Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
NATIONAL PLANNING CORP.
29604
JOHN MORIARTY
2720704
NATIONAL PLANNING CORP
29604
JOHN MORIARITY
2720704
KALOS CAPITAL, INC.
44337
JOHN MORIARTY
2720704
JOHN EDWARD MORIARTY
2720704
KALOS CAPITAL, INC.
44337
KALOS CAPITAL
44337
JOHN MORIARTY
2720704
KALOS CAPITAL, INC.
44337
JOHN EDWARD MORIARTY
2720704
KALOS CAPITAL, INC.
44337
JOHN EDWARD MORIANTY
2720704
JOHN MORIARTY
2720704
KALOS CAPITAL, INC.
44337
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
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.
D
$1,010,404.00
No
$0.00
No
INCLUSIVE OF $556,063.10 SELLING COMMISSIONS; $120,769.28 DUE DILIGENCE FEES; $166,786.20 MARKETING/WHOLESALE FEES; AND $166,786.20 MANAGING BROKER FEES.
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$2,555,942.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$3,125,811.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D/A
$2,555,942.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
D
$1,228,345.00
No
$0.00
No
SALES COMMISSIONS: $664,090.00; DUE DILIGENCE FEES: $158,370.32; MARKETING FEES: $197,370.11; MANAGING BROKER DEALER FEE: $208,515.27
D
$778,158.00
No
$0.00
No
SALES COMMISSIONS: $443,324; BROKER DEALER DUE DILIGENCE FEES: $99,570; MANAGING BROKER FEE: $202,264; MANAGING BROKER MARKETING FEES: $33,000
D
$971,489.00
No
$0.00
No
SALES COMMISSIONS: $527,142.00; DUE DILIGENCE FEES: $116,184.81; MARKETING FEES: $163,280.39; MANAGING BROKER DEALER FEE: $164,882.63
