Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

KINGSWOOD CAPITAL PARTNERS, LLC
288898
NIKLAUS PLEISCH
5996673
KINGSWOOD CAPITAL PARTNERS, LLC
288898
NIKLAUS W. PLEISCH
5996673
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.
2026-06-18
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.
2026-06-10
D/A
$264,500.00
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.
2026-06-01
D/A
$215,625.00
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.
2026-05-13
D/A
$186,875.00
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.
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
$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.