Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NONE
NONE
ASPERION GROUP LLC
121057
ASPERION GROUP LLC
121057
DEBRA L. PIPINES
1503019
ASPERION GROUP LLC
121057
DEBRA L. PIPINES
1503019
ASPERION GROUP LLC
121057
DEBRA L. PIPINES
1503019
ASPERION GROUP LLC
121057
ASPERION GROUP LLC
121057
ASPERION GROUP LLC
121057
ASPERION GROUP LLC
121057
ASPERION GROUP LLC
121057
ASPERION GROUP LLC
121057
ERG SECURITIES (US) LLC
121057
ASPERION GROUP LLC
1503019
NONE
NONE
ERG SERVICES (US) LLC
121057
ERG SECURITIES (US) LLC
121057
DEBRA PIPINES
1503019
NONE
NONE
ERG SECURITIES (US) LLC
121057
NONE
NONE
ERG SECURITIES (US) LLC
121057
NONE
NONE
ERG SECURITIES (US) LLC
121057
NONE
NONE
ERG SECURITIES (US) LLC
121057
DEBRA LOUISE PIPINES
1503019
ERG SECURITIES (US) LLC
121057
ERG SECURITIES (US) LLC
121057
DEBRA LOUISE PIPINES
1503019
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2026-06-30
D/A
$426,209.00
No
$0.00
No
THE AMOUNT PAID IS CATEGORIZED AS A CONSULTATION FEE, RATHER THAN A SALES COMMISSION OR FINDERS- FEE.
2026-06-30
D/A
$426,209.00
No
$0.00
No
THE AMOUNT PAID IS CATEGORIZED AS A CONSULTATION FEE, RATHER THAN A SALES COMMISSION OR FINDERS- FEE.
2026-03-11
D/A
$271,679.00
No
$0.00
No
2026-03-11
D/A
$14,392.00
No
$0.00
No
2025-09-08
D/A
$0.00
No
$0.00
No
2025-08-15
D
$616,250.00
Yes
$0.00
No
IN CONNECTION WITH THE OFFERING, A PORTION OF THE SALES COMMISSION WILL BE PAID TO THE BROKER IN THE FORM OF A WARRANT TO PURCHASE PREFERRED STOCK OF THE ISSUER.
2025-06-30
D/A
$426,209.00
No
$0.00
No
THE AMOUNT PAID IS CATEGORIZED AS A CONSULTATION FEE, RATHER THAN A SALES COMMISSION OR FINDERS- FEE.
2025-06-30
D/A
$426,209.00
No
$0.00
No
THE AMOUNT PAID IS CATEGORIZED AS A CONSULTATION FEE, RATHER THAN A SALES COMMISSION OR FINDERS- FEE.
2025-03-20
D/A
$271,679.00
No
$0.00
No
2025-03-20
D/A
$14,392.00
No
$0.00
No
2024-07-12
D/A
$0.00
No
$0.00
No
2024-06-28
D/A
$375,000.00
No
$0.00
No
THE AMOUNT PAID IS CATEGORIZED AS A CONSULTATION FEE, RATHER THAN A SALES COMMISSION OR FINDERS- FEE.
2024-06-28
D/A
$375,000.00
No
$0.00
No
THE AMOUNT PAID IS CATEGORIZED AS A CONSULTATION FEE, RATHER THAN A SALES COMMISSION OR FINDERS- FEE.
2024-03-22
D/A
$14,392.00
No
$0.00
No
2024-03-22
D/A
$271,679.00
No
$0.00
No
2023-11-06
D
$150,000.00
No
$0.00
No
ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS
2023-09-13
D/A
$400,000.00
Yes
$0.00
No
THE ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS.
2023-07-18
D
$150,000.00
Yes
$0.00
No
ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.
2023-07-14
D/A
$0.00
No
$0.00
No
2023-07-07
D/A
$400,000.00
Yes
$0.00
No
THE ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS.
2023-06-28
D/A
$333,333.00
No
$0.00
No
THE AMOUNT PAID IS CATEGORIZED AS A CONSULTATION FEE, RATHER THAN A SALES COMMISSION OR FINDERS- FEE.
