Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

THOMAS CARROLL
4992661
SDDCO. BROKERAGE ADVISORS LLC
153563
THOMAS E. CARROLL
4992661
INDEPENDENT BROKERAGE SOLUTIONS LLC
153563
THOMAS CARROLL
4992661
BALLAST ROCK CAPITAL LLC
322170
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2025-10-24
D/A
$150,000.00
Yes
$0.00
No
BALLAST ROCK CAPITAL LLC WILL RECEIVE A 0.15% PLACEMENT FEE.
2024-11-05
D/A
$150,000.00
Yes
$0.00
No
INDEPENDENT BROKERAGE SOLUTIONS LLC SHALL BE PAID A PLACEMENT FEE OF 0.15% OF THE AGGREGATE CAPITAL COMMITMENT TO THE ISSUER.
2024-11-05
D/A
$150,000.00
Yes
$0.00
No
INDEPENDENT BROKERAGE SOLUTIONS LLC SHALL BE PAID A PLACEMENT FEE OF 0.15% OF THE AGGREGATE CAPITAL COMMITMENT TO THE ISSUER.
2024-11-05
D/A
$150,000.00
Yes
$0.00
No
BALLAST ROCK CAPITAL LLC WILL RECEIVE A 0.15% PLACEMENT FEE.
2024-03-27
D/A
$1,000.00
Yes
$0.00
No
BALLAST ROCK CAPITAL LLC SHALL BE PAID A PLACEMENT FEE OF 0.5% OF THE COMMITMENTS.
2022-09-06
D
$150,000.00
Yes
$0.00
No
INDEPENDENT BROKERAGE SOLUTIONS LLC SHALL BE PAID A PLACEMENT FEE OF 0.15% OF THE AGGREGATE CAPITAL COMMITMENT TO THE ISSUER.
2022-01-06
D/A
$187,500.00
Yes
$0.00
No
INDEPENDENT BROKERAGE SOLUTIONS LLC WILL RECEIVE A PLACEMENT FEE EQUAL TO 0.15% OF THE ASSETS PURCHASED.
2021-12-17
D
$187,500.00
Yes
$0.00
No
INDEPENDENT BROKERAGE SOLUTIONS LLC WILL RECEIVE A PLACEMENT FEE EQUAL TO 0.15% OF THE ASSETS PURCHASED.
2019-10-24
D/A
$125,000.00
Yes
$0.00
No
SDDCO. WILL RECEIVE A PLACEMENT FEE EQUAL TO 0.15% OF THE ASSETS PURCHASED.
2019-03-27
D
$125,000.00
Yes
$0.00
No
SDDCO. WILL RECEIVE A PLACEMENT FEE EQUAL TO 0.15% OF THE ASSETS PURCHASED.