Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

LION STREET FINANCIAL, LLC
165828
GUY A. HARRIGAN
1817525
LION STREET FINANCIAL, LLC
165828
GUY A. HARRIGAN
1817525
LION STREET FINANCIAL, LLC
165828
GUY A. HARRIGAN
1817525
LION STREET FINANCIAL LLC
165828
GUY HARRIGAN
1817525
ANTHONY HARRIGAN
1817525
LION STREET FINANCIAL LLC
165828
LION STREET FINANCIAL LLC
165828
GUY HARRIGAN
1817525
LION STREET FINANCIAL, LLC
165828
GUY A. HARRIGAN
1817525
ANTHONY HARRIGAN
1817525
LION STREET FINANCIAL
165828
LION STREET FINANCIAL, LLC
165828
GUY A. HARRIGAN
1817525
ANTHONY HARRIGAN
1817525
LION STREET FINANCIAL, LLC
165828
LION STREET FINANCIAL, LLC
165828
GUY ANTHONY HARRIGAN
1817525
LION STREET FINANCIAL LLC
165828
GUY A. HARRIGAN
1817525
LION STREET FINANCIAL, LLC
165828
G. ANTHONY HARRIGAN
1817525
LION STREET FINANCIAL, LLC
165828
GUY ANTHONY HARRIGAN
1817525
LION STREET FINANCIAL LLC
165828
G ANTHONY HARRIGAN
1817525
LION STREET FINANCIAL LLC
165828
ANTHONY HARRIGAN
1817525
People
Name
INC. GK DEVELOPMENT,
MALL DEVELOPMENT, LLC COLLEGE SQUARE
GK SERVICES LLC CEDAR FALLS GROCERY -
GARO KHOLAMIAN
ROBERT M. MCCULLOUGH
ALAN N. SOLON
JED C. LINSIDER
ADAM LLOYD
RALPH TEAL, JR.
DAVID FISHER
JOSHUA UNGERECHT
WARREN THOMAS
ROBERT A. BOURNE
R. KYLE BOURNE
MICHAEL C. KELLEY
SAMUEL SPEARS
BOURNE SENIORS HOUSING MANAGER V, LLC BOURNE SENIORS HOUSING MANAGER V, LLC
BOURNE FINANCIAL GROUP, LLC BOURNE FINANCIAL GROUP, LLC
GREGG T. CHRISTENSEN
DANIEL W. SHAEFFER
CHAD CHRISTENSEN
ADAM LARSON
ENZIO A. CASSINIS
KEVIN A. SHIELDS
JOSEPH E. MILLER
N/A GRIFFIN CAPITAL QOZ, LLC
DAVID C. RUPERT
ERIC J. KAPLAN
COREY R. MAPLE
NORMAN H. LESLIE
SAMUEL C. MONTGOMERY
DAVID G. EKMAN
PERRY M. RYNDERS
JEFFREY T. LEIGHTON
LEGENDARY CAPITAL REIT III, LLC LEGENDARY CAPITAL REIT III, LLC
SAMUEL MONTGOMERY
BRIAN HAGEN
KATIE COX
LARRY K. SULLIVAN
WILLIAM O. PASSO
BELDEN BROWN
THOMAS B. JAHNCKE
PASSCO COMPANIES, LLC PASSCO COMPANIES, LLC
PASSCO FRITZ FARM DEPOSITOR, LLC PASSCO FRITZ FARM DEPOSITOR, LLC
PASSCO FRITZ FARM MANAGER, LLC PASSCO FRITZ FARM MANAGER, LLC
N/A PACIFIC OAK OPPORTUNITY ZONE FUND I MANAGER, LLC
N/A PACIFIC OAK CAPITAL ADVISORS, LLC
KEITH D. HALL
PETER MCMILLAN III
BEN AITKENHEAD
BRIAN RAGSDALE
N/A GRIFFIN CAPITAL COMPANY, LLC
N/A GRIFFIN CAPITAL QOZ II, LLC
LODGING FUND REIT III, INC. LODGING FUND REIT III, INC.
N/A LODGING FUND REIT III, INC.
N/A LEGENDARY CAPITAL REIT III, LLC
DAVID R. DURELL
RICHARD J. VITALE
LEGENDARY LODGING VAB QOZ MANAGER, LLC LEGENDARY LODGING VAB QOZ MANAGER, LLC
LEGENDARY CAPITAL, LLC LEGENDARY CAPITAL, LLC
U.S. ENERGY DEVELOPMENT CORPORATION
JORDAN M. JAYSON
MATTHEW P. IAK
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2025-03-18
D/A
$1,336,419.00
Yes
$0.00
No
2024-03-22
D/A
$7,098,393.00
Yes
$0.00
No
2023-03-28
D/A
$5,302,325.00
Yes
$0.00
No
2023-03-02
D/A
$1,372,991.00
Yes
$0.00
No
2022-12-14
D/A
$15,000,000.00
Yes
$0.00
No
DEALER-MANAGER FEE OF 2%; SALES COMMISSION OF UP TO 7%; DUE DILIGENCE FEE OF 0.5%; MARKETING EXPENSE FEE OF 0.5%.
