Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NONE
NONE
WFS, LLC
116778
NONE
NONE
WFS, LLC
116778
NONE
NONE
WFC, LLC
116778
WFS, LLC
116778
NONE
NONE
WFS, LLC
116778
NONE
NONE
WFS, LLC
116778
NONE
NONE
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2025-08-29
D/A
$266,071.00
Yes
$0.00
No
ISSUER PAYS A MANAGEMENT FEE TO WIC REFERENCED IN ITEM 3 AND WIC, IN TURN, PAYS THE SALES COMPENSATION TO THE BROKER/DEALER REFERENCED IN ITEM 12. THE SALES COMMISSION DISCLOSED IS FOR THE PERIOD OF 12/1/2014 THROUGH 6/30/2025.
2024-08-28
D/A
$244,173.00
Yes
$0.00
No
ISSUER PAYS A MANAGEMENT FEE TO WIC REFERENCED IN ITEM 3 AND WIC, IN TURN, PAYS THE SALES COMPENSATION TO THE BROKER/DEALER REFERENCED IN ITEM 12. THE SALES COMMISSION DISCLOSED IS FOR THE PERIOD OF 12/1/2014 THROUGH 6/30/2023.
2024-01-05
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT CHARGE A SALES COMMISSION AT TIME OF INVESTMENT. HOWEVER, CERTAIN BROKER/DEALERS MAY SHARE A PORTION OF THE FEES PAID TO THE ISSUER-S INVESTMENT MANAGER OR ONE OF ITS AFFILIATES.
2023-08-31
D/A
$220,597.00
Yes
$0.00
No
ISSUER PAYS A MANAGEMENT FEE TO WIC REFERENCED IN ITEM 3 AND WIC, IN TURN, PAYS THE SALES COMPENSATION TO THE BROKER/DEALER REFERENCED IN ITEM 12. THE SALES COMMISSION DISCLOSED IS FOR THE PERIOD OF 12/1/2014 THROUGH 6/30/2023.
2023-06-08
D/A
$0.00
Yes
$0.00
Yes
ITEM 12 REFLECTS SALES COMPENSATION RECIPIENTS FROM JULY 2022-JUNE 2023. THE ISSUER DOES NOT CHARGE SALES COMMISSION AT TIME OF INVESTMENT BUT CERTAIN BROKER/DEALERS MAY SHARE A PORTION OF FEES PAID TO THE ISSUER-S GENERAL PARTNER OR ONE OF ITS AFFILIATES
2023-04-14
D/A
$208,295.00
Yes
$0.00
No
ISSUER PAYS A MANAGEMENT FEE TO WIC REFERENCED IN ITEM 3 AND WIC, IN TURN, PAYS THE SALES COMPENSATION TO THE BROKER/DEALER REFERENCED IN ITEM 12. THE SALES COMMISSION DISCLOSED IS FOR THE PERIOD OF 12/1/2014 THROUGH 12/31/2022.
2023-01-06
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT CHARGE A SALES COMMISSION AT TIME OF INVESTMENT. HOWEVER, CERTAIN BROKER/DEALERS MAY SHARE A PORTION OF THE FEES PAID TO THE ISSUER-S INVESTMENT MANAGER OR ONE OF ITS AFFILIATES.
2022-06-08
D/A
$0.00
Yes
$0.00
Yes
ITEM 12 REFLECTS SALES COMPENSATION RECIPIENTS FROM JULY 2021-JUNE 2022. THE ISSUER DOES NOT CHARGE SALES COMMISSION AT TIME OF INVESTMENT BUT CERTAIN BROKER/DEALERS MAY SHARE A PORTION OF FEES PAID TO THE ISSUER-S GENERAL PARTNER OR ONE OF ITS AFFILIATES
2022-02-25
D/A
$171,109.00
Yes
$0.00
No
THE SALES COMMISSION DISCLOSED IS FOR THE PERIOD OF DECEMBER 1 2014 TO DECEMBER 31, 2021.
2022-01-07
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT CHARGE A SALES COMMISSION AT TIME OF INVESTMENT. HOWEVER, CERTAIN BROKER/DEALERS MAY SHARE A PORTION OF THE FEES PAID TO THE ISSUER-S INVESTMENT MANAGER OR ONE OF ITS AFFILIATES.
2021-06-09
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT CHARGE A SALES COMMISSION AT THE TIME OF INVESTMENT. HOWEVER, CERTAIN BROKER/DEALERS MAY SHARE A PORTION OF THE FEES PAID TO THE ISSUER-S GENERAL PARTNER OR ONE OF ITS AFFILIATES.
2021-01-25
D/A
$146,990.00
Yes
$0.00
No
THE SALES COMMISSION DISCLOSED IS FOR THE PERIOD OF DECEMBER 1 2014 TO DECEMBER 31, 2020.
