Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

ALTERNATIVE WEALTH STRATEGIES, INC.
130933
SCOTT M. BRESKY
1427534
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
JEFFREY RACHLIN
823547
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
ANTONIO A. TADDEO
5110448
ALERNATIVE WEATH STRATEGIES, INC.
130933
PAUL L. WHITE II
4669396
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
ERIC PAUL WESCHKE
2486324
ALTERNATIVE WEALTH STRATEGIES
130933
ERIC P. WESCHKE
2486324
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
PAUL L. WHITE II
4669396
CONTE, PAUL
4803177
ALTERNATIVE WEALLTH STRATEGIES, INC.
130933
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
JEFFREY RACHLIN
823547
NONE
NONE
ALTERNATIVE WEALTH STRATEGIES
130933
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
JAMES GAUL
218833
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
STEVEN KLEIN
1940551
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
N/A
NONE
NONE
NONE
ALTERNATIVE WEALTH STRATEGIES, INC
130933
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
THOMAS FRANNICOLA
2681122
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
MARK W. KAPLOWITZ
824379
NONE
NONE
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
NONE
NONE
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
ANTONIO TADDEO
5110448
ALTERNATIVE WEALTH
130933
PAUL WHITE
4669396
ANTONIO TADDEO
5110448
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
STEVEN D. KLEIN
1940511
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
NONE
NONE
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
JEFFREY RACHLIN
823547
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
ROBERT THEMM
2886714
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
ALAN LICHTENSTEIN
1877017
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
JAMES GAUL
218833
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
JEFF RACHLIN
823547
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
JOHN KLETT
5307951
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
ERIC WESCHKE
2486324
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
LES KERN
1140180
NONE
NONE
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
NONE
NONE
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
N/A
NONE
NONE
NONE
ALTERNATIVE WEALTH STRATEGIES
130933
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
KEITH A. HERMAN
2322605
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
ANTONIO A. TADDEO
5110448
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
KEITH A. HERMAN
2322605
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
MORE THAN 5
NONE
NONE
NONE
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
ANTONIO A. TADDEO
5110448
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
KEITH HERMAN
2322605
CONTE, PAUL
4803177
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
JAMES C. GAUL
218833
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
ALTERNATIVE WEALTH STRATEGIES
130933
ANTONIO TADDEO
5110448
ALTERNATIVE WEALTH STRATEGIES
130933
JAMES REARDON
2309779
ALTERNATIVE WEALTH STRATEGIES
130933
JEFF RACHLIN
823547
ALTERNATIVE WEALTH STRATEGIES, INC
130933
JEFFREY RACHLIN
823547
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
NA
NONE
NONE
NONE
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
NONE
NONE
ALTERNATIVE WEALTH STRATEGIES, INC.
130933
People
Name
STEPHEN ROGERS HARWOOD
NA CYPRESS EQUIPMENT MANAGEMENT CORP V
KENNETH PARK
DANIEL RAEL
MICHEL D. SNEGG
AARON SNEGG
NORMAN VILLARINA
BERKELEY CAPITAL ADVISERS, LLC
DOUG WERTHEIMER
BERKELEY ADVISORS, LLC
CYPRESS EQUIPMENT MANAGEMENT CORP V NA
NA CYPRESS EQUIPMENT MANAGEMENT CORP IV
TODD F ETTER
HOLLIS M GREENLAW
BEN L WISSINK
CARA D OBERT
HILLARY HAGAN
LOUIS J. ROGERS
KURT BARTON
JOHN DIMEGLIO
BRIAN WHITNEY
DAVID TUCKFIELD
N/A ELIASON 1031 PROPERTIES CORPORATION
N/A ELIASON, INC.
