Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
MERCURY CAPITAL ADVISORS, LLP
152338
NIGHTHAWK PARTNERS INC
44134
MERCURY CAPITAL ADVISORS, LLC
152338
N/A
NONE
MERCURY CAPITAL ADVISORS, LLC
152338
MERCURY CAPITAL ADVISORS, LLP
NONE
NONE
NONE
MERCURY CAPITAL ADVISORS, LLC
152338
NONE
NONE
MERCURY CAPITAL ADVISORS
152338
NONE
NONE
MERCURY CAPITAL ADVISORS, LLP
152338
MERCURY CAPITAL ADVISORS, LLC
152338
MERCURY CAPITAL ADVISORS, LLC
152338
NONE
NONE
MERCURY CAPITAL ADVISORS, LLC
152338
NONE
NONE
MERCURY CAPITAL ADVISORS, LLC
152338
MERCURY CAPITAL ADVISORS, LLC
152338
N/A
NONE
MERCURY CAPITAL ADVISORS LLC
152338
APPIAN NATURAL RESOURCES FUND LP
NONE
MERCURY CAPITAL ADVISORS LLC
152338
APPIAN NATURAL RESOURCES (UST) FUND LP
NONE
NONE
NONE
MERCURY CAPITAL ADVISORS LLC
152338
NONE
NONE
MERCURY CAPITAL ADVISORS, LLC
152338
MERCURY CAPITAL ADVISORS, LLC
152338
MERCURY CAPITAL ADVISORS, LLC
152338
NONE
NONE
MERCURY CAPITAL ADVISORS, LLC
152338
MERCURY CAPITAL ADVISORS
152338
NOT APPLICABLE
NONE
MERCURY CAPITAL ADVISORS, LLC
152338
MERCURY CAPITAL ADVISORS, LLC
152338
NONE
NONE
MERCURY CAPITAL ADVISORS, LLC
152338
MERCURY CAPITAL ADVISORS, LLC
152338
NOT APPLICABLE
NONE
MERCURY CAPITAL ADVISORS, LLC
152338
MERCURY CAPITAL ADVISORS, LLC
152338
NONE
NONE
MERCURY CAPITAL ADVISORS, LLC
152338
NONE
NONE
MERCURY CAPITAL ADVISORS, LLC
152338
NONE
NONE
MERCURY CAPITAL ADVISORS, LLC
152338
MERCURY CAPITAL ADVISORS LLC
152338
MERCURY CAPITAL ADVISORS LLC
NONE
NONE
NONE
MURCURY CAPITAL ADVISORS, LLC
152338
NONE
NONE
MERCURY CAPITAL ADVISORS, L.L.C.
152338
NONE
NONE
MERCURY CAPITAL ADVISORS, LLC
152338
NONE
NONE
MERCURY CAPITAL ADVISORS
152338
MERCURY CAPITAL ADVISORS, LLC
152338
NONE
NONE
NONE
NONE
MERCURY CAPITAL ADVISORS
152338
MERCURY CAPITAL ADVISORS, LLC
152338
N/A
NONE
MERCURY CAPITAL ADVISORS, LLC
152338
NONE
NONE
NICHOLAS J. SAVASTA
4851522
MERCURY CAPITAL ADVISORS
152338
MERCURY CAPITAL ADVISORS, LLC
152338
NONE
NONE
MERCURY CAPITAL ADVISORS LLC
152338
MERCURY CAPITAL ADVISORS LLC
152338
NONE
NONE
MERCURY CAPITAL ADVISORS LLC
152338
MERCURY CAPITAL ADVISORS, LLC
152338
MERCURY CAPITAL ADVISORS, LLC
152338
MERCURY CAPITAL ADVISORS, LLC
152338
MERCURY CAPITAL ADVISORS, LLC
152338
MERCURY CAPITAL ADVISORS, LLC
152338
MERCURY CAPITAL ADVISORS, LLC
152338
NONE
NONE
MERCURY CAPITAL ADVISORS, LLC
152338
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D/A
$0.00
Yes
$0.00
Yes
ITEM 12 RECIPIENTS PD AMOUNT EQUAL TO PERCENTAGE OF MGMT FEE PD TO INVESTMENT MGR (OR AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MGMT +/OR INCENTIVE ALLOCATION. YOUNG AMERICA, MISCHLER + MERCURY AGMTS TERMINATED AND NO LONGER OFFER SALES FOR ISSUER.
