Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

SPARRING PARTNERS CAPITAL LLC
133780
WARREN H. SPAR
2357369
SPARRING PARTNERS CAPITAL LLC
133780
WARREN H. SPAR
2357369
SPARRING PARTNERS CAPITAL LLC
133780
WARREN H. SPAR
2357369
SPARRING PARTNERS CAPITAL LLC
133780
WARREN H. SPAR
2357369
WARREN H. SPAR
2357369
SPARRING PARTNERS CAPITAL LLC
133780
SPARRING PARTNERS CAPITAL LLC
133780
WARREN HAL SPAR
2357369
SPARRING PARTNERS CAPITAL LLC
133780
WARREN SPAR
2357369
SPARRING PARTNERS CAPITAL LLC
133780
WARREN SPAR
2357369
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2024-08-12
D/A
$20,000,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2024-08-12
D/A
$20,000,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2024-08-12
D/A
$20,000,000.00
No
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2024-08-12
D/A
$20,000,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2024-08-12
D/A
$20,000,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2024-08-12
D/A
$20,000,000.00
No
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2024-08-12
D/A
$20,000,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2024-08-12
D/A
$20,000,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2023-12-13
D/A
$20,000,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2023-12-13
D/A
$20,000,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2023-08-11
D/A
$20,000,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2023-08-11
D/A
$20,000,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2023-08-11
D/A
$20,000,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2023-08-11
D/A
$20,000,000.00
No
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2023-08-11
D/A
$20,000,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2023-08-11
D/A
$20,000,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2023-08-11
D/A
$20,000,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2023-08-11
D/A
$20,000,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2023-08-11
D/A
$20,000,000.00
No
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2023-07-14
D/A
$180,000.00
Yes
$0.00
No
A PERCENTAGE OF THE PROCEEDS WERE PAID TO SPARRING PARTNERS CAPITAL LLC AND AFFILIATES.
2020-12-29
D/A
$1,500,000.00
Yes
$0.00
No
THE ESTIMATE INCLUDES AMOUNTS WHICH MAY BE PAYABLE IN THE NEXT 12 MONTHS.
2020-07-16
D
$597,941.00
Yes
$0.00
No
2017-11-15
D
$0.00
No
$360,000.00
No
FINDERS-S FEES EARNED BY SPARRING PARTNERS CAPITAL LLC UPON THE ISSUANCE OF OFFERED SECURITIES TO CERTAIN INVESTOR.
2017-07-17
D
$12,000,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2017-07-17
D
$12,000,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2017-07-17
D
$12,000,000.00
No
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2016-07-12
D/A
$0.00
No
$0.00
No
2016-01-07
D
$0.00
No
$0.00
No
2015-05-08
D
$7,500,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2015-05-08
D
$7,500,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2015-05-08
D
$7,500,000.00
No
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2015-01-07
D
$10,000,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2015-01-07
D
$10,000,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE INCLUDES AMOUNTS THAT MAY BE PAYABLE IN THE NEXT 12 MONTHS IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR THE ISSUER-S PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2014-12-10
D
$42,500.00
Yes
$0.00
No
ESTIMATED DOLLAR EQUIVALENT OF EURO 34,125.
2014-05-19
D
$0.00
Yes
$0.00
No
COMPENSATION HAS NOT BEEN PAID AND IS TOO SPECULATIVE TO BE ESTIMATED OVER THE NEXT 12 MONTHS.
2014-05-19
D
$0.00
Yes
$0.00
No
COMPENSATION HAS NOT BEEN PAID AND IS TOO SPECULATIVE TO BE ESTIMATED OVER THE NEXT 12 MONTHS.
2014-01-15
D
$659,998.00
No
$0.00
No
2013-04-26
D
$1,350,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE IS THE MAXIMUM TOTAL AMOUNT AGREED BY THE PARTIES TO BE PAID IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR TWO PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2013-04-26
D
$1,350,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE IS THE MAXIMUM TOTAL AMOUNT AGREED BY THE PARTIES TO BE PAID IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR TWO PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2013-04-26
D
$1,350,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE IS THE MAXIMUM TOTAL AMOUNT AGREED BY THE PARTIES TO BE PAID IN CONNECTION WITH SALES OF INTERESTS IN THIS ISSUER AND FOR TWO PARALLEL FUNDS IF SPECIFIED AMOUNTS ARE INVESTED.
2011-01-28
D
$1,300,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE REFLECTS THAT THE PLACEMENT AGENT WILL RECEIVE A PORTION OF THE CARRIED INTEREST OF THE GP DURING THE FUND EXISTENCE AND UP TO $1,300,000 UPON INVESTORS COMMITTING CAPITAL TO THIS FUND AND AN AFFILIATED FUND.
2011-01-28
D
$1,300,000.00
Yes
$0.00
No
THE COMMISSION ESTIMATE REFLECTS THAT THE PLACEMENT AGENT WILL RECEIVE A PORTION OF THE CARRIED INTEREST OF THE GP DURING THE FUND EXISTENCE AND UP TO $1,300,000 UPON INVESTORS COMMITTING CAPITAL TO THIS FUND AND AN AFFILIATED FUND.
2010-10-04
D/A
$409,000.00
Yes
$0.00
No
THE SALES COMMISSION ESTIMATE IS BASED ON THE PLACEMENT AGENT BEING COMPENSATED FOR ITS ACTIVITIES BY RECEIVING A FEE BASED ON THE CAPITAL CONTRIBUTIONS OF CERTAIN INVESTORS AND A PORTION OF THE CARRIED INTEREST OF THE GP DURING THE FUND-S EXISTENCE.