Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NATE PHILLIPS
7233794
PATRICK CAPITAL MARKETS, LLC
16518
NATE PHILLIPS
7233794
PATRICK CAPITAL MARKETS, LLC
16518
NATE PHILLIPS
7233794
PATRICK CAPITAL MARKETS, LLC
16518
NATHANIEL THOMAS PHILLIPS
7233794
VISTIA CAPITAL, LLC
311342
VISTIA CAPITAL, LLC
311342
NATHANIEL THOMAS PHILLIPS
7233794
VISTIA CAPITAL, LLC
311342
NATE PHILLIPS
7233794
VISTIA CAPITAL, LLC
311342
NATE PHILLIPS
7233794
NATHANIEL THOMAS PHILLIPS
7233794
PATRICK CAPITAL MARKETS, LLC
16518
NATHANIEL T. PHILLIPS
7233794
PATRICK CAPITAL MARKEST, LLC
16518
NATHANIEL PHILLIPS
7233794
SAXONY SECURITIES, INC.
115547
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2024-02-02
D/A
$993,174.00
No
$0.00
No
SELLING COMMISSIONS: $401,773.95; MANAGING BROKER FEES: $171,292.92; WHOLESALER FEES: $120,112.92; DUE DILIGENCE FEES: $97,006.92; MARKETING FEE: $202,988.20
2024-01-16
D
$689,349.00
No
$0.00
No
SELLING COMMISSIONS: $398,273.95; MANAGING BROKER FEES: $171,292.92; WHOLESALER FEES: $17,526.00; DUE DILIGENCE FEES: $102,256.92
2023-12-28
D
$443,691.00
No
$0.00
No
SELLING COMMISSIONS: $229,460.00; MANAGING BROKER FEES: $94,033.00; WHOLESALE FEES: $85,213.00; MARKETING FEES: $2,205.00; DUE DILIGENCE FEES: $32,780.00
2023-12-27
D
$328,402.00
No
$0.00
No
SELLING COMMISSIONS: $219,940.00; MANAGING BROKER FEES: $84,410.00; WHOLESALER FEES: $1,250.00; MARKETING FEES: $21,102.50; DUE DILIGENCE FEES: $1,700.00
2023-11-22
D
$602,795.00
No
$0.00
No
SELLING COMMISSIONS: $217,651.00; MANAGING BROKER FEES: $167,423.00; WHOLESALER FEES: $141,873.00; MARKETING FEES: $41,855.75; DUE DILIGENCE FEES: $33,993.00.
2022-12-30
D
$423,065.00
No
$0.00
No
SELLING COMMISSIONS: $192,900.00; WHOLESALE FEES: $73,000.00; DUE DILIGENCE FEES: $32,160.00; MARKETING FEES: $20,825.00; MANAGING BROKER FEES: $104,180.00
2022-12-30
D
$413,125.00
No
$0.00
No
SELLING COMMISSIONS: $98,350.00; WHOLESALE FEES: $128,013.90; DUE DILIGENCE FEES: $14,236.00; MARKETING FEES: $8,872.00; MANAGING BROKER FEES: $163,653.90
2022-12-28
D
$459,490.00
No
$0.00
No
SELLING COMMISSIONS: $143,500; WHOLESALER FEES: $131,295; DUE DILIGENCE FEES: $20,800; MARKETING FEE: $19,900; MANAGING DEALER FEE: $143,995
2022-12-06
D
$911,785.00
No
$0.00
No
SELLING COMMISSIONS: $493,597.37; MANAGING BROKER FEES: $164,611.91; WHOLESALER FEES: $153,961.91; MARKETING ALLOWANCE: $27,750.00; DUE DILIGENCE FEES: $71,863.91
2022-11-18
D
$1,269,932.00
No
$0.00
No
SELLING COMMISSIONS: $594,140.00; MANAGING BROKER FEES: $269,591.15; WHOLESALER FEES: $228,791.15; MARKETING ALLOWANCE: $88,965.30; DUE DILIGENCE FEES: $88,445.15
2022-11-01
D
$828,500.00
No
$0.00
No
SELLING COMMISSIONS: $403,075.00; MANAGING BROKER FEES: $193,600.00; WHOLESALER FEES: $133,340.00; MARKETING ALLOWANCE: $37,070.00; DUE DILIGENCE FEES: $61,415.00.
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
$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
$766,624.00
No
$0.00
No
2022-01-03
D
$471,540.00
No
$0.00
No
2022-01-03
D
$548,490.00
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
2021-10-12
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.
2021-07-07
D
$667,765.00
No
$0.00
No
2021-01-11
D
$1,228,345.00
No
$0.00
No
SALES COMMISSIONS: $664,090.00; DUE DILIGENCE FEES: $158,370.32; MARKETING FEES: $197,370.11; MANAGING BROKER DEALER FEE: $208,515.27
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
$680,050.00
No
$0.00
No
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
2020-12-22
D
$0.00
No
$0.00
No
2020-12-21
D
$721,000.00
No
$0.00
No