D/A
$0.00
Yes
$0.00
Yes
ITEM 12 RECIPIENTS PD AMOUNT EQUAL TO PERCENTAGE OF MGMT FEE PD TO INVESTMENT MGR (OR AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MGMT +/OR INCENTIVE ALLOCATION. YOUNG AMERICA, MISCHLER + MERCURY AGMTS TERMINATED AND NO LONGER OFFER SALES FOR ISSUER.
D/A
$161,717.00
Yes
$0.00
Yes
THE SALES COMMISSIONS AND FINDERS FEES INCLUDE AMOUNTS PAID WITH RESPECT TO PC XI. TOTAL AMOUNT TO BE PAID BASED ON A PERCENTAGE OF CAPITAL RAISED.
D/A
$161,717.00
Yes
$0.00
Yes
THE SALES COMMISSIONS AND FINDERS FEES INCLUDE AMOUNTS PAID WITH RESPECT TO THE ISSUER-S "FEEDER" FUNDS. TOTAL AMOUNT TO BE PAID BASED ON A PERCENTAGE OF CAPITAL RAISED.
D/A
$0.00
Yes
$0.00
Yes
INVESTORS INTRODUCED TO ISSUER BY RBC WILL PAY RBC A QUARTERLY FEE INDIRECTLY THROUGH ISSUER AND ALL OTHER PLACEMENT AGENT FEES TO BE PAID BASED UPON A FEE SCHEDULE. SUCH FEES ARE OFFSET DOLLAR-FOR-DOLLAR AGAINST THE MANAGEMENT FEES BORNE BY THE ISSUER.
D/A
$0.00
Yes
$0.00
Yes
INVESTORS INTRODUCED TO ISSUER BY RBC WILL PAY RBC A QUARTERLY FEE INDIRECTLY THROUGH ISSUER AND ALL OTHER PLACEMENT AGENT FEES TO BE PAID BASED UPON A FEE SCHEDULE. SUCH FEES ARE OFFSET DOLLAR-FOR-DOLLAR AGAINST THE MANAGEMENT FEES BORNE BY THE ISSUER.
D/A
$0.00
Yes
$0.00
Yes
ITEM 12 RECIPIENTS PD AMOUNT EQUAL TO PERCENTAGE OF MGMT FEE PD TO INVESTMENT MGR (OR AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MGMT +/OR INCENTIVE ALLOCATION. YOUNG AMERICA, MISCHLER + MERCURY AGMTS TERMINATED AND NO LONGER OFFER SALES FOR ISSUER.
D/A
$0.00
Yes
$0.00
Yes
ITEM 12 RECIPIENTS PD AMOUNT EQUAL TO PERCENTAGE OF MGMT FEE PD TO INVESTMENT MGR (OR AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MGMT +/OR INCENTIVE ALLOCATION. YOUNG AMERICA, MISCHLER + MERCURY AGMTS TERMINATED AND NO LONGER OFFER SALES FOR ISSUER.
D/A
$0.00
Yes
$0.00
Yes
SUCH FEES, IF ANY, WILL ONLY BE PAID UPON THE SALE OF INTERESTS TO CERTAIN INVESTORS, AND SUCH AMOUNTS WILL NOT BE FINALIZED UNTIL THE FINAL CLOSING OF THE OFFERING.
D/A
$0.00
Yes
$0.00
Yes
SUCH FEES, IF ANY, WILL ONLY BE PAID UPON THE SALE OF INTERESTS TO CERTAIN INVESTORS, AND SUCH AMOUNTS WILL NOT BE FINALIZED UNTIL THE FINAL CLOSING OF THE OFFERING.
D/A
$0.00
Yes
$0.00
Yes
ITEM 12 RECIPIENTS PD AMOUNT EQUAL TO PERCENTAGE OF MGMT FEE PD TO INVESTMENT MGR (OR AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MGMT +/OR INCENTIVE ALLOCATION. YOUNG AMERICA, MISCHLER + MERCURY AGMTS TERMINATED AND NO LONGER OFFER SALES FOR ISSUER.
D/A
$0.00
Yes
$0.00
Yes
ITEM 12 RECIPIENTS PD AMOUNT EQUAL TO PERCENTAGE OF MGMT FEE PD TO INVESTMENT MGR (OR AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MGMT +/OR INCENTIVE ALLOCATION. YOUNG AMERICA, MISCHLER + MERCURY AGMTS TERMINATED AND NO LONGER OFFER SALES FOR ISSUER.
