Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
NONE
NONE
EASTERLY SECURITIES LLC
281103
NONE
NONE
EASTERLY SECURITIES LLC
281103
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D/A
$0.00
No
$0.00
No
EACH BD IS ENTITLED TO RECEIVE A % OF MGT FEE + INCENTIVE FEE ATTRIBUTABLE TO INVESTORS IT INTRODUCED TO THE FUND. ON 2/11/12, 4/8/15, 4/12/18 + 3/29/19 THE FUND CEASED TO USE THE SVCS OF CAP GROWTH SEC, PICKWICK CAP, LCS SEC + EASTERLY SEC.
D/A
$0.00
No
$0.00
No
EACH BD IS ENTITLED TO RECEIVE A % OF MGMT FEE + INCENTIVE FEE ATTRIBUTABLE TO INVESTORS IT INTRODUCED TO THE FUND. ON 2/11/12, 4/8/15, 4/12/18 + 3/29/19 THE FUND CEASED TO USE THE SVCS OF CAP GROWTH SEC, PICKWICK CAP + LCS SEC + EASTERLY SEC.
D/A
$0.00
No
$0.00
No
EACH BD IS ENTITLED TO RECEIVE A % OF MGMT FEE + INCENTIVE FEE ATTRIBUTABLE TO INVESTORS IT INTRODUCED TO THE FUND. ON 2/11/12, 4/8/15, 4/12/18 + 3/29/19 THE FUND CEASED TO USE THE SVCS OF CAP GROWTH SEC, PICKWICK CAP + LCS SEC + EASTERLY SEC.
D/A
$0.00
No
$0.00
No
EACH BD IS ENTITLED TO RECEIVE A % OF MGMT FEE + INCENTIVE FEE ATTRIBUTABLE TO INVESTORS IT INTRODUCED TO THE FUND. ON 2/11/12, 4/8/15, 4/12/18 + 3/29/19 THE FUND CEASED TO USE THE SVCS OF CAP GROWTH SEC, PICKWICK CAP + LCS SEC + EASTERLY SEC.
D/A
$0.00
No
$0.00
No
EACH BD IS ENTITLED TO RECEIVE A % OF MGMT FEE + INCENTIVE FEE ATTRIBUTABLE TO INVESTORS IT INTRODUCED TOTHE FUND. ON 2/11/12, 4/8/15, 4/12/18 + 3/29/19 THE FUND CEASED TO USE THE SVCS OF CAP GROWTH SEC, PICKWICK CAP +LCS SEC + EASTERLY SEC.
D/A
$0.00
No
$0.00
No
EACH B/D IS ENTITLED TO RECEIVE A PERCENT OF THE MGMT FEE + INCENTIVE ALLOCATION ATTRIBUTABLE TO THE INVESTORS IT INTRODUCED TO THE FUND. ON 2/11/12, 4/8/15 + 4/12/18, THE ISSUER HAS CEASED TO USE THE SVCS OF CAP GROWTH SEC, PICKWICK CAP, + LCS SECS.
D/A
$0.00
No
$0.00
No
EACH B/D IS ENTITLED TO RECEIVE A PERCENT OF THE MGMT FEE + INCENTIVE ALLOCATION ATTRIBUTABLE TO THE INVESTORS IT INTRODUCED TO THE FUND. ON 2/11/12 + 4/8/15, THE ISSUER CEASED TO USE THE SVCS OF CAP GROWTH SEC LLC + PICKWICK CAP PTNRS, LLC, RESPECTIVELY.
D/A
$0.00
No
$0.00
No
EACH B/D IS ENTITLED TO RECEIVE A PERCENT OF THE MGMT FEE + INCENTIVE ALLOCATION ATTRIBUTABLE TO THE INVESTORS IT INTRODUCED TO THE FUND. ON 2/11/12 + 4/8/15, THE ISSUER CEASED TO USE THE SVCS OF CAP GROWTH SEC LLC + PICKWICK CAP PTNRS, LLC, RESPECTIVELY.
D/A
$0.00
No
$0.00
No
EACH B/D IS ENTITLED TO RECEIVE A PERCENT OF THE MGMT FEE + INCENTIVE ALLOCATION ATTRIBUTABLE TO THE INVESTORS IT INTRODUCED TO THE FUND. ON 2/11/12 + 4/8/15, THE ISSUER CEASED TO USE THE SVCS OF CAP GROWTH SEC LLC + PICKWICK CAP PTNRS, LLC, RESPECTIVELY.
D/A
$0.00
No
$0.00
No
EACH B/D IS ENTITLED TO RECEIVE A PERCENT OF THE MGMT FEE + INCENTIVE ALLOCATION ATTRIBUTABLE TO THE INVESTORS IT INTRODUCED TO THE FUND. ON 2/11/12 + 4/8/15, THE ISSUER CEASED TO USE THE SVCS OF CAP GROWTH SEC LLC + PICKWICK CAP PTNRS, LLC, RESPECTIVELY.
D/A
$0.00
No
$0.00
No
EACH B/D IS ENTITLED TO RECEIVE A PERCENTAGE OF THE MANAGEMENT FEE AND INCENTIVE ALLOCATION ATTRIBUTABLE TO THE INVESTORS IT INTRODUCED TO THE FUND.
D/A
$0.00
No
$0.00
No
EACH B/D IS ENTITLED TO RECEIVE A PERCENT OF THE MGMT FEE + INCENTIVE ALLOCATION ATTRIBUTABLE TO THE INVESTORS IT INTRODUCED TO THE FUND. ON 2/11/12 + 4/8/15, THE ISSUER CEASED TO USE THE SVCS OF CAP GROWTH SEC LLC + PICKWICK CAP PTNRS, LLC, RESPECTIVELY.
D/A
$0.00
No
$0.00
No
EACH B/D IS ENTITLED TO RECEIVE A PERCENT OF THE MGMT FEE + INCENTIVE ALLOCATION ATTRIBUTABLE TO THE INVESTORS IT INTRODUCED TO THE FUND. ON 2/11/12 + 4/8/15, THE ISSUER CEASED TO USE THE SVCS OF CAP GROWTH SEC LLC + PICKWICK CAP PTNRS, LLC, RESPECTIVELY.
