Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

ROY PFLEGER
5896655
CONCORDE LNVESTMENT SERVICES, LLC
151604
ROY PFLEGER
5896655
CONCORDE INVESTMENT SERVICES, LLC
151604
CONCORDE INVESTMENT SERVICES, LLC
151604
ROY V. PFLEGER II
5896655
CONCORD INVESTMENT SERVICES, LLC.
151604
ROY V. PFLEGER II
5896655
CONCORDE INVESTMENT SERVICES, LLC
151604
ROY PFLEGER
5896655
CONCORDE INVESTMENT SERVICES, LLC
151604
ROY PFLEGER
5896655
CONCORDE INVESTMENT SERVICES, LLC
151604
ROY VINCENT PFLEGER II
5896655
CONCORDE INVESTMENT SERVICES LLC
151604
ROY PFLEGER II
5896655
DAI SECURITIES, LLC
36673
ROY VINCENT PFLEGER
5896655
DAI SECURITIES LLC
36673
ROY PFLEGER II
5896655
DAI SECURITIES, LLC
36673
ROY PFLEGER
5896655
People
Name
N/A INLAND PRIVATE CAPITAL CORPORATION
N/A DALLAS MULTIFAMILY EXCHANGE, L.L.C.
N/A IPCC MULTIFAMILY DEPOSITOR DST
N/A DENVER MSA MULTIFAMILY II EXCHANGE, L.L.C
N/A DENVER MSA MULTIFAMILY II, L.L.C
CAPITAL CORPORATION INLAND PRIVATE
PORTFOLIO, L.L.C. CHICAGOLAND SUPERMARKET
KEITH LAMPI
L.L.C. GULF COAST INDUSTRIAL,
EXCHANGE, L.L.C. GULF COAST INDUSTRIAL
N/A NEXPOINT REAL ESTATE ADVISORS IV, L.P
N/A NREA ESTATES MANAGER, LLC
N/A NREA ESTATES INVESTMENT CO, LLC
N/A NREA MERITAGE MANAGER, LLC
N/A NREA MERITAGE INVESTMENT CO., LLC
N/A NEXPOINT REAL ESTATE ADVISORS IV,
N/A NREA RETREAT MANAGER, LLC
N/A NREA RETREAT INVESTMENT CO,
N/A HEALTHCARE HOSPITALITY L.L.C.
N/A HEALTHCARE HOSPITALITY EXCHANGE, L.L.C.
N/A SELF-STORAGE PORTFOLIO VI EXCHANGE, L.L.C
N/A SELF-STORAGE PORTFOLIO VI, L.L.C
KEITH D. LAMPI
N/A FLORIDA MULTIFAMILY PORTFOLIO II EXCHANGE, LLC
N/A FLORIDA MULTIFAMILY PORTFOLIO II, LLC
MITCHELL A SABSHON
KEITH D LAMPI
RAHUL SEHGAL
DANIEL L GOODWIN
CATHERINE L LYNCH
ROBERTA S MATLIN
ROBERT D PARKS
LARRY K. SULLIVAN
WILLIAM O. PASSO
BELDEN BROWN
THOMAS B. JAHNCKE
PASSCO COMPANIES, LLC PASSCO COMPANIES, LLC
PASSCO GRAND OAKS DEPOSITOR, LLC PASSCO GRAND OAKS DEPOSITOR, LLC
PASSCO GRAND OAKS MANAGER, LLC PASSCO GRAND OAKS MANAGER, LLC
KEVIN A. SHIELDS
N/A GRIFFIN CAPITAL INSTITUTIONAL PROPERTY EXCHANGE, LLC
N/A GRIFFIN - THE DOMINION - CONROE, TX, LLC
N/A GRIFFIN - THE DOMINION - CONROE, TX CONTRIBUTOR, LLC
BRETT C MOODY
N/A MOODY MOSAIC AM, LLC
N/A MOODY MOSAIC DEPOSITOR, LLC
N/A MOODY NATIONAL DST SPONSOR, LLC
ROBERT A. BOURNE
R. KYLE BOURNE
MICHAEL C. KELLEY
SAMUEL SPEARS
BOURNE SENIORS HOUSING MANAGER V, LLC BOURNE SENIORS HOUSING MANAGER V, LLC
BOURNE FINANCIAL GROUP, LLC BOURNE FINANCIAL GROUP, LLC
N/A JLL EXCHANGE TRS, LLC
N/A LASALLE INVESTMENT MANAGEMENT, INC.
GREGORY A. FALK
N/A GRIFFIN CAPITAL COMPANY, LLC
N/A GRIFFIN - WINDSOR HILL - NORTH CHARLESTON, SC, LLC
N/A GRIFFIN - WINDSOR HILL - NORTH CHARLESTON, SC CONTRIBUTOR, LLC
NICK ROSENTHAL
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2025-09-12
D/A
$3,970,716.00
Yes
$0.00
No
2025-09-12
D/A
$2,292,842.00
Yes
$0.00
No
2024-08-29
D/A
$3,267,882.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID.
