Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

FORUM ASSET MANAGEMENT LLC
131924
N/A
NONE
FORUM ASSET MANAGEMENT LLC
131924
N/A
NONE
FORUM ASSET MANAGEMENT LLC
131924
N/A
NONE
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2013-03-12
D/A
$3,112,687.00
No
$0.00
No
AMOUNT INCLUDES PAYMENT TO FORUM ASSET MANAGEMENT LLC OF $2,862,687.50 AND PAYMENT TO MERCURY CAPITAL ADVISORS OF $250,000 OVER THE LIFE OF THE FUND TO BE PAID BY THE GENERAL PARTNER.
2013-02-14
D
$625,000.00
No
$0.00
No
2013-01-07
D
$2,063,750.00
No
$0.00
No
AMOUNT INCLUDES PAYMENT TO FORUM ASSET MANAGEMENT LLC OF $1,813,750 AND PAYMENT TO MERCURY CAPITAL ADVISORS OF $250,000 OVER THE LIFE OF THE FUND TO BE PAID BY THE GENERAL PARTNER.
2010-07-23
D
$3,057,813.00
No
$0.00
No
PAYMENT TO FORUM ASSET MANAGEMENT LLC IS $2,945,313 AND PAYMENT TO MERCURY CAPITAL ADVISORS IS $112,500.