Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

BD ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
135131
ALAN DAVID GLATT
1587515
ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
135131
ALAN GLATT
1587515
ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
135131
ALAN D. GLATT
1587515
ALAN D. GLATT
1587515
ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
135131
ALAN D. GLATT
1587515
CANDLEWOOD SECURITIES, LLC
126042
CANDLEWOOD SECURITIES, LLC
126042
ALAN D. GLATT
1587515
CANDLEWOOD SECURITIES, LLC
126042
ALAN DAVID GLATT
1587515
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2019-12-06
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.
2019-06-03
D/A
$31,389.00
No
$0.00
No
2019-06-03
D/A
$8,728.00
No
$0.00
No
2019-06-03
D/A
$8,411.00
No
$0.00
No
2018-12-14
D
$3,500.00
Yes
$0.00
Yes
2018-12-06
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.
2018-12-06
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.
2018-12-06
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.
2018-09-18
D/A
$310,569.00
Yes
$0.00
No
2018-09-18
D/A
$493,103.00
Yes
$0.00
No
2018-06-01
D
$0.00
No
$0.00
No
2018-05-22
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.
2018-02-07
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.
2018-02-07
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.
2017-10-16
D/A
$379,400.00
Yes
$0.00
No
2017-09-18
D/A
$134,600.00
No
$0.00
No
2017-05-23
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.
2017-02-07
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.
2017-02-07
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.
2016-09-16
D
$11,604.00
Yes
$0.00
No
2016-05-27
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.
2016-05-13
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.
2016-05-13
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.
2016-03-03
D/A
$0.00
No
$0.00
No
THE ISSUER-S GENERAL PARTNER WILL PAY A FEE TO THE SELLING AGENT FROM THE GENERAL PARTNER-S OWN FUNDS. INVESTORS WILL NOT PAY A SALES COMMISSION OF ANY KIND.
2015-05-27
D
$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.
2015-05-13
D
$0.00
No
$0.00
No
2015-05-13
D
$0.00
No
$0.00
No
2014-03-03
D/A
$0.00
No
$0.00
No
THE ISSUER-S GENERAL PARTNER WILL PAY A FEE TO THE SELLING AGENT FROM THE GENERAL PARTNER-S OWN FUNDS. INVESTORS WILL NOT PAY A SALES COMMISSION OF ANY KIND.
2014-03-03
D/A
$0.00
No
$0.00
No
THE INVESTMENT MANAGER WILL PAY COMPENSATION TO THE SELLING AGENT FROM THE INVESTMENT MANAGER-S OWN FUNDS; INVESTORS WILL NOT PAY ANY SALES COMMISSION OF ANY KIND.
2013-09-18
D/A
$122,000.00
Yes
$0.00
No