2024-08-15
D/A
$3,267,882.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS AND DEALER FEES THAT MAY BE PAID.
2023-11-13
D/A
$3,970,716.00
Yes
$0.00
No
2023-11-13
D/A
$2,292,842.00
Yes
$0.00
No
2023-09-05
D/A
$2,292,842.00
Yes
$0.00
No
2023-09-05
D/A
$3,970,716.00
Yes
$0.00
No
2022-01-28
D/A
$1,607,421.00
No
$0.00
No
2021-03-12
D/A
$7,500,000.00
Yes
$0.00
No
2020-07-30
D/A
$2,212,400.00
Yes
$0.00
No
2020-07-16
D/A
$2,212,400.00
Yes
$0.00
No
2020-07-02
D/A
$2,212,400.00
Yes
$0.00
No
2020-06-11
D/A
$2,212,400.00
Yes
$0.00
No
2020-05-27
D/A
$2,212,400.00
Yes
$0.00
No
2020-05-01
D/A
$2,212,400.00
Yes
$0.00
No
2020-04-21
D/A
$2,212,400.00
Yes
$0.00
No
2020-04-08
D/A
$2,212,400.00
Yes
$0.00
No
2020-03-19
D/A
$2,583,437.00
Yes
$0.00
No
2020-03-19
D/A
$2,212,400.00
Yes
$0.00
No
2020-03-05
D/A
$2,212,400.00
Yes
$0.00
No
2019-06-19
D/A
$1,497,793.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2019-06-07
D/A
$1,333,189.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2019-05-29
D/A
$1,333,189.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2019-05-28
D/A
$1,333,189.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2019-05-15
D/A
$1,333,189.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2019-05-01
D/A
$1,333,189.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2019-04-16
D/A
$1,333,189.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2019-04-15
D/A
$1,497,793.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2019-03-13
D/A
$1,497,793.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2019-02-26
D/A
$1,497,793.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2019-02-12
D/A
$1,497,793.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2019-01-30
D/A
$1,497,793.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-12-28
D/A
$1,497,793.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-12-28
D/A
$1,272,803.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-12-17
D/A
$1,497,793.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-12-17
D/A
$2,107,543.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-12-12
D/A
$8,764,665.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-11-29
D/A
$8,764,665.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-11-28
D/A
$2,107,543.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-11-28
D/A
$1,272,803.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-11-28
D/A
$1,497,793.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-11-14
D/A
$8,764,665.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-11-13
D/A
$1,497,793.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-11-13
D/A
$2,107,543.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-11-13
D/A
$1,272,803.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-11-07
D/A
$8,764,665.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-10-30
D/A
$1,272,803.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-10-30
D
$2,107,543.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-10-30
D/A
$8,764,665.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-10-24
D/A
$1,497,793.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-10-17
D/A
$8,764,665.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-10-09
D/A
$1,497,793.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-10-09
D/A
$1,272,803.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-10-04
D/A
$8,764,665.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2018-09-25
D/A
$1,272,803.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-09-25
D/A
$1,497,793.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-09-07
D/A
$1,272,803.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-08-29
D
$1,347,310.00
Yes
$0.00
No
2018-08-27
D/A
$1,272,803.00
Yes
$0.00
Yes
ITEM 15 IS AN ESTIMATE OF SELLING COMMISSION, MANAGING BROKER-DEALER FEE, MARKING AND DUE DILIGENCE EXPENSE ALLOWANCES, AND ORGANIZATION AND OFFERING EXPENSES.
2018-04-20
D/A
$1,988,485.00
Yes
$0.00
No
2018-04-05
D/A
$1,988,485.00
Yes
$0.00
No
2018-03-22
D/A
$1,988,485.00
Yes
$0.00
No
2018-02-21
D
$1,988,485.00
Yes
$0.00
No
2017-11-20
D/A
$906,329.00
Yes
$0.00
No
2017-11-03
D/A
$906,329.00
Yes
$0.00
No
2017-11-01
D/A
$4,263,070.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2017-10-24
D/A
$4,263,070.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2017-10-10
D/A
$906,329.00
Yes
$0.00
No
2017-10-06
D/A
$4,263,070.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEES THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS.
2017-09-26
D/A
$1,787,899.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2017-09-26
D/A
$4,263,070.00
Yes
$0.00
No
2017-09-12
D/A
$1,787,899.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2017-09-12
D/A
$4,263,070.00
Yes
$0.00
No
2017-08-29
D/A
$1,787,899.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2017-07-20
D/A
$1,787,899.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2017-07-06
D/A
$1,787,899.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2017-06-23
D/A
$1,787,899.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2017-06-02
D/A
$1,787,899.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2017-05-24
D/A
$1,787,899.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2017-05-11
D/A
$1,787,899.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS
2017-05-05
D/A
$1,787,899.00
Yes
$0.00
No
SALES COMMISSIONS INCLUDE ESTIMATES OF THE MAXIMUM AMOUNT OF SELLING COMMISSIONS, DEALER FEES AND PLACEMENT AGENT FEE THAT MAY BE PAID TO ONE OR MORE RELATED PERSONS