2020-06-10
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT CHARGE A SALES COMMISSION AT THE TIME OF INVESTMENT. HOWEVER, CERTAIN BROKER/DEALERS MAY SHARE A PORTION OF THE FEES PAID TO THE ISSUER-S GENERAL PARTNER OR ONE OF ITS AFFILIATES.
2020-01-28
D/A
$120,275.00
Yes
$0.00
No
THE SALES COMMISSION DISCLOSED IS FOR THE PERIOD OF DECEMBER 1 2014 TO DECEMBER 31, 2019.
2020-01-10
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT CHARGE A SALES COMMISSION AT TIME OF INVESTMENT. HOWEVER, CERTAIN BROKER/DEALERS MAY SHARE A PORTION OF THE FEES PAID TO THE ISSUER-S INVESTMENT MANAGER OR ONE OF ITS AFFILIATES.
2019-06-10
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT CHARGE A SALES COMMISSION AT THE TIME OF INVESTMENT. HOWEVER, CERTAIN BROKER/DEALERS MAY SHARE A PORTION OF THE FEES PAID TO THE ISSUER-S GENERAL PARTNER OR ONE OF ITS AFFILIATES.
2019-01-11
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT CHARGE A SALES COMMISSION AT TIME OF INVESTMENT. HOWEVER, CERTAIN BROKER/DEALERS MAY SHARE A PORTION OF THE FEES PAID TO THE ISSUER-S INVESTMENT MANAGER OR ONE OF ITS AFFILIATES.
2019-01-09
D/A
$90,317.00
Yes
$0.00
No
THE SALES COMMISSION DISCLOSED IS FOR THE PERIOD OF DECEMBER 1 2014 TO DECEMBER 31, 2018.
2018-06-08
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT CHARGE A SALES COMMISSION AT THE TIME OF INVESTMENT. HOWEVER, CERTAIN BROKER/DEALERS MAY SHARE A PORTION OF THE FEES PAID TO THE ISSUER-S GENERAL PARTNER OR ONE OF ITS AFFILIATES.
2018-01-12
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT CHARGE A SALES COMMISSION AT TIME OF INVESTMENT. HOWEVER, CERTAIN BROKER/DEALERS MAY SHARE A PORTION OF THE FEES PAID TO THE ISSUER-S INVESTMENT MANAGER OR ONE OF ITS AFFILIATES.
2018-01-11
D/A
$61,863.00
Yes
$0.00
No
THE SALES COMMISSION DISCLOSED IS FOR THE PERIOD OF DECEMBER 1 2014 TO DECEMBER 31, 2017.
2017-06-09
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT CHARGE A SALES COMMISSION AT THE TIME OF INVESTMENT. HOWEVER, CERTAIN BROKER/DEALERS MAY SHARE A PORTION OF THE FEES PAID TO THE ISSUER-S GENERAL PARTNER OR ONE OF ITS AFFILIATES.
2017-01-13
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT CHARGE A SALES COMMISSION AT TIME OF INVESTMENT. HOWEVER, CERTAIN BROKER/DEALERS MAY SHARE A PORTION OF THE FEES PAID TO THE ISSUER-S INVESTMENT MANAGER OR ONE OF ITS AFFILIATES.
2016-12-16
D/A
$36,127.00
Yes
$0.00
No
THE SALES COMMISSION DISCLOSED IS FOR THE PERIOD OF DECEMBER 1 2014 TO NOVEMBER 30, 2016.
2016-06-08
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT CHARGE A SALES COMMISSION AT THE TIME OF INVESTMENT. HOWEVER, CERTAIN BROKER/DEALERS MAY SHARE A PORTION OF THE FEES PAID TO THE ISSUER-S GENERAL PARTNER OR ONE OF ITS AFFILIATES.
2016-01-14
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT CHARGE A SALES COMMISSION AT TIME OF INVESTMENT. HOWEVER, CERTAIN BROKER/DEALERS MAY SHARE A PORTION OF THE FEES PAID TO THE ISSUER-S INVESTMENT MANAGER OR ONE OF ITS AFFILIATES.
2016-01-13
D/A
$8,712.00
Yes
$0.00
No
2016-01-13
D/A
$6,693.00
Yes
$0.00
No
2015-12-15
D/A
$15,717.00
Yes
$0.00
No
THE SALES COMMISSION DISCLOSED IS FOR THE PERIOD OF DECEMBER 1 2014 TO NOVEMBER 30, 2015.
2015-05-20
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT CHARGE A SALES COMMISSION AT THE TIME OF INVESTMENT. HOWEVER, CERTAIN BROKER/DEALERS MAY SHARE A PORTION OF THE FEES PAID TO THE ISSUER-S GENERAL PARTNER OR ONE OF ITS AFFILIATES.
