Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

DFPG INVESTMENTS, INC.
155576
ROY R. JONES
3166097
AEGIS WEALTH GROUP LLC
222515
ROY R. JONES
3166097
M. H. LEBLANG, INC.
2535
ROY JONES
3166097
M. H. LEBLANG, INC.
2535
ROY JONES
3166097
ROY RUSSELL JONES
3166097
EVERSPIRE
222515
ROY RUSSELL JONES
3166097
CABOT LODGE SECURITIES LLC
159712
M. H. LEBLANG, INC.
2535
JONES, ROY RUSSEL
3166097
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2024-04-05
D
$1,170,000.00
Yes
$0.00
No
2022-11-02
D/A
$205,400.00
Yes
$0.00
No
INCLUDES BOTH SALES COMMISSIONS AND DUE DILIGENCE FEES.
2021-01-20
D/A
$205,400.00
Yes
$0.00
No
INCLUDES BOTH SALES COMMISSIONS AND DUE DILIGENCE FEES.
2020-04-30
D/A
$3,393,250.00
Yes
$0.00
No
2019-09-17
D/A
$20,000,000.00
Yes
$0.00
No
DEALER-MANAGER FEE - 2%; SALES COMMISSION - UP TO 7%; DUE DILIGENCE FEE - 0.5%; MARKETING EXPENSE FEE - 0.5%. 2% OF FEES AND COMMISSIONS WILL BE PAID BY SPONSOR.
2019-09-17
D/A
$20,000,000.00
Yes
$0.00
No
DEALER-MANAGER FEE - 2%; SALES COMMISSION - UP TO 7%; DUE DILIGENCE FEE - 0.5%; MARKETING EXPENSE FEE - 0.5%. 2% OF FEES AND COMMISSIONS WILL BE PAID BY SPONSOR.
2018-10-04
D/A
$7,500,000.00
Yes
$0.00
No
DEALER-MANAGER FEE - 2%; SALES COMMISSION - UP TO 7%; DUE DILIGENCE FEE - 0.5%; MARKETING EXPENSE FEE - $0.5%. 2% OF FEES AND COMMISSIONS WILL BE PAID BY SPONSOR.
2018-07-30
D/A
$2,288,685.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-06-28
D/A
$2,288,685.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-06-12
D/A
$2,288,685.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-05-25
D/A
$2,288,685.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-05-09
D/A
$2,288,685.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-04-20
D/A
$2,288,685.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-04-04
D/A
$2,288,685.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-03-20
D/A
$2,288,685.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-03-05
D/A
$2,288,685.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-02-22
D/A
$2,288,685.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-02-06
D/A
$2,288,685.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-01-19
D/A
$2,288,685.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2017-12-29
D/A
$1,456,070.00
Yes
$0.00
No
2017-12-21
D/A
$1,456,070.00
Yes
$0.00
No
2017-12-13
D/A
$1,456,070.00
Yes
$0.00
No
2017-11-28
D/A
$1,456,070.00
Yes
$0.00
No
2017-11-13
D/A
$1,456,070.00
Yes
$0.00
No