Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NONE
NONE
ROSE CAPITAL ADVISORS
173054
ROSE CAPITAL ADVISORS LLC
173054
MICHAEL ROSE
2954324
SAXONY SECURITIES INC.
115547
ROSE CAPITAL ADVISORS
173054
MICHAEL ROSE D/B/A ROSE CAPITAL ADVISORS
173054
SAXONY SECURITIES INC.
115547
NONE
NONE
ROSE CAPITAL ADVISORS, LLC
173054
NONE
NONE
ROSE CAPITAL ADVISORS LLC
173054
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2026-06-25
D
$0.00
Yes
$0.00
Yes
2024-05-02
D/A
$764,143.00
No
$400,000.00
Yes
2022-06-07
D/A
$6,309,239.00
Yes
$0.00
No
2022-05-26
D/A
$0.00
Yes
$0.00
Yes
2021-06-21
D
$380,274.00
No
$0.00
No
2021-06-01
D/A
$5,575,745.00
Yes
$0.00
No
2020-06-08
D/A
$4,737,027.00
Yes
$0.00
No
2019-06-10
D/A
$3,891,573.00
Yes
$0.00
No
2019-05-21
D
$0.00
Yes
$0.00
Yes
FINDER-S FEE WILL BE BASED ON PERFORMANCE OF AN INVESTOR-S INVESTMENT.
2018-06-12
D/A
$3,016,400.00
Yes
$0.00
No
2017-10-24
D/A
$2,396,400.00
Yes
$0.00
No
2016-10-25
D/A
$1,800,000.00
No
$0.00
No
2015-09-30
D/A
$1,000,000.00
No
$0.00
No