Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

MIRAE ASSET WEALTH MANAGEMENT (USA) INC.
147991
PAUL S. LEE
5541067
KINGSWOOD CAPITAL PARTNERS, LLC
288898
PAUL LEE
5541067
KINGSWOOD CAPITAL PARTNERS, LLC
288898
PAUL SANGYOP LEE
5541067
KINGSWOOD CAPITAL PARTNERS, LLC
288898
PAUL S. LEE
5541067
KINGSWOOD CAPITAL PARTNERS, LLC
288898
PAUL SANGYOP LEE
5541067
KINGSWOOD CAPITAL PARTNERS, LLC
288898
PAUL LEE
5541067
KINGSWOOD CAPITAL PARTNERS, LLC
288898
PAUL LEE
5541067
KINGSWOOD CAPITAL PARTNERS, LLC
288898
PAUL LEE
5541067
KINGSWOOD CAPITAL PARTNERS, LLC
288898
PAUL LEE
5541067
KINGSWOOD CAPITAL PARTNERS, LLC
288898
PAUL SANGYOP LEE
5541067
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2026-07-13
D/A
$434,125.00
Yes
$0.00
Yes
THE ISSUER MAY REQUIRE INVESTORS BROUGHT BY A REGISTERED BROKER-DEALER TO PAY UP TO 5.75% OF THE INVESTOR-S COMMITMENT TO SUCH BROKER-DEALER. IN ADDITION, THE GENERAL PARTNER MAY RECEIVE UP TO A 20% CARRIED INTEREST.
2026-06-29
D/A
$105,750.00
Yes
$0.00
No
THE ISSUER MAY REQUIRE INVESTORS BROUGHT BY A REGISTERED BROKER-DEALER TO PAY UP TO 4.5% OF THE INVESTOR-S CAPITAL CONTRIBUTION TO SUCH BROKER-DEALER. IN ADDITION, SELLING AGENTS MAY RECEIVE A PORTION OF THE CARRIED INTEREST.
2026-06-18
D/A
$379,500.00
Yes
$0.00
Yes
THE ISSUER MAY REQUIRE INVESTORS BROUGHT BY A REGISTERED BROKER-DEALER TO PAY UP TO 5.75% OF THE INVESTOR-S COMMITMENT TO SUCH BROKER-DEALER. IN ADDITION, THE GENERAL PARTNER MAY RECEIVE UP TO A 20% CARRIED INTEREST.
2026-06-09
D/A
$25,000,000.00
Yes
$0.00
No
DEALER MANAGER FEE OF UP TO 2%; SALES COMMISSION OF UP TO 7%; DUE DILIGENCE FEE OF UP TO 0.5%; MARKETING EXPENSE FEE OF UP TO 0.5%.
2026-03-25
D/A
$434,959.00
Yes
$0.00
No
THE ISSUER MAY REQUIRE INVESTORS BROUGHT BY A REGISTERED BROKER-DEALER TO PAY UP TO 4.5% OF THE INVESTOR-S CAPITAL CONTRIBUTION TO SUCH BROKER-DEALER. IN ADDITION, SELLING AGENTS MAY RECEIVE A PORTION OF THE CARRIED INTEREST.
2026-02-26
D
$385,459.00
Yes
$0.00
No
THE ISSUER MAY REQUIRE INVESTORS BROUGHT BY A REGISTERED BROKER-DEALER TO PAY UP TO 4.5% OF THE INVESTOR-S CAPITAL CONTRIBUTION TO SUCH BROKER-DEALER. IN ADDITION, SELLING AGENTS MAY RECEIVE A PORTION OF THE CARRIED INTEREST.
2026-02-09
D/A
$113,310.00
Yes
$0.00
No
THE ISSUER MAY REQUIRE INVESTORS BROUGHT BY A REGISTERED BROKER-DEALER TO PAY UP TO 4.5% OF THE INVESTOR-S CAPITAL CONTRIBUTION TO SUCH BROKER-DEALER. IN ADDITION, SELLING AGENTS MAY RECEIVE A THIRD OF THE CARRIED INTEREST.
2025-12-11
D
$102,060.00
Yes
$0.00
No
THE ISSUER MAY REQUIRE INVESTORS BROUGHT BY A REGISTERED BROKER-DEALER TO PAY UP TO 4.5% OF THE INVESTOR-S CAPITAL CONTRIBUTION TO SUCH BROKER-DEALER. IN ADDITION, SELLING AGENTS MAY RECEIVE A THIRD OF THE CARRIED INTEREST.
2025-11-25
D/A
$165,150.00
Yes
$0.00
No
THE ISSUER MAY REQUIRE INVESTORS BROUGHT BY A REGISTERED BROKER-DEALER TO PAY UP TO 4.5% OF THE INVESTOR-S CAPITAL CONTRIBUTION TO SUCH BROKER-DEALER. IN ADDITION, SELLING AGENTS MAY RECEIVE A CARRIED INTEREST OF 5%.
2025-11-25
D/A
$199,575.00
Yes
$0.00
No
THE ISSUER MAY REQUIRE INVESTORS BROUGHT BY A REGISTERED BROKER-DEALER TO PAY UP TO 4.5% OF THE INVESTOR-S COMMITMENT TO SUCH BROKER-DEALER. IN ADDITION, SELLING AGENTS MAY RECEIVE A THIRD OF THE CARRIED INTEREST.
