Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NONE
NONE
GALT FINANCIAL GROUP, INC.
146976
NONE
NONE
GALT FINANCIAL GROUP
146976
NONE
NONE
GALT FINANCIAL GROUP INC.
146976
NONE
NONE
GALT FINANCIAL GROUP INC.
146976
NONE
NONE
GALT FINANCIAL GROUP, INC.
146976
NONE
NONE
GALT FINANCIAL GROUP
146976
GALT FINANCIAL GROUP, INC
146976
BENJAMIN HILL
2983275
NONE
NONE
GALT FINANCIAL GROUP, INC.
146976
NONE
NONE
GALT FINANCIAL GROUP
146976
GALT FINANCIAL GROUP, INC.
146976
BENJAMIN HILL
2983275
GALT FINANCIAL GROUP, INC.
146976
BENJAMIN HILL
2983275
BENJAMIN HILL
2983275
GALT FINANCIAL GROUP, INC.
146976
NONE
NONE
GALT FINANCIAL GROUP, INC.
146976
NONE
NONE
GALT FINANCIAL GROUP, INC.
146976
NONE
NONE
GALT FINANCIAL GROUP, INC.
146976
NONE
NONE
GALT FINANCIAL GROUP, INC.
146976
NONE
NONE
GREAT POINT CAPITAL LLC
146976
People
Name
SWI MANAGEMENT, LLC SWI MANAGEMENT, LLC
SHANE ALBERS
WILL MERIS
STEVEN DARAK
ANN MCCARTNEY
BRIAN PETERSON
TERRI GUSKE
PETER DERYCZ
RICHARD MCKILLIGAN
JAN PETERSON
MERRILL MCPEAK
SCOTT OGILVIE
GREGORY SUESS
CRAIG DIONNE
RUSSELL RICHERSON
SCOTT V. OGILVIE
BO JESPER HANSEN
SCOTT V OGILVIE
PETER GREBOW
NANCY JEAN BARNABEI
N/A INLAND PRIVATE CAPITAL CORPORATION
N/A COLORADO MULTIFAMILY PORTFOLIO III EXCHANGE, L.L.C
N/A COLORADO MULTIFAMILY PORTFOLIO III, L.L.C.
MITCHELL A SABSHON
KEITH D LAMPI
RAHUL SEHGAL
DANIEL L GOODWIN
CATHERINE L LYNCH
ROBERTA S MATLIN
ROBERT G PARKS
N/A DOWNTOWN NASHVILLE HOSPITALITY EXCHANGE L.L.C.
KEITH D. LAMPI
N/A DOWNTOWN NASHVILLE HOSPITALITY L.L.C.
N/A SELF-STORAGE PORTFOLIO VIII, L.L.C.
N/A SELF-STORAGE PORTFOLIO VIII EXCHANGE, L.L.C.
KEITH LAMPI
N/A NATIONAL MULTIFAMILY PORTFOLIO IV EXCHANGE, L.L.C.
N/A NATIONAL MULTIFAMILY PORTFOLIO IV, L.L.C.
MITCHELL L SABSHON
ROBERT D PARKS
JOSEPH E. BINDER
H. MICHAEL SCHWARTZ
KB EXCHANGE PROPERTIES, LLC
KINGSBARN REALTY CAPITAL, LLC
JEFF PORI
JEFF FARNSWORTH
CHARLES CLAWSON
STEVE PRESCOTT
RICHARD ARNITZ
BRAD WATT
KB MINNEAPOLIS ST, LLC
MICHAEL STUBBEN
DAVID FISHER
JOSHUA UNGERECHT
WARREN THOMAS
MATT MCGRANER
BRIAN MITTS
DANA SPRONG
RYAN MCGARRY
SCOTT KAVANAUGH
ART LAFFER
ED CONSTANTINO
CATHERINE WOOD
JAMES DONDERO
ARTHUR LAFFER
EDWARD CONSTANTINO
RANDY HAGEDORN
PAUL RICHARDS
DAVID WILMORE
CAROL SWAIN
N/A NEXPOINT REAL ESTATE ADVISORS IV, L.P.
MATTHEW GOETZ
N/A NSP IV PARENT MANAGER, LLC
N/A NEXPOINT STORAGE DST TRS, LLC
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2024-12-09
D/A
$2,000,000.00
Yes
$0.00
No
2024-12-09
D/A
$3,641,750.00
Yes
$0.00
No
2024-01-11
D/A
$6,155,109.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID.
