Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

MEIXIN SECURITIES LLC
295634
HUI CHEN
5985515
MEIXIN SECURITIES LLC
295634
MEIXIN SECURITIES LLC
295634
MEIXIN SECURITIES LLC
295634
HUI CHEN
5985515
MEIXIN SECURITIES LLC
295634
JUN ZHANG
5432720
MEIXIN SECURITIES LLC
295634
BONIAN FAN
57046464
MEIXIN SECURITIES LLC
295634
MEIXIN SECURITIES LLC
NONE
MX SECURITIES LLC
295634
MX SECURITIES LLC
295634
MEIXIN SECURITIES LLC
295634
MEIXIN SECURITIES
NONE
MEIXIN SECURITIES LLC
295634
MEIXIN SECURITIES
NONE
MEIXIN SECURITIES LLC
295634
MEIXIN SECURITIES LLC
NONE
MX SECURITIES LLC
295634
MX SECURITIES LLC
NONE
MX SECURITIES LLC
295634
MX SECURITIES LLC
NONE
UPMARKET SECURITIES LLC
295634
UPMARKET SECURITIES LLC
NONE
UPMARKET SECURITIES LLC
295634
UPMARKET SECURITIES LLC
NONE
UPMARKET SECURITIES LLC
295634
UPMARKET SECURITIES LLC
NONE
UPMARKET SECURITIES
295634
UPMARKET SECURITIES
NONE
UPMARKET SECURITIES LLC
295634
UPMARKET SECURITIES LLC
NONE
UPMARKET SECURITIES LLC
295634
UPMARKET SECURITIES LLC
NONE
UPMARKET SECURITIES LLC
295634
UPMARKET SECURITIES LLC
NONE
UPMARKET SECURITIES LLC
295634
UPMARKET SECURITIES LLC
NONE
NONE
NONE
UPMARKET SECURITY LLC
295634
Companies
Company Name
DMG BUFFALO STUDENT INCOME MASTER LP
ADELINE BERKELEY OPPORTUNITY ZONE FUND LP
LIFE SETTLEMENT ACCESS FUND US LP
SERIES FUND H, A SERIES OF MX PRE-IPO PORTFOLIO FUND I LLC
SERIES FUND I, A SERIES OF MX PRE-IPO PORTFOLIO FUND I LLC
SERIES FUND J, A SERIES OF MX PRE-IPO PORTFOLIO FUND I LLC
SERIES FUND K, A SERIES OF MX PRE-IPO PORTFOLIO FUND I LLC
SERIES FUND A, A SERIES OF MX PRE-IPO PORTFOLIO FUND II LLC
SHIMA CRYPTO ACCESS FUND LLC
SPX ACCESS FUND I LLC A4/B4
SERIES FUND D, A SERIES OF UM PRE-IPO PORTFOLIO FUND II LLC
SERIES FUND L, A SERIES OF MX PRE-IPO PORTFOLIO FUND I LLC
UM BLOCKCHAIN ACCESS FUND I LLC
SERIES FUND G, A SERIES OF UM PRE-IPO PORTFOLIO FUND II LLC
SERIES FUND F, A SERIES OF UM PRE-IPO PORTFOLIO FUND II LLC
UM TAX AWARE HELIX FUND LP
SPX ACCESS FUND II LLC
NG ENERGY ACCESS FUND LP
SERIES FUND H, A SERIES OF UM PRE-IPO PORTFOLIO FUND II LLC
AETERNA WYM LLC
SERIES FUND S, A SERIES OF UM PRE-IPO PORTFOLIO FUND II LLC
SERIES FUND R, A SERIES OF UM PRE-IPO PORTFOLIO FUND II LLC
SERIES FUND E, A SERIES OF UM PRE-IPO PORTFOLIO FUND III LLC
SERIES FUND D, A SERIES OF UM PRE-IPO PORTFOLIO FUND III LLC
SERIES E, A SERIES OF UM AI + FRONTIER TECHNOLOGY FUND LLC
SERIES D, A SERIES OF UM AI + FRONTIER TECHNOLOGY FUND LLC
SERIES FUND P, A SERIES OF UM PRE-IPO PORTFOLIO FUND II LLC
SERIES FUND O, A SERIES OF UM PRE-IPO PORTFOLIO FUND II LLC
SERIES FUND N, A SERIES OF UM PRE-IPO PORTFOLIO FUND II LLC
SERIES C, A SERIES OF UM AI + FRONTIER TECHNOLOGY FUND LLC
SERIES B A SERIES OF UM AI + FRONTIER TECHNOLOGY FUND LLC
SERIES FUND A, A SERIES IF UM PRE-IPO PORTFOLIO FUND III LLC
SERIES B, A SERIES OF UM PRE-IPO PORTFOLIO FUND III LLC
SERIES FUND L, A SERIES OF UM PRE-IPO
SERIES FUND J, A SERIES OF UM PRE-IPO PORTFOLIO FUND II LLC
ADELINE BERKELY IMMIGRATION FUND LP
SERIES FUND K, A SERIES OF UM PRE-IPO PORTFOLIO FUND II LLC
POWER + GAS ENERGY ACCESS FUND LP
ADELINE FUNDING SPV LLC
SERIES FUND M, A SERIES OF UM PRE-IPO PORTFOLIO FUND II LLC
SERIES FUND Q, A SERIES OF UM PRE-IPO PORTFOLIO FUND II LLC
SMID BIOTECH ACCESS FUND LP
ALC 125 L.P.
