PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:45 AM ET

Sponsor Check › Sponsor group

C

Capitala

One sponsor team, 15 deal companies · Lenoir, NC

Grouped because: 8 shared people, same business address (12 issuers), similar issuer names (12) (automatic match from the filings) · not the same sponsor?

15deal companies
$734.2Mreported sold
343investors
26Form D filings
2009–2025active
0new, last 12 mo
Follow this sponsor groupLook further ↓

Data last updated Oct 23, 2026, 5:45 PM ET · Latest filing in this group Jun 20, 2025 · Courts (RECAP) last checked: Oct 24, 2026, 2:16 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Capitala is a sponsor group of 15 issuers that PartnerFacts links to one sponsor (shared people, same business address, similar issuer names; automatic match from the filings), filing 26 Form D filings between May 2009 and Jun 2025.

What this means One team, 15 deal companies, about 16 years of track record in SEC filings. We link the companies because the same people or address appear on their forms — tap "Request a correction" if that is wrong.

Combined reported sold: $734.2M to 343 investors (latest filing per issuer). Industries as reported: Pooled Investment Fund (9), Investing (4), Other Banking and Financial Services (2). Issuers are based in NC (15).

What this means $734.2M raised across the group, about $2.14M per investor. Amounts come from each company's latest Form D; they are what the sponsor reported, not audited figures.

Principal people: Joseph B. Alala, III (10 issuers, executive officer and director), John F. McGlinn, III (6 issuers, executive officer and director), Markham Hunt Broyhill (6 issuers, executive officer and director), Corporation Capitalsouth (3 issuers, executive officer), Christopher R. Pavese (3 issuers, executive officer) and 23 more.

What this means The person on the most companies is usually the one running the show; their page lists every deal.

Activity: 0 new offerings in the last 12 months; latest filing Jun 20, 2025.

What this means No new raise filed in the past year.

Adviser registration (Form ADV) on record: CAPITALA PRIVATE ADVISORS, LLC.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY), property records (NYC, FL, IL and TX counties) — 5 court cases matching the name listed in Key records below.

What this means 5 records came back. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.

We compared 26 public filings for Capitala and found 16 differences, 7 worth asking the sponsor about: Amount sold went down between filings; Investor count went down between filings; and more below.

What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.

What the community is saying

Community search for Capitala has not run yet — it is joining a line of 40,053 names; searches run around the clock at the hosts' allowed rate. Searched so far: 641 names.

Community comments are quoted as written by their authors. Sources searched: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

5 cases: 3 closed (disposition not in docket feed), 1 judgment, 1 dismissed

Mansfield Oil Company of Gainesville, Inc. v. Capitala Finance Corp. closed
District Court, S.D. Mississippi · No. 3:19-cv-00587 · Filed Aug 20, 2019 · Closed Dec 16, 2019 · Nature of suit: Other Fraud · Cause: 28:1332 Diversity-Breach of Contract
Role of Capitala Finance Corp.: Defendant · Outcome: Terminated 2019-12-16 — FJC Integrated Database disposition: Transfer to another district Docket on CourtListener ↗
exact company name; court in MS (not the issuer's state)
Paskowitz v. Capitala Finance Corp. judgment
District Court, W.D. North Carolina · No. 3:18-cv-00096 · Filed Mar 1, 2018 · Closed Oct 25, 2019 · Nature of suit: 850 Securities/Commodities · Cause: 15:78m(a) Securities Exchange Act
Role of Capitala Finance Corp.: Defendant · Outcome: Terminated 2019-10-25 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for defendant Docket on CourtListener ↗
exact company name; court in the issuer's state (NC)
Sandifer v. Capitala Finance Corp. dismissed
District Court, W.D. North Carolina · No. 3:18-cv-00063 · Filed Feb 5, 2018 · Closed Feb 28, 2018 · Nature of suit: 850 Securities/Commodities · Cause: 15:78m(a) Securities Exchange Act
Role of Capitala Finance Corp.: Defendant · Outcome: Terminated 2018-02-28 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
exact company name; court in the issuer's state (NC)
Stephanie Sandifer v. Capitala Finance Corp. closed
District Court, C.D. California · No. 2:18-cv-00052 · Filed Jan 3, 2018 · Closed Feb 2, 2018 · Nature of suit: 850 Securities/Commodities · Cause: 15:78m(a) Securities Exchange Act
Role of Capitala Finance Corp.: Defendant · Outcome: Terminated 2018-02-02 — FJC Integrated Database disposition: Transfer to another district Docket on CourtListener ↗
exact company name; court in CA (not the issuer's state)
Laurence Paskowitz v. Capitala Finance Corp. closed
District Court, C.D. California · No. 2:17-cv-09251 · Filed Dec 28, 2017 · Closed Mar 1, 2018 · Nature of suit: 850 Securities/Commodities · Cause: 15:78m(a) Securities Exchange Act
Role of Capitala Finance Corp.: Defendant · Outcome: Terminated 2018-03-01 — FJC Integrated Database disposition: Transfer to another district Docket on CourtListener ↗
exact company name; court in CA (not the issuer's state)
What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:16 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: 48 regulators (FINRA, NASAA, 37 states) — crawled Oct 24, 2026, 8:48 AM ET

