Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

PZENA FINANCIAL SERVICES, LLC
169807
PZENA FINANCIAL SERVICES, LLC
NONE
PZENA FINANCIAL SERVICES, LLC
169807
PZENA FINANCIAL SERVICES, LLC
NONE
NONE
NONE
PZENA FINANCIAL SERVICES, LLC
169807
NONE
NONE
PZENA FINANCIAL SERVICES, LLC
169807
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2026-03-04
D/A
$3,579.00
No
$0.00
No
NO PLACEMENT FEES OR SALES CHARGES ARE PAYABLE BY THE ISSUER TO THE BROKER IN ITEM 12. SUCH BROKER RECEIVES COMPENSATION PAID OUT OF MANAGEMENT FEES PAYABLE TO THE INVESTMENT MANAGER AS SET FORTH IN THE ISSUER-S OFFERING MATERIALS.
2026-03-04
D/A
$5,220.00
No
$0.00
No
NO PLACEMENT FEES OR SALES CHARGES ARE PAYABLE BY THE ISSUER TO THE BROKER IN ITEM 12. SUCH BROKER RECEIVES COMPENSATION PAID OUT OF MANAGEMENT FEES PAYABLE TO THE INVESTMENT MANAGER AS SET FORTH IN THE ISSUER-S OFFERING MATERIALS.
2026-03-04
D/A
$750.00
No
$0.00
No
NO PLACEMENT FEES OR SALES CHARGES ARE PAYABLE BY THE ISSUER TO THE BROKER IN ITEM 12. SUCH BROKER RECEIVES COMPENSATION PAID OUT OF MANAGEMENT FEES PAYABLE TO THE INVESTMENT MANAGER AS SET FORTH IN THE ISSUER-S OFFERING MATERIALS.
2026-03-04
D/A
$106,020.00
No
$0.00
No
NO PLACEMENT FEES OR SALES CHARGES ARE PAYABLE BY THE ISSUER TO THE BROKER IN ITEM 12. SUCH BROKER RECEIVES COMPENSATION PAID OUT OF MANAGEMENT FEES PAYABLE TO THE INVESTMENT MANAGER AS SET FORTH IN THE ISSUER-S OFFERING MATERIALS.
2026-03-04
D/A
$135,000.00
No
$0.00
No
NO PLACEMENT FEES OR SALES CHARGES ARE PAYABLE BY THE ISSUER TO THE BROKER IN ITEM 12. SUCH BROKER RECEIVES COMPENSATION PAID OUT OF MANAGEMENT FEES PAYABLE TO THE INVESTMENT MANAGER AS SET FORTH IN THE ISSUER-S OFFERING MATERIALS.
2026-03-04
D/A
$45,080.00
No
$0.00
No
NO PLACEMENT FEES OR SALES CHARGES ARE PAYABLE BY THE ISSUER TO THE BROKER IN ITEM 12. SUCH BROKER RECEIVES COMPENSATION PAID OUT OF MANAGEMENT FEES PAYABLE TO THE INVESTMENT MANAGER AS SET FORTH IN THE ISSUER-S OFFERING MATERIALS.
2025-03-04
D/A
$3,579.00
No
$0.00
No
NO PLACEMENT FEES OR SALES CHARGES ARE PAYABLE BY THE ISSUER TO THE BROKER IN ITEM 12. SUCH BROKER RECEIVES COMPENSATION PAID OUT OF MANAGEMENT FEES PAYABLE TO THE INVESTMENT MANAGER AS SET FORTH IN THE ISSUER-S OFFERING MATERIALS.
2025-03-04
D/A
$69,000.00
Yes
$0.00
Yes
NO PLACEMENT FEES OR SALES CHARGES ARE PAYABLE BY THE ISSUER TO THE BROKER IN ITEM 12. SUCH BROKER RECEIVES COMPENSATION PAID OUT OF MANAGEMENT FEES PAYABLE TO THE INVESTMENT MANAGER AS SET FORTH IN THE ISSUER-S OFFERING MATERIALS.
2025-03-04
D/A
$5,220.00
No
$0.00
No
NO PLACEMENT FEES OR SALES CHARGES ARE PAYABLE BY THE ISSUER TO THE BROKER IN ITEM 12. SUCH BROKER RECEIVES COMPENSATION PAID OUT OF MANAGEMENT FEES PAYABLE TO THE INVESTMENT MANAGER AS SET FORTH IN THE ISSUER-S OFFERING MATERIALS.
2025-03-04
D/A
$0.00
No
$0.00
No
NO PLACEMENT FEES OR SALES CHARGES ARE PAYABLE BY THE ISSUER TO THE BROKER IN ITEM 12. SUCH BROKER RECEIVES COMPENSATION PAID OUT OF MANAGEMENT FEES PAYABLE TO THE INVESTMENT MANAGER AS SET FORTH IN THE ISSUER-S OFFERING MATERIALS.
2025-03-04
D/A
$100,650.00
No
$0.00
No
NO PLACEMENT FEES OR SALES CHARGES ARE PAYABLE BY THE ISSUER TO THE BROKER IN ITEM 12. SUCH BROKER RECEIVES COMPENSATION PAID OUT OF MANAGEMENT FEES PAYABLE TO THE INVESTMENT MANAGER AS SET FORTH IN THE ISSUER-S OFFERING MATERIALS.
