4,061,561.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12
ARE NO LONGER REGISTERED BROKER-DEALERS + THEREFORE RECEIVE NO COMMISSIONS.
D/A
$6,271,803.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12
ARE NO LONGER REGISTERED BROKER-DEALERS + THEREFORE RECEIVE NO COMMISSIONS.
D/A
$1,644,907.00
Yes
$0.00
No
THE INVESTMENT ADVISOR HAS PAID TOTAL COMMISSION OF $1,344,907 AND WILL PAY ANOTHER $300,000 OVER THE NEXT TWELVE MONTHS.
D/A
$487,186.00
Yes
$0.00
No
THE INVESTMENT ADVISOR HAS PAID TOTAL COMMISSION OF $437,186 AND WILL PAY ANOTHER $50,000 OVER THE NEXT TWELVE MONTHS.
D
$164,050.00
Yes
$0.00
Yes
THE INVESTMENT ADVISOR HAS PAID TOTAL COMMISSIONS OF $74,050 AND WILL PAY ANOTHER $90,000 OVER THE NEXT TWELVE MONTHS.
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 CO-INVESTMENT MANAGERS (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 GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENT LISTED IN ITEM 12 IS 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 CO-INVESTMENT MANAGERS (OR THEIR AFFILIATES) 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 GENERAL PARTNER (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 MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$6,772,990.00
Yes
$0.00
No
SALES COMMISSIONS REPORTED ARE THOSE PAID DURING THE TIME PERIOD OF JUNE 2016 THROUGH MAY, 2017.
D/A
$85,469.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES, WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
D/A
$17,500.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES, WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
D/A
$34,987.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES, WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
D/A
$945,310.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12 ARE NO LONGER REGISTERED BROKER-DEALERS + THEREFORE RECEIVE NO COMMISSIONS.
D/A
$3,676,387.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS - SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12 ARE NO LONGER REGISTERED BROKER-DEALERS + THEREFORE RECEIVE NO COMMISSIONS.
D/A
$5,970,291.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. CERTAIN ENTITIES LISTED IN ITEM 12 ARE NO LONGER REGISTERED BROKER-DEALERS + THEREFORE RECEIVE NO COMMISSIONS.
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 CO-INVESTMENT MANAGERS (OR THEIR AFFILIATES) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENT LISTED IN ITEM 12 IS 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
$1,308,259.00
Yes
$0.00
No
THE INVESTMENT ADVISOR HAS PAID TOTAL COMMISSION OF $1,008,259 AND WILL PAY ANOTHER $300,000 OVER THE NEXT TWELVE MONTHS.
D/A
$452,685.00
Yes
$0.00
No
THE INVESTMENT ADVISOR HAS PAID TOTAL COMMISSION OF $402,685 AND WILL PAY ANOTHER $50,000 OVER THE NEXT TWELVE MONTHS.
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 CO-INVESTMENT MANAGERS (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 GENERAL PARTNER (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 GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D
$14,543,000.00
No
$0.00
No
50% OF THE PLACEMENT AGENT FEES WERE PAYABLE BY THE ISSUER AND THE REMAINING 50% WERE PAYABLE BY THE PROMOTERS.
D/A
$7,640,955.00
Yes
$0.00
No
THE ISSUER HAS NOT PAID ANY COMMISSIONS TO TRICOR FINANCIAL LLC SINCE JANUARY 13,2016. SALES COMMISSIONS REPORTED ARE THOSE PAID UP TO MAY 31, 2016
D/A
$78,385.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES, WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
D/A
$17,500.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES, WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
D/A
$30,570.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES, WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
D/A
$3,201,206.00
Yes
$0.00
No
GP PAYS UP TO 30% OF MGT FEES TO BROKERS-#12. #15 REFLECTS OFFERING FROM 3/15/09.EMCOR,FORTIGENT,METCIRCLE,MT RUSHMORE,OSAGE + RA BENCH ARE NO LONGER REGISTERED BROKERS. MORGAN KEEGAN IS NO LONGER ENGAGED BY GP. COMMISSIONS ARE PAID ONLY FOR PRIOR SALES.
D/A
$5,624,820.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. EMCOR, FORTIGENT, METCIRCLE, MT RUSHMORE + OSAGE ARE NO LONGER REGISTERED BROKER-DEALERS + RECEIVE NO COMMISSIONS.
D/A
$924,013.00
Yes
$0.00
No
IM PAYS UP TO 30% OF MGT FEES TO SELLING AGENTS-SEE ITEM 12. CURRENT OFFERING BEGAN PRIOR TO 3/15/09; ITEM 15 REFLECTS INFO FROM SUCH DATE. EMCOR, FORTIGENT, METCIRCLE, MT RUSHMORE + OSAGE ARE NO LONGER REGISTERED BROKER-DEALERS + RECEIVE NO COMMISSIONS.
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 CO-INVESTMENT MANAGERS (OR THEIR AFFILIATES) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENT LISTED IN ITEM 12 IS 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 MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$1,135,402.00
Yes
$0.00
No
THE INVESTMENT ADVISOR HAS PAID TOTAL COMMISSION OF $655,402 AND WILL PAY ANOTHER $480,000 OVER THE NEXT TWELVE MONTHS.
D/A
$54,268.00
Yes
$0.00
No
THE INVESTMENT ADVISOR HAS PAID TOTAL COMMISSION OF $34,268 AND WILL PAY ANOTHER $20,000 OVER THE NEXT TWELVE MONTHS.
D/A
$596,081.00
Yes
$0.00
No
THE INVESTMENT ADVISOR HAS PAID TOTAL COMMISSION OF $354,081 AND WILL PAY ANOTHER $242,000 OVER THE NEXT TWELVE MONTHS.
