Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

CAPSTONE INVESTMENTS
41400
OSHIRO, MICHAEL HENRY
2271174
CAPSTONE INVESTMENTS
41400
MICHAEL OSHIRO
2271174
CAPSTONE INVESTMENTS
41400
MICHAEL H. OSHIRO
2271174
CAPSTONE INVESTMENTS
41400
MICHAEL OSHIRO
2271174
CAPSTONE INVESTMENTS
41400
MIKE OHIRO
2271174
CENTARA CAPITAL SECURITIES, INC.
130702
MIKE OHIRO
2271174
CENTARA CAPITAL SECURITIES, INC.
130702
MIKE OSHIRO
2271174
CENTARA CAPITAL SECURITIES, INC.
130702
MIKE OSHIRO
2271174
CENTARA CAPITAL SECURITIES, INC.
130702
MICHAEL H. OSHIRO
2271174
CENTARA CAPITAL SECURITIES INC
130702
MICHAEL OSHIRO
2271174
CAPLINK SECURITIES, INC.
130702
MIKE OSHIRO
2271174
CAPLINK SECURITIES, INC
130702
MICHAEL H. OSHIRO
2271174
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2023-08-03
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
2022-11-17
D/A
$0.00
No
$0.00
No
2022-11-17
D/A
$0.00
No
$0.00
No
2022-11-17
D/A
$0.00
No
$0.00
No
2022-08-09
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
2021-12-13
D/A
$0.00
No
$0.00
No
2021-11-30
D/A
$0.00
No
$0.00
No
2021-11-30
D/A
$0.00
No
$0.00
No
2021-11-24
D/A
$0.00
No
$0.00
No
2021-08-13
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
2020-08-20
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
2019-08-28
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
2019-08-14
D/A
$0.00
Yes
$0.00
No
2019-02-13
D/A
$2,975,735.00
Yes
$0.00
No
2018-08-30
D/A
$0.00
No
$0.00
No
2018-08-30
D/A
$0.00
No
$0.00
No
2018-08-30
D/A
$0.00
No
$0.00
No
2018-08-28
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
2018-02-27
D/A
$2,975,735.00
Yes
$0.00
No
2017-08-30
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
2017-07-26
D/A
$0.00
No
$0.00
No
2017-07-26
D/A
$0.00
No
$0.00
No
2017-07-26
D/A
$0.00
No
$0.00
No
2017-03-09
D/A
$2,958,644.00
Yes
$0.00
No
2016-08-30
D/A
$0.00
Yes
$0.00
Yes
2016-07-26
D/A
$0.00
No
$0.00
No
2016-07-26
D/A
$0.00
No
$0.00
No
2016-07-26
D/A
$0.00
No
$0.00
No
2016-03-15
D/A
$2,602,527.00
Yes
$0.00
No
2015-10-28
D/A
$0.00
No
$0.00
No
2015-09-10
D/A
$0.00
Yes
$0.00
Yes
2015-07-30
D/A
$0.00
No
$0.00
No
2015-07-30
D/A
$0.00
No
$0.00
No
2015-07-30
D/A
$0.00
No
$0.00
No
2015-07-24
D/A
$0.00
No
$0.00
No
2015-07-23
D/A
$0.00
No
$0.00
No
2015-07-23
D/A
$0.00
No
$0.00
No
2015-04-01
D/A
$2,246,452.00
Yes
$0.00
No
2015-01-23
D/A
$0.00
No
$0.00
No
2015-01-23
D/A
$0.00
No
$0.00
No
2014-09-10
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ABOVE ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO INVESTMENT MANAGER FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
2014-08-08
D/A
$0.00
No
$0.00
No
2014-07-23
D/A
$0.00
No
$0.00
No
2014-07-01
D/A
$0.00
No
$0.00
No
2014-06-30
D
$0.00
No
$0.00
No
2014-04-07
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ABOVE ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO INVESTMENT MANAGER FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
2014-04-04
D/A
$1,890,373.00
Yes
$0.00
No
2013-09-23
D/A
$0.00
No
$0.00
No
2013-09-13
D/A
$0.00
No
$0.00
No
2013-09-05
D/A
$0.00
No
$0.00
No
2013-09-05
D/A
$0.00
No
$0.00
No
2013-08-07
D
$0.00
No
$0.00
No
2013-08-02
D/A
$0.00
No
$0.00
No
2013-04-29
D/A
$1,431,262.00
Yes
$0.00
No
2013-04-26
D/A
$0.00
No
$0.00
No
2013-04-26
D
$0.00
No
$0.00
No
2013-04-11
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ABOVE ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION
2012-08-29
D/A
$0.00
No
$0.00
No
2012-06-20
D/A
$1,279,087.00
Yes
$0.00
No
FEES PAID FOR THE LIFE OF THE FUND (ESTIMATE)
2012-05-09
D/A
$0.00
No
$0.00
No
2012-05-04
D/A
$1,279,087.00
Yes
$0.00
No
FEES PAID FOR THE LIFE OF THE FUND (ESTIMATE)
2012-05-01
D/A
$40,985.00
Yes
$0.00
No
2012-05-01
D/A
$1,111,809.00
Yes
$0.00
No
2012-04-17
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ABOVE ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION
2012-04-16
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ABOVE ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION
2011-10-20
D/A
$30,741.00
Yes
$0.00
No
2011-10-20
D/A
$843,624.00
Yes
$0.00
No
2011-09-29
D/A
$0.00
No
$0.00
No
2011-05-31
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ABOVE ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION
2011-05-09
D/A
$1,237,245.00
Yes
$0.00
No
FEES PAID FOR THE LIFE OF THE FUND (ESTIMATE)
2011-04-15
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ABOVE ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION
2011-04-15
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ABOVE ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION
2010-10-19
D/A
$0.00
No
$0.00
No
2010-06-29
D/A
$1,195,200.00
Yes
$0.00
No
FEES PAID FOR THE LIFE OF THE FUND (ESTIMATE)
2009-06-10
D
$0.00
No
$0.00
No
2009-03-16
D
$0.00
No
$0.00
No