Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
ALPS DISTRIBUTORS, INC.
16853
JOHN COLQUHOUN SWIFT
3044123
NLCG DISTRIBUTORS, LLC
156263
JOHN COLQUHOUN SWIFT
3044123
Companies
Company Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D/A
$0.00
Yes
$0.00
Yes
THE ENTITY LISTED IN ITEM 12 ABOVE IS DIRECTLY OR INDIRECTLY PAID COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MANAGER FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITY LISTED IN ITEM 12 ABOVE IS DIRECTLY OR INDIRECTLY PAID COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D
$0.00
Yes
$0.00
Yes
THE ENTITY LISTED IN ITEM 12 ABOVE IS DIRECTLY OR INDIRECTLY PAID COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE INVESTMENT MANAGER FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D
$0.00
Yes
$0.00
Yes
THE ENTITY LISTED IN ITEM 12 ABOVE IS DIRECTLY OR INDIRECTLY PAID COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