What was searched

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Capitala..

State securities regulators: Securities regulators searched (64,910 actions): FINRA (38,350 actions, 1995–2026), NASAA (31 actions, 2000–2026; listing starts 1997), AK Division of Banking and Securities (273 actions, 1971–2025), AL Securities Commission (880 actions, 2001–2026), AR Securities Department (1,305 actions, 1998–2026), AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), CO Division of Securities (731 actions, 2001–2026; older years from the Internet Archive (snapshot of 2026-05-02)), CT Department of Banking Securities Division (940 actions, 2006–2026; older years from the Internet Archive (snapshot of 2026-04-22)), DC DISB Securities Bureau (25 actions, 2012–2026), DE DOJ Investor Protection Unit (257 actions, 1987–2026), FL Office of Financial Regulation (49 actions, 2018–2026), GA Secretary of State Securities Division (65 actions, 2015–2026; listing starts 2012), HI DCCA Securities Enforcement Branch (26 actions, 2012–2026), ID Department of Finance Securities Bureau (663 actions, 1994–2026), IL Secretary of State Securities Department (4,122 actions, 2003–2023), KS Insurance Department Securities Division (58 actions), KY Department of Financial Institutions (342 actions, 2005–2026), LA Office of Financial Institutions Securities Division (13 actions, 2010–2025; listing starts 2008), MA Secretary of the Commonwealth Securities Division (125 actions, 2012–2025; live site blocks automated access — loaded from the Internet Archive snapshot of 2026-02-04), MD Attorney General Securities Division (1,054 actions, 2004–2026), ME Office of Securities (539 actions, 2000–2026), MI LARA Corporations, Securities & Commercial Licensing Bureau (201 actions), MO Secretary of State Securities Division (919 actions, 1998–2026), MS Secretary of State Securities Division (209 actions, 1995–2026), MT Commissioner of Securities and Insurance (597 actions, 2000–2026), NC Secretary of State Securities Division (265 actions, 2004–2024), ND Securities Department (711 actions, 1990–2026; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2026-01-06), NH Bureau of Securities Regulation (402 actions, 2002–2026), NM Regulation and Licensing Department Securities Division (90 actions, 2010–2025), NV Secretary of State Securities Division (118 actions, 2018–2026), NY Attorney General Investor Protection Bureau (44 actions, 2012–2026), OH Division of Securities (327 actions, 1993–2006), OK Department of Securities (2,531 actions, 1998–2026), OR Division of Financial Regulation (589 actions, 1988–2026), PA Department of Banking and Securities (1,448 actions, 2008–2024; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2024-08-09), RI DBR Securities Division (98 actions, 2005–2025), SC Attorney General Securities Division (540 actions, 2006–2026), SD Division of Insurance – Securities Regulation (106 actions, 2017–2026), TN Department of Commerce and Insurance Securities Division (405 actions, 1992–2026), TX State Securities Board (936 actions, 1999–2026), UT Division of Securities (772 actions, 2000–2026; older years from the Internet Archive (snapshot of 2010-05-27)), VT DFR Securities Division (137 actions, 2010–2026), WA DFI (2,039 actions, 2001–2026), WI DFI Division of Securities (1,072 actions, 1998–2026), WV Securities Commission (State Auditor) (64 actions), WY Secretary of State Compliance Division (6 actions, 2016–2024) — last crawled Oct 24, 2026, 8:48 AM ET. No machine-readable public listing today for IA, IN, MN, NE, NJ, VA (see docs/state-regulators.md).