DAVID J ELIASON
BRIAN E ELIASON
GLENN D HOLCOMBE
BRETT R KEENAN
B TODD MARNEY
JOSEPH CANDELLA
N/A BROOK HIGHLAND PLACE TRUST MANAGER LLC
N/A E1031-B FINANCE COMPANY LLC
CORPORATION RIDGEWOOD ENERGY
ROBERT E. SWANSON
ROBERT L. GOLD
KATHLEEN H. MCSHERRY
GREG TABOR
DANIEL V. GULINO
MIRNA VALDES
MATTHEW SWANSON
ADRIAN DOHERTY
JEFFREY M. KLEINER
IMS INVESTMENTS, LLC
ROBERT L. LERNER
JACK KENDRICK HEILBRON
KENNETH WAYNE ELSBERRY
LARRY GENE DUBOSE
SUMNER JAMES ROLLINGS
THOMAS EDWARD SCHWARTZ
BRUCE ATWATER STALLER
DAVID GENE BRUEN
GILBERT A PARTIDA
ALLAN C YOUNGBERG
ALAN S LUSTIGSON
MICHAEL F HERMAN
MEL I KATZ
RICHARD S LEDFORD
LAWRENCE COHEN
THOMAS WAGNER
DMITRY VILBAUM
ALEXANDRE AGAIAN
SERGEY SULGIN
ROMAN ROZENBERG
DANIEL C MULLAN
JOHN C FARMELO
SIMON J. MILDE
BRUCE D. BATKIN
DANIEL J. COOPERMAN
JAMES J. FLOOD
KENNETH LEHRER
MARK VANCE
LARRY HORNBROOK
DAYTON WHEELER
ARIANE COX
FRANKLIN FISHER
KATHRYN PARKS
SCOTT BRITTENHAM
DAVID PUCHI
CRAIG ZOELLNER
DOUGLAS ARNOLD
JOHN LESTER
NONE NONE TPCP FUND MANAGER, LLC
NONE NONE TRITON PACIFIC CAPITAL PARTNERS, LLC
CRAIG J. FAGGEN
IVAN NONE FAGGEN
MICHAEL L. CARROLL
NA WNC HOUSING TAX CREDITS MANAGER, LLC
NA WNC + ASSOCIATES, INC.
WILFRED N. COOPER, SR.
WILFRED N. COOPER, JR.
DAVID N. SHAFER
MICHAEL J. GABER
MELANIE WENK
KAY L. COOPER
JENNIFER E. COOPER
[RELATED PERSON IS AN ENTITY] FORD INVESTMENT GROUP, LLC
RANDY STORY
AMERIFUNDS DIVERSIFIED FUNDING, LLC AMERIFUNDS DIVERSIFIED FUNDING, LLC
STEPHEN J. ROSEME
WILLIAM HENRY ALLEN
ANTHONY W. THOMPSON
JACK R. MAURER
GREG GENOVESE
JOHANNA HOWARD
DARRYLL GOODMAN
REAL ESTATE EXCHANGE CORPORATION INLAND
EXCHANGE VENTURE, L.L.C. RR-HV
VENTURE, L.L.C. RR-HV 1031
NONE ALTEGRIS FUNDS
JON C SUNDT
ROBERT J AMEDEO
MATTHEW C OSBORNE
RICHARD G PFISTER
NONE ALTEGRIS PORTFOLIO MANAGEMENT, INC
M. GREGORY JACOBY
JAMES H., JR. PUGH
KYLE D. RIVA
A FLORIDA LLC EPI-BRIER CREEK LUXURY APARTMENTS, LLC
A FLORIDA CORPORATION COBALT CAPITAL, INC.
WAYLAN JOHNSON
CHAD CHRISTENSEN
GREGG CHRISTENSEN
ERIC MARLIN
JOE SIRAGUSA
DAN SHAEFFER
NICHOLAS S SCHORSCH
WILLIAM M KAHANE
MICHAEL A HAPPEL
PETER M BUDKO
BRIAN S BLOCK
EDWARD M WEIL
LESLIE D MICHELSON
WILLIAM G STANLEY
ROBERT H BURNS
NA NA CYPRESS EQUIPMENT MANAGEMENT CORP V
JOHN BRADFORD HANSON
USHER GP, LLC USHER GP, LLC
FORWARD MANAGEMENT, LLC FORWARD MANAGEMENT, LLC
DOUBLE GREEN PARTNERS LLC DOUBLE GREEN PARTNERS LLC
WILLIAM RANCE KING, JR.
