Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

MICHAEL DAVID HAZEN
6103556
PATRICK CAPITAL MARKETS, LLC
16518
NONE
NONE
MICHAEL HAZEN
6103556
MICHAEL DAVID HAZEN
6103556
PATRICK CAPITAL MARKETS, LLC
16518
MICHAEL HAZEN
6103556
PATRICK CAPITAL MARKETS, LLC
16518
VISTIA CAPITAL, LLC
311342
MICHAEL HAZEN
6103556
MICHAEL DAVID HAZEN
6103556
VISTIA CAPITAL, LLC
311342
MICHAEL HAZEN
6103556
VISTIA CAPITAL LLC
311342
VISTIA CAPITAL, LLC
311342
MICHAEL HAZEN
6103556
VISTIA CAPITAL, LLC
311342
MICHAEL DAVID HAZEN
6103556
VISTIA CAPITAL, LLC
311342
MICHAEL HAZEN
6103556
VISTIA CAPITAL, LLC
311342
MICHAEL HAZEN
6103556
MICHAEL HAZEN
6103556
VISTIA CAPITAL, LLC
311342
VISTIA CAPITAL, LLC
311342
MICHAEL DAVID HAZEN
6103556
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2024-12-17
D
$996,597.00
No
$0.00
No
2024-01-04
D
$942,401.00
No
$0.00
No
2023-12-29
D
$390,810.00
Yes
$0.00
No
2023-12-13
D
$1,240,119.00
No
$0.00
No
2023-12-05
D/A
$796,718.00
No
$0.00
No
SALES COMMISSIONS INCLUDE $230,361.84 OF MANAGING BROKER DEALER FEES, $436,389.85 OF PLACEMENT FEES, AND $129,967.10 OF DUE DILIGENCE FEES
2023-11-16
D
$882,195.00
No
$0.00
No
2023-10-31
D
$717,218.00
No
$0.00
No
SALES COMMISSIONS INCLUDE $211,611.84 OF MANAGING BROKER DEALER FEES, $386,889.85 OF PLACEMENT FEES, AND $118,717.10 OF DUE DILIGENCE FEES
2023-03-20
D/A
$698,600.00
Yes
$0.00
No
2023-01-10
D
$1,735,375.00
No
$0.00
No
2023-01-09
D/A
$0.00
No
$917,900.00
Yes
2022-12-27
D
$0.00
No
$917,900.00
Yes
2022-12-12
D
$738,488.00
No
$0.00
No
2022-12-08
D
$591,500.00
No
$0.00
No
2022-11-25
D
$672,420.00
No
$0.00
No
2022-11-07
D
$754,256.00
Yes
$0.00
No
2022-10-06
D
$367,678.00
No
$0.00
No
2022-03-07
D/A
$1,073,904.00
No
$0.00
No
INCLUSIVE OF SELLING COMMISSIONS; DUE DILIGENCE FEES; MARKETING/WHOLESALE FEES; AND MANAGING BROKER FEE.
2022-01-10
D
$1,644,687.00
No
$0.00
No
INCLUSIVE OF $869,960 SELLING COMMISSIONS; $255,493.06 DUE DILIGENCE FEE; $231,821.89 MARKETING/WHOLESALE FEE; AND $287,412.47 BROKER/DEALER FEE.
2022-01-10
D
$970,490.00
No
$0.00
No
INCLUSIVE OF $536,521 SALES COMMISSIONS; $118,355.31 DUE DILIGENCE FEES; $157,807.08 MARKETING/WHOLESALE FEE; AND $157,807.08 MANAGING BROKER FEE.
2022-01-06
D
$1,198,687.00
No
$0.00
No
INCLUSIVE OF $671,265 SALES COMMISSIONS; $143,842.50 DUE DILIGENCE FEE; $191,790 MARKETING/WHOLESALE FEE; AND $191,790 MANAGING BROKER FEE.
2022-01-05
D
$1,010,404.00
No
$0.00
No
INCLUSIVE OF $556,063.10 SELLING COMMISSIONS; $120,769.28 DUE DILIGENCE FEES; $166,786.20 MARKETING/WHOLESALE FEES; AND $166,786.20 MANAGING BROKER FEES.
2022-01-04
D
$486,486.00
No
$0.00
No
2022-01-03
D
$471,540.00
No
$0.00
No
2022-01-03
D
$698,250.00
No
$0.00
No
2022-01-03
D
$548,490.00
No
$0.00
No
2021-12-27
D/A
$405,388.00
No
$0.00
No
2021-12-23
D
$495,513.00
No
$0.00
No
2021-12-22
D
$484,260.00
No
$0.00
No
2021-12-17
D
$785,091.00
No
$0.00
No
2021-12-03
D
$737,699.00
No
$0.00
No
2021-11-12
D/A
$780,115.00
No
$0.00
No
2021-11-12
D/A
$405,388.00
No
$0.00
No
2021-11-10
D/A
$301,560.00
No
$0.00
No
2021-11-01
D
$301,560.00
No
$0.00
No
2021-10-12
D
$906,060.00
No
$0.00
No
INCLUSIVE OF $8,833.87 SELLING COMMISSIONS; $597,879.70 DUE DILIGENCE FEES; $128,004.41 MARKETING/WHOLESALE FEES; AND $171,342.65 MANAGING BROKER FEE.