2015-05-20
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT CHARGE A SALES COMMISSION AT TIME OF INVESTMENT. HOWEVER, CERTAIN BROKER/DEALERS MAY SHARE A PORTION OF THE FEES PAID TO THE ISSUER-S INVESTMENT MANAGER OR ONE OF ITS AFFILIATES.
2015-01-16
D/A
$5,000.00
Yes
$0.00
No
NOTE THAT THE $5,000 SALES COMMISSIONS REPORTED IS THE AGGREGARE AMOUNT BETWEEN BOTH WAINWRIGHT DREADNOUGHT FUND L.P. AND WAINWRIGHT DREADNOUGHT FUND LTD. (I.E., $5,000 IS THE COMBINED AMOUNT BETWEEN BOTH FUNDS, NOT $5,000 EACH)
2015-01-16
D/A
$5,000.00
Yes
$0.00
No
2015-01-14
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT CHARGE A SALES COMMISSION AT THE TIME OF INVESTMENT. HOWEVER, CERTAIN BROKER/DEALERS MAY SHARE A PORTION OF THE FEES PAID TO THE ISSUER-S INVESTMENT MANAGER OR ONE OF ITS AFFILIATES.
2014-12-16
D
$12,682.00
No
$0.00
No
PERIOD: 1/2/2014 THRU 11/30/2014
2014-06-05
D/A
$0.00
Yes
$0.00
Yes
THE ISSUER DOES NOT CHARGE A SALES COMMISSION AT TIME OF INVESTMENT. HOWEVER, CERTAIN BROKER/DEALERS MAY SHARE A PORTION OF THE FEES PAID TO THE ISSUER-S INVESTMENT MANAGER OR ONE OF ITS AFFILIATES.
2014-06-04
D/A
$0.00
No
$0.00
No
THE ISSUER DOES NOT CHARGE A SALES COMMISSION AT TIME OF INVESTMENT. HOWEVER, CERTAIN BROKER/DEALERS MAY SHARE A PORTION OF THE FEES PAID TO THE ISSUER-S INVESTMENT MANAGER OR ONE OF ITS AFFILIATES.
2014-01-21
D
$2,350.00
Yes
$0.00
Yes
2014-01-17
D
$5,000.00
Yes
$0.00
No
2013-12-16
D/A
$0.00
No
$0.00
No
2013-05-08
D/A
$0.00
No
$0.00
No
THE ISSUER DOES NOT CHARGE A SALES COMMISSION AT TIME OF INVESTMENT. HOWEVER, CERTAIN BROKER/DEALERS MAY SHARE A PORTION OF THE FEES PAID TO THE ISSUER-S INVESTMENT MANAGER OR ONE OF ITS AFFILIATES.
2013-05-08
D/A
$0.00
No
$0.00
No
THE ISSUER DOES NOT CHARGE A SALES COMMISSION AT TIME OF INVESTMENT. HOWEVER, CERTAIN BROKER/DEALERS MAY SHARE A PORTION OF THE FEES PAID TO THE ISSUER-S INVESTMENT MANAGER OR ONE OF ITS AFFILIATES.
2012-05-02
D/A
$0.00
No
$0.00
No
THE ISSUER DOES NOT CHARGE A SALES COMMISSION AT TIME OF INVESTMENT. HOWEVER, CERTAIN BROKER/DEALERS MAY SHARE A PORTION OF THE FEES PAID TO THE ISSUER-S INVESTMENT MANAGER OR ONE OF ITS AFFILIATES.
2012-05-02
D/A
$0.00
No
$0.00
No
THE ISSUER DOES NOT CHARGE A SALES COMMISSION AT TIME OF INVESTMENT. HOWEVER, CERTAIN BROKER/DEALERS MAY SHARE A PORTION OF THE FEES PAID TO THE ISSUER-S INVESTMENT MANAGER OR ONE OF ITS AFFILIATES.
2011-05-02
D/A
$0.00
No
$0.00
No
THE ISSUER DOES NOT CHARGE A SALES COMMISSION AT TIME OF INVESTMENT. HOWEVER, CERTAIN BROKER/DEALERS MAY SHARE A PORTION OF THE FEES PAID TO THE ISSUER-S INVESTMENT MANAGER OR ONE OF ITS AFFILIATES.
2011-05-02
D/A
$0.00
No
$0.00
No
THE ISSUER DOES NOT CHARGE A SALES COMMISSION AT TIME OF INVESTMENT. HOWEVER, CERTAIN BROKER/DEALERS MAY SHARE A PORTION OF THE FEES PAID TO THE ISSUER-S INVESTMENT MANAGER OR ONE OF ITS AFFILIATES.