NONE RANCE KING PROPERTIES, INC.
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2025-09-05
D/A
$707,008.00
Yes
$0.00
No
2023-10-20
D/A
$707,008.00
Yes
$0.00
No
2014-11-25
D/A
$176,200.00
Yes
$0.00
No
2013-11-27
D/A
$176,200.00
Yes
$0.00
No
2012-10-18
D/A
$176,200.00
Yes
$0.00
No
2012-08-08
D/A
$519,331.00
Yes
$0.00
Yes
ASSUMING OFFERING OF $50,000,000 IS ACHIEVED, BASED ON SALES COMMISSION OF 7%.
2012-01-10
D/A
$960,231.00
No
$0.00
No
2012-01-10
D/A
$655,222.00
No
$0.00
No
2011-12-30
D/A
$2,500,000.00
Yes
$0.00
No
2011-10-06
D/A
$212,325.00
No
$0.00
No
2011-10-05
D/A
$15,225.00
No
$0.00
No
2011-08-24
D/A
$16,000,000.00
Yes
$0.00
No
2011-06-01
D/A
$190,000.00
Yes
$0.00
Yes
2011-05-25
D/A
$168,300.00
Yes
$0.00
Yes
2011-05-19
D/A
$158,850.00
Yes
$0.00
Yes
2011-05-12
D/A
$250,000.00
Yes
$0.00
No
2011-04-12
D/A
$80,550.00
Yes
$0.00
Yes
2011-04-04
D/A
$71,550.00
Yes
$0.00
Yes
2011-03-29
D/A
$250,000.00
Yes
$0.00
No
2011-03-22
D/A
$60,300.00
Yes
$0.00
Yes
2011-03-15
D/A
$8,743,000.00
Yes
$0.00
No
2011-03-15
D/A
$8,743,000.00
Yes
$0.00
No
2011-03-10
D/A
$31,500.00
Yes
$0.00
Yes
2011-02-16
D/A
$1,630,688.00
Yes
$0.00
No
2011-02-02
D/A
$2,805,827.00
No
$0.00
No
2011-01-24
D/A
$1,743,025.00
No
$0.00
No
AMT. REFLECTS 7% SALES COMMISSION ON GROSS PROCEEDS ("GP") AND 1% REALLOWANCE ON COMMISSIONABLE SALES. EXCLUDES MARKETING/DILIGENCE EXPENSE OF 1% OF GP, ORG + OFFERING EXPENSE OF 1.5% OF GP + WHOLESALE FEE OF 2.0% PAYABLE TO REALTY CAPITAL SECURITIES, LLC
2011-01-07
D/A
$892,710.00
Yes
$0.00
Yes
2011-01-05
D/A
$289,750.00
Yes
$0.00
No
EST. BASED ON MAX OFFERING AMT. BROKER DEALERS RECEIVE COMMISSION OF UP TO 6% OF GROSS PROCEEDS. REALTY CAPITAL SECURITES, LLC, THE DEALER MANAGER, RECEIVES 1% FEE AND NON-ACCOUNTABLE MARKETING/DILIGENCE ALLOWANCE OF UP TO 1% THAT IT MAY RE-ALLOW.
2010-12-22
D/A
$2,555,000.00
Yes
$0.00
Yes
AMOUNT OF SALES COMMISSIONS IS CONTINGENT ON AMOUNT RAISED IN OFFERING.
