Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

GALLATIN CAPITAL LLC
124738
JOHN B. HARDY III
1792237
GALLATIN CAPITAL LLC
124738
JOHN B. HARDY III
1792237
GALLATIN CAPITAL LLC
124738
JOHN B. HARDY III
1792237
GALLATIN CAPITAL LLC
124738
JOHN B. HARDY III
1792237
GALLATIN CAPITAL LLC
124738
JOHN B. HARDY III
1792237
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2020-03-17
D/A
$7,274,814.00
Yes
$0.00
No
ESTIMATE IS BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL, SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, OR WHICHEVER IS SHORTER.
2019-03-20
D/A
$7,274,814.00
Yes
$0.00
No
ESTIMATE IS BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL, SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, OR WHICHEVER IS SHORTER.
2019-03-20
D/A
$97,249.00
Yes
$0.00
No
2018-11-21
D/A
$811,683.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.
2018-11-20
D/A
$133,287.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMD OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.
2018-03-20
D/A
$7,274,814.00
Yes
$0.00
No
ESTIMATE IS BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL, SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, OR WHICHEVER IS SHORTER.
2018-03-20
D/A
$97,249.00
Yes
$0.00
No
2017-11-21
D/A
$811,683.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.
2017-11-21
D/A
$133,287.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMD OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.
2017-03-20
D/A
$7,274,814.00
Yes
$0.00
No
ESTIMATE IS BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL, SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, OR WHICHEVER IS SHORTER.
2017-03-20
D/A
$97,249.00
Yes
$0.00
No
2016-11-23
D/A
$811,683.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.
2016-11-23
D/A
$182,084.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.
2016-11-23
D/A
$133,287.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMD OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.
2016-03-24
D/A
$97,249.00
Yes
$0.00
No
2016-03-18
D/A
$7,274,814.00
Yes
$0.00
No
ESTIMATE IS BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL, SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, OR WHICHEVER IS SHORTER.
2015-11-25
D/A
$811,683.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.
2015-11-25
D/A
$182,084.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.
2015-11-25
D/A
$133,287.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMD OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.
2015-03-24
D/A
$86,416.00
Yes
$0.00
No
2015-03-20
D/A
$7,274,814.00
Yes
$0.00
No
ESTIMATE IS BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL, SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, OR WHICHEVER IS SHORTER.
2014-11-26
D/A
$811,683.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.
2014-11-26
D/A
$182,084.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.
2014-11-26
D/A
$133,287.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMD OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.
2014-03-20
D/A
$7,274,814.00
Yes
$0.00
No
ESTIMATE IS BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL, SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, OR WHICHEVER IS SHORTER.
2013-11-26
D/A
$786,683.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.
2013-11-26
D/A
$182,084.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.
2013-11-26
D/A
$110,784.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMD OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.
2013-03-20
D/A
$7,274,814.00
Yes
$0.00
No
ESTIMATE IS BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL, SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, OR WHICHEVER IS SHORTER.
2012-11-26
D/A
$182,084.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.
2012-11-26
D/A
$757,753.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.
2012-11-26
D/A
$30,752.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMD OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.
2012-02-24
D/A
$7,274,814.00
Yes
$0.00
No
ESTIMATE IS BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL, SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, OR WHICHEVER IS SHORTER.
2011-11-23
D/A
$182,084.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.
2011-11-23
D/A
$757,753.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.
2011-11-23
D/A
$30,752.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMD OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.
2011-11-23
D/A
$990,000.00
Yes
$0.00
No
SALES COMMISSION ESTIMATE IS FROM THE BEGINNING OF THE OFFERING THROUGH THE NEXT 12 MONTHS AND IS BASED ON THE PLACEMENT AGENT BEING COMPENSATED FOR ITS ACTIVITIES BY RECEIVING A PORTION OF THE MANAGEMENT FEE AND INCENTIVE FEES FROM THE INVESTMENT MANAGER
2011-11-23
D/A
$5,735,000.00
Yes
$0.00
No
SALES COMMISSION ESTIMATE IS FROM THE BEGINNING OF THE OFFERING THROUGH THE NEXT 12 MONTHS AND IS BASED ON THE PLACEMENT AGENT BEING COMPENSATED FOR ITS ACTIVITIES BY RECEIVING A PORTION OF THE MANAGEMENT FEE AND INCENTIVE FEES FROM THE INVESTMENT MANAGER
2011-02-24
D/A
$7,258,751.00
Yes
$0.00
No
ESTIMATE IS BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL, SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, OR WHICHEVER IS SHORTER.
