Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

DEMPSEY LORD SMITH, LLC
141238
ROBERT MARANGHI
1427485
DEMPSEY LORD SMITH, LLC
141238
ROBERT JAMES MARANGHI
1427485
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2022-10-26
D/A
$15,000,000.00
Yes
$0.00
No
DEALER-MANAGER FEE OF 2%; SALES COMMISSION OF UP TO 7%; DUE DILIGENCE FEE OF 0.5%; MARKETING EXPENSE FEE OF 0.5%.
2021-04-22
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-04-16
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-04-08
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2019-01-07
D/A
$324,288.00
Yes
$0.00
Yes
2018-10-11
D/A
$770,000.00
Yes
$0.00
Yes
2018-01-03
D/A
$495,682.00
No
$0.00
No
2017-12-28
D/A
$1,100,000.00
Yes
$0.00
No