2010-11-17
D/A
$1,050,000.00
Yes
$0.00
No
2010-11-16
D/A
$1,500,000.00
Yes
$0.00
No
2010-11-16
D/A
$454,207.00
Yes
$0.00
Yes
2010-11-12
D/A
$176,400.00
Yes
$0.00
Yes
2010-11-03
D/A
$2,828,429.00
No
$0.00
No
2010-10-27
D/A
$848,000.00
Yes
$0.00
No
ESTIMATE BASED ON OFFERING BEING FULLY SUBSCRIBED
2010-10-12
D/A
$800.00
No
$0.00
No
2010-10-08
D/A
$160,422.00
No
$0.00
No
2010-09-23
D/A
$6,000,000.00
Yes
$0.00
Yes
2010-08-13
D/A
$16,000,000.00
Yes
$0.00
No
2010-08-12
D/A
$2,000,000.00
Yes
$0.00
No
BASED ON MAXIMUM OFFERING PRICE
2010-08-03
D/A
$900,000.00
Yes
$0.00
No
2010-08-02
D/A
$6,000,000.00
Yes
$0.00
Yes
2010-07-30
D/A
$600,000.00
Yes
$0.00
No
2010-07-29
D/A
$2,756,000.00
Yes
$0.00
No
2010-07-21
D/A
$1,500,000.00
Yes
$0.00
No
2010-06-25
D
$707,008.00
No
$0.00
No
2010-06-22
D/A
$2,555,000.00
Yes
$0.00
Yes
AMOUNT OF SALES COMMISSIONS IS CONTINGENT ON AMOUNT RAISED IN OFFERING.
2010-06-14
D/A
$6,000,000.00
Yes
$0.00
Yes
2010-06-09
D/A
$250,000.00
Yes
$0.00
No
2010-06-04
D/A
$6,000,000.00
Yes
$0.00
Yes
2010-06-03
D/A
$2,500,000.00
Yes
$0.00
No
2010-05-03
D/A
$116,000.00
No
$0.00
No
2010-04-27
D/A
$100,000.00
Yes
$0.00
No
REFERS TO PLACEMENT AGENT FEES OF UP TO 10% COMMISSIONS. FEES MAY ALSO INCLUDE PURCHASE WARRANTS OF UP TO 5% OF THE AMOUNT OF SECURITIES SOLD.
2010-04-27
D
$2,555,000.00
Yes
$0.00
Yes
AMOUNT OF SALES COMMISSIONS IS CONTINGENT ON AMOUNT RAISED IN OFFERING.
2010-04-15
D/A
$250,000.00
Yes
$0.00
No
2010-04-02
D/A
$2,500,000.00
Yes
$0.00
No
2010-03-30
D/A
$2,000,000.00
Yes
$0.00
No
BASED ON MAXIMUM OFFERING PRICE
2010-03-29
D/A
$1,152,168.00
No
$0.00
No
THE STATED COMMISSIONS ARE FOR THE SECURITIES ALREADY SOLD. ADDITIONAL SALES WILL RAISE THE PAID COMMISSIONS PROPORTIONATELY.
2010-03-18
D/A
$6,000,000.00
Yes
$0.00
Yes
2010-03-17
D/A
$8,743,000.00
Yes
$0.00
No
2010-03-17
D/A
$8,743,000.00
Yes
$0.00
No
2010-03-03
D
$60,000.00
Yes
$0.00
No
$60,000 IS THE ESTIMATED SELLING COMMISSIONS FOR THE MINIMUM OFFERING AMOUNT OF $1,000,000 WHILE THE ESTIMATED SELLING COMMISSIONS FOR THE MAXIMUM OFFERING AMOUNT OF $75,000,000 IS ESTIMATED TO BE $4,500,000.
2010-03-03
D/A
$116,000.00
No
$0.00
No
2010-02-26
D/A
$2,500,000.00
Yes
$0.00
No
2010-02-10
D/A
$2,500,000.00
Yes
$0.00
No
2010-02-05
D/A
$50,000.00
Yes
$0.00
No
REFERS TO PLACEMENT AGENT FEES OF UP TO 10% COMMISSIONS. FEES MAY ALSO INCLUDE PURCHASE WARRANTS OF UP TO 5% OF THE AMOUNT OF SECURITIES SOLD.
