Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

DAVID FRANK
3256230
STONEHAVEN, LLC
118913
DAVID FRANK
3256230
STONEHAVEN, LLC
118913
STONEHAVEN, LLC
118913
DAVID THOMAS FRANK
3256230
STONEHAVEN, LLC
118913
DAVID THOMAS FRANK
3256230
STONEHAVEN, LLC
118913
DAVID THOMAS FRANK
3256230
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2023-09-15
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGMENT AND/OR THE INCENTIVE ALLOCATION.
2023-09-15
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGMENT AND/OR THE INCENTIVE ALLOCATION.
2023-08-11
D/A
$9,520,000.00
Yes
$0.00
No
2023-04-06
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGMENT AND/OR THE INCENTIVE ALLOCATION.
2022-09-16
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGMENT AND/OR THE INCENTIVE ALLOCATION.
2022-09-16
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGMENT AND/OR THE INCENTIVE ALLOCATION.
2022-08-12
D/A
$9,520,000.00
Yes
$0.00
No
2022-04-08
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGMENT AND/OR THE INCENTIVE ALLOCATION.
2021-09-17
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGMENT AND/OR THE INCENTIVE ALLOCATION.
2021-09-17
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGMENT AND/OR THE INCENTIVE ALLOCATION.
2021-08-13
D/A
$9,520,000.00
Yes
$0.00
No
2021-04-09
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGMENT AND/OR THE INCENTIVE ALLOCATION.
2020-09-18
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGMENT AND/OR THE INCENTIVE ALLOCATION.
2020-09-18
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGMENT AND/OR THE INCENTIVE ALLOCATION.
2020-08-14
D/A
$9,520,000.00
Yes
$0.00
No
2020-04-10
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGMENT AND/OR THE INCENTIVE ALLOCATION.
2019-09-20
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGMENT AND/OR THE INCENTIVE ALLOCATION.
2019-09-20
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGMENT AND/OR THE INCENTIVE ALLOCATION.
2019-08-16
D/A
$5,413,643.00
Yes
$0.00
No
2019-04-11
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGMENT AND/OR THE INCENTIVE ALLOCATION.
2018-09-21
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGMENT AND/OR THE INCENTIVE ALLOCATION.
2018-09-21
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGMENT AND/OR THE INCENTIVE ALLOCATION.
2018-08-17
D/A
$6,319,474.00
Yes
$0.00
No
2018-04-11
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGMENT AND/OR THE INCENTIVE ALLOCATION.
2017-09-22
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGMENT AND/OR THE INCENTIVE ALLOCATION.
2017-09-22
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGMENT AND/OR THE INCENTIVE ALLOCATION.
2017-08-18
D/A
$6,319,474.00
Yes
$0.00
No
2017-04-11
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGMENT AND/OR THE INCENTIVE ALLOCATION.
2016-09-23
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGMENT AND/OR THE INCENTIVE ALLOCATION.
2016-09-23
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGMENT AND/OR THE INCENTIVE ALLOCATION.
2016-08-18
D/A
$6,319,474.00
Yes
$0.00
No
2016-04-12
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGMENT AND/OR THE INCENTIVE ALLOCATION.
2015-09-23
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGMENT AND/OR THE INCENTIVE ALLOCATION.
2015-09-23
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGMENT AND/OR THE INCENTIVE ALLOCATION.
2015-09-23
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE GENERAL PARTNER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGMENT AND/OR THE INCENTIVE ALLOCATION.
2015-08-18
D/A
$4,745,244.00
Yes
$0.00
No
2014-09-23
D/A
$0.00
Yes
$0.00
Yes
THE PERSONS LISTED IN ITEM 12 ABOVE ARE PAID DIRECTLY OR INDIRECTLY 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.
2014-09-23
D/A
$0.00
Yes
$0.00
Yes
THE PERSONS LISTED IN ITEM 12 ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER, OR ITS AFFILIATE, FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
2014-09-23
D/A
$0.00
Yes
$0.00
Yes
THE PERSONS LISTED IN ITEM 12 ABOVE ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GENERAL PARTNER, OR ITS AFFILIATE, FROM THE ASSETS UNDER MANAGMENT AND/OR THE INCENTIVE ALLOCATION.
2014-08-19
D/A
$7,842,301.00
Yes
$0.00
No
2013-08-16
D/A
$702,271.00
Yes
$0.00
No
2012-08-16
D/A
$702,271.00
Yes
$0.00
No
2011-08-16
D/A
$702,271.00
No
$0.00
No
2010-08-17
D/A
$21,025.00
No
$0.00
No