Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

RIVERSTONE WEALTH MANAGEMENT
40418
PAUL GAUTIER
4817212
RIVERSTONE WEALTH MANAGEMENT
40418
PAUL GAUTIER
4817212
RIVERSTONE WEALTH MANAGEMENT, INC.
40418
PAUL K. GAUTIER, SR.
4817212
RIVERSTONE WEALTH MANAGEMENT
40418
PAUL GAUTIER
4817212
RIVERSTONE WEALTH MANAGEMENT, INC
40418
PAUL GAUTIER
4817212
CARY STREET PARTNERS
128089
PAUL GAUTIER
4817212
CARY STREET PARTNERS
128089
PAUL GAUTIER
4817212
CARY STREET PARTNERS
128089
PAUL GAUTIER
4817212
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2021-11-16
D/A
$756,865.00
Yes
$0.00
No
2021-09-22
D/A
$756,865.00
Yes
$0.00
No
2021-08-04
D/A
$756,865.00
Yes
$0.00
No
2021-07-26
D/A
$756,865.00
Yes
$0.00
No
2021-06-28
D/A
$756,865.00
Yes
$0.00
No
2021-06-03
D/A
$756,865.00
Yes
$0.00
No
2021-05-14
D/A
$756,865.00
Yes
$0.00
No
2021-03-10
D/A
$756,865.00
Yes
$0.00
No
2021-02-02
D/A
$756,865.00
Yes
$0.00
No
2019-12-16
D/A
$1,890,422.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2019-11-04
D/A
$1,890,422.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2019-10-18
D/A
$1,890,422.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2019-10-07
D/A
$1,890,422.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2019-10-01
D/A
$1,890,422.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2019-09-11
D/A
$1,890,422.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2019-08-30
D/A
$1,890,422.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2019-08-20
D/A
$1,890,422.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2016-11-28
D/A
$440,089.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2016-08-29
D/A
$440,089.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2016-08-15
D/A
$440,089.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2014-01-09
D/A
$321,055.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2014-01-09
D/A
$481,150.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2013-12-30
D/A
$481,150.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2013-12-30
D/A
$321,055.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2013-12-23
D/A
$321,055.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2013-12-23
D/A
$481,150.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN MARKETING AND OTHER EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE
2013-02-21
D/A
$487,000.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN DUE DILIGENCE AND MARKETING EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE.
2013-01-07
D/A
$487,000.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN DUE DILIGENCE AND MARKETING EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE.
2012-12-17
D/A
$487,000.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN DUE DILIGENCE AND MARKETING EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE.
2012-12-04
D/A
$487,000.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN DUE DILIGENCE AND MARKETING EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE.
2012-11-13
D/A
$487,000.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN DUE DILIGENCE AND MARKETING EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE.
2012-11-07
D/A
$487,000.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN DUE DILIGENCE AND MARKETING EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE.
2012-10-29
D/A
$487,000.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN DUE DILIGENCE AND MARKETING EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE.
2012-10-16
D/A
$487,000.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN DUE DILIGENCE AND MARKETING EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE.
2012-10-09
D/A
$487,000.00
Yes
$0.00
No
IN ADDITION, BROKER DEALERS WILL SHARE IN A PORTION OF THE ISSUER DISTRIBUTIONS, AND ISSUER MAY PAY OR REIMBURSE TO BROKER DEALERS CERTAIN DUE DILIGENCE AND MARKETING EXPENSES, AND MAY PAY AN ADDITIONAL 0.3% NON-ACCOUNTABLE MARKETING ALLOWANCE.
2010-10-07
D
$81,250.00
Yes
$0.00
No
2010-08-02
D
$50,000.00
Yes
$0.00
No
2009-12-04
D
$10,500.00
Yes
$0.00
No
2009-12-04
D
$9,000.00
Yes
$0.00
No
2009-10-30
D
$500,000.00
Yes
$0.00
No
2009-09-03
D
$68,528.00
No
$0.00
No
2009-04-27
D
$450,000.00
Yes
$0.00
No
2009-04-01
D
$39,000.00
Yes
$0.00
No