3. Bankruptcies

None found in sources searched — federal bankruptcy courts (CourtListener / RECAP), checked Oct 24, 2026

What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:16 AM ET.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

4. Differences between public sources

No comparisons published

What is compared

No public statement by this sponsor group has been collected yet, so there is nothing to compare. Sources compared: the sponsor's own website (known from the issuer's own filings — Form C issuer website, EDGAR company profile — an approved profile claim or Form ADV Item 1.I of its matched adviser) · SEC Form D · SEC Form ADV (IAPD) · Internet Archive · No website is on file for this sponsor group yet.

16 differences found between the filings for Capitala — 7 worth asking about (compared 26 filings on Oct 24, 2026)

Worth asking · Jul 16, 2009 – Mar 16, 2010

Amount sold went down between filings — BROYHILL ALL WEATHER FUND L P

The Jul 16, 2009 filing says $23,524,829 sold; the Mar 16, 2010 Form D says $21,935,302 sold — $1,589,527 less.

What this means Amounts sold normally only go up as a raise continues. A drop can mean investors were refunded, a figure was corrected, or an earlier number was wrong. Ask the sponsor which it was.

Form D (earlier) · Jul 16, 2009 ↗Form D (later) · Mar 16, 2010 ↗BROYHILL ALL WEATHER FUND L P — PartnerFacts page ↗
Sources
Worth asking · Apr 14, 2022 – May 1, 2023

Investor count went down between filings — Capitala SBIC Fund VI, L.P.

The Apr 14, 2022 filing reports 60 investors; the May 1, 2023 Form D/A reports 0 investors.

What this means Investor counts normally only grow. A smaller number can mean investors left or were refunded, or a count was corrected. Ask the sponsor what happened.

Form D/A (earlier) · Apr 14, 2022 ↗Form D/A (later) · May 1, 2023 ↗Capitala SBIC Fund VI, L.P. — PartnerFacts page ↗
Sources
Worth asking · Jul 16, 2009 – Mar 16, 2010

Investor count went down between filings — BROYHILL ALL WEATHER FUND L P

The Jul 16, 2009 filing reports 31 investors; the Mar 16, 2010 Form D reports 29 investors.

What this means Investor counts normally only grow. A smaller number can mean investors left or were refunded, or a count was corrected. Ask the sponsor what happened.

Form D (earlier) · Jul 16, 2009 ↗Form D (later) · Mar 16, 2010 ↗BROYHILL ALL WEATHER FUND L P — PartnerFacts page ↗
Sources
Worth asking · Jul 16, 2009 – Apr 18, 2024

Capitala includes 4 deals that stopped filing before reaching their target

Capitala SBIC Fund VI, L.P. (last filing Apr 18, 2024; $173,620,000 sold of $400,000,000); Capitala Private Credit Fund V, L.P. (last filing Aug 18, 2017; $44,000,000 sold of $350,000,000); BROYHILL ALL WEATHER FUND L P (last filing Mar 16, 2010; $23,524,829 sold of $100,000,000); Surety Partners, LLC (last filing Jul 16, 2009; $25,505,864 sold of $100,000,000). Each has no filing in more than two years and reported under half its target sold.

What this means An issuer whose last filing is more than two years old and reported under half its target sold. The raise may have closed early or quietly stopped. Ask what happened to each.

Capitala SBIC Fund VI, L.P. — PartnerFacts page ↗Capitala Private Credit Fund V, L.P. — PartnerFacts page ↗BROYHILL ALL WEATHER FUND L P — PartnerFacts page ↗Surety Partners, LLC — PartnerFacts page ↗
Sources
Worth asking · Oct 20, 2010 – Apr 18, 2024

17 other issuers file from the same address — 7 member issuers (CSP - A1 Capital, LLC; Capitala Finance Corp.; CapitalSouth SBIC Fund IV, L.P.; …)

The address on file, 4201 Congress Street, Suite 360, Charlotte, NC, is used by 24 issuers in our index across 4 sponsor groups; 17 are outside this group. It is not on our registered-agent list, so it may be a shared office or administrator.

What this means Many unrelated companies file from this address. Often a registered agent or a fund administrator; sometimes a shared office. Ask where the team actually works.