D/A
$16,500,000.00
Yes
$0.00
No
A PORTION OF THE ESTIMATED SALES COMMISSIONS INCLUDE SALES BY PARALLEL VEHICLES (AS DEFINED IN THE AMENDED AND RESTATED LIMITED PARTNERSHIP AGREEMENT OF THE ISSUER).
D/A
$16,500,000.00
Yes
$0.00
No
A PORTION OF THE ESTIMATED SALES COMMISSIONS INCLUDE SALES BY PARALLEL VEHICLES (AS DEFINED IN THE AMENDED AND RESTATED LIMITED PARTNERSHIP AGREEMENT OF THE ISSUER).
D/A
$16,500,000.00
Yes
$0.00
No
A PORTION OF THE ESTIMATED SALES COMMISSIONS INCLUDE SALES BY PARALLEL VEHICLES (AS DEFINED IN THE AMENDED AND RESTATED LIMITED PARTNERSHIP AGREEMENT OF THE ISSUER).
D/A
$16,500,000.00
Yes
$0.00
No
A PORTION OF THE ESTIMATED SALES COMMISSIONS INCLUDE SALES BY PARALLEL VEHICLES (AS DEFINED IN THE AMENDED AND RESTATED LIMITED PARTNERSHIP AGREEMENT OF THE ISSUER).
D/A
$0.00
Yes
$0.00
Yes
ITEM 12 RECIPIENTS PD AMOUNT EQUAL TO PERCENTAGE OF MGMT FEE PD TO INVESTMENT MGR (OR AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MGMT +/OR INCENTIVE ALLOCATION. YOUNG AMERICA, MISCHLER + MERCURY AGMTS TERMINATED AND NO LONGER OFFER SALES FOR ISSUER.
D/A
$0.00
Yes
$0.00
Yes
ITEM 12 RECIPIENTS PD AMOUNT EQUAL TO PERCENTAGE OF MGMT FEE PD TO INVESTMENT MGR (OR AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MGMT +/OR INCENTIVE ALLOCATION. YOUNG AMERICA, MISCHLER + MERCURY AGMTS TERMINATED AND NO LONGER OFFER SALES FOR ISSUER.
D/A
$160,000.00
No
$0.00
No
THIS AGGREGATE AMOUNT IS PAID TO THE RECIPIENTS BASED ON CAPITAL COMMITTED BY CERTAIN INVESTORS TO THE ISSUER.
D
$160,000.00
No
$0.00
No
THIS AGGREGATE AMOUNT IS PAID TO THE RECIPIENTS BASED ON CAPITAL COMMITTED BY CERTAIN INVESTORS TO THE ISSUERS.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENT[S] 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/OR THE INCENTIVE ALLOCATION.
D/A
$16,500,000.00
Yes
$0.00
No
A PORTION OF THE ESTIMATED SALES COMMISSIONS INCLUDE SALES BY PARALLEL VEHICLES (AS DEFINED IN THE AMENDED AND RESTATED LIMITED PARTNERSHIP AGREEMENT OF THE ISSUER).
D/A
$16,500,000.00
Yes
$0.00
No
A PORTION OF THE ESTIMATED SALES COMMISSIONS INCLUDE SALES BY PARALLEL VEHICLES (AS DEFINED IN THE AMENDED AND RESTATED LIMITED PARTNERSHIP AGREEMENT OF THE ISSUER).
D/A
$16,500,000.00
Yes
$0.00
No
A PORTION OF THE ESTIMATED SALES COMMISSIONS INCLUDE SALES BY PARALLEL VEHICLES (AS DEFINED IN THE AMENDED AND RESTATED LIMITED PARTNERSHIP AGREEMENT OF THE ISSUER).
D/A
$16,500,000.00
Yes
$0.00
No
A PORTION OF THE ESTIMATED SALES COMMISSIONS INCLUDE SALES BY PARALLEL VEHICLES (AS DEFINED IN THE AMENDED AND RESTATED LIMITED PARTNERSHIP AGREEMENT OF THE ISSUER).
D/A
$1,745,000.00
No
$0.00
No
THIS AGGREGATE AMOUNT IS PAID TO THE RECIPIENTS BASED ON CAPITAL COMMITTED BY CERTAIN INVESTORS TO THE ISSUERS.