2010-01-29
D/A
$1,630,688.00
Yes
$0.00
No
2010-01-29
D/A
$2,975,000.00
Yes
$0.00
No
2010-01-27
D/A
$1,630,688.00
Yes
$0.00
No
2010-01-15
D/A
$1,500,000.00
Yes
$0.00
No
2010-01-04
D/A
$1,630,688.00
Yes
$0.00
No
2009-12-30
D/A
$2,500,000.00
Yes
$0.00
No
2009-12-29
D/A
$1,630,688.00
Yes
$0.00
No
2009-12-14
D/A
$2,550,000.00
Yes
$0.00
No
2009-12-11
D/A
$1,630,688.00
Yes
$0.00
No
2009-12-02
D/A
$1,630,688.00
Yes
$0.00
No
2009-12-01
D/A
$6,000,000.00
Yes
$0.00
Yes
2009-11-23
D/A
$50,000.00
Yes
$0.00
No
REFERS TO PLACEMENT AGENT FEES OF UP TO 10% COMMISSIONS. FEES MAY ALSO INCLUDE PURCHASE WARRANTS OF UP TO 5% OF THE AMOUNT OF SECURITIES SOLD.
2009-11-20
D/A
$2,500,000.00
Yes
$0.00
No
2009-11-10
D/A
$2,500,000.00
Yes
$0.00
No
2009-11-10
D/A
$1,630,688.00
Yes
$0.00
No
2009-11-03
D/A
$1,630,688.00
Yes
$0.00
No
2009-10-28
D/A
$2,000,000.00
Yes
$0.00
No
BASED ON MAXIMUM OFFERING PRICE
2009-10-22
D
$69,500.00
Yes
$0.00
No
2009-10-19
D/A
$1,630,688.00
Yes
$0.00
No
2009-10-15
D/A
$2,250,000.00
Yes
$0.00
No
INCLUDES SALE COMMISSIONS, MARKETING AND DUE DILIGENCE EXPENSES AND WHOLESALING FEES.
2009-09-21
D/A
$1,630,688.00
Yes
$0.00
No
2009-09-11
D/A
$2,500,000.00
Yes
$0.00
No
2009-09-03
D/A
$1,500,000.00
Yes
$0.00
No
2009-08-25
D/A
$1,630,688.00
Yes
$0.00
No
2009-08-14
D/A
$2,500,000.00
Yes
$0.00
No
2009-08-13
D
$16,000,000.00
Yes
$0.00
No
2009-08-11
D/A
$1,630,688.00
Yes
$0.00
No
2009-08-04
D/A
$2,975,000.00
Yes
$0.00
No
2009-07-31
D/A
$1,630,688.00
Yes
$0.00
No
2009-07-21
D/A
$1,630,688.00
Yes
$0.00
No
2009-07-21
D
$10,500.00
No
$0.00
No
2009-07-21
D
$30,000.00
Yes
$0.00
No
2009-07-16
D/A
$2,500,000.00
Yes
$0.00
No
2009-06-12
D
$600,000.00
Yes
$0.00
No
2009-06-08
D/A
$250,000.00
Yes
$0.00
No
2009-05-28
D/A
$1,630,688.00
Yes
$0.00
No
2009-05-26
D/A
$1,500,000.00
Yes
$0.00
No
2009-05-15
D/A
$2,500,000.00
Yes
$0.00
No
2009-05-15
D
$2,000,000.00
Yes
$0.00
No
2009-05-06
D/A
$2,250,000.00
Yes
$0.00
No
INCLUDES SALE COMMISSIONS, MARKETING AND DUE DILIGENCE EXPENSES AND WHOLESALING FEES.
2009-04-21
D
$2,500,000.00
Yes
$0.00
No
2009-04-06
D/A
$16,000.00
No
$0.00
No
ADDITIONAL SALES COMMISSION TO BE PAID UPON FUTURE SALES
2009-02-09
D/A
$1,500,000.00
Yes
$0.00
No
2009-01-14
D
$2,975,000.00
No
$0.00
No