Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NONE
NONE
GRANT WILLIAMS
45961
NONE
NONE
GRANT WILLIAMS LP
45961
NONE
NONE
GRANT WILLIAMS LP
45961
GRANT WILLIAMS L.P.
45961
DANIEL C. GIDDENS
1207944
NONE
NONE
GRANT WILLIAMS L.P.
45961
GRANT WILLIAMS
45961
GREGORY M WEINBERG
5689458
GRANT WILLIAMS, LP
45961
GRANT WILLIAMS, LP
45961
GRANT WILLIAMS LP
45961
GREGORY M. WEINBERG
5689458
GRANT WILLIAMS, LP
45961
GREGORY WEINBERG
5689458
GRANT WILLIAMS, LP
45961
GMW ORGANIZATION, LCC / GREGORY WEINBERG
5689458
GRANT WILLIAMS LP
45961
GREGORY WEINBERG
5689458
GRANT WILLIAMS L.P.
45961
BRIAN E. STENGEL
2681245
GRANT WILLIAMS L.P.
45961
NONE
NONE
GRANT WILLIAMS L.P.
45961
GREGORY WEINBERG
5689458
GRANT WILLIAMS L.P.
45961
BARRY SNYDER
2385901
GRANT WILLIAMS L.P.
45961
GREGORY WEINBERG
5689458
GRANT WILLIAMS L.P.
45961
BARRY SNYDER
2385901
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2026-07-06
D
$400,000.00
Yes
$0.00
No
2026-03-25
D
$400,000.00
Yes
$0.00
No
2026-03-17
D
$400,000.00
Yes
$0.00
No
2026-01-12
D/A
$666,419.00
Yes
$0.00
No
AVISEN SECURITIES, INC., EQUINOX GROUP DISTRIBUTORS, LLC, AND GRANT WILLIAMS L.P. NO LONGER RECEIVE COMMISSIONS.
2025-11-10
D/A
$0.00
No
$0.00
No
2025-11-10
D/A
$0.00
No
$0.00
No
2025-08-12
D/A
$53,715.00
No
$0.00
No
2025-05-01
D
$500,000.00
Yes
$0.00
No
2025-04-30
D
$200,000.00
Yes
$0.00
No
2025-04-04
D
$500,000.00
Yes
$0.00
No
2025-03-27
D
$250,000.00
Yes
$0.00
No
2024-12-06
D/A
$666,419.00
Yes
$0.00
No
AVISEN SECURITIES, INC., EQUINOX GROUP DISTRIBUTORS, LLC, AND GRANT WILLIAMS L.P. NO LONGER RECEIVE COMMISSIONS.
2024-11-12
D/A
$0.00
No
$0.00
No
2024-11-12
D/A
$0.00
No
$0.00
No
2024-10-11
D/A
$0.00
No
$0.00
No
2024-07-16
D/A
$500,000.00
Yes
$0.00
No
AN ADDITIONAL AND ESTIMATED $343,500 IN EQUITY-BASED COMPENSATION IN THE FORM OF WARRANTS
2024-06-03
D
$0.00
Yes
$0.00
No
THE GENERAL PARTNER HAS AGREED TO PAY TO THE PLACEMENT AGENT A PERCENTAGE OF THE CARRIED INTEREST PROCEEDS RECEIVED BY THE GENERAL PARTNER FROM THE ISSUER WITH RESPECT TO THOSE INVESTORS INTRODUCED TO THE GENERAL PARTNER BY THE PLACEMENT AGENT.
2024-03-20
D
$115,000.00
Yes
$0.00
No
2024-03-14
D/A
$500,000.00
Yes
$0.00
No
AN ADDITIONAL AND ESTIMATED $343,500 IN EQUITY-BASED COMPENSATION IN THE FORM OF WARRANTS
2023-12-06
D/A
$666,419.00
Yes
$0.00
No
AVISEN SECURITIES, INC., EQUINOX GROUP DISTRIBUTORS, LLC, AND GRANT WILLIAMS L.P. NO LONGER RECEIVE COMMISSIONS.
