Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

TRIAD ADVISORS, INC.
25803
JASON H. FREEMAN
2995587
TRIAD ADVISORS, INC.
25803
JASON FREEMAN
2995587
TRIAD ADVISORS INC.
25803
JASON FREEMAN
2995587
JASON H. FREEMAN
2995587
INTERNATIONAL ASSETS ADVISORY, LLC
10645
INTERNATIONAL ASSETS ADVISORY LLC
10645
JASON H. FREEMAN
2995587
INTERNATIONAL ASSETS ADVISORY, LLC
10645
JASON H. FREEMAN
2995587
INTERNATIONAL ASSETS ADVISORY
10645
JASON FREEMAN
2995587
DFPG INVESTMENTS, LLC
155576
JASON FREEMAN
2995587
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2020-12-28
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2019-01-29
D/A
$1,710,572.00
No
$0.00
No
2018-12-20
D/A
$2,016,139.00
No
$0.00
No
2018-11-14
D/A
$1,162,355.00
No
$0.00
No
2018-10-01
D/A
$1,835,416.00
No
$0.00
No
2018-01-11
D/A
$2,054,019.00
No
$0.00
No
2018-01-03
D/A
$1,978,774.00
No
$0.00
No
2017-12-22
D/A
$1,951,916.00
No
$0.00
No
2017-12-07
D/A
$2,089,082.00
Yes
$0.00
No
2017-09-19
D/A
$2,105,960.00
Yes
$0.00
No
2017-01-05
D
$435,540.00
Yes
$0.00
No
THIS ESTIMATED IS BASED ON THE MAXIMUM OFFERING BEING ACHIEVED.
2015-09-29
D/A
$2,959,329.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2015-09-09
D/A
$2,959,329.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2015-09-03
D/A
$1,130,408.00
Yes
$0.00
No
AMOUNT INCLUDES SELLING COMMISSIONS, DEALER FEE AND PLACEMENT AGENT FEE.
2015-08-24
D/A
$2,959,329.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2015-08-12
D
$2,959,329.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2015-07-24
D/A
$1,765,797.00
Yes
$0.00
No
AMOUNT INCLUDES SELLING COMMISSIONS, DEALER FEE AND PLACEMENT AGENT FEE.
2015-05-21
D/A
$5,460,933.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2015-04-30
D/A
$5,460,933.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2013-01-11
D/A
$750,000.00
Yes
$0.00
No
NONE OF THE COMMISSIONS WILL BE PAID OUT OF THE PROCEEDS OF THE OFFERING. THE ESTIMATED AMOUNT IS BASED ON ASSUMPTION THAT THE FULL AMOUNT OF THE OFFERING WILL BE SOLD THROUGH BROKERS.
2012-08-31
D/A
$2,800,000.00
Yes
$0.00
No
2012-05-04
D/A
$2,800,000.00
Yes
$0.00
No
2011-09-16
D/A
$2,800,000.00
Yes
$0.00
No