Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

EMERSON EQUITY LLC
130032
ALEXANDER W. DUFF
2663004
EMERSON EQUITY LLC
130032
ALEXANDER W. DUFF
2663004
EMERSON EQUITY LLC
130032
ALEXANDER WILLARD DUFF
2663004
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2023-11-03
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENT LISTED IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE MANAGER ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
2022-11-03
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENT LISTED IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE MANAGER ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
2021-11-05
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENT LISTED IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE MANAGER ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
2020-11-06
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENT LISTED IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE MANAGER ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
2019-11-07
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENT LISTED IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE MANAGER ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
2018-11-15
D
$0.00
Yes
$0.00
Yes
THE RECIPIENT LISTED IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE MANAGER ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
2018-05-07
D/A
$62,105.00
Yes
$0.00
Yes
ESTIMATED SALES COMMISSIONS EQUAL TO 20% OF ANY MANAGEMENT FEES RECEIVED BY MANAGER ON ANY INVESTMENT.
2017-05-02
D/A
$60,244.00
Yes
$0.00
Yes
ESTIMATED SALES COMMISSIONS EQUAL TO 20% OF ANY MANAGEMENT FEES RECEIVED BY MANAGER ON ANY INVESTMENT.
2016-05-31
D/A
$218,579.00
Yes
$0.00
No
ESTIMATED SALES COMMISSIONS EQUAL TO 20% OF ANY MANAGEMENT FEES RECEIVED BY MANAGER ON ANY INVESTMENT.
2013-04-30
D/A
$0.00
No
$0.00
No
2012-04-23
D/A
$1,695.00
Yes
$0.00
No