Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NONE
NONE
DWM FINANCE, LLC
137513
NONE
NONE
DWM FINANCE, LLC
137513
NONE
NONE
DWM FINANCE LLC
137513
NONE
NONE
DWM FINANCE, LLC
137513
NONE
NONE
DWM FINANCE, LLC
137513
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2026-01-13
D
$0.00
No
$0.00
No
SALES COMMISSION PAID TO THE RECIPIENT LISTED IN ITEM 12 ABOVE IS SUBJECT TO FUTURE ADJUSTMENTS THAT CANNOT CURRENTLY BE CALCULATED.
2016-11-01
D
$304,000.00
Yes
$0.00
No
STRUCTURING FEE
2014-12-17
D
$192,000.00
Yes
$0.00
No
DWM ASSET MANAGEMENT LLC WILL PAY PLACEMENT FEES OF $12,000 TO JEFFREY TOLK AND $30,000 TO RAFAL KWIATKOWSKI. THE ISSUER WILL ALSO PAY A STRUCTURING AND PLACEMENT FEE TO DWM FINANCE LLC OF UP TO $150,000 BASED ON FINAL AVAILABLE CAPITAL COMMITMENTS.
2013-12-19
D
$192,000.00
Yes
$0.00
No
DWM ASSET MANAGEMENT LLC WILL PAY PLACEMENT FEES OF $12,000 TO JEFFREY TOLK AND $30,000 TO RAFAL KWIATKOWSKI. THE ISSUER WILL ALSO PAY A STRUCTURING AND PLACEMENT FEE TO DWM FINANCE LLC OF UP TO $150,000 BASED ON FINAL AVAILABLE CAPITAL COMMITMENTS.
2013-03-12
D/A
$0.00
No
$325,145.00
Yes
DWM FINANCE, LLC WILL RECEIVE A EURO 250,000 PLACEMENT FEE (OR APPROXIMATELY $325,145 BASED ON THE EURO/DOLLAR EXCHANGE RATE ON MARCH 12, 2013) FOR THE OFFERING IF AND WHEN THE TOTAL SALE AMOUNT OF THE OFFERING REACHES OR EXCEEDS EURO 30,000,000.
2012-03-13
D/A
$0.00
No
$327,925.00
Yes
DWM FINANCE, LLC WILL RECEIVE A EURO 250,000 PLACEMENT FEE (OR APPROXIMATELY $327,925 BASED ON THE EURO/DOLLAR EXCHANGE RATE ON MARCH 7, 2012) FOR THE OFFERING IF AND WHEN THE TOTAL SALE AMOUNT OF THE OFFERING REACHES OR EXCEEDS EURO 30,000,000.
2011-03-15
D/A
$0.00
No
$349,750.00
Yes
DWM FINANCE, LLC WILL RECEIVE A EURO 250,000 PLACEMENT FEE (OR APPROXIMATELY $349,750 BASED ON EURO/DOLLAR EXCHANGE RATE ON MARCH 14, 2011) FOR THE OFFERING IF AND WHEN THE TOTAL SALE AMOUNT OF THE OFFERING REACHES OR EXCEEDS EUROS 30,000,000.
2010-03-15
D
$0.00
No
$339,000.00
Yes
DWM FINANCE, LLC RECEIVES A EURO 250,000 PLACEMENT FEE (OR APPROXIMATELY $339,000 BASED ON EURO/DOLLAR EXCHANGE RATE ON FEBRUARY 25, 2010) FOR THE OFFERING IF THE TOTAL SALE AMOUNT OF THE OFFERING REACHES OR EXCEEDS EUROS 30,000,000.