D/A
$0.00
Yes
$0.00
Yes
ITEM 12 RECIPIENTS PD AMOUNT EQUAL TO PERCENTAGE OF MGMT FEE PD TO INVESTMENT MGR (OR AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MGMT +/OR INCENTIVE ALLOCATION. YOUNG AMERICA, MISCHLER + MERCURY AGMTS TERMINATED AND NO LONGER OFFER SALES FOR ISSUER.
D/A
$0.00
Yes
$0.00
Yes
ITEM 12 RECIPIENTS PD AMOUNT EQUAL TO PERCENTAGE OF MGMT FEE PD TO INVESTMENT MGR (OR AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MGMT +/OR INCENTIVE ALLOCATION. YOUNG AMERICA, MISCHLER + MERCURY AGMTS TERMINATED AND NO LONGER OFFER SALES FOR ISSUER.
D
$0.00
Yes
$0.00
No
THE PERSONS NAMED IN ITEM 12 WILL RECEIVE A COMMISSION BASED ON A PERCENTAGE OF THE SALES FROM THE INVESTORS THAT THEY HAVE INTRODUCED TO THE ISSUER. SUCH AMOUNTS CAN NOT BE DETERMINED AT THIS TIME.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENT[S] 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/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
No
$4,300,899.00
Yes
A PLACEMENT AGENT LISTED IN ITEM 12 IS COMPENSATED BASED ON A PERCENTAGE OF THE CAPITAL COMMITTED BY CERTAIN SOLICITED INVESTORS.
D/A
$0.00
No
$1,056,839.00
Yes
A PLACEMENT AGENT LISTED IN ITEM 12 IS COMPENSATED BASED ON PERCENTAGE OF THE CAPITAL COMMITTED BY CERTAIN SOLICITED INVESTORS
D/A
$0.00
Yes
$0.00
Yes
PERSON NAMED IN ITEM 12 WILL RECEIVE COMMISSIONS FOR ALL INVESTORS THAT SUCH PERSONS INTRODUCE TO THE ISSUER EQUAL TO AN AGREED PERCENTAGE OF THE RELEVANT COMMITMENT TO BE CALCULATED AFTER THE OFFERING.
D/A
$0.00
Yes
$0.00
Yes
PERSON NAMED IN ITEM 12 WILL RECEIVE COMMISSIONS FOR ALL INVESTORS THAT SUCH PERSONS INTRODUCE TO THE ISSUER EQUAL TO AN AGREED PERCENTAGE OF THE RELEVANT COMMITMENT TO BE CALCULATED AFTER THE OFFERING.
D
$0.00
Yes
$0.00
Yes
PERSON NAMED IN ITEM 12 WILL RECEIVE COMMISSIONS FOR ALL INVESTORS THAT SUCH PERSONS INTRODUCE TO THE ISSUER EQUAL TO AN AGREED PERCENTAGE OF THE RELEVANT COMMITMENT TO BE CALCULATED AFTER THE OFFERING.
D/A
$0.00
Yes
$0.00
Yes
ITEM 12 RECIPIENTS ARE PD AMOUNT EQUAL TO PERCENTAGE OF MGMT FEE PD TO INVESTMENT MGR (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MGMT AND/OR INCENTIVE ALLOCATION. YOUNG AMERICA CAPITAL AGMT ENDED IN 2018 AND NO LONGER OFFER SALES FOR ISSUER.
D/A
$0.00
Yes
$0.00
Yes
ITEM 12 RECIPIENTS ARE PD AMOUNT EQUAL TO PERCENTAGE OF MGMT FEE PD TO INVESTMENT MGR (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MGMT AND/OR INCENTIVE ALLOCATION. YOUNG AMERICA CAPITAL AGMT ENDED IN 2018 AND NO LONGER OFFER SALES FOR ISSUER.
D/A
$1,000,000.00
Yes
$0.00
Yes
REFLECTS AN ESTIMATE OF AMOUNTS PAID TO DATE. PLACEMENT AGENT FEES TO BE PAID BASED UPON A FEE SCHEDULE. SUCH FEES ARE OFFSET AGAINST THE MANAGEMENT FEES PAYABLE BY THE ISSUER.
D/A
$1,000,000.00
Yes
$0.00
Yes
REFLECTS AN ESTIMATE OF AMOUNTS PAID TO DATE. PLACEMENT AGENT FEES TO BE PAID BASED UPON A FEE SCHEDULE. SUCH FEES ARE OFFSET AGAINST THE MANAGEMENT FEES PAYABLE BY THE ISSUER.
