Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

XP SECURITIES, LLC
156691
XP SECURITIES, LLC
156691
NONE
NONE
XP INVESTMENTS US, LLC
156691
NONE
NONE
XP INVESTMENTS US, LLC
156691
XP INVESTMENTS US, LLC
156691
NONE
NONE
NONE
NONE
XP INVESTMENT US, LLC
156691
XP INVESTMENTS US, LLC
156691
NONE
NONE
XP INVESTMENTS US, LLC
156691
NOT APPLICABLE
NONE
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2025-07-28
D/A
$5,434,222.00
No
$0.00
No
2025-06-24
D/A
$218,819.00
Yes
$0.00
Yes
OCM INVESTMENTS, LLC, CRD #128803 AND BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC, CRD #313390, WILL PLACE THE INVESTMENTS BUT NEITHER ONE IS ANTICIPATED TO RECEIVE SALES COMMISSIONS.
2024-07-30
D/A
$4,153,349.00
No
$0.00
No
2024-06-18
D
$142,599.00
Yes
$0.00
Yes
OCM INVESTMENTS, LLC, CRD #128803 AND BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC, CRD #313390, WILL PLACE THE INVESTMENTS BUT NEITHER ONE IS ANTICIPATED TO RECEIVE SALES COMMISSIONS.
2023-08-04
D/A
$47,740,000.00
Yes
$0.00
Yes
INCLUDES SALES COMMISSION OF FUND AND AFFILIATED FUNDS.
2023-08-04
D/A
$47,740,000.00
Yes
$0.00
Yes
INCLUDES SALES COMMISSION OF FUND AND AFFILIATED FUNDS.
2023-07-26
D/A
$4,055,308.00
No
$0.00
No
2023-07-10
D/A
$0.00
Yes
$0.00
Yes
OCM INVESTMENTS, LLC, CRD #128803 AND BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC, CRD #313390, WILL PLACE THE INVESTMENTS BUT NEITHER ONE IS ANTICIPATED TO RECEIVE SALES COMMISSIONS.
2023-01-25
D/A
$79,259.00
No
$0.00
No
SALES COMMISSION REPORTED IS THE AMOUNT PAID TO DATE.
2022-07-26
D/A
$1,944,662.00
No
$0.00
No
2022-06-17
D/A
$0.00
Yes
$0.00
Yes
OCM INVESTMENTS, LLC, CRD #128803 AND BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC, CRD #313390, WILL PLACE THE INVESTMENTS BUT NEITHER ONE IS ANTICIPATED TO RECEIVE SALES COMMISSIONS.
2022-04-22
D/A
$666,000.00
Yes
$0.00
Yes
2022-04-22
D/A
$660,000.00
Yes
$0.00
Yes
2022-04-22
D/A
$660,000.00
Yes
$0.00
Yes
2022-04-22
D/A
$660,000.00
Yes
$0.00
Yes
2022-03-25
D/A
$9,590,000.00
Yes
$0.00
Yes
INCLUDES SALES COMMISSIONS OF FUND AND AFFILIATED FUNDS.
2022-03-25
D/A
$9,590,000.00
Yes
$0.00
Yes
INCLUDES SALES COMMISSIONS OF FUND AND AFFILIATED FUNDS.
2022-01-25
D/A
$79,259.00
No
$0.00
No
SALES COMMISSION REPORTED IS THE AMOUNT PAID TO DATE.
2021-07-21
D/A
$1,038,932.00
No
$0.00
No
2021-01-25
D/A
$79,259.00
No
$0.00
No
SALES COMMISSION REPORTED IS THE AMOUNT PAID TO DATE.
2020-03-31
D
$0.00
No
$0.00
No
2020-01-23
D/A
$63,757.00
No
$0.00
No
SALES COMMISSION REPORTED IS THE AMOUNT PAID TO DATE.
2019-01-23
D/A
$25,699.00
No
$0.00
No
SALES COMMISSION REPORTED IS THE AMOUNT PAID TO DATE.
2018-01-23
D/A
$4,715.00
No
$0.00
No