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 CO-INVESTMENT MANAGERS (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 GENERAL PARTNER (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 GENERAL PARTNER (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 GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$7,506,249.00
Yes
$0.00
No
SALES COMMISSIONS REPORTED ARE THOSE PAID FROM JUNE, 2014 THROUGH MAY, 2015
D/A
$17,500.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES, WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
D/A
$71,482.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES, WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
D/A
$24,844.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES, WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
D/A
$0.00
Yes
$0.00
Yes
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.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MANAGER(OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
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
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 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.
D/A
$309,009.00
Yes
$0.00
No
THE INVESTMENT ADVISOR HAS PAID TOTAL COMMISSION OF $189,009 AND WILL PAY ANOTHER $120,000 OVER THE NEXT TWELVE MONTHS.
D/A
$169,333.00
No
$0.00
No
THE INVESTMENT ADVISOR HAS PAID TOTAL COMMISSION OF $114,333 AND WILL PAY ANOTHER $55,000.00 OVER THE NEXT TWELVE MONTHS.
D/A
$27,773.00
No
$0.00
No
THE INVESTMENT ADVISOR HAS PAID TOTAL COMMISSION OF $15,773 AND WILL PAY ANOTHER $12,000 OVER THE NEXT TWELVE MONTHS.
D/A
$17,500.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES, WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
D/A
$66,100.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES, WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
D/A
$18,596.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES, WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
D/A
$9,777,745.00
Yes
$0.00
No
SALES COMMISSIONS REPORTED ARE THOSE PAID FROM JANUARY THROUGH DECEMBER 2012
D
$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
D/A
$64,327.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES, WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
D/A
$17,500.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES, WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
D/A
$16,883.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES, WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
D/A
$107,700.00
Yes
$0.00
No
THE INVESTMENT ADVISOR HAS PAID TOTAL COMMISSION OF $82,700 AND WILL PAY ANOTHER $25,000 OVER THE NEXT TWELVE MONTHS.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MANAGER(OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
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.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 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.
D/A
$0.00
Yes
$0.00
Yes
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.
D/A
$0.00
No
$260,713.00
Yes
NO PROCEEDS OF THE OFFERING HAVE BEEN USED TO PAY SALES COMMISSIONS OR FINDERS- FEES.
D/A
$0.00
No
$101,123.00
Yes
NO PROCEEDS OF THE OFFERING HAVE BEEN USED TO PAY SALES COMMISSIONS OR FINDERS- FEES.
D/A
$77,872.00
No
$0.00
No
THE INVESTMENT ADVISOR HAS PAID TOTAL COMMISSION OF $52,872 AND WILL PAY ANOTHER $25,000 OVER THE NEXT TWELVE MONTHS.
D/A
$86,009.00
No
$0.00
No
THE INVESTMENT ADVISOR HAS PAID TOTAL COMMISSION OF $54,009 AND WILL PAY ANOTHER $32,000.00 OVER THE NEXT TWELVE MONTHS.
D/A
$5,928.00
No
$0.00
No
THE INVESTMENT ADVISOR HAS PAID TOTAL COMMISSION OF $1,928 AND WILL PAY ANOTHER $4,000 OVER THE NEXT TWELVE MONTHS.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 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.
D/A
$67,500.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES, WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
D/A
$16,225.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES, WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
D/A
$7,500.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES, WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
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
D/A
$75,000.00
Yes
$0.00
No
THE INVESTMENT ADVISOR HAS PAID TOTAL COMMISSION OF $35,000 AND WILL PAY ANOTHER $40,000 OVER THE NEXT TWELVE MONTHS.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MANAGER(OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
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.
D/A
$0.00
Yes
$0.00
Yes
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.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
No
$298,802.00
Yes
NO PROCEEDS OF THE OFFERING HAVE BEEN USED TO PAY SALES COMMISSIONS OR FINDERS- FEES.
D/A
$0.00
No
$173,415.00
Yes
NO PROCEEDS OF THE OFFERING HAVE BEEN USED TO PAY SALES COMMISSIONS OR FINDER-S FEES.
D/A
$27,338.00
No
$0.00
No
THE INVESTMENT ADVISOR HAS PAID TOTAL COMMISSION OF $15,338.00 AND WILL PAY ANOTHER $12,000.00 OVER THE NEXT TWELVE MONTHS.
D/A
$0.00
No
$0.00
No
THE ENTITIES LISTED IN ITEM 12 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.
D/A
$3,898.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES, WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
D/A
$51,700.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES, WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
D/A
$16,225.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES, WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
D/A
$75,000.00
Yes
$0.00
No
THE INVESTMENT ADVISOR HAS PAID TOTAL COMMISSION OF $35,000 AND WILL PAY ANOTHER $40,000 OVER THE NEXT TWELVE MONTHS.
D/A
$0.00
No
$0.00
No
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.
D/A
$0.00
Yes
$0.00
Yes
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.
D/A
$0.00
No
$0.00
No
THE ENTITIES LISTED IN ITEM 12 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.
D/A
$2,589.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES,WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
D/A
$16,225.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES, WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
D/A
$46,900.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES, WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
D/A
$1,098.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES, WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
D/A
$0.00
No
$0.00
No
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.
D/A
$0.00
Yes
$0.00
Yes
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.
D/A
$2,589.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES,WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
D/A
$41,564.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES, WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
D/A
$16,225.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES, WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
D/A
$0.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES, WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
D
$0.00
Yes
$0.00
No
ADVISOR PAYS A PORTION OF ITS FEES, WHICH MAY VARY FROM TIME TO TIME, TO THE SELLING AGENTS.