2022-01-14
D/A
$21,250,000.00
Yes
$0.00
No
SELLING COMMISSIONS OF 6%, DEALER MANAGER FEE (DMF) OF 1% AND PLACEMENT AGENT FEE (PAF) OF 1.5%. THESE COMMISSIONS OR FEES MAY BE WAIVED FOR CERTAIN INVESTORS.
2022-01-05
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID.
2021-11-10
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID.
2021-10-28
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID.
2021-10-14
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID.
2021-09-30
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID.
2021-09-28
D/A
$4,437,461.00
Yes
$0.00
No
2021-09-16
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID.
2021-09-02
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-08-20
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-08-11
D/A
$731,917.00
Yes
$0.00
No
2021-08-06
D/A
$731,917.00
Yes
$0.00
No
2021-08-05
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-07-22
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-07-19
D/A
$782,287.00
Yes
$0.00
No
2021-07-08
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-06-24
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-06-10
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-05-27
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-05-13
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-04-29
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2021-03-12
D/A
$7,500,000.00
Yes
$0.00
No
2020-11-09
D/A
$4,500,000.00
Yes
$0.00
No
2020-10-14
D/A
$5,500,000.00
Yes
$0.00
Yes
2020-09-24
D/A
$5,500,000.00
Yes
$0.00
Yes
2020-09-11
D/A
$5,500,000.00
Yes
$0.00
Yes
2020-08-27
D/A
$5,500,000.00
Yes
$0.00
Yes
2020-08-13
D/A
$5,500,000.00
Yes
$0.00
Yes
2020-07-30
D/A
$5,500,000.00
Yes
$0.00
Yes
2020-07-17
D/A
$5,571,207.00
Yes
$0.00
No
2020-07-16
D/A
$5,500,000.00
Yes
$0.00
Yes
2020-07-02
D/A
$5,500,000.00
Yes
$0.00
Yes
2020-06-19
D/A
$5,500,000.00
Yes
$0.00
Yes
2020-06-19
D/A
$5,500,000.00
Yes
$0.00
Yes
2020-06-05
D/A
$3,279,063.00
Yes
$0.00
No
2020-06-04
D/A
$5,500,000.00
Yes
$0.00
Yes
2020-05-21
D/A
$5,500,000.00
Yes
$0.00
Yes
2020-05-08
D/A
$5,500,000.00
Yes
$0.00
Yes
2020-04-23
D/A
$5,500,000.00
Yes
$0.00
Yes
2020-04-10
D/A
$5,500,000.00
Yes
$0.00
Yes
2020-03-26
D/A
$5,500,000.00
Yes
$0.00
Yes
2020-03-13
D/A
$7,500,000.00
Yes
$0.00
No
2020-03-12
D/A
$5,500,000.00
Yes
$0.00
Yes
2020-02-27
D/A
$5,500,000.00
Yes
$0.00
Yes
2020-02-13
D/A
$5,500,000.00
Yes
$0.00
Yes
2020-01-31
D/A
$5,500,000.00
Yes
$0.00
Yes
2020-01-21
D/A
$3,455,205.00
Yes
$0.00
No
2020-01-21
D/A
$3,417,245.00
Yes
$0.00
No
2020-01-17
D/A
$2,995,300.00
Yes
$0.00
No
2020-01-16
D/A
$5,500,000.00
Yes
$0.00
Yes
2020-01-03
D/A
$5,500,000.00
Yes
$0.00
Yes
2019-01-02
D/A
$2,152,583.00
No
$0.00
No
2018-12-20
D/A
$2,016,139.00
No
$0.00
No
2018-12-11
D/A
$2,996,000.00
Yes
$0.00
No
2018-12-06
D/A
$1,608,503.00
No
$0.00
No
2018-12-04
D/A
$1,608,503.00
No
$0.00
No
2018-11-14
D/A
$1,162,355.00
No
$0.00
No
2018-10-25
D/A
$2,040,424.00
No
$0.00
No
2018-10-01
D/A
$1,835,416.00
No
$0.00
No
2018-06-22
D/A
$2,278,500.00
Yes
$0.00
No
2018-01-03
D/A
$1,978,774.00
No
$0.00
No
2017-12-22
D/A
$1,951,916.00
No
$0.00
No
2017-12-14
D/A
$1,029,540.00
Yes
$0.00
No
2017-12-07
D/A
$2,089,082.00
Yes
$0.00
No
2017-10-10
D/A
$2,040,646.00
Yes
$0.00
No
2017-06-14
D/A
$579,850.00
Yes
$0.00
No
THIS RESPONSE IF BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS, FEES AND EXPENSE REIMBURSEMENTS WILL BE EARNED AND PAID.
2017-04-05
D/A
$579,850.00
Yes
$0.00
No
THIS RESPONSE IF BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS, FEES AND EXPENSE REIMBURSEMENTS WILL BE EARNED AND PAID.