2023-06-28
D/A
$333,333.00
No
$0.00
No
THE AMOUNT PAID IS CATEGORIZED AS A CONSULTATION FEE, RATHER THAN A SALES COMMISSION OR FINDERS- FEE.
2023-03-23
D/A
$263,508.00
No
$0.00
No
ANY COMMISSIONS HAVE BEEN AND WILL BE PAID BY THE INVESTMENT MANAGER FROM ITS MANAGEMENT AND OTHER FEES.
2023-03-23
D/A
$1,427,859.00
No
$0.00
No
ANY COMMISSIONS HAVE BEEN AND WILL BE PAID BY THE INVESTMENT MANAGER FROM ITS MANAGEMENT AND OTHER FEES.
2022-07-15
D/A
$0.00
No
$0.00
No
2022-06-07
D/A
$126,550.00
Yes
$0.00
Yes
THE SALES COMMISSIONS AND FINDERS FEES INCLUDE AMOUNTS PAID WITH RESPECT TO PARALLEL AND "FEEDER" FUNDS. TOTAL AMOUNT TO BE PAID BASED ON A PERCENTAGE OF CAPITAL RAISED.
2022-06-07
D/A
$126,550.00
Yes
$0.00
Yes
THE SALES COMMISSIONS AND FINDERS FEES INCLUDE AMOUNTS PAID WITH RESPECT TO PARALLEL AND "FEEDER" FUNDS. TOTAL AMOUNT TO BE PAID BASED ON A PERCENTAGE OF CAPITAL RAISED.
2022-01-14
D/A
$0.00
Yes
$0.00
Yes
2021-07-21
D/A
$37,500.00
Yes
$0.00
Yes
THE SALES COMMISSIONS AND FINDERS FEES INCLUDE AMOUNTS PAID WITH RESPECT TO PARALLEL AND "FEEDER" FUNDS. TOTAL AMOUNT TO BE PAID BASED ON A PERCENTAGE OF CAPITAL RAISED.
2021-07-21
D/A
$37,500.00
Yes
$0.00
Yes
THE SALES COMMISSIONS AND FINDERS FEES INCLUDE AMOUNTS PAID WITH RESPECT TO PARALLEL AND "FEEDER" FUNDS. TOTAL AMOUNT TO BE PAID BASED ON A PERCENTAGE OF CAPITAL RAISED.
2021-07-16
D/A
$0.00
No
$0.00
No
2021-05-25
D/A
$773,421.00
Yes
$0.00
No
2021-05-13
D
$21,189.00
Yes
$0.00
No
2021-03-09
D/A
$340,000.00
No
$0.00
No
2021-01-15
D/A
$0.00
Yes
$0.00
Yes
2020-09-08
D/A
$0.00
Yes
$0.00
No
THE PERSONS/FIRMS LISTED IN ITEM 12 MAY RECEIVE A PERCENTAGE OF THE MANAGEMENT FEES AND/OR INCENTIVE ALLOCATIONS OF THE INVESTMENT MANAGER OR ITS AFFILIATES.
2020-08-26
D
$0.00
Yes
$0.00
No
THE PERSONS/FIRMS LISTED IN ITEM 12 MAY RECEIVE A PERCENTAGE OF THE MANAGEMENT FEES AND/OR INCENTIVE ALLOCATIONS OF THE INVESTMENT MANAGER OR ITS AFFILIATES.
2020-07-24
D
$8,750.00
Yes
$0.00
No
2020-05-19
D/A
$0.00
No
$0.00
No
2020-03-09
D/A
$340,000.00
No
$0.00
No
2020-02-03
D/A
$0.00
Yes
$1,148,073.00
Yes
TOTAL SINCE INCEPTION THROUGH SEPTEMBER 30, 2019.
2020-01-17
D/A
$0.00
Yes
$0.00
Yes
2019-12-27
D
$0.00
No
$0.00
No
2019-12-17
D/A
$0.00
Yes
$320,511.00
Yes
TOTAL SINCE INCEPTION THROUGH SEPTEMBER 30, 2019.