CSP - A1 Capital, LLC — PartnerFacts page ↗Capitala Finance Corp. — PartnerFacts page ↗CapitalSouth SBIC Fund IV, L.P. — PartnerFacts page ↗EDGAR filer page · CSP - A1 Capital, LLC ↗
Sources
Worth asking · Jul 1, 2000 – Mar 16, 2010

5 Form Ds were filed more than 15 days after the first sale

Form D filed 623 days after the first sale — BROYHILL AFFINITY FUND LLC · Form D filed 3,545 days after the first sale — BROYHILL ALL WEATHER FUND L P · Form D filed 1,233 days after the first sale — Surety Partners, LLC · Form D filed 3,302 days after the first sale — BROYHILL ALL WEATHER FUND L P · Form D filed 316 days after the first sale — BROYHILL AFFINITY FUND LLC

What this means Late notices are common and carry no penalty by themselves. A pattern of late paperwork is worth asking the sponsor about.

Form D · Mar 16, 2010 ↗BROYHILL AFFINITY FUND LLC — PartnerFacts page ↗Form D · Mar 16, 2010 ↗BROYHILL ALL WEATHER FUND L P — PartnerFacts page ↗
Sources
Note · Jul 1, 2000 – Dec 6, 2024

9 offerings have no amendment in the last 12 months and may still be open

No amendment in the last 12 months on an offering that may still be open — BROYHILL PARTNERS, LP (latest filing Dec 6, 2024) · No amendment in the last 12 months on an offering that may still be open — Capitala SBIC Fund VI, L.P. (latest filing Apr 18, 2024) · No amendment in the last 12 months on an offering that may still be open — Capitala Private Credit Fund V, L.P. (latest filing Aug 18, 2017) · No amendment in the last 12 months on an offering that may still be open — Capitala Private Advisors, LLC (latest filing Apr 14, 2016) · No amendment in the last 12 months on an offering that may still be open — CapitalSouth SBIC Fund IV, L.P. (latest filing Mar 27, 2014) · and 4 more

What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.

Form D/A · Dec 6, 2024 ↗BROYHILL PARTNERS, LP — PartnerFacts page ↗Form D/A · Apr 18, 2024 ↗Capitala SBIC Fund VI, L.P. — PartnerFacts page ↗
Sources
Worth asking · Apr 14, 2022 – May 1, 2023

John F. McGlinn, III is no longer listed on the May 1, 2023 amendment — Capitala SBIC Fund VI, L.P.

John F. McGlinn, III appears on the Apr 14, 2022 Form D/A (executive officer, director) but not on the May 1, 2023 Form D/A for the same offering.

What this means People leave, and the issuer must list only current officers, directors and promoters. It is still worth asking why this person left and who replaced them.

Form D/A · Apr 14, 2022 ↗Form D/A · May 1, 2023 ↗John F. McGlinn, III — PartnerFacts page ↗Capitala SBIC Fund VI, L.P. — PartnerFacts page ↗
Sources
Note · Mar 16, 2010 – May 13, 2011

Donald Finkell's role changed at BROYHILL AFFINITY FUND LLC: executive officer, director → executive officer

The Mar 16, 2010 filing lists Donald Finkell as executive officer, director; the May 13, 2011 Form D/A lists executive officer.

What this means Roles on Form D are self-reported by the issuer. A change can mean a real change in who runs the company, or just a different box ticked. Ask who makes decisions today.

Form D · Mar 16, 2010 ↗Form D/A · May 13, 2011 ↗Donald Finkell — PartnerFacts page ↗BROYHILL AFFINITY FUND LLC — PartnerFacts page ↗
Sources
Note · May 13, 2009 – Mar 16, 2010

Donald Finkell's role changed at BROYHILL AFFINITY FUND LLC: executive officer → executive officer, director

The May 13, 2009 filing lists Donald Finkell as executive officer; the Mar 16, 2010 Form D lists executive officer, director.

What this means Roles on Form D are self-reported by the issuer. A change can mean a real change in who runs the company, or just a different box ticked. Ask who makes decisions today.

Form D · May 13, 2009 ↗Form D · Mar 16, 2010 ↗Donald Finkell — PartnerFacts page ↗BROYHILL AFFINITY FUND LLC — PartnerFacts page ↗
Sources
Note · May 13, 2009 – Jun 20, 2025

Christopher R. Pavese is written 2 different ways on the filings

listed as "Christopher R Pavese" on 6 filings (from May 13, 2009), and "Christopher Rocco Pavese" on the Jun 20, 2025 filing.

