Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NONE
NONE
SAGENT ADVISORS, INC.
129919
NONE
NONE
SAGENT ADVISORS, LLC
129919
NONE
NONE
SAGENT ADVISORS, LLC
129919
SAGENT ADVISORS, LLC
129919
SNOWBRIDGE LLC
NONE
NONE
NONE
SAGENT ADVISORS, LLC
129919
SAGENT ADVISORS, LLC
129919
SAGENT ADVISORS, LLC
129919
NONE
NONE
SAGENT ADVISORS, LLC
129919
NONE
NONE
SAGENT ADVISORS, LLC
129919
NONE
NONE
DCS ADVISORY LLC
129919
NONE
NONE
DCS ADVISORY LLC
129919
NONE
NONE
DC ADVISORY
129919
NONE
NONE
DAIWA CORPORATE ADVISORY LLC
129919
NONE
NONE
DAIWA CORPORATE ADVISORY LLC
129919
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2021-08-26
D
$0.00
Yes
$500,000.00
No
2019-08-01
D
$0.00
No
$0.00
No
THE ISSUER WILL PAY TO THE PLACEMENT AGENT A CERTAIN PERCENTAGE OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES SOLD.
2019-06-26
D
$0.00
Yes
$0.00
Yes
THE ISSUER WILL PAY TO THE PLACEMENT AGENT (SEE ITEM 12) A CERTAIN PERCENTAGE OF THE AGGREGATE PRINCIPAL AMOUNT OF SECURITIES SOLD.
2018-12-28
D
$1,250,000.00
Yes
$0.00
No
2018-10-01
D
$0.00
No
$325,000.00
No
2017-09-08
D/A
$100,000.00
Yes
$0.00
Yes
CATHAY CAPITAL NORTH AMERICAN-SINO FUND (B), LP IS ONE OF TWO PARALLEL VEHICLES IN THIS OFFERING.
2017-09-08
D/A
$100,000.00
Yes
$0.00
Yes
CATHAY CAPITAL NORTH AMERICAN-SINO FUND (A), LP IS ONE OF TWO PARALLEL VEHICLES IN THIS OFFERING.
2017-05-17
D
$4,400,000.00
Yes
$0.00
No
THE ABOVE IS AN AGGREGATE AMOUNT TO BE PAID (WITH RESPECT TO THE ISSUER AND ITS PARALLEL FUNDS) BY AN AFFILIATE OF THE GENERAL PARTNER.
2017-05-17
D
$4,400,000.00
Yes
$0.00
No
THE ABOVE IS AN AGGREGATE AMOUNT TO BE PAID (WITH RESPECT TO THE ISSUER AND ITS PARALLEL FUNDS) BY AN AFFILIATE OF THE GENERAL PARTNER.
2017-05-17
D
$4,400,000.00
Yes
$0.00
No
THE ABOVE IS AN AGGREGATE AMOUNT TO BE PAID (WITH RESPECT TO THE ISSUER AND ITS PARALLEL FUNDS) BY AN AFFILIATE OF THE GENERAL PARTNER.
2017-05-17
D
$4,400,000.00
Yes
$0.00
No
THE ABOVE IS AN AGGREGATE AMOUNT TO BE PAID (WITH RESPECT TO THE ISSUER AND ITS PARALLEL FUNDS) BY AN AFFILIATE OF THE GENERAL PARTNER.
2017-04-27
D/A
$1,913,493.00
Yes
$0.00
Yes
THE TOTAL AMOUNT OF SALES COMMISSIONS PAID IN CONNECTION WITH THE OFFERING WILL BE DETERMINED AT THE FINAL CLOSING.
2016-09-09
D/A
$450,000.00
Yes
$0.00
Yes
CATHAY CAPITAL NORTH AMERICAN-SINO FUND (A), LP IS ONE OF TWO PARALLEL VEHICLES IN THIS OFFERING.
2016-09-09
D/A
$450,000.00
Yes
$0.00
Yes
CATHAY CAPITAL NORTH AMERICAN-SINO FUND (B), LP IS ONE OF TWO PARALLEL VEHICLES IN THIS OFFERING.
2016-07-20
D/A
$0.00
Yes
$0.00
Yes
THE TOTAL AMOUNT OF SALES COMMISSIONS PAID IN CONNECTION WITH THE OFFERING WILL BE DETERMINED AT THE FINAL CLOSING.
2016-07-18
D/A
$5,470,000.00
Yes
$0.00
No
2016-07-06
D/A
$0.00
Yes
$0.00
Yes
THE TOTAL AMOUNT OF SALES COMMISSIONS PAID IN CONNECTION WITH THE OFFERING WILL BE DETERMINED AT THE FINAL CLOSING.
2014-06-19
D/A
$0.00
Yes
$0.00
Yes
A COMMISSION MAY BE PAID AFTER THE FUND CLOSING BASED ON A PERCENTAGE OF THE SUBSCRIPTIONS OF CERTAIN OF THE ISSUER-S LIMITED PARTNERS.
2012-07-12
D
$1,225,000.00
No
$0.00
No
2012-06-06
D
$0.00
No
$400,000.00
No
2010-08-23
D
$1,200,000.00
No
$0.00
No