Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

RAINMAKER SECURITIES, LLC
132995
ROBERT EVANS
6439530
RAINMAKER SECURITIES, LLC
132995
ROBERT EVANS
6439530
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2023-05-12
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS ARE PAID AS A PERCENTAGE OF THE MANAGEMENT FEE AND INCENTIVE ALLOCATION PAID TO THE INVESTMENT MANAGER AND GENERAL PARTNER. THEY ARE NOT PAID DIRECTLY FROM THE ISSUER.
2023-05-12
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS ARE PAID AS A PERCENTAGE OF THE MANAGEMENT FEE AND INCENTIVE ALLOCATION PAID TO THE INVESTMENT MANAGER. THEY ARE NOT PAID DIRECTLY FROM THE ISSUER.
2021-05-11
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS ARE PAID AS A PERCENTAGE OF THE MANAGEMENT FEE AND INCENTIVE FEE PAID TO THE INVESTMENT MANAGER. THEY ARE NOT PAID DIRECTLY FROM THE ISSUER.
2021-05-11
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS ARE PAID AS A PERCENTAGE OF THE MANAGEMENT FEE AND INCENTIVE FEE PAID TO THE INVESTMENT MANAGER AND GENERAL PARTNER. THEY ARE NOT PAID DIRECTLY FROM THE ISSUER.
2018-05-11
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS ARE PAID AS A PERCENTAGE OF THE MANAGEMENT FEE AND INCENTIVE FEE PAID TO THE INVESTMENT MANAGER AND GENERAL PARTNER. THEY ARE NOT PAID DIRECTLY FROM THE ISSUER.
2018-05-11
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS ARE PAID AS A PERCENTAGE OF THE MANAGEMENT FEE AND INCENTIVE FEE PAID TO THE INVESTMENT MANAGER. THEY ARE NOT PAID DIRECTLY FROM THE ISSUER.
2017-05-03
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS ARE PAID AS A PERCENTAGE OF THE MANAGEMENT FEE AND INCENTIVE FEE PAID TO THE INVESTMENT MANAGER AND GENERAL PARTNER. THEY ARE NOT PAID DIRECTLY FROM THE ISSUER.
2017-05-03
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS ARE PAID AS A PERCENTAGE OF THE MANAGEMENT FEE AND INCENTIVE FEE PAID TO THE INVESTMENT MANAGER. THEY ARE NOT PAID DIRECTLY FROM THE ISSUER.
2016-05-12
D/A
$0.00
No
$0.00
No
SALES COMMISSIONS ARE PAID AS A PERCENTAGE OF THE MANAGEMENT FEE AND INCENTIVE FEE PAID TO THE INVESTMENT MANAGER AND GENERAL PARTNER. THEY ARE NOT PAID DIRECTLY FROM THE ISSUER.