Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

BANC OF AMERICA SECURITIES LLC
26091
JOSEPH RAYMOND HERBERT
1456609
JOSEPH R. HERBERT
1456609
MERRILL LYNCH, PIERCE, FENNER + SMITH INCORPORATED
7691
JOSEPH R. HERBERT
1456609
MERILL LYNCH, PIERCE, FENNER + SMITH INCORPORATED
7691
MERRILL LYNCH, PIERCE, FENNER + SMITH INCORPORATED
7961
JOSEPH R. HERBERT
1456609
JOSEPH R. HERBERT
1456609
MERRILL LYNCH, PIERCE, FENNER + SMITH INCORPORATED
7691
MERRILL LYNCH, PIERCE, FENNER + SMITH INCORPORATED
7691
JOSEPH R. HERBERT
1456609
BOFA SECURITIES, INC.
283942
JOSEPH R. HERBERT
1456609
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2019-08-20
D
$98,000.00
Yes
$0.00
No
2018-12-24
D
$100,000.00
Yes
$0.00
No
2018-10-18
D
$65,000.00
Yes
$0.00
No
THIS IS THE MAXIMUM AMOUNT ALLOWABLE AND IS AN ESTIMATE OF THE ACTUAL COMMISSION TO BE PAID.
2018-08-03
D
$115,000.00
Yes
$0.00
No
2016-12-16
D
$85,000.00
Yes
$0.00
No
2016-08-17
D
$181,500.00
Yes
$0.00
No
2015-12-30
D
$80,000.00
Yes
$0.00
No
2015-10-19
D
$1,248,750.00
Yes
$0.00
No
2015-04-22
D
$450,000.00
Yes
$0.00
No
ANY PORTION OF THE ACQUISITION FEE (ESTIMATED TO BE $6,335,727) MAY BE ALLOCATED BY THE GENERAL PARTNER TO PAY SALES COMMISSIONS.
2014-12-31
D
$173,438.00
Yes
$0.00
No
2014-11-05
D
$750,000.00
Yes
$0.00
No
2010-04-30
D
$437,500.00
Yes
$0.00
No
INCLUDES DUE DILIGENCE EXPENSE REIMBURSEMENT