Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

SAXONY SECURITIES, INC
115547
ANTON KATZ
1221289
SAXONY SECURITIES, INC
115547
ANTON KATZ
1221289
SAXONY SECURITIES, INC.
115547
ANTON KATZ
1221289
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2020-01-14
D/A
$255,000.00
Yes
$0.00
No
PLACEMENT AGENTS ARE COMPENSATED BASED ON THE AMOUNT OF CAPITAL COMMITMENTS SOURCED BY SUCH PLACEMENT AGENTS.
2018-08-01
D/A
$0.00
Yes
$0.00
No
SALES COMMISSION IS EQUAL TO 20% OF THE MANAGEMENT FEES AND INCENTIVE ALLOCATIONS RECEIVED BY THE INVESTMENT MANAGER.
2018-08-01
D/A
$0.00
Yes
$0.00
No
SALES COMMISSION IS EQUAL TO 20% OF THE MANAGEMENT FEES AND INCENTIVE ALLOCATIONS RECEIVED BY THE INVESTMENT MANAGER.
2018-08-01
D/A
$0.00
Yes
$0.00
No
SALES COMMISSION IS EQUAL TO 20% OF THE MANAGEMENT FEES AND INCENTIVE ALLOCATIONS RECEIVED BY THE INVESTMENT MANAGER.
2017-08-01
D/A
$0.00
Yes
$0.00
No
SALES COMMISSION IS EQUAL TO 20% OF THE MANAGEMENT AND PERFORMANCE FEES RECEIVED BY THE INVESTMENT MANAGER
2017-08-01
D/A
$0.00
Yes
$0.00
No
SALES COMMISSION IS EQUAL TO 20% OF THE MANAGEMENT AND PERFORMANCE FEES RECEIVED BY THE INVESTMENT MANAGER.
2017-08-01
D/A
$0.00
Yes
$0.00
No
SALES COMMISSION IS EQUAL TO 20% OF THE MANAGEMENT AND PERFORMANCE FEES RECEIVED BY THE INVESTMENT MANAGER
2016-08-01
D/A
$0.00
Yes
$0.00
No
SALES COMMISSION IS EQUAL TO 20% OF THE MANAGEMENT FEE RECEIVED BY THE INVESTMENT MANAGER
2016-08-01
D/A
$0.00
Yes
$0.00
No
SALES COMMISSION IS EQUAL TO 20% OF THE MANAGEMENT FEE RECEIVED BY THE INVESTMENT MANAGER.
2016-08-01
D/A
$0.00
Yes
$0.00
No
SALES COMMISSION IS EQUAL TO 20% OF THE MANAGEMENT FEE RECEIVED BY THE INVESTMENT MANAGER
2015-07-30
D/A
$50,000.00
Yes
$0.00
No
SALES COMMISSION IS EQUAL TO 20% OF THE MANAGEMENT FEE RECEIVED BY THE INVESTMENT MANAGER
2015-07-30
D/A
$50,000.00
Yes
$0.00
No
SALES COMMISSION IS EQUAL TO 20% OF THE MANAGEMENT FEE RECEIVED BY THE INVESTMENT MANAGER.
2015-07-30
D/A
$50,000.00
Yes
$0.00
No
SALES COMMISSION IS EQUAL TO 20% OF THE MANAGEMENT FEE RECEIVED BY THE INVESTMENT MANAGER
2014-07-30
D/A
$50,000.00
Yes
$0.00
No
SALES COMMISSION IS EQUAL TO 20% OF THE MANAGEMENT FEE RECEIVED BY THE INVESTMENT MANAGER
2014-07-30
D/A
$50,000.00
Yes
$0.00
No
SALES COMMISSION IS EQUAL TO 20% OF THE MANAGEMENT FEE RECEIVED BY THE INVESTMENT MANAGER