Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
NONE
NONE
GK SECURITIES, LLC
158611
GORDIAN INVESTMENT SOLUTIONS, LLC
158611
N/A
NONE
NONE
NONE
GORDIAN INVESTMENT SOLUTIONS, LLC
158611
NONE
NONE
GORDIAN INVESTMENT SOLUTIONS, LLC
158611
NONE
NONE
GORDIAN INVESTMENT SOLUTIONS, LLC
158611
GORDIAN INVESTMENT SOLUTIONS LLC
158611
LUKE A. POWELL
2605657
NONE
NONE
GORDIAN INVESTMENT SOLUTIONS, LLC
158611
GORDIAN INVESTMENTS LLC
158611
LUKE POWELL
2605657
GORDIAN INVESTMENTS, LLC
158611
LUKE A. POWELL
2605657
GORDIAN INVESTMENTS, LLC
158611
AARON TRAVIS
2440803
GORDIAN INVESTMENTS, LLC
158611
ANDREW FINNEGAN
2709048
GORDIAN INVESTMENTS, LLC
158611
KEVIN FARRELLY
5181178
THAXTER R. SHARP
3223232
GORDIAN INVESTMENT SOLUTIONS, LLC
158611
GORDIAN INVESTMENTS, LLC
158611
NEIL COHEN
NONE
GORDIAN INVESTMENTS, LLC
158611
AARON TRAVIS
2440803
GORDIAN INVESTMENTS, LLC
158611
KEVIN FARRELLY
5181178
GORDIAN INVESTMENTS, LLC
158611
CRAIG HARDING
6279064
NONE
NONE
GORDIAN INVESTMENT SOLUTIONS, LLC
158611
GORDIAN INVESTMENTS
158611
PAUL TOUCHSTONE
4640001
GORDIAN INVESTMENT, LLC
158611
EVOLUTION LIFE SCIENCE PARTNER
NONE
NONE
NONE
GORDIAN INVESTMENTS, LLC
158611
NONE
NONE
GORDIAN INVESTMENT SOLUTIONS, LLC
158611
GORDIAN INVESTMENTS, LLC
158611
NEIL COHEN
6263267
NONE
NONE
GORDIAN INVESTMENTS, LLC
158611
NONE
NONE
GORDIAN INVESTMENTS, LLC
158611
GORDIAN INVESTMENTS, LLC
158611
GORDIAN INVESTMENTS, LLC
158611
NONE
NONE
GORDIAN INVESTMENT SOLUTIONS, LLC
158611
NONE
NONE
GORDIAN INVESTMENT SOLUTIONS, LLC
158611
GORDIAN INVESTMENTS, LLC
158611
CHRISTOPHER MCGHEE
2682131
GORDIAN INVESTMENTS, LLC
158611
GORDIAN INVESTMENTS, LLC
158611
PRESTON T. DODD
5853572
GORDIAN INVESTMENTS, LLC
158611
NONE
NONE
GORDIAN INVESTMENTS, LLC
158611
NONE
NONE
GORDIAN INVESTMENTS, LLC
158611
GORDIAN INVESTMENTS, LLC
158611
GORDIAN INVESTMENTS, LLC
158611
GORDIAN INVESTMENTS, LLC
158611
GORDIAN INVESTMENTS, LLC
158611
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D
$50,000.00
No
$0.00
No
GORDIAN INVESTMENTS LLC WILL ALSO RECEIVE A WARRANT TO PURCHASE STOCK FOR THE PURCHASE OF UP TO 18,150 SHARES OF COMMON STOCK.
D/A
$1,430,000.00
No
$0.00
No
$10,000 TO CAPLINK SECURITIES, INC.; $133,000 TO GORDIAN INVESTMENTS, LLC (POSSIBLY INCREASED IF INVESTMENT RETURNS ARE MET)
D/A
$106,891.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE
ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$141,000.00
Yes
$0.00
No
RESPONSE TO ITEM 15 SETS FORTH ESTIMATED SALES COMMISSIONS. ALL PAYMENTS ARE SUBJECT TO FUTURE CONTINGENCIES AND ARE INDETERMINATE AT PRESENT.
D
$340,000.00
Yes
$0.00
No
RESPONSE TO ITEM 15 SETS FORTH ESTIMATED SALES COMMISSIONS. ALL PAYMENTS ARE SUBJECT TO FUTURE CONTINGENCIES AND ARE INDETERMINATE AT PRESENT.
D/A
$623,178.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
D
$141,000.00
Yes
$0.00
No
RESPONSE TO ITEM 15 SETS FORTH ESTIMATED SALES COMMISSIONS. ALL PAYMENTS ARE SUBJECT TO FUTURE CONTINGENCIES AND ARE INDETERMINATE AT PRESENT.
D/A
$56,940.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE
ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$421,590.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$56,940.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE
ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$56,940.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE
ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$56,940.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE
ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$19,380.00
Yes
$0.00
No
PERCENTAGE OF FEES EARNED BY INVESTMENT MANAGER/ GENERAL PARTNER OF ISSUER.
D/A
$181,908.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$36,422.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE
ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$59,254.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE
ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$189,432.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$70,894.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE
ESTIMATED ANNUAL AMOUNT ABOVE.
D/A
$196,618.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN
RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT.
D/A
$273,893.00
Yes
$0.00
No
THE ISSUER-S ADVISOR, AN AFFILIATE, PAYS FROM ITS OWN
RESOURCES (INCLUDING FROM AMOUNTS DISCLOSED IN ITEM 16) SALES COMPENSATION TO FINANCIAL INTERMEDIARIES WHO ASSIST WITH THE ISSUER-S PRIVATE PLACEMENT OF INTERESTS IN THE ESTIMATED ANNUAL AMOUNT ABOVE
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT.