2019-03-25
D
$54,249.00
Yes
$0.00
No
2019-03-11
D
$6,400.00
Yes
$0.00
No
2019-02-05
D/A
$0.00
Yes
$842,226.00
Yes
TOTAL SINCE INCEPTION THROUGH SEPTEMBER 30, 2018.
2019-01-18
D/A
$0.00
Yes
$0.00
Yes
2018-12-19
D
$250,000.00
No
$0.00
No
2018-12-18
D/A
$0.00
Yes
$302,334.00
Yes
TOTAL SINCE INCEPTION THROUGH SEPTEMBER 30, 2018.
2018-02-06
D/A
$0.00
Yes
$591,261.00
Yes
TOTAL SINCE INCEPTION THROUGH SEPTEMBER 30, 2017.
2017-12-28
D/A
$0.00
Yes
$266,854.00
Yes
TOTAL SINCE INCEPTION THROUGH SEPTEMBER 30, 2017.
2017-09-22
D
$21,000.00
Yes
$0.00
No
2017-02-09
D/A
$0.00
Yes
$406,664.00
Yes
TOTAL SINCE INCEPTION THROUGH SEPTEMBER 30, 2016
2017-01-04
D/A
$0.00
Yes
$229,751.00
Yes
TOTAL SINCE INCEPTION THROUGH SEPTEMBER 30, 2016.
2016-12-13
D/A
$0.00
Yes
$229,751.00
Yes
TOTAL SINCE INCEPTION THROUGH SEPTEMBER 30, 2016.
2016-09-07
D
$14,000.00
Yes
$0.00
No
2016-04-20
D/A
$0.00
Yes
$269,300.00
Yes
TOTAL SINCE INCEPTION THROUGH SEPTEMBER 30, 2015
2016-04-19
D/A
$27,661.00
Yes
$0.00
No
NO COMMISSIONS HAVE BEEN PAID FOR THE SALES TO US INVESTORS.
2016-01-07
D
$0.00
No
$0.00
No
A TOTAL OF $44,527 HAS BEEN PAID.
2015-12-17
D/A
$0.00
Yes
$146,309.00
Yes
TOTAL SINCE INCEPTION THROUGH JUNE 30, 2015.
2015-07-14
D/A
$0.00
Yes
$128,704.00
Yes
TOTAL SINCE INCEPTION THROUGH MARCH 31, 2015.
2015-04-23
D/A
$893,301.00
Yes
$0.00
No
THE AMOUNT DISCLOSED REPRESENTS THE TOTAL AMOUNT OF SALES COMMISSION WHICH HAS PAID TO PERSONS WHO ARE PRESENTLY AND WHO HAVE PREVIOUSLY BEEN DISCLOSED IN ITEM 12. ONLY CURRENT RECIPIENTS ARE DISCLOSED IN ITEM 12.
2015-04-20
D/A
$0.00
Yes
$164,259.00
Yes
TOTAL SINCE INCEPTION THROUGH DECEMBER 31, 2014
2014-07-17
D/A
$0.00
Yes
$59,625.00
Yes
TOTAL SINCE INCEPTION THROUGH MARCH 31, 2014.
2014-03-12
D/A
$893,301.00
Yes
$0.00
No
THE AMOUNT DISCLOSED REPRESENTS THE TOTAL AMOUNT OF SALES COMMISSION WHICH HAS PAID TO PERSONS WHO ARE PRESENTLY AND WHO HAVE PREVIOUSLY BEEN DISCLOSED IN ITEM 12. ONLY CURRENT RECIPIENTS ARE DISCLOSED IN ITEM 12.
2013-03-07
D/A
$0.00
Yes
$0.00
No
2013-03-07
D/A
$519,767.00
Yes
$0.00
No
2012-03-06
D/A
$160,000.00
Yes
$0.00
No
2012-03-06
D/A
$0.00
Yes
$0.00
No
2011-01-25
D/A
$160,000.00
Yes
$0.00
No
2011-01-25
D/A
$40,000.00
Yes
$0.00
No
2010-03-03
D/A
$0.00
No
$1,055,031.00
No