Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

OLD CITY SECURITIES LLC
171910
ROBERT SHAUGHNESSY SCHWAB
5480333
SHELTER ROCK CAPITAL GROUP LLC
156753
ROBERT SHAUGHNESSY SCHWAB
5480333
OLD CITY SECURITIES LLC
171910
ROBERT SCHWAB
5480333
OLD CITY SECURITIES LLC
171910
ROBERT SCHWAB
5480333
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2026-07-09
D/A
$941,000.00
No
$0.00
No
2026-03-23
D
$18,731.00
Yes
$0.00
No
SALES COMMISSIONS WILL BE CALCULATED BASED ON THE MANAGEMENT FEES RECEIVED FROM THE INTRODUCED INVESTORS. REPORTED SALES COMMISSIONS ARE AN ANNUAL ESTIMATE OF THE AMOUNT TO BE RECEIVED.
2026-03-20
D
$63,281.00
Yes
$0.00
No
SALES COMMISSIONS WILL BE CALCULATED BASED ON THE MANAGEMENT FEES RECEIVED FROM THE INTRODUCED INVESTORS. REPORTED SALES COMMISSIONS ARE AN ANNUAL ESTIMATE OF THE AMOUNT TO BE RECEIVED.
2025-05-15
D/A
$698,000.00
No
$60,000.00
No
2025-05-15
D/A
$824,300.00
No
$60,000.00
No
2024-08-20
D/A
$460,000.00
No
$60,000.00
No
2024-08-20
D/A
$460,000.00
No
$60,000.00
No
2024-08-19
D
$460,000.00
No
$60,000.00
No
2024-08-19
D
$460,000.00
No
$60,000.00
No
2024-03-15
D/A
$0.00
Yes
$0.00
Yes
RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE IM (OR ITS AFFILIATES) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.
2024-03-15
D/A
$0.00
Yes
$0.00
Yes
RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE IM (OR ITS AFFILIATES) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.
2023-03-15
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 INVESTMENT MANAGER ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.
2023-03-15
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.
2022-03-15
D
$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 INVESTMENT MANAGER ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.
2022-03-15
D
$0.00
Yes
$0.00
Yes
THE RECIPIENTS IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.