Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
NONE
NONE
BCW SECURITIES, LLC
144930
NONE
NONE
BCW SECURITIES, LLC
144930
ASCENT CAPITAL ADVISOR-S LIMITED (FOREIGN)
NONE
BCW SECURITIES LLC
144930
BCW SECURITIES LLC
144930
ASCENT CAPITAL ADVISORS LIMITED
NONE
NONE
NONE
BCW SECURITIES LLC
144930
BCW SECURITIES, LLC
144930
MARK BERNEGGER
4957208
NONE
NONE
BCW SECURITIES LLC
144930
MARKO ISSEVER
1297827
BCW SECURITIES LLC
144930
MARKO ISSEVER
1297827
BCW SECURITIES LLC
144930
BCW SECURITIES LLC
144930
NONE
NONE
NONE
NONE
BCW SECURITIES LLC
144930
NONE
NONE
BCW SECURITIES LLC
144930
BCW SECURITIES LLC
144930
MARK ANGELO BERNEGGER
4957208
BCW SECURITIES
144930
MARKO ISSEVER
1297827
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D/A
$0.00
No
$382,500.00
No
FINDERS- FEES INCLUDE PROCESSING AND ADMINISTRATIVE FEES PAID AS FOLLOWS: SEQUENCE FINANCIAL SPECIALISTS, LLC DBA INVESTAMERICA - $407,500; DALMORE GROUP LLC - $65,000; BCW SECURITIES $50,000
D/A
$0.00
No
$382,500.00
No
FINDERS- FEES INCLUDE PROCESSING AND ADMINISTRATIVE FEES PAID AS FOLLOWS: SEQUENCE FINANCIAL SPECIALISTS, LLC DBA INVESTAMERICA - $337,500; DALMORE GROUP LLC - $65,000; BCW SECURITIES $50,000
D
$0.00
No
$382,500.00
No
FINDERS- FEES INCLUDE PROCESSING AND ADMINISTRATIVE FEES PAID AS FOLLOWS: SEQUENCE FINANCIAL SPECIALISTS, LLC DBA INVESTAMERCIA - $267,500; DALMORE GROUP LLC - $65,000; BCW SECURITIES $50,000
D/A
$0.00
No
$80,000.00
Yes
PLACEMENT AGENT RECEIVES A "SUCCESS FEE" OF UP TO $80,000 PER INVESTOR. IN ADDITION TO THE ADMINISTRATIVE FEE, PLACEMENT AGENTS CAN ALSO RECEIVE A MAINTENANCE FEE EQUAL TO UP TO 3% OF THE AGGREGATE FUNDS INVESTED BY THE INVESTOR.
D/A
$0.00
No
$80,000.00
Yes
PLACEMENT AGENT RECEIVES A "SUCCESS FEE" OF UP TO $80,000 PER INVESTOR. IN ADDITION TO THE ADMINISTRATIVE FEE, PLACEMENT AGENTS CAN ALSO RECEIVE A MAINTENANCE FEE EQUAL TO UP TO 3% OF THE AGGREGATE FUNDS INVESTED BY THE INVESTOR.
D/A
$4,531,684.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER. AMOUNTS PAID WITH RESPECT TO NON-U.S. INVESTORS ARE INCLUDED IN THE TOTAL.
D/A
$976,017.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
D/A
$3,981,614.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER. AMOUNTS PAID WITH RESPECT TO NON-U.S. INVESTORS ARE INCLUDED IN THE TOTAL.
D/A
$4,998,277.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER. AMOUNTS PAID WITH RESPECT TO NON-U.S. INVESTORS ARE INCLUDED IN THE TOTAL.
D
$24,000.00
Yes
$0.00
No
APPROXIMATELY 3% PER YEAR AND ADMINISTRATIVE FEE OF
APPROXIMATELY $70,000
D
$24,000.00
Yes
$0.00
No
APPROXIMATELY 3% PER YEAR AND ADMINISTRATIVE FEE OF APPROXIMATELY $70,000
D/A
$55,000.00
No
$0.00
No
SALES COMMISSIONS REPRESENTS A $5,000 COMMISSION PER U.S. INVESTOR UNDER RULE 506(C).
D/A
$19,824.00
No
$0.00
No
THE PERSONS NAMED IN ITEM 12 HAVE AND WILL RECEIVE COMMISSIONS IN CONNECTION WITH THEIR INTRODUCING INVESTORS TO THE ISSUER. PALLADIUM CAPITAL GROUP, LLC IS NO LONGER A PLACEMENT AGENT FOR THE ISSUER.
D/A
$1,389,315.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER. AMOUNTS PAID WITH RESPECT TO NON-U.S. INVESTORS ARE INCLUDED IN THE TOTAL.
