Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

APW CAPITAL, INC.
43814
DAVID M. GOTTLIEB
5739132
APW CAPITAL, INC.
43814
DAVID GOTTLIEB
5739132
APW CAPITAL, INC.
43814
DAVID M. GOTTLIEB
5739132
APW CAPITAL, INC.
43814
DAVID GOTTLIEB
5739132
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2026-06-16
D/A
$4,739,697.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID.
2026-04-27
D/A
$4,739,697.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID.
2026-04-17
D/A
$4,739,697.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID.
2022-01-14
D/A
$21,250,000.00
Yes
$0.00
No
SELLING COMMISSIONS OF 6%, DEALER MANAGER FEE (DMF) OF 1% AND PLACEMENT AGENT FEE (PAF) OF 1.5%. THESE COMMISSIONS OR FEES MAY BE WAIVED FOR CERTAIN INVESTORS.
2022-01-05
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID.
2021-11-10
D/A
$11,700,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF PLACEMENT AGENT FEES THAT MAY BE PAID.
2020-04-23
D/A
$2,723,400.00
Yes
$0.00
No