2024-01-02
D/A
$6,155,109.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID.
2023-12-21
D/A
$10,000,000.00
Yes
$0.00
No
2023-11-28
D/A
$6,155,109.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID.
2023-11-08
D/A
$6,155,109.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID.
2023-10-17
D/A
$4,557,500.00
Yes
$0.00
Yes
2023-10-17
D/A
$5,802,500.00
Yes
$0.00
No
2023-10-16
D/A
$4,516,750.00
Yes
$0.00
No
2023-06-27
D/A
$10,000,000.00
Yes
$0.00
No
2023-03-08
D/A
$3,513,000.00
Yes
$0.00
No
2023-01-04
D/A
$3,105,375.00
Yes
$0.00
No
2022-12-07
D/A
$10,000,000.00
Yes
$0.00
No
2021-09-30
D/A
$85,000,000.00
Yes
$0.00
No
THIS ESTIMATE ASSUMES THE ENTIRE OFFERING IS SOLD.
2021-08-25
D/A
$85,000,000.00
Yes
$0.00
No
THIS ESTIMATE ASSUMES THE ENTIRE OFFERING IS SOLD.
2020-12-03
D/A
$85,000,000.00
Yes
$0.00
No
THIS ESTIMATE ASSUMES THE ENTIRE OFFERING IS SOLD.
2020-05-07
D/A
$4,047,669.00
No
$0.00
No
2020-04-24
D/A
$794,129.00
Yes
$0.00
No
ONLY CLASS A SHARES ARE SUBJECT TO COMMISSIONS.
2020-03-09
D/A
$4,047,669.00
No
$0.00
No
2020-02-24
D/A
$4,047,669.00
No
$0.00
No
2020-02-13
D/A
$4,047,669.00
No
$0.00
No
2020-01-21
D/A
$3,455,205.00
Yes
$0.00
No
2019-11-21
D/A
$4,858,991.00
Yes
$0.00
No
2019-11-12
D/A
$4,858,991.00
Yes
$0.00
No
2019-08-14
D/A
$12,296,094.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2019-07-24
D/A
$12,296,094.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2019-07-24
D/A
$12,296,094.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2019-07-12
D/A
$12,296,094.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2019-07-03
D/A
$12,296,094.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2019-06-21
D/A
$12,296,094.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2019-06-07
D/A
$12,296,094.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2019-05-28
D/A
$12,296,094.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2019-05-01
D/A
$12,296,094.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2019-04-16
D/A
$12,296,094.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2019-04-03
D/A
$12,296,094.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2019-03-20
D/A
$12,296,094.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2019-03-07
D/A
$12,296,094.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2019-02-21
D/A
$12,296,094.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2019-02-12
D/A
$12,296,094.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2019-01-29
D/A
$12,296,094.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2019-01-16
D/A
$12,296,094.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2019-01-16
D/A
$12,296,094.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2019-01-04
D/A
$12,296,094.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-12-21
D/A
$12,296,094.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-09-19
D/A
$3,552,000.00
Yes
$0.00
No
2018-08-30
D/A
$1,026,900.00
Yes
$0.00
No
THE SPONSOR MAY ENTER INTO AGREEMENTS WITH BROKER-DEALERS TO SELL INTERESTS, WHICH WOULD RECEIVE SELLING COMMISSIONS EQUAL TO 6% OF THE OFFERING PROCEEDS AND A NON-ACCOUNTABLE MARKETING AND DUE DILIGENCE ALLOWANCE EQUAL TO 1% OF THE OFFERING PROCEEDS.
2018-08-29
D/A
$3,552,000.00
Yes
$0.00
No
2018-07-25
D/A
$3,552,000.00
Yes
$0.00
No
2018-07-10
D/A
$7,218,424.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-07-05
D/A
$3,552,000.00
Yes
$0.00
No
2018-06-21
D/A
$1,026,900.00
Yes
$0.00
No
THE SPONSOR MAY ENTER INTO AGREEMENTS WITH BROKER-DEALERS TO SELL INTERESTS, WHICH WOULD RECEIVE SELLING COMMISSIONS EQUAL TO 6% OF THE OFFERING PROCEEDS AND A NON-ACCOUNTABLE MARKETING AND DUE DILIGENCE ALLOWANCE EQUAL TO 1% OF THE OFFERING PROCEEDS.
