Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
NONE
NONE
CANDLEWOOD SECURITIES, LLC
126042
NONE
NONE
CANDLEWOOD SECURITIES, LLC
126042
CANDLEWOOD SECURITIES LLC
126042
GLENN CRAIG POLLACK
3155575
NONE
NONE
CANDLEWOOD SECURITIES, LLC
126042
NONE
NONE
CANDLEWOOD SECURITIES LLC
126042
NONE
NONE
CANDLEWOOD SECURITIES, LLC
126042
ALAN D. GLATT
1587515
CANDLEWOOD SECURITIES, LLC
126042
CANDLEWOOD SECURITIES, LLC
126042
CANDLEWOOD SECURITIES, LLC
126042
NONE
NONE
CANDLEWOOD PARTNERS
126042
CANDLEWOOD SECURITIES, LLC
126042
ALAN D. GLATT
1587515
CANDLEWOOD SECURITIES, LLC
126042
DAVID W. RHUDY
1320286
CANDLEWOOD SECURITIES, LLC
126042
MELISSA D. GREENBERG
5587251
CANDLEWOOD SECURITIES, LLC
126042
ALAN DAVID GLATT
1587515
PROTOCOL CAPITAL MANAGEMENT LLC
290668
CANDLEWOOD SECURITIES, LLC
126042
NONE
NONE
CANDLEWOOD SECURITIES, LLC
126042
NONE
NONE
CANDLEWOOD SECURITIES, LLC
126042
NONE
NONE
CANDLEWOOD SECURITIES LLC
126042
CANDLEWOOD SECURITIES, LLC
126042
STEVEN JOSEPH LATKOVIC
5554842
CANDLEWOOD SECURITIES, LLC
126042
BOONE OPPORTUNITY LENDERS, LLC
NONE
CANDLEWOOD SECURITIES LLC
126042
CANDLEWOOD SECURITIES LLC
126042
CANDLEWOOD SECURITIES, LLC
126042
CANDLEWOOD SECURITIES, LLC
126042
NONE
NONE
CANDLEWOOD SECURITIES, LLC
126042
NONE
NONE
CANDLEWOOD SECURITIES, LLC
126042
NONE
NONE
CANDLEWOOD SECURITIES, LLC
126042
PROTOCOL CAPITAL MANAGEMENT LLC
NONE
CANDLEWOOD SECURITIES LLC
126042
NONE
NONE
CANDLEWOOD SECURITIES, LLC
126042
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D/A
$0.00
Yes
$0.00
No
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE A PERCENTAGE OF THE MANAGEMENT FEES AND/OR INCENTIVE ALLOCATIONS OF THE GENERAL PARTNER AND/OR THE INVESTMENT MANAGER.
D/A
$0.00
Yes
$0.00
No
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE A PERCENTAGE OF THE MANAGEMENT FEES AND/OR INCENTIVE ALLOCATIONS OF THE GENERAL PARTNER AND/OR THE INVESTMENT MANAGER.
D/A
$22,343,419.00
Yes
$0.00
No
INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.
D/A
$18,666,473.00
Yes
$0.00
No
INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.
D/A
$0.00
Yes
$0.00
No
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE A PERCENTAGE OF THE MANAGEMENT FEES AND/OR INCENTIVE ALLOCATIONS OF THE GENERAL PARTNER AND/OR THE INVESTMENT MANAGER.
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
$17,860,996.00
Yes
$0.00
No
INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.
D/A
$21,893,103.00
Yes
$0.00
No
INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.
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
No
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE A PERCENTAGE OF THE MANAGEMENT FEES AND/OR INCENTIVE ALLOCATIONS OF THE GENERAL PARTNER AND/OR THE INVESTMENT MANAGER.
D/A
$16,925,309.00
Yes
$0.00
No
INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.
D/A
$21,278,279.00
Yes
$0.00
No
INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.
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
No
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE A PERCENTAGE OF THE MANAGEMENT FEES AND/OR INCENTIVE ALLOCATIONS OF THE GENERAL PARTNER AND/OR THE INVESTMENT MANAGER.
D/A
$16,043,179.00
Yes
$0.00
No
INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.
D/A
$20,816,494.00
Yes
$0.00
No
INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.
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
$0.00
Yes
$0.00
No
THE PERSONS/FIRMS LISTED IN ITEM 12 RECEIVE A PERCENTAGE OF THE MANAGEMENT FEES AND/OR INCENTIVE ALLOCATIONS OF THE GENERAL PARTNER AND/OR THE INVESTMENT MANAGER.
D/A
$20,356,854.00
Yes
$0.00
No
INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.
D/A
$15,252,061.00
Yes
$0.00
No
INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.
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 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
$14,469,491.00
No
$0.00
No
INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.
D/A
$19,870,806.00
Yes
$0.00
No
INCLUDES SALES COMMISSIONS PAID TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D. RAYMOND JAMES + ASSOCIATES INC. BECAME SUCCESSOR TO DEUTSCHE BANK ALEX. BROWN INC. IN SEPTEMBER 2016.
D
$135,000.00
No
$0.00
No
$30,000 TO MCDONALD PARTNERS, LLC; $105,000 TO BOONE OPPORTUNITY LENDERS, LLC; WARRANT ISSUED TO BOONE OPPORTUNITY LENDERS, LLC TO PURCHASE EQUITY INTERESTS
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
$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
No
AMOUNTS PAYABLE WILL BE A PERCENTAGE OF THE CARRIED INTEREST PAYABLE TO THE GENERAL PARTNER.
D
$0.00
No
$0.00
No
THE FUND MAY ENTER INTO AGREEMENTS WITH ONE OR MORE PLACEMENT AGENTS PROVIDING FOR THE PAYMENT OF SALES COMMISSIONS.
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
$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
$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
$5,625.00
No
$0.00
No
THE BROKER IS ALSO ENTITLED TO 20% PERCENT OF THE PROFITS, IF ANY, EARNED IN THE FUTURE BY THE FUND?S GENERAL PARTNER ON THE AMOUNTS CONTRIBUTED BY THE INVESTORS PLACED BY THE BROKER.
D
$25,000.00
No
$0.00
No
LUMP SUM SALES COMMISSION FOR PROVIDING SERVICES PER AGREEMENT WITH ISSUER.
