Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
FORESIDE FUND SERVICES, LLC
46106
KENNEDY, ALISON WHEELER
3173858
FORESIDE FUND SERVICES, LLC
46106
KENNEY, ALISON WHEELER
3173858
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D/A
$1,337.00
Yes
$0.00
No
RECIPIENT IS AN EMPLOYEE OF ADVEQ MANAGEMENT AG(OR AFFILIATES) AND A REGISTERED REP OF FORESIDE(FOR AN ANNUAL FEE). FORESIDE IS NOT ENTITLED TO SALES COMMISSIONS/FINDER FEES. TRANSACTION-BASED COMP PAID TO SUCH EMPLOYEE, IF ANY, IS PAID DIRECTLY BY ADVEQ.
D/A
$365.00
Yes
$0.00
No
RECIPIENT IS AN EMPLOYEE OF ADVEQ MANAGEMENT AG(OR AFFILIATES) AND A REGISTERED REP OF FORESIDE(FOR AN ANNUAL FEE). FORESIDE IS NOT ENTITLED TO SALES COMMISSIONS/FINDER FEES. TRANSACTION-BASED COMP PAID TO SUCH EMPLOYEE, IF ANY, IS PAID DIRECTLY BY ADVEQ.
D
$5,226.00
Yes
$0.00
No
RECIPIENT IS AN EMPLOYEE OF ADVEQ MANAGEMENT AG(OR AFFILIATES) AND A REGISTERED REP OF FORESIDE(FOR AN ANNUAL FEE). FORESIDE IS NOT ENTITLED TO SALES COMMISSIONS/FINDER FEES. TRANSACTION-BASED COMP PAID TO SUCH EMPLOYEE, IF ANY, IS PAID DIRECTLY BY ADVEQ.
D
$1,337.00
Yes
$0.00
No
RECIPIENT IS AN EMPLOYEE OF ADVEQ MANAGEMENT AG(OR AFFILIATES) AND A REGISTERED REP OF FORESIDE(FOR AN ANNUAL FEE). FORESIDE IS NOT ENTITLED TO SALES COMMISSIONS/FINDER FEES. TRANSACTION-BASED COMP PAID TO SUCH EMPLOYEE, IF ANY, IS PAID DIRECTLY BY ADVEQ.
D
$365.00
Yes
$0.00
No
RECIPIENT IS AN EMPLOYEE OF ADVEQ MANAGEMENT AG(OR AFFILIATES) AND A REGISTERED REP OF FORESIDE(FOR AN ANNUAL FEE). FORESIDE IS NOT ENTITLED TO SALES COMMISSIONS/FINDER FEES. TRANSACTION-BASED COMP PAID TO SUCH EMPLOYEE, IF ANY, IS PAID DIRECTLY BY ADVEQ.
D
$7,413.00
Yes
$0.00
No
RECIPIENT IS AN EMPLOYEE OF ADVEQ MANAGEMENT AG(OR AFFILIATES) AND A REGISTERED REP OF FORESIDE(FOR AN ANNUAL FEE). FORESIDE IS NOT ENTITLED TO SALES COMMISSIONS/FINDER FEES. TRANSACTION-BASED COMP PAID TO SUCH EMPLOYEE, IF ANY, IS PAID DIRECTLY BY ADVEQ.