D/A
$3,509,754.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER. AMOUNTS PAID WITH RESPECT TO NON-U.S. INVESTORS ARE INCLUDED IN THE TOTAL.
D/A
$0.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
D/A
$3,831,010.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER. AMOUNTS PAID WITH RESPECT TO NON-U.S. INVESTORS ARE INCLUDED IN THE TOTAL.
D/A
$3,509,754.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER. AMOUNTS PAID WITH RESPECT TO NON-U.S. INVESTORS ARE INCLUDED IN THE TOTAL.
D/A
$1,389,315.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER. AMOUNTS PAID WITH RESPECT TO NON-U.S. INVESTORS ARE INCLUDED IN THE TOTAL.
D/A
$3,831,010.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER. AMOUNTS PAID WITH RESPECT TO NON-U.S. INVESTORS ARE INCLUDED IN THE TOTAL.
D/A
$0.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
D/A
$3,509,754.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER. AMOUNTS PAID WITH RESPECT TO NON-U.S. INVESTORS ARE INCLUDED IN THE TOTAL.
D/A
$1,389,315.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER. AMOUNTS PAID WITH RESPECT TO NON-U.S. INVESTORS ARE INCLUDED IN THE TOTAL.
D/A
$3,831,010.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER. AMOUNTS PAID WITH RESPECT TO NON-U.S. INVESTORS ARE INCLUDED IN THE TOTAL.
D/A
$0.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
D/A
$988,472.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER. AMOUNTS PAID WITH RESPECT TO NON-U.S. INVESTORS ARE INCLUDED IN THE TOTAL.
D/A
$3,615,501.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER. AMOUNTS PAID WITH RESPECT TO NON-U.S. INVESTORS ARE INCLUDED IN THE TOTAL.
D/A
$4,729,724.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER. AMOUNTS PAID WITH RESPECT TO NON-U.S. INVESTORS ARE INCLUDED IN THE TOTAL.
D/A
$3,087,910.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER. AMOUNTS PAID WITH RESPECT TO NON-U.S. INVESTORS ARE INCLUDED IN THE TOTAL.
D/A
$0.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENT LISTED IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND THE INCENTIVE ALLOCATION.
D/A
$2,000,000.00
Yes
$0.00
No
THE RECIPIENTS LISTED IN ITEM 12 WILL EARN SALES COMMISSIONS ON CERTAIN INVESTMENTS AT THE TIME SUCH INVESTMENTS CLOSE. TO DATE, NO SALES COMMISSION HAS BEEN EARNED OR PAID.
D/A
$350,000.00
Yes
$0.00
No
INCLUDES A PER INVESTOR PROCESSING FEE OF $1,600 BASED ON THE TOTAL OFFERING AMOUNT PLUS A $30,000 RETAINER FEE PAID TO THE PLACEMENT AGENT.
D/A
$1,389,315.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER. AMOUNTS PAID WITH RESPECT TO NON-U.S. INVESTORS ARE INCLUDED IN THE TOTAL.
D/A
$3,831,010.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER. AMOUNTS PAID WITH RESPECT TO NON-U.S. INVESTORS ARE INCLUDED IN THE TOTAL.
D/A
$877,372.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER. AMOUNTS PAID WITH RESPECT TO NON-U.S. INVESTORS ARE INCLUDED IN THE TOTAL.
D/A
$3,509,754.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER. AMOUNTS PAID WITH RESPECT TO NON-U.S. INVESTORS ARE INCLUDED IN THE TOTAL.
D/A
$673,356.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER. AMOUNTS PAID WITH RESPECT TO NON-U.S. INVESTORS ARE INCLUDED IN THE TOTAL.
D/A
$0.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER. AMOUNTS PAID WITH RESPECT TO NON-U.S. INVESTORS ARE INCLUDED IN THE TOTAL.
D/A
$194,571.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER. AMOUNTS PAID WITH RESPECT TO NON-U.S. INVESTORS ARE INCLUDED IN THE TOTAL.
D/A
$618,425.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER. AMOUNTS PAID WITH RESPECT TO NON-U.S. INVESTORS ARE INCLUDED IN THE TOTAL.
D/A
$0.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER. AMOUNTS PAID WITH RESPECT TO NON-U.S. INVESTORS ARE INCLUDED IN THE TOTAL.
D/A
$0.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
D/A
$5,921.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
D/A
$28,878.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
D/A
$28,878.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
D
$0.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
D/A
$0.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
D
$5,921.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
D/A
$0.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
D/A
$0.00
No
$0.00
No
SALES AGENT RECEIVES A PORTION OF THE MANAGEMENT FEE PAYABLE BY THE ISSUER TO THE INVESTMENT MANAGER.