D/A
$1,000,000.00
Yes
$0.00
Yes
REFLECTS AN ESTIMATE OF AMOUNTS PAID TO DATE. PLACEMENT AGENT FEES TO BE PAID BASED UPON A FEE SCHEDULE. SUCH FEES ARE OFFSET AGAINST THE MANAGEMENT FEES PAYABLE BY THE ISSUER.
D
$0.00
Yes
$0.00
Yes
PERSONS NAMED IN ITEM 12 WILL RECEIVE COMMISSIONS FOR ALL INVESTORS THAT SUCH PERSONS INTRODUCE TO THE ISSUER EQUAL TO AN AGREED PERCENTAGE OF THE RELEVANT COMMITMENT, WITH ADDITIONAL AMOUNTS PAYABLE IN THE INVESTMENT MANAGER-S DISCRETION.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENT[S] 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/OR THE INCENTIVE ALLOCATION.
D
$0.00
Yes
$0.00
Yes
PERSONS NAMED IN ITEM 12 WILL RECEIVE COMMISSIONS FOR ALL INVESTORS THAT SUCH PERSONS INTRODUCE TO THE ISSUER EQUAL TO AN AGREED PERCENTAGE OF THE RELEVANT COMMITMENT, WITH ADDITIONAL AMOUNTS PAYABLE IN THE INVESTMENT MANAGER-S DISCRETION.
D
$0.00
No
$1,283,750.00
Yes
A PLACEMENT AGENT LISTED IN ITEM 12 IS COMPENSATED BASED ON PERCENTAGE OF THE CAPITAL COMMITTED BY SOLICITED INVESTORS
D
$0.00
No
$534,750.00
Yes
A PLACEMENT AGENT LISTED IN ITEM 12 IS COMPENSATED BASED ON PERCENTAGE OF THE CAPITAL COMMITTED BY SOLICITED INVESTORS
D
$0.00
No
$4,626,250,000.00
Yes
A PLACEMENT AGENT LISTED IN ITEM 12 IS COMPENSATED BASED ON PERCENTAGE OF THE CAPITAL COMMITTED BY SOLICITED INVESTORS.
D/A
$530,000.00
No
$0.00
No
THIS AGGREGATE AMOUNT WILL BE PAID TO THE RECIPIENTS BASED ON CAPITAL COMMITTED BY CERTAIN INVESTORS TO THE ISSUER.
D/A
$0.00
Yes
$0.00
Yes
SUCH FEES, IF ANY, WILL ONLY BE PAID UPON THE SALE OF INTERESTS TO CERTAIN INVESTORS AND SUCH AMOUNTS WILL NOT BE FINALIZED UNTIL THE FINAL CLOSING OF THE OFFERING.
D/A
$0.00
Yes
$0.00
Yes
ITEM 12 RECIPIENTS ARE PD AMOUNT EQUAL TO PERCENTAGE OF MGMT FEE PD TO INVESTMENT MGR (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MGMT AND/OR INCENTIVE ALLOCATION. YOUNG AMERICA CAPITAL AGMT ENDED IN 2018 AND NO LONGER OFFER SALES FOR ISSUER.
D/A
$0.00
Yes
$0.00
Yes
ITEM 12 RECIPIENTS ARE PD AMOUNT EQUAL TO PERCENTAGE OF MGMT FEE PD TO INVESTMENT MGR (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MGMT AND/OR INCENTIVE ALLOCATION. YOUNG AMERICA CAPITAL AGMT ENDED IN 2018 AND NO LONGER OFFER SALES FOR ISSUER.
D/A
$666,600.00
Yes
$0.00
No
THIS AGGREGATE AMOUNT IS PAID TO THE RECIPIENTS BASED ON CAPITAL COMMITTED BY CERTAIN INVESTORS TO THE ISSUERS.
D/A
$666,600.00
Yes
$0.00
No
THIS AGGREGATE AMOUNT IS PAID TO THE RECIPIENTS BASED ON CAPITAL COMMITTED BY CERTAIN INVESTORS TO THE ISSUERS.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENT[S] 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/OR THE INCENTIVE ALLOCATION.
D/A
$9,700,000.00
Yes
$0.00
No
BASED ON A PERCENTAGE OF COMMITMENTS RELATING TO A THEORETICAL AMOUNT OF SECURITIES SOLD BY THE PLACEMENT AGENTS LISTED IN ITEM 12.