2021-09-07
D
$329,018.00
No
$0.00
No
2021-07-07
D
$667,765.00
No
$0.00
No
2021-01-07
D
$1,148,930.00
No
$0.00
No
SALES COMMISSIONS: $639,800.00; DUE DILIGENCE FEES: $137,550.00; MARKETING FEES: $183,400.00; MANAGING BROKER FEE: $188,180.22
2021-01-06
D
$1,148,930.00
No
$0.00
No
SALES COMMISSIONS: $639,800.00; DUE DILIGENCE FEES: $137,550.00; MARKETING FEES: $183,400.00; MANAGING BROKER FEE: $188,180.22
2021-01-05
D
$876,603.00
No
$0.00
No
SALES COMMISSIONS: $488,530.00; DUE DILIGENCE FEES: $105,838.23; MARKETING FEES: $141,117.63; MANAGING BROKER FEE: $141,117.63
2020-12-31
D
$851,229.00
No
$0.00
No
SALES COMMISSIONS: $438,043.76; DUE DILIGENCE FEES: $94,192.84; MARKETING FEES: $159,496.68; MANAGING BROKER FEES: $159,496.68
2020-12-23
D
$649,520.00
No
$0.00
No
2020-12-23
D
$0.00
No
$0.00
No
2020-12-21
D
$721,000.00
No
$0.00
No
2020-12-02
D
$525,980.00
No
$0.00
No
2020-10-02
D
$774,657.00
No
$0.00
No
SALES COMMISSION: $388,605.00; DILIGENCE FEE: $92,338.33; MARKETING FEE: $160,713.97; MANAGING FEE: $132,999.99
2020-08-07
D/A
$485,940.00
No
$0.00
No
2020-06-23
D/A
$910,123.00
No
$0.00
No
2020-06-15
D
$536,725.00
No
$0.00
No
2020-05-28
D/A
$910,123.00
No
$0.00
No
2020-04-15
D/A
$910,123.00
No
$0.00
No
2020-02-26
D/A
$979,514.00
No
$0.00
No
SALES COMMISSIONS: $493,776; DILIGENCE FEES: $120,634; MARKETING FEES: $159.010; MANAGING BROKER FEE: $206,094
2020-02-26
D/A
$1,109,775.00
No
$0.00
No
SELLING COMMISSIONS: $571,963; DUE DILIGENCE FEES: $129,263; MARKETING ALLOWANCES: $178,619; MANAGING BROKER FEE: $229,930
2020-02-26
D/A
$863,717.00
No
$0.00
No
SALES COMMISSION: $430,941; DILIGENCE FEES: $93,994; MARKETING FEES: $131,931; MANAGING BROKER DEALER FEE: $206,851
2020-01-16
D
$737,109.00
No
$0.00
No
SELLING COMMISSIONS: $382,060; DUE DILIGENCE FEES: $83,436; MARKETING ALLOWANCE: $120,506; MANAGING BROKER FEE: $151,107
2020-01-10
D
$867,180.00
No
$0.00
No
SALES COMMISSION: $432,516; DILIGENCE FEES: $93,433; MARKETING FEES: $134,380; MANAGING BROKER DEALER FEE: $206,851
2020-01-10
D
$980,915.00
No
$0.00
No
SALES COMMISSIONS: $495,176; DILIGENCE FEES: $115,328; MARKETING FEES: $164,317; MANAGING BROKER FEE: $206,094
2020-01-10
D/A
$980,915.00
No
$0.00
No
SALES COMMISSIONS: $495,176; DILIGENCE FEES: $115,328; MARKETING FEES: $164,317; MANAGING BROKER FEE: $206,094
2020-01-08
D
$855,680.00
No
$0.00
No
SELLING COMMISSIONS: $457,520; DUE DILIGENCE FEES: $99,540; MARKETING ALLOWANCES: $132,720; MANAGING BROKER FEE: $165,900
2019-12-30
D
$1,118,525.00
No
$0.00
No
SELLING COMMISSIONS: $580,712.50; DUE DILIGENCE FEES: $126,794.96; MARKETING ALLOWANCES: $181087.56; MANAGING BROKER FEE: $229,930.13
2019-12-20
D
$910,123.00
No
$0.00
No
2019-11-22
D
$988,720.00
No
$0.00
No
INCLUSIVE OF SELLING COMMISSIONS ($481,769.05), DUE DILIGENCE FEES ($126,737.75), MARKETING ALLOWANCES ($168,983.67) AND MANAGING BROKER FEE ($211,229.59).
2019-09-13
D/A
$892,865.00
No
$0.00
No
INCLUSIVE OF SELLING COMMISSIONS, DUE DILIGENCE FEES, MARKETING ALLOWANCES AND MANAGING BROKER FEE: $474,211.54 SELLING COMMISSIONS; $167,335.01 DUE DILIGENCE FEE; $77,093.34 WHOLESALE FEES; $174,225.55 MANAGING BROKER FEE
2019-09-11
D
$820,822.00
No
$0.00
No
INCLUSIVE OF SELLING COMMISSIONS, DUE DILIGENCE FEES, MARKETING ALLOWANCES AND MANAGING BROKER FEE: $462,211.54 ? ?SELLING COMMISSIONS? $82,140.33 ? ?DUE DILIGENCE FEE? $109,520.44 ? ?MARKETING ALLOWANCE? $166,950.55 ? ?MANAGING BROKER FEE?