Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NONE
NONE
CINS, LLC
151730
CHARLES MOORE
1123831
CINS LLC
151730
IAN MACKENZIE
6093098
CINS, LLC
151730
WILLIAM K. DALEY
1238715
CINS, LLC
151730
CFA FINANCIAL LLC
151730
IAN R. MACKENZIE
6093098
CFA FINANCIAL LLC
151730
RONALD A. ROLIGHED
5313499
CFA FINANCIAL, LLC
151730
CFA FINANCIAL, LLC
151730
CHARLES MOORE
1123831
CFA FINANCIAL LLC
151730
CFA FINANCIAL, LLC
151730
CFA FINANCIAL, LLC
151730
NONE
NONE
CFA FINANCIAL LLC
151730
CHARLES MOORE
1123831
CFA FINANCIAL LLC
151730
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2018-02-28
D/A
$0.00
Yes
$0.00
Yes
THE PERSONS LISTED IN ITEM 12 ABOVE ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GP (OR ITS AFFILIATES) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
2017-04-13
D/A
$404,785.00
No
$0.00
No
2017-04-12
D/A
$0.00
No
$0.00
No
2017-04-04
D/A
$227,905.00
No
$0.00
No
2017-02-28
D/A
$0.00
Yes
$0.00
Yes
THE PERSONS LISTED IN ITEM 12 ABOVE ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GP (OR ITS AFFILIATES) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
2017-02-28
D/A
$0.00
Yes
$0.00
Yes
THE PERSONS LISTED IN ITEM 12 ABOVE ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GP (OR ITS AFFILIATES) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
2017-01-10
D/A
$399,348.00
No
$0.00
No
2016-08-01
D/A
$45,794.00
No
$0.00
No
2016-08-01
D/A
$4,864.00
No
$0.00
No
2016-06-16
D/A
$0.00
Yes
$0.00
Yes
THE PERSONS LISTED IN ITEM 12 ABOVE ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GP (OR ITS AFFILIATES) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
2016-06-16
D/A
$0.00
Yes
$0.00
Yes
THE PERSONS LISTED IN ITEM 12 ABOVE ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GP (OR ITS AFFILIATES) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
2016-05-05
D/A
$399,348.00
No
$0.00
No
2016-04-14
D/A
$238,023.00
No
$0.00
No
2016-04-14
D/A
$0.00
No
$0.00
No
2016-04-08
D/A
$2,285,833.00
No
$0.00
No
2015-12-22
D/A
$0.00
No
$0.00
No
2015-12-22
D/A
$68,090.00
No
$0.00
No
2015-07-29
D/A
$68,090.00
No
$0.00
No
2015-07-29
D/A
$0.00
No
$0.00
No
2015-06-05
D/A
$0.00
No
$0.00
No
2015-05-14
D/A
$505,565.00
No
$0.00
No
2015-05-08
D/A
$68,090.00
No
$0.00
No
2015-04-16
D/A
$0.00
No
$0.00
No
2015-04-09
D/A
$2,332,317.00
No
$0.00
No
2015-04-09
D/A
$173,979.00
No
$0.00
No
2015-04-09
D/A
$0.00
No
$0.00
No
2015-02-05
D/A
$0.00
Yes
$0.00
Yes
THE PERSONS LISTED IN ITEM 12 ABOVE ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GP (OR ITS AFFILIATES) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
2015-02-05
D/A
$0.00
Yes
$0.00
Yes
THE PERSONS LISTED IN ITEM 12 ABOVE ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GP (OR ITS AFFILIATES) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
2014-06-30
D/A
$15,196.00
No
$0.00
No
THE SALES COMMISSION REPORTED ARE THOSE COMMISSIONS PAID BY THE ISSUER FOR THE YEAR 2013.
2014-04-24
D/A
$361,062.00
No
$0.00
No
REPRESENTS THE TOTAL AMOUNT OF RETAINER PAYMENTS AND SUCCESS FEES PAID IN CONNECTION WITH THE OFFERING.
2014-04-09
D/A
$39,782.00
No
$0.00
No
2014-04-09
D/A
$1,283,013.00
No
$0.00
No
2014-04-09
D/A
$348,955.00
No
$0.00
No