D/A
$9,700,000.00
Yes
$0.00
No
BASED ON A PERCENTAGE OF COMMITMENTS RELATING TO A THEORETICAL AMOUNT OF SECURITIES SOLD BY THE PLACEMENT AGENTS LISTED IN ITEM 12.
D
$0.00
Yes
$0.00
Yes
SUCH FEES, IF ANY, WILL ONLY BE PAID UPON THE SALE OF INTERESTS TO CERTAIN INVESTORS AND SUCH AMOUNTS WILL NOT BE FINALIZED UNTIL THE FINAL CLOSING OF THE OFFERING.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE 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/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE 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/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENT[S] 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/OR THE INCENTIVE ALLOCATION.
D/A
$1,445,893.00
Yes
$0.00
Yes
REFLECTS AN ESTIMATE OF AMOUNTS PAID TO DATE.PLACEMENT AGENT FEES TO BE PAID BASED
ON A FEE SCHEDULE.THE FEES ARE OFFSET DOLLAR-FOR-DOLLAR AGAINST THE MANAGEMENT FEES
PAYABLE BY THE ISSUER.SUCH AMOUNTS ARE NOT FINALIZED UNTIL THE ISSUER-S FINAL CLOSING
D/A
$329,690.00
Yes
$0.00
Yes
REFLECTS AN ESTIMATE OF AMOUNTS PAID TO DATE.PLACEMENT AGENT FEES TO BE PAID BASED
ON A FEE SCHEDULE.THE FEES ARE OFFSET DOLLAR-FOR-DOLLAR AGAINST THE MANAGEMENT FEES
PAYABLE BY THE ISSUER.SUCH AMOUNTS ARE NOT FINALIZED UNTIL THE ISSUER-S FINAL CLOSING.
D/A
$74,415.00
Yes
$0.00
Yes
REFLECTS AN ESTIMATE OF AMOUNTS PAID TO DATE.PLACEMENT AGENT FEES TO BE PAID BASED
ON A FEE SCHEDULE.THE FEES ARE OFFSET DOLLAR-FOR-DOLLAR AGAINST THE MANAGEMENT FEES
PAYABLE BY THE ISSUER.SUCH AMOUNTS ARE NOT FINALIZED UNTIL THE ISSUER-S FINAL CLOSING
D/A
$1,538,130.00
Yes
$0.00
No
UBS SECURITIES LLC-S LIMITED ENGAGEMENT WITH RESPECT TO SPECIFIED INVESTORS HAS ENDED AND NO FUTURE FEES WILL BE PAID.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE 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/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE 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/OR THE INCENTIVE ALLOCATION.
D/A
$1,315,505.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE RETAINER PAYMENTS. UBS SECURITIES LLC-S LIMITED ENGAGEMENT WITH RESPECT TO SPECIFIED INVESTORS HAS ENDED AND NO FUTURE FEES WILL BE PAID.
D/A
$2,631,293.00
No
$0.00
No
A PLACEMENT AGENT HAS BEEN RETAINED AND WILL BE APPORTIONED A PERCENTAGE OF COMMITMENTS RAISED. THE FIGURE IN ITEM 15 INCLUDES AMOUNTS IN RESPECT OF THE ISSUER-S PARALLEL ENTITIES
D/A
$2,631,293.00
No
$0.00
No
A PLACEMENT AGENT HAS BEEN RETAINED AND WILL BE APPORTIONED A PERCENTAGE OF COMMITMENTS RAISED. THE FIGURE IN ITEM 15 INCLUDES AMOUNTS IN RESPECT OF THE ISSUER-S PARALLEL ENTITIES.
D/A
$2,631,293.00
No
$0.00
No
A PLACEMENT AGENT HAS BEEN RETAINED AND WILL BE APPORTIONED A PERCENTAGE OF COMMITMENTS RAISED. THE FIGURE IN ITEM 15 INCLUDES AMOUNTS IN RESPECT OF THE ISSUER-S PARALLEL ENTITIES.
D/A
$2,631,293.00
No
$0.00
No
A PLACEMENT AGENT HAS BEEN RETAINED AND WILL BE APPORTIONED A PERCENTAGE OF COMMITMENTS RAISED. THE FIGURE IN ITEM 15 INCLUDES AMOUNTS IN RESPECT OF THE ISSUER-S PARALLEL ENTITIES.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENT[S] 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/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
No
$0.00
Yes
A PLACEMENT AGENT HAS BEEN RETAINED AND WILL BE APPORTIONED A PERCENTAGE OF COMMITMENTS RAISED.