2010-11-24
D/A
$182,084.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.
2010-11-24
D/A
$707,753.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.
2010-11-24
D/A
$30,752.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMD OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.
2010-11-24
D/A
$4,500,000.00
Yes
$0.00
No
SALES COMMISSION ESTIMATE IS FROM THE BEGINNING OF THE OFFERING THROUGH THE NEXT 12 MONTHS AND IS BASED ON THE PLACEMENT AGENT BEING COMPENSATED FOR ITS ACTIVITIES BY RECEIVING A PORTION OF THE MANAGEMENT FEE AND INCENTIVE FEES FROM THE INVESTMENT MANAGER
2010-11-24
D/A
$4,500,000.00
Yes
$0.00
No
SALES COMMISSION ESTIMATE IS FROM THE BEGINNING OF THE OFFERING THROUGH THE NEXT 12 MONTHS AND IS BASED ON THE PLACEMENT AGENT BEING COMPENSATED FOR ITS ACTIVITIES BY RECEIVING A PORTION OF THE MANAGEMENT FEE AND INCENTIVE FEES FROM THE INVESTMENT MANAGER
2010-11-24
D/A
$950,000.00
Yes
$0.00
No
SALES COMMISSION ESTIMATE IS FROM THE BEGINNING OF THE OFFERING THROUGH THE NEXT 12 MONTHS AND IS BASED ON THE PLACEMENT AGENT BEING COMPENSATED FOR ITS ACTIVITIES BY RECEIVING A PORTION OF THE MANAGEMENT FEE AND INCENTIVE FEES FROM THE INVESTMENT MANAGER
2010-02-24
D/A
$7,215,751.00
Yes
$0.00
No
ESTIMATE IS BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL, SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, OR WHICHEVER IS SHORTER.
2009-11-30
D/A
$3,000,000.00
Yes
$0.00
No
SALES COMMISSION ESTIMATE IS FROM THE BEGINNING OF THE OFFERING THROUGH THE NEXT 12 MONTHS AND IS BASED ON THE PLACEMENT AGENT BEING COMPENSATED FOR ITS ACTIVITIES BY RECEIVING A PORTION OF THE MANAGEMENT FEE AND INCENTIVE FEES FROM THE INVESTMENT MANAGER
2009-11-30
D/A
$850,000.00
Yes
$0.00
No
SALES COMMISSION ESTIMATE IS FROM THE BEGINNING OF THE OFFERING THROUGH THE NEXT 12 MONTHS AND IS BASED ON THE PLACEMENT AGENT BEING COMPENSATED FOR ITS ACTIVITIES BY RECEIVING A PORTION OF THE MANAGEMENT FEE AND INCENTIVE FEES FROM THE INVESTMENT MANAGER
2009-11-25
D/A
$182,084.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.
2009-11-25
D/A
$699,753.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.
2009-11-25
D/A
$30,752.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMD OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.
2009-09-03
D/A
$30,752.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMD OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.
2009-03-17
D/A
$7,215,751.00
Yes
$0.00
No
ESTIMATE IS BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL, SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, OR WHICHEVER IS SHORTER.
2009-03-16
D/A
$182,084.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.
2009-03-16
D/A
$699,753.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMED OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.
2009-03-16
D
$30,752.00
Yes
$0.00
No
ESTIMATE BASED UPON A FIXED PERCENTAGE BASED ON THE ASSETS RAISED BY SUCH PLACEMENT AGENT. IN GENERAL SUCH PAYMENTS CEASE WHEN THE RELATED ASSETS ARE REDEEMD OR 3 YEARS AFTER INCEPTION, WHICHEVER IS SHORTER.