2018-06-05
D/A
$7,218,424.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-05-08
D/A
$7,218,424.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-05-08
D/A
$3,552,000.00
Yes
$0.00
No
2018-04-30
D/A
$3,552,000.00
Yes
$0.00
No
2018-04-17
D/A
$3,552,000.00
Yes
$0.00
No
2018-04-12
D/A
$7,218,424.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-04-09
D/A
$3,552,000.00
Yes
$0.00
No
2018-04-02
D/A
$3,552,000.00
Yes
$0.00
No
2018-03-30
D/A
$7,218,424.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-03-14
D/A
$7,218,424.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-03-01
D/A
$7,218,424.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-02-14
D/A
$7,218,424.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2013-09-10
D/A
$520,003.00
No
$0.00
No
*DOES NOT INCLUDE 282,668 PLACEMENT AGENT WARRANTS WITH EXERCISE PRICE OF $1.75 AND TERM OF FIVE YEARS. ADDITIONALLY, DOES NOT INCLUDE ADDITIONAL COMPENSATION TO PLACEMENT AGENTS UPON EXERCISE OF INVESTORS- WARRANTS.
2013-09-10
D/A
$500,003.00
No
$0.00
No
DOES NOT INCLUDE 266,668 PLACEMENT AGENT WARRANTS WITH EXERCISE PRICE OF $1.75 AND TERM OF FIVE YEARS. ADDITIONALLY, DOES NOT INCLUDE ADDITIONAL COMPENSATION TO PLACEMENT AGENTS UPON EXERCISE OF INVESTORS- WARRANTS.
2013-09-05
D
$500,003.00
No
$0.00
No
*DOES NOT INCLUDE 266,668 PLACEMENT AGENT WARRANTS WITH EXERCISE PRICE OF $1.75 AND TERM OF FIVE YEARS. ADDITIONALLY, DOES NOT INCLUDE ADDITIONAL COMPENSATION TO PLACEMENT AGENTS UPON EXERCISE OF INVESTORS- WARRANTS.
2013-04-05
D/A
$32,640.00
No
$0.00
No
AMOUNT OF SALES COMMISSIONS DOES NOT INCLUDE A WARRANT TO PURCHASE 18,410 SHARES OF COMMON STOCK AS PARTIAL PAYMENT TO PLACEMENT AGENT GALT FINANCIAL GROUP, INC.
2011-03-14
D/A
$10,003.00
No
$110,695.00
No
2011-03-04
D/A
$10,003.00
No
$110,695.00
No
2011-03-01
D
$317,639.00
Yes
$0.00
No
2011-02-15
D
$3,600.00
No
$110,695.00
No
IN ADDITIONAL TO CASH COMPENSATION, THE COMPANY ALSO ISSUED THE PLACEMENT AGENT AND FINDERS WARRANTS TO PURCHASE AN AGGREGATE OF 63,498 COMMON SHARES.
2010-05-13
D/A
$52,500,000.00
Yes
$0.00
No
SALES COMMISSIONS = 6%; MARKETING/DUE DILIGENCE FEE = 0.5%; SUPERVISORY FEE = 1%; AFTER MEMBERS RECEIVE RETURN OF CAPITAL + 20% IRR; BROKER DEALERS RECEIVE PRO RATA SHARE OF 5% OF NET EARNINGS OF ISSUER
2010-03-18
D/A
$52,500,000.00
Yes
$0.00
No
SALES COMMISSIONS = 6%; MARKETING/DUE DILIGENCE FEE = 0.5%; SUPERVISORY FEE = 1%; AFTER MEMBERS RECEIVE RETURN OF CAPITAL + 20% IRR; BROKER DEALERS RECEIVE PRO RATA SHARE OF 5% OF NET EARNINGS OF ISSUER
2009-10-05
D/A
$52,500,000.00
Yes
$0.00
No
SALES COMMISSIONS = 6%; MARKETING/DUE DILIGENCE FEE = 0.5%; SUPERVISORY FEE = 1%; AFTER MEMBERS RECEIVE RETURN OF CAPITAL + 20% IRR; BROKER DEALERS RECEIVE PRO RATA SHARE OF 5% OF NET EARNINGS OF ISSUER