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2026-06-10
D
$525,900.00
Yes
$0.00
No
2026-05-26
D/A
$400,000.00
Yes
$0.00
No
2026-05-05
D/A
$54,300.00
Yes
$0.00
No
2026-05-05
D
$29,400.00
Yes
$0.00
No
2026-05-01
D
$54,300.00
Yes
$0.00
No
2026-01-29
D
$66,900.00
Yes
$0.00
No
2026-01-29
D
$250.00
Yes
$0.00
No
2026-01-08
D
$579,900.00
Yes
$0.00
No
2025-12-11
D
$225,000.00
Yes
$0.00
No
2025-12-01
D
$36,000.00
Yes
$0.00
No
2025-10-03
D
$183,360.00
Yes
$0.00
No
2025-10-01
D
$41,075,000.00
Yes
$0.00
No
2025-09-18
D
$80,000.00
Yes
$0.00
No
2025-08-21
D
$2,964,000.00
Yes
$0.00
No
2025-06-02
D
$24,780.00
No
$0.00
No
2025-05-29
D
$10,800.00
Yes
$0.00
No
2025-05-15
D
$172,500.00
Yes
$0.00
No
2025-04-28
D
$107,400.00
Yes
$0.00
No
2025-01-24
D
$27,500.00
Yes
$0.00
No
2024-10-10
D
$11,550.00
Yes
$0.00
No
1% MGT FEE
2024-10-03
D
$14,000.00
Yes
$0.00
No
2% MGT FEE
2024-08-26
D
$24,000.00
Yes
$0.00
No
MGT FEE
2024-08-21
D
$4,700.00
No
$0.00
No
1% MGT FEE
2024-06-26
D
$8,000.00
Yes
$0.00
No
2024-06-03
D
$7,000.00
Yes
$0.00
No
2024-04-29
D
$63,000.00
Yes
$0.00
No
2024-02-07
D
$5,000.00
Yes
$0.00
No
2024-01-04
D
$16,800.00
Yes
$0.00
No
2023-09-28
D/A
$13,000.00
Yes
$0.00
No
1% MGT FEE
2023-08-17
D
$1,500.00
Yes
$0.00
No
2022-07-25
D
$17,500.00
Yes
$0.00
No
2022-06-07
D
$576,000.00
Yes
$0.00
No
2022-03-14
D
$6,750.00
Yes
$0.00
No
2022-03-02
D
$6,000.00
Yes
$0.00
No
2022-01-20
D
$245,000.00
Yes
$0.00
No
2021-12-15
D
$45,000.00
No
$0.00
No
2021-11-16
D
$6,300.00
Yes
$0.00
No
2021-11-15
D
$113,400.00
Yes
$0.00
No
2021-08-20
D/A
$261,000.00
Yes
$0.00
No
2021-08-04
D/A
$258,500.00
Yes
$0.00
No
2021-07-30
D/A
$0.00
No
$0.00
No
2021-07-27
D
$1,000.00
Yes
$0.00
No
2021-07-20
D
$128,000.00
Yes
$0.00
No
2021-06-28
D/A
$85,800.00
Yes
$0.00
No
2021-06-22
D
$47,200.00
Yes
$0.00
No
2020-11-19
D
$3,000.00
Yes
$0.00
No
2020-08-10
D
$110,000.00
Yes
$0.00
No