Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

ELISE SCHMIDT BAL
5542610
FINALIS SECURITIES LLC
305908
ELISE SCHMIDT BAL
5542610
FINALIS SECURITIES LLC
305908
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2026-01-20
D
$45,000.00
No
$0.00
No
2025-12-19
D/A
$278,000.00
No
$0.00
No
2025-11-12
D
$82,000.00
No
$0.00
No
EQUUS IS ENTITLED TO RECEIVE A PERCENTAGE OF THE PERFORMANCE BASED COMPENSATION OTHERWISE PAYABLE TO AN AFFILIATE OF THE GENERAL PARTNER AS DESCRIBED IN ITEM 16 ATTRIBUTABLE TO INVESTORS PLACED BY SUCH PLACEMENT AGENT.