D/A
$0.00
No
$0.00
Yes
A PLACEMENT AGENT HAS BEEN RETAINED AND WILL BE APPORTIONED A PERCENTAGE OF COMMITMENTS RAISED.
D/A
$0.00
No
$0.00
Yes
A PLACEMENT AGENT HAS BEEN RETAINED AND WILL BE APPORTIONED A PERCENTAGE OF COMMITMENTS RAISED.
D/A
$0.00
No
$0.00
Yes
A PLACEMENT AGENT HAS BEEN RETAINED AND WILL BE APPORTIONED A PERCENTAGE OF COMMITMENTS RAISED.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE 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/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE 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/OR THE INCENTIVE ALLOCATION.
D/A
$265,505.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE RETAINER PAYMENTS. UBS SECURITIES LLC-S LIMITED ENGAGEMENT WITH RESPECT TO SPECIFIED INVESTORS HAS ENDED AND NO FUTURE FEES WILL BE PAID.
D/A
$0.00
No
$0.00
No
AMOUNT TO BE PAID DETERMINED AT CLOSING BASED ON A PERCENT OF CAPITAL RAISED.
D/A
$0.00
No
$0.00
No
AMOUNT TO BE PAID DETERMINED AT CLOSING BASED ON A PERCENT OF CAPITAL RAISED.
D
$0.00
Yes
$0.00
Yes
SUCH FEES, IF ANY, WILL ONLY BE PAID UPON THE SALE OF INTERESTS TO CERTAIN INVESTORS (BASED UPON A FEE SCHEDULE) AND SUCH AMOUNTS WILL NOT BE FINALIZED UNTIL COMPLETION OF THE OFFERING.
D/A
$960,000.00
Yes
$0.00
Yes
THE PLACEMENT AGENT IS ENTITLED TO A RETAINER AND A COMMISSION BASED ON THE AMOUNT OF CAPITAL RAISED, CONTINGENT ON VARIOUS FACTORS. THE AMOUNT ABOVE REPRESENTS THE ESTIMATED PAYMENT FROM THE ISSUER AND THE MAIN FUND.
D/A
$960,000.00
Yes
$0.00
Yes
THE PLACEMENT AGENT IS ENTITLED TO A RETAINER AND A COMMISSION BASED ON THE AMOUNT OF CAPITAL RAISED, CONTINGENT ON VARIOUS FACTORS. THE AMOUNT ABOVE REPRESENTS THE ESTIMATED PAYMENT FROM THE ISSUER AND THE PARALLEL FUND.
D/A
$0.00
No
$0.00
No
AS OF THE DATE HEREOF, NO FEES HAVE BEEN PAID TO THE PLACEMENT AGENT.
D/A
$0.00
No
$0.00
No
ISSUER HAS PAID $200,000 RETAINER WHICH WILL BE APPLIED TO COMMISSIONS, AS EARNED.
D/A
$3,097,500.00
Yes
$0.00
No
AMOUNT PAID IS REPRESENTATIVE OF CAPITAL RAISED TO DATE. PLACEMENT AGENT FEES TO BE PAID BASED UPON A FEE SCHEDULE. SUCH FEES ARE OFFSET DOLLAR-FOR-DOLLAR AGAINST THE MANAGEMENT FEES PAYABLE BY THE ISSUER.
D/A
$0.00
No
$0.00
No
ISSUER HAS PAID $200,000 RETAINER WHICH WILL BE APPLIED TO COMMISSIONS, AS EARNED.
D/A
$7,309,906.00
No
$0.00
No
AMOUNT INCLUDES PAYMENT TO FORUM CAPITAL SECURITIES LLC OF $5,439,313 AND PAYMENT TO MERCURY CAPITAL ADVISORS OF $1,870,594 TO BE PAID OVER THE LIFE OF THE FUND BY THE GENERAL PARTNER.
D/A
$100,000.00
Yes
$0.00
Yes
THE PLACEMENT AGENT IS ENTITLED TO A RETAINER AND A COMMISSION BASED ON THE AMOUNT OF CAPITAL RAISED, CONTINGENT ON VARIOUS FACTORS. THE AMOUNT ABOVE REPRESENTS PAYMENT FROM THE ISSUER AND THE PARALLEL FUND.