What this means Same person, written differently — a middle name or suffix left off, or spelled another way. It is normal, but check that the full legal name matches your subscription documents.

Form D · May 13, 2009 ↗Form D · Jun 20, 2025 ↗Christopher R. Pavese — PartnerFacts page ↗
Sources
Note · May 22, 2009 – Aug 25, 2015

John F. McGlinn, III is written 2 different ways on the filings

listed as "John F. McGlinn" on 4 filings (from May 22, 2009), and "John F. McGlinn, III" on 5 filings (from Aug 25, 2015).

What this means Same person, written differently — a middle name or suffix left off, or spelled another way. It is normal, but check that the full legal name matches your subscription documents.

Form D/A · May 22, 2009 ↗Form D · Aug 25, 2015 ↗John F. McGlinn, III — PartnerFacts page ↗
Sources
Note · Oct 9, 2013 – Aug 25, 2015

Richard Wheelahan is written 2 different ways on the filings

listed as "Richard Wheelahan" on 3 filings (from Oct 9, 2013), and "Richard G. Wheelahan, III" on the Aug 25, 2015 filing.

What this means Same person, written differently — a middle name or suffix left off, or spelled another way. It is normal, but check that the full legal name matches your subscription documents.

Form D · Oct 9, 2013 ↗Form D · Aug 25, 2015 ↗Richard Wheelahan — PartnerFacts page ↗
Sources
Note · Sep 7, 2016 – Aug 18, 2017

Reported net asset value range changed between filings — Capitala Private Credit Fund V, L.P.

"No Aggregate Net Asset Value" (Sep 7, 2016); then "Decline to Disclose" (Aug 18, 2017).

What this means This is the size band the issuer picks for itself on the form. A change can mean the business grew or shrank — or that it chose not to say. Ask for current numbers.

Form D · Sep 7, 2016 ↗Form D/A · Aug 18, 2017 ↗Capitala Private Credit Fund V, L.P. — PartnerFacts page ↗
Sources
Note · Jul 16, 2009 – Mar 16, 2010

Reported revenue range changed between filings — BROYHILL ALL WEATHER FUND L P

"Decline to Disclose" (Jul 16, 2009); then "Not Applicable" (Mar 16, 2010).

What this means This is the size band the issuer picks for itself on the form. A change can mean the business grew or shrank — or that it chose not to say. Ask for current numbers.

Form D · Jul 16, 2009 ↗Form D · Mar 16, 2010 ↗BROYHILL ALL WEATHER FUND L P — PartnerFacts page ↗
Sources
Note · May 22, 2009 – Jun 20, 2025

Member companies were formed in 3 different states

Delaware (13), De (1), Maryland (1) — out of 15 member issuers. The odd ones out: CAPITALSOUTH PARTNERS FUND III LP (De); Capitala Finance Corp. (Maryland).

What this means Sponsors often form each deal company in Delaware or Wyoming no matter where the property is. A mix is common; it just tells you which state's rules each company lives under.

Capitala — sponsor group page ↗CAPITALSOUTH PARTNERS FUND III LP — PartnerFacts page ↗Capitala Finance Corp. — PartnerFacts page ↗
Sources
What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. As of Oct 24, 2026.

5. Money to insiders

0 of 16 offerings report sales commissions; 1 reports finder's fees totalling $310,000; 3 report proceeds to related persons totalling $918,611.

