Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NONE
NONE
HUDSON PARTNERS SECURITIES LLC
145425
HUDSON PARTNERS SECURITIES LLC
145425
EARL V. HEDIN
1976430
NONE
NONE
HUDSON PARTNERS SECURITIES LLC
145425
NONE
NONE
HUDSON PARTNERS SECURITIES LLC
145425
NONE
NONE
HUDSON PARTNERS SECURITIES LLC
145425
HUDSON PARTNERS SECURITIES LLC
145425
EARL HEDIN
1976430
NONE
NONE
HUDSON PARTNERS SECURITIES LLC
145425
NONE
NONE
HUDSON PARTNERS SECURITIES LLC
145425
NONE
NONE
HUDSON PARTNERS SECURITIES
145425
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2023-11-02
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENT LISTED IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
2023-07-24
D/A
$4,453,514.00
Yes
$393,144.00
Yes
2023-05-31
D/A
$2,644,436.00
Yes
$235,579.00
Yes
ALL PLACEMENT AGENT FEES ARE PAID BY THE ISSUER-S INVESTMENT MANAGER.
2022-08-02
D/A
$0.00
Yes
$0.00
Yes
2022-07-22
D/A
$4,271,753.00
Yes
$329,541.00
Yes
2022-05-31
D/A
$2,409,684.00
Yes
$171,095.00
Yes
ALL PLACEMENT AGENT FEES ARE PAID BY THE ISSUER-S INVESTMENT MANAGER.
2021-08-03
D/A
$0.00
Yes
$0.00
Yes
2021-07-23
D/A
$3,235,705.00
Yes
$195,926.00
Yes
2021-06-01
D/A
$1,131,338.00
Yes
$88,493.00
Yes
ALL PLACEMENT AGENT FEES ARE PAID BY THE ISSUER-S INVESTMENT MANAGER.
2020-08-31
D/A
$0.00
Yes
$0.00
Yes
2020-08-03
D/A
$0.00
Yes
$0.00
Yes
2020-07-24
D/A
$681,503.00
Yes
$69,940.00
Yes
ALL PLACEMENT AGENT FEES ARE PAID BY THE ISSUER-S INVESTMENT MANAGER.
2020-07-24
D/A
$1,114,889.00
Yes
$107,060.00
Yes
2020-04-17
D/A
$442,000.00
Yes
$0.00
No
2020-04-17
D/A
$261,000.00
Yes
$0.00
No
2019-08-02
D/A
$0.00
Yes
$0.00
Yes
2019-08-02
D/A
$0.00
Yes
$0.00
Yes
2019-07-25
D
$529,772.00
Yes
$83,700.00
Yes
ALL PLACEMENT AGENT FEES ARE PAID BY THE ISSUER-S INVESTMENT MANAGER.
2019-07-25
D
$328,061.00
Yes
$51,300.00
Yes
ALL PLACEMENT AGENT FEES ARE PAID BY THE ISSUER-S INVESTMENT MANAGER.
2019-04-18
D/A
$261,000.00
Yes
$0.00
No
2019-04-18
D/A
$442,000.00
Yes
$0.00
No
2018-08-02
D/A
$0.00
Yes
$0.00
Yes
2018-04-18
D/A
$442,000.00
Yes
$0.00
No
2018-04-18
D/A
$261,000.00
Yes
$0.00
No
2017-04-18
D/A
$261,000.00
Yes
$0.00
No
2017-04-18
D/A
$442,000.00
Yes
$0.00
No
2016-04-18
D/A
$261,000.00
Yes
$0.00
No
2016-04-18
D/A
$442,000.00
Yes
$0.00
No
2015-04-21
D/A
$190,000.00
No
$0.00
No
THE SALES COMMISSION FEES IN ITEM 15 REFLECTS 50,000 IN GBP AND 140,000 IN USD.
2015-04-16
D/A
$261,000.00
Yes
$0.00
No
2015-04-16
D/A
$442,000.00
Yes
$0.00
No
2014-09-18
D
$50,000.00
No
$0.00
No
THE SALES COMMISSION FEE IN ITEM 15 (50,000) IS PAID IN GBP.
2014-04-17
D/A
$442,000.00
Yes
$0.00
No
2014-04-17
D/A
$261,000.00
Yes
$0.00
No
2013-04-19
D
$100,000.00
Yes
$0.00
No
2013-04-16
D
$50,000.00
Yes
$0.00
No
2013-04-16
D
$345,000.00
No
$0.00
No
2012-05-23
D/A
$514,285.00
No
$0.00
No
AGREEMENT WITH HUDSON PARTNERS ENDED ON 1/31/11. IN THE UNITED STATES, CAPSTONE PARTNERS SELLS ONLY TO INSTITUTIONAL INVESTORS.
2011-07-01
D/A
$207,000.00
No
$0.00
No
2010-07-30
D
$763,543.00
Yes
$0.00
No
ESTIMATE (CONVERTED FROM EUROS TO DOLLARS USING 7/15/2010 EXCHANGE RATE) BASED ON PROVISIONS IN PLACEMENT AGENT CONTRACT RELATED TO PLACEMENT FEES ON FUNDS RAISED FROM L CAPITAL 3 INVESTORS.