2025-03-04
D/A
$135,000.00
No
$0.00
No
NO PLACEMENT FEES OR SALES CHARGES ARE PAYABLE BY THE ISSUER TO THE BROKER IN ITEM 12. SUCH BROKER RECEIVES COMPENSATION PAID OUT OF MANAGEMENT FEES PAYABLE TO THE INVESTMENT MANAGER AS SET FORTH IN THE ISSUER-S OFFERING MATERIALS.
2025-03-04
D/A
$45,080.00
No
$0.00
No
NO PLACEMENT FEES OR SALES CHARGES ARE PAYABLE BY THE ISSUER TO THE BROKER IN ITEM 12. SUCH BROKER RECEIVES COMPENSATION PAID OUT OF MANAGEMENT FEES PAYABLE TO THE INVESTMENT MANAGER AS SET FORTH IN THE ISSUER-S OFFERING MATERIALS.
2024-12-30
D/A
$0.00
No
$0.00
No
NO PLACEMENT FEES OR SALES CHARGES ARE PAYABLE BY THE ISSUER TO THE BROKER IN ITEM 12. SUCH BROKER RECEIVES COMPENSATION PAID OUT OF MANAGEMENT FEES PAYABLE TO THE INVESTMENT MANAGER AS SET FORTH IN THE ISSUER-S OFFERING MATERIALS.
2024-03-04
D/A
$3,579.00
No
$0.00
No
2024-03-04
D/A
$69,000.00
Yes
$0.00
Yes
2024-03-04
D/A
$91,500.00
No
$0.00
No
2024-03-04
D/A
$5,220.00
No
$0.00
No
2024-03-04
D/A
$45,080.00
No
$0.00
No
2024-03-04
D/A
$135,000.00
No
$0.00
No
2023-04-26
D/A
$91,050.00
No
$0.00
No
2023-04-26
D/A
$5,220.00
No
$0.00
No
2023-03-02
D/A
$69,000.00
Yes
$0.00
Yes
2023-03-02
D/A
$3,579.00
No
$0.00
No
2023-03-02
D/A
$60,000.00
No
$0.00
No
2023-03-02
D/A
$45,080.00
No
$0.00
No
2022-12-13
D/A
$60,000.00
No
$0.00
No
2022-05-27
D/A
$5,220.00
No
$0.00
No
2022-04-26
D/A
$84,360.00
No
$0.00
No
2022-03-02
D/A
$3,579.00
No
$0.00
No
2022-03-02
D/A
$69,000.00
Yes
$0.00
Yes
2022-03-02
D/A
$45,080.00
No
$0.00
No
2021-12-16
D/A
$60,000.00
No
$0.00
No
2021-05-28
D/A
$5,220.00
No
$0.00
No
2021-03-16
D/A
$83,760.00
No
$0.00
No
2021-03-03
D/A
$3,579.00
No
$0.00
No
2021-03-03
D/A
$69,000.00
Yes
$0.00
Yes
2021-03-03
D/A
$45,080.00
No
$0.00
No
2020-12-16
D/A
$60,000.00
No
$0.00
No
2020-05-29
D/A
$5,220.00
No
$0.00
No
2020-03-02
D/A
$69,000.00
Yes
$0.00
Yes
2020-03-02
D/A
$3,579.00
No
$0.00
No
2020-03-02
D/A
$39,080.00
No
$0.00
No
2020-02-28
D/A
$81,360.00
No
$0.00
No
2019-12-11
D/A
$60,000.00
No
$0.00
No
2019-05-31
D/A
$5,020.00
No
$0.00
No
2019-03-01
D/A
$3,579.00
No
$0.00
No
2019-03-01
D/A
$69,000.00
Yes
$0.00
Yes
2019-03-01
D/A
$84,000.00
No
$0.00
No
2019-03-01
D/A
$0.00
No
$0.00
No
2019-03-01
D/A
$80,760.00
No
$0.00
No
2019-03-01
D/A
$23,100.00
No
$0.00
No
2018-12-17
D
$0.00
No
$0.00
No
2018-05-14
D
$0.00
No
$0.00
No
2018-03-02
D/A
$3,579.00
No
$0.00
No
2018-03-02
D/A
$69,000.00
Yes
$0.00
Yes
2018-03-02
D/A
$84,000.00
No
$0.00
No
2018-03-02
D/A
$0.00
No
$0.00
No
2018-03-02
D/A
$44,160.00
No
$0.00
No
2018-03-02
D/A
$21,600.00
No
$0.00
No
2017-12-15
D
$0.00
No
$0.00
No
2017-03-02
D/A
$0.00
No
$0.00
No
2017-03-02
D/A
$3,579.00
No
$0.00
No
2017-03-02
D/A
$69,000.00
Yes
$0.00
Yes
2017-03-02
D/A
$84,000.00
No
$0.00
No
2016-03-07
D/A
$3,579.00
No
$0.00
No
2016-03-07
D/A
$36,000.00
Yes
$0.00
Yes
2016-03-07
D/A
$84,000.00
No
$0.00
No
2016-03-07
D/A
$0.00
No
$0.00
No
2015-03-10
D/A
$1,473.00
No
$0.00
No
2015-03-10
D/A
$30,000.00
Yes
$0.00
Yes
2015-03-10
D/A
$0.00
No
$0.00
No
2015-03-10
D/A
$0.00
No
$0.00
No