Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

ELK CAPITAL ADVISORS, LLC
134999
RANDALL WINTERS
NONE
NONE
NONE
E.L.K. CAPITAL ADVISORS, LLC
134999
NONE
NONE
E.L.K. CAPITAL ADVISORS, LLC
134999
RANDALL S. WINTERS
2508289
E.L.K. CAPITAL ADVISORS, LLC
134999
NONE
NONE
E.L.K. CAPITAL ADVISORS, LLC
134999
E.L.K. CAPITAL ADVISORS, LLC
134999
RANDALL S. WINTERS
2508289
NONE
NONE
E.L.K. CAPITAL ADVISORS, LLC
134999
NONE
NONE
E.L.K. CAPITAL ADVISORS, LLC
134999
NONE
NONE
E.L.K. CAPITAL ADVISORS, LLC
134999
E.L.K. CAPITAL ADVISORS, LLC
134999
RANDALL S. WINTERS
2508289
NONE
NONE
E.L.K. CAPITAL ADVISORS, LLC
134999
E.L.K. CAPITAL ADVISORS, LLC
134999
E.L.K. CAPITAL ADVISORS, LLC
134999
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2022-12-01
D/A
$75,000.00
Yes
$0.00
Yes
2022-05-10
D/A
$290,000.00
No
$0.00
No
2019-12-05
D
$9,500.00
Yes
$0.00
No
2017-12-28
D/A
$194,989.00
Yes
$0.00
No
2017-12-28
D/A
$149,945.00
Yes
$0.00
No
2016-10-12
D
$0.00
No
$0.00
No
2015-11-03
D
$0.00
No
$43,250.00
Yes
2015-09-22
D
$129,500.00
No
$0.00
No
2015-09-04
D/A
$0.00
No
$2,500.00
No
2014-10-16
D/A
$202,500.00
Yes
$0.00
No
2014-10-16
D/A
$607,500.00
Yes
$0.00
No
2014-05-29
D/A
$0.00
No
$0.00
No
E.L.K. CAPITAL ADVISORS, LLC ("ELK") RECEIVED A $50,000 NON-CONTINGENT RETAINER FOR ADVISORY FEES AND A WARRANT TO PURCHASE COMMON UNITS OF THE ISSUER REPRESENTING 2.5% OF THE FULLY DILUTED UNIT COUNT. NO SALES COMMISSIONS WERE PAID TO ELK.
2014-05-16
D/A
$0.00
No
$0.00
No
E.L.K. CAPITAL ADVISORS, LLC ("ELK") RECEIVED A $50,000 NON-CONTINGENT RETAINER FOR ADVISORY FEES AND A WARRANT TO PURCHASE COMMON UNITS OF THE ISSUER REPRESENTING 2.5% OF THE FULLY DILUTED UNIT COUNT. NO SALES COMMISSIONS WERE PAID TO ELK.
2014-04-24
D
$50,000.00
Yes
$0.00
No
$50,000 SALES COMMISSION IS A FIXED FEE TO E.L.K. CAPITAL ADVISORS, LLC ("ELK"). ELK ALSO RECEIVED A WARRANT TO PURCHASE COMMON UNITS OF ISSUER IN AN AMOUNT UP TO 3% OF FULLY DILUTED UNIT COUNT.
2013-12-23
D/A
$7,500.00
Yes
$0.00
No
2013-10-18
D/A
$202,500.00
Yes
$0.00
No
2013-10-18
D/A
$7,500.00
Yes
$0.00
No
2011-10-07
D
$160,000.00
Yes
$0.00
Yes
2009-06-19
D
$190,000.00
No
$0.00
No