2023-11-14
D/A
$0.00
No
$0.00
No
2023-11-14
D/A
$0.00
No
$0.00
No
2023-04-11
D/A
$615,000.00
Yes
$0.00
No
AN ADDITIONAL AND ESTIMATED $370,000 IN EQUITY-BASED COMPENSATION IN THE FORM OF WARRANTS
2022-12-06
D/A
$666,419.00
Yes
$0.00
No
AVISEN SECURITIES, INC., EQUINOX GROUP DISTRIBUTORS, LLC, AND GRANT WILLIAMS L.P. NO LONGER RECEIVE COMMISSIONS.
2022-11-16
D/A
$0.00
No
$0.00
No
2022-11-16
D/A
$0.00
No
$0.00
No
2022-10-12
D
$500,000.00
Yes
$0.00
No
AN ADDITIONAL AND ESTIMATED $300,000 IN EQUITY-BASED COMPENSATION IN THE FORM OF WARRANTS
2022-03-30
D/A
$0.00
Yes
$0.00
No
THE PERSONS LISTED IN ITEM 12 MAY RECEIVE A PAYMENT BASED ON A PERCENTAGE OF THE CARRIED INTEREST EARNED BY THE GENERAL PARTNER. SUCH AMOUNTS CANNOT BE ESTIMATED.
2022-02-18
D/A
$0.00
No
$0.00
No
2022-01-04
D
$0.00
No
$0.00
No
2021-12-01
D/A
$650,415.00
Yes
$0.00
No
AVISEN SECURITIES, INC., EQUINOX GROUP DISTRIBUTORS, LLC, AND GRANT WILLIAMS L.P. NO LONGER RECEIVE COMMISSIONS.
2021-11-22
D/A
$0.00
No
$0.00
No
2021-11-22
D/A
$0.00
No
$0.00
No
2021-09-24
D
$400,000.00
No
$0.00
No
2020-11-30
D/A
$638,640.00
Yes
$0.00
No
AVISEN SECURITIES, INC., EQUINOX GROUP DISTRIBUTORS, LLC, AND GRANT WILLIAMS L.P. NO LONGER RECEIVE COMMISSIONS.
2020-11-19
D/A
$0.00
No
$0.00
No
2020-11-19
D/A
$0.00
No
$0.00
No
2020-11-12
D
$20,000.00
No
$0.00
No
2020-06-25
D/A
$100,000.00
Yes
$0.00
No
2019-11-29
D/A
$634,726.00
Yes
$0.00
No
AVISEN SECURITIES, INC., EQUINOX GROUP DISTRIBUTORS, LLC, AND GRANT WILLIAMS L.P. NO LONGER RECEIVE COMMISSIONS.
2019-11-20
D/A
$0.00
No
$0.00
No
2019-11-20
D/A
$0.00
No
$0.00
No
2018-11-30
D/A
$626,265.00
Yes
$0.00
No
AVISEN SECURITIES, INC., EQUINOX GROUP DISTRIBUTORS, LLC, AND GRANT WILLIAMS L.P. NO LONGER RECEIVE COMMISSIONS.
2018-11-20
D/A
$0.00
No
$0.00
No
2018-11-20
D/A
$0.00
No
$0.00
No
2018-06-12
D
$200,000.00
Yes
$0.00
No
MAXIMUM AMOUNT AS ESTIMATED ABOVE, BUT AN AMOUNT BETWEEN $100,000 AND $150,000 AS MORE ACCURATE. WARRANTS AS ADDITIONAL COMPENSATION.
2017-12-01
D/A
$626,265.00
Yes
$0.00
No
AVISEN SECURITIES, INC., EQUINOX GROUP DISTRIBUTORS, LLC, AND GRANT WILLIAMS L.P. NO LONGER RECEIVE COMMISSIONS.
2017-11-09
D/A
$0.00
No
$0.00
No
2017-11-09
D/A
$0.00
No
$0.00
No
2016-12-02
D/A
$620,020.00
Yes
$0.00
No
2016-12-01
D/A
$0.00
No
$0.00
No
2016-12-01
D/A
$0.00
No
$0.00
No
2016-07-11
D/A
$250,000.00
Yes
$0.00
No
SALES COMMISSIONS BASED ON AN AGGREGATE OFFERING AMOUNT OF $5 MILLION BASED ON A 5% CASH COMMISSION AND EXCLUDES VALUE OF WARRANTS TO PURCHASE 10% OF THE SECURITIES SOLD.