D/A
$100,000.00
Yes
$0.00
Yes
THE PLACEMENT AGENT IS ENTITLED TO A RETAINER AND A COMMISSION BASED ON THE AMOUNT OF CAPITAL RAISED, CONTINGENT ON VARIOUS FACTORS. THE AMOUNT ABOVE REPRESENTS PAYMENT FROM THE ISSUER AND THE MAIN FUND.
D/A
$5,720,750.00
No
$0.00
No
AMOUNT INCLUDES PAYMENT TO FORUM CAPITAL SECURITIES LLC OF $4,007,937 AND PAYMENT TO MERCURY CAPITAL ADVISORS OF $1,712,813 TO BE PAID OVER THE LIFE OF THE FUND BY THE GENERAL PARTNER.
D/A
$5,251,687.00
No
$0.00
No
AMOUNT INCLUDES PAYMENT TO FORUM CAPITAL SECURITIES LLC OF $4,239,187.50 AND PAYMENT TO MERCURY CAPITAL ADVISORS OF $1,012,500 OVER THE LIFE OF THE FUND TO BE PAID BY THE GENERAL PARTNER.
D
$0.00
No
$0.00
No
AS OF THE DATE HEREOF, NO FEES HAVE BEEN PAID TO THE PLACEMENT AGENT.
D/A
$931,000.00
Yes
$310,000.00
Yes
THE PLACEMENT AGENT ARRANGEMENT RELIES ON SUCCESS-CONTINGENT AMOUNTS AND SO THE AMOUNTS LISTED ABOVE ARE MERELY ESTIMATES BASED ON SEVERAL ASSUMPTIONS.
D/A
$731,000.00
Yes
$285,000.00
Yes
THE PLACEMENT AGENT ARRANGEMENT RELIES ON SUCCESS-CONTINGENT AMOUNTS AND SO THE AMOUNTS LISTED ABOVE ARE MERELY ESTIMATES BASED ON SEVERAL ASSUMPTIONS.
D/A
$0.00
No
$7,500,000.00
Yes
INCLUDES AMOUNTS IN RESPECT OF THE ISSUER-S PARALLEL ENTITIES AND ASSUMES AGGREGATE ISSUANCES EQUAL TO THE TOTAL OFFERING AMOUNT SET FORTH ABOVE.
D/A
$0.00
No
$7,500,000.00
Yes
INCLUDES AMOUNTS IN RESPECT OF THE ISSUER-S PARALLEL ENTITIES AND ASSUMES AGGREGATE ISSUANCES EQUAL TO THE TOTAL OFFERING AMOUNT SET FORTH ABOVE.
D/A
$131,000.00
Yes
$265,000.00
Yes
THE PLACEMENT AGENT ARRANGEMENT RELIES ON SUCCESS-CONTINGENT AMOUNTS AND SO THE AMOUNTS LISTED ABOVE ARE MERELY ESTIMATES BASED ON SEVERAL ASSUMPTIONS.
D/A
$0.00
No
$0.00
No
AS OF THE DATE HEREOF, NO FEES HAVE BEEN PAID TO THE PLACEMENT AGENT.
D
$81,000.00
Yes
$250,000.00
Yes
THE PLACEMENT AGENT ARRANGEMENT RELIES ON SUCCESS-CONTINGENT AMOUNTS AND SO THE AMOUNTS LISTED ABOVE ARE MERELY ESTIMATES BASED ON SEVERAL ASSUMPTIONS.
D
$0.00
No
$0.00
No
AS OF THE DATE HEREOF, NO FEES HAVE BEEN PAID TO THE PLACEMENT AGENT.
D
$0.00
Yes
$0.00
Yes
AMOUNT TO BE DETERMINED AT CLOSING BASED ON AMOUNT OF LIMITED PARTNERSHIP INTERESTS SUBSCRIBED FOR BY INVESTORS.
D/A
$0.00
No
$10,500,000.00
Yes
INCLUDES AMOUNTS IN RESPECT OF THE ISSUER-S PARALLEL ENTITIES AND ASSUMES AGGREGATE ISSUANCES EQUAL TO THE TOTAL OFFERING AMOUNT SET FORTH ABOVE.
D/A
$0.00
No
$10,500,000.00
Yes
INCLUDES AMOUNTS IN RESPECT OF THE ISSUER-S PARALLEL ENTITIES AND ASSUMES AGGREGATE ISSUANCES EQUAL TO THE TOTAL OFFERING AMOUNT SET FORTH ABOVE.