2025-11-03
D/A
$180,225.00
Yes
$0.00
No
THE ISSUER MAY REQUIRE INVESTORS BROUGHT BY A REGISTERED BROKER-DEALER TO PAY UP TO 4.5% OF THE INVESTOR-S COMMITMENT TO SUCH BROKER-DEALER. IN ADDITION, SELLING AGENTS MAY RECEIVE A THIRD OF THE CARRIED INTEREST.
2025-10-09
D/A
$155,025.00
Yes
$0.00
No
THE ISSUER MAY REQUIRE INVESTORS BROUGHT BY A REGISTERED BROKER-DEALER TO PAY UP TO 4.5% OF THE INVESTOR-S CAPITAL CONTRIBUTION TO SUCH BROKER-DEALER. IN ADDITION, SELLING AGENTS MAY RECEIVE A CARRIED INTEREST OF 5%.
2025-10-09
D/A
$152,100.00
Yes
$0.00
No
THE ISSUER MAY REQUIRE INVESTORS BROUGHT BY A REGISTERED BROKER-DEALER TO PAY UP TO 4.5% OF THE INVESTOR-S COMMITMENT TO SUCH BROKER-DEALER. IN ADDITION, SELLING AGENTS MAY RECEIVE A THIRD OF THE CARRIED INTEREST.
2025-09-26
D
$117,225.00
Yes
$0.00
No
THE ISSUER MAY REQUIRE INVESTORS BROUGHT BY A REGISTERED BROKER-DEALER TO PAY UP TO 4.5% OF THE INVESTOR-S COMMITMENT TO SUCH BROKER-DEALER. IN ADDITION, SELLING AGENTS MAY RECEIVE A THIRD OF THE CARRIED INTEREST.
2025-09-03
D/A
$8,300,000.00
Yes
$0.00
No
DEALER MANAGER FEE OF UP TO 1.5%; SALES COMMISSION OF UP TO 5.5%; DUE DILIGENCE FEE OF UP TO 0.5%; MARKETING EXPENSE FEE OF UP TO 0.5%; PAYMENT TO MANAGING GENERAL PARTNER OF 0.3%
2025-08-05
D/A
$174,600.00
Yes
$0.00
No
THE ISSUER MAY REQUIRE INVESTORS BROUGHT BY A REGISTERED BROKER-DEALER TO PAY UP TO 4.5% OF THE INVESTOR-S CAPITAL CONTRIBUTION TO SUCH BROKER-DEALER. IN ADDITION, SELLING AGENTS MAY RECEIVE A CARRIED INTEREST OF 5%.
2025-07-29
D/A
$25,000,000.00
Yes
$0.00
No
DEALER MANAGER FEE OF UP TO 2%; SALES COMMISSION OF UP TO 7%; DUE DILIGENCE FEE OF UP TO 0.5%; MARKETING EXPENSE FEE OF UP TO 0.5%
2025-07-14
D/A
$129,825.00
Yes
$0.00
No
THE ISSUER MAY REQUIRE INVESTORS BROUGHT BY A REGISTERED BROKER-DEALER TO PAY UP TO 4.5% OF THE INVESTOR-S CAPITAL CONTRIBUTION TO SUCH BROKER-DEALER. IN ADDITION, SELLING AGENTS MAY RECEIVE A CARRIED INTEREST OF 5%.
2025-07-03
D
$53,325.00
Yes
$0.00
No
THE ISSUER MAY REQUIRE INVESTORS BROUGHT BY A REGISTERED BROKER-DEALER TO PAY UP TO 4.5% OF THE INVESTOR-S CAPITAL CONTRIBUTION TO SUCH BROKER-DEALER. IN ADDITION, SELLING AGENTS MAY RECEIVE A CARRIED INTEREST OF 5%.
2025-03-18
D/A
$1,336,419.00
Yes
$0.00
No
2024-04-08
D/A
$114,750.00
Yes
$0.00
No
THE ISSUER MAY REQUIRE INVESTORS BROUGHT BY A REGISTERED BROKER-DEALER TO PAY UP TO 4.5% OF THE INVESTOR-S COMMITMENT TO SUCH DEALER-BROKER AND A 6.0% PLACEMENT AGENT COMMISSION. SELLING AGENTS AND REFERRING FIRMS MAY RECEIVE A CARRIED INTEREST OF 5.0%
2024-03-22
D/A
$7,098,393.00
Yes
$0.00
No
2024-02-28
D/A
$81,000.00
Yes
$0.00
No
THE ISSUER MAY REQUIRE INVESTORS BROUGHT BY A REGISTERED BROKER-DEALER TO PAY UP TO 4.5% OF THE INVESTOR-S COMMITMENT TO SUCH DEALER-BROKER AND A 6.0% PLACEMENT AGENT COMMISSION. SELLING AGENTS AND REFERRING FIRMS MAY RECEIVE A CARRIED INTEREST OF 5.0%
2023-03-28
D/A
$5,302,325.00
Yes
$0.00
No
2022-10-17
D
$116,000.00
No
$0.00
No
2022-04-01
D/A
$3,344,392.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID.
2022-03-21
D/A
$3,344,392.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID.
2022-02-22
D/A
$3,344,392.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID.
2022-02-14
D/A
$3,344,392.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID.
2022-02-02
D/A
$3,344,392.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID.
2022-01-19
D/A
$3,344,392.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID.
2022-01-11
D/A
$3,344,392.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID.
2021-12-29
D/A
$3,344,392.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND EXPENSE REIMBURSEMENTS THAT MAY BE PAID.
2021-09-28
D/A
$4,437,461.00
Yes
$0.00
No
2020-07-17
D/A
$5,571,207.00
Yes
$0.00
No