2016-02-10
D
$100,000.00
Yes
$0.00
No
SALES COMMISSIONS ESTIMATED ON AN ASSUMED AGGREGATE OFFERING AMOUNT OF $2 MILLION BASED ON A 5% CASH COMMISSION AND EXCLUDES VALUE OF WARRANTS TO PURCHASE 10% OF THE SECURITIES SOLD.
2015-12-09
D/A
$0.00
No
$0.00
No
2015-12-09
D/A
$0.00
No
$0.00
No
2015-12-03
D/A
$612,528.00
Yes
$0.00
No
2015-06-01
D
$250,000.00
No
$0.00
No
2014-12-03
D/A
$602,691.00
Yes
$0.00
No
2014-08-28
D/A
$0.00
No
$0.00
No
2014-08-28
D/A
$0.00
No
$0.00
No
2014-05-15
D/A
$0.00
No
$0.00
No
2014-05-15
D/A
$0.00
No
$0.00
No
2014-04-01
D/A
$608,000.00
Yes
$0.00
Yes
SALES COMMISSIONS ARE EXPECTED TO BE IN AN AMOUNT UP TO 4% OF THE TOTAL AMOUNT SOLD THROUGH BROKER-DEALERS, PAYABLE 1% IN FIRST YEAR AND BALANCE AS CASH IS AVAILABLE. SALES COMMISSIONS WILL REDUCE ADVISER-S FEE IN ITEM 16 ON A DOLLAR-FOR-DOLLAR BASIS.
2013-12-03
D/A
$579,086.00
Yes
$0.00
No
2013-10-08
D
$1,250.00
Yes
$0.00
No
5% COMMISSION OF SALES OF OUTSIDE INVESTORS
2013-05-17
D/A
$0.00
No
$0.00
No
2013-05-17
D/A
$0.00
No
$0.00
No
2013-05-16
D/A
$64,156.00
No
$0.00
No
2013-03-06
D/A
$556,494.00
Yes
$0.00
No
2012-05-29
D/A
$0.00
No
$0.00
No
2012-05-29
D/A
$0.00
No
$0.00
No
2012-03-06
D/A
$506,541.00
Yes
$0.00
No
THE GENERAL PARTNER PAYS EITHER (I) 25% OF ITS MANAGEMENT FEE AND PROFIT SHARE OR (II) 50% OF ITS MANAGEMENT FEE TO THE SELLING AGENTS. THE CURRENT OFFERING COMMENCED PRIOR TO 3/15/09; ITEM 15 REFLECTS THE REQUESTED INFORMATION COMMENCING FROM SUCH DATE.
2012-01-04
D/A
$48,271.00
No
$0.00
No
2011-05-24
D/A
$0.00
No
$0.00
No
2011-05-24
D/A
$0.00
No
$0.00
No
2011-03-16
D
$177,533.00
No
$0.00
No
2011-03-04
D/A
$426,679.00
Yes
$0.00
No
THE GENERAL PARTNER PAYS EITHER (I) 25% OF ITS MANAGEMENT FEE AND PROFIT SHARE OR (II) 50% OF ITS MANAGEMENT FEE TO THE SELLING AGENTS. THE CURRENT OFFERING COMMENCED PRIOR TO 3/15/09; ITEM 15 REFLECTS THE REQUESTED INFORMATION COMMENCING FROM SUCH DATE.
2010-06-10
D/A
$0.00
No
$0.00
No
2010-06-10
D/A
$0.00
No
$0.00
No
2010-03-11
D
$32,982.00
Yes
$0.00
No
THE GENERAL PARTNER PAYS EITHER (I) 25% OF ITS MANAGEMENT FEE AND PROFIT SHARE OR (II) 50% OF ITS MANAGEMENT FEE TO THE SELLING AGENTS. THE CURRENT OFFERING COMMENCED PRIOR TO 3/15/09; ITEM 15 REFLECTS THE REQUESTED INFORMATION COMMENCING FROM SUCH DATE.