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Jun 20, 2025 D
Broyhill Vitruvian Value, LP
File 021-549440
$0$0$0None listed on this filingEDGAR ↗
Dec 6, 2024 D/A
BROYHILL PARTNERS, LP
File 021-466511
$0$0$0
The manager and/or its affiliates are entitled to a performance allocation and a management fee. The performance allocation and management fee are discussed in the Issuer's confidential offering materials.
None listed on this filingEDGAR ↗
Apr 18, 2024 D/A
Capitala SBIC Fund VI, L.P.
File 021-398062
$0$310,000$0None listed on this filingEDGAR ↗
Aug 18, 2017 D/A
Capitala Private Credit Fund V, L.P.
File 021-270172
$0$0$0None listed on this filingEDGAR ↗
Aug 17, 2017 D
Capitala Private Advisors, LLC
File 021-292986
$0$0$0None listed on this filingEDGAR ↗
Apr 14, 2016 D
Capitala Private Advisors, LLC
File 021-261319
$0$0$0None listed on this filingEDGAR ↗
Aug 25, 2015 D
Capitala Investment Advisors, LLC
File 021-246379
$0$0$0None listed on this filingEDGAR ↗
Mar 27, 2014 D/A
CapitalSouth SBIC Fund IV, L.P.
File 021-194475
$0$0$0
The issuer's manager will receive management fees based on investors' commitments.
None listed on this filingEDGAR ↗
Oct 9, 2013 D
Capitala Finance Corp.
File 021-204283
$0$0$0None listed on this filingEDGAR ↗
May 13, 2011 D/A
BROYHILL AFFINITY FUND LLC
File 021-120438
$0$0$119,767
2010 Management Fees
None listed on this filingEDGAR ↗
Oct 20, 2010 D
CSP - A1 Capital, LLC
File 021-149356
$0$0$0
The issuer's manager will receive a monitoring fee based on invested capital.
None listed on this filingEDGAR ↗
Jul 9, 2010 D
CSPV SIDE CAR I, LLC
File 021-144627
$0$0$0
THE ISSUER'S MANAGER WILL RECEIVE A MONITORING FEE BASED ON INVESTED CAPITAL.
None listed on this filingEDGAR ↗
Jul 9, 2010 D
CAPITALSOUTH PARTNERS FLORIDA SIDECAR FUND I, L.P.
File 021-144628
$0$0$0
THE ISSUER'S GENERAL PARTNER WILL RECEIVE A MANAGEMENT FEE BASED ON CAPITAL COMMITMENTS.
None listed on this filingEDGAR ↗
Mar 16, 2010 D
BROYHILL ALL WEATHER FUND L P
File 021-132855
$0$0$237,286
2009 Performance Allocation
None listed on this filingEDGAR ↗
Jul 16, 2009 D
Surety Partners, LLC
File 021-132847
$0$0$561,558
Proceeds for year ending 2008 paid to Managing Members
None listed on this filingEDGAR ↗
May 22, 2009 D/A
CAPITALSOUTH PARTNERS FUND III LP
File 021-112751
$0$0$0
The Fund's general partner and its affiliates will receive management fees based on investors' commitments.
None listed on this filingEDGAR ↗
How this is counted

Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Counted across all 15 issuers in this group — every filing in our index, latest filing per offering (SEC file number).

Property records 0 documents · 0 ownership records · last checked Oct 24, 2026, 9:34 AM ET · NYC and Cook County lookup still to run

0 recorded documents and 0 ownership records matched to Capitala in the sources searched.

Not found in sources searched as of Oct 24, 2026, 9:34 AM ET: Hillsborough County FL Clerk of Court Official Records daily index (publicrec.hillsclerk.com D/P/M files), 2 daily files (Oct 14, 2026 to Oct 15, 2026) — loaded Oct 23, 2026, 8:59 PM ET; Harris County TX (HCAD ownership rolls 2005–2026) — 1,032,426 records, loaded Oct 24, 2026, 8:00 AM ET; Dallas County TX (DCAD ownership rolls 2021–2027) — 285,535 records, loaded Oct 24, 2026, 8:20 AM ET; Hillsborough County FL (FL DOR 2026 ownership roll + Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026), Miami-Dade County FL (FL DOR 2026 ownership roll), Broward County FL (FL DOR 2026 ownership roll), Palm Beach County FL (FL DOR 2026 ownership roll) — 514,336 records, loaded Oct 24, 2026, 8:25 AM ET; King County WA (Assessor sale records 0000-00-00–2026-10-14; no owner-of-record names published) — 538,619 records, loaded Oct 24, 2026, 8:27 AM ET; Cook County IL (Assessor sale records 1982–2026 + ownership rolls 2014–2026) — 1,031,843 records, loaded Oct 24, 2026, 9:05 AM ET. Still to be looked up for this group: NYC ACRIS via NYC Open Data (Real Property Parties 636b-3b5g, Master bnx9-e6tj, Legals 8h5j-fqxa, Document Control Codes 7isb-wh4c) · NYC PLUTO ownership via NYC Open Data (64uk-42ks) · Cook County IL Assessor via Cook County Open Data (Parcel Sales wvhk-k5uv; Parcel Addresses 3723-97qp). Records in other counties, and recorder indexes we do not yet cover, were not searched.

Property records coverage: New York City (ACRIS recorded documents and PLUTO ownership, looked up per issuer when its page is viewed; re-checked when the page is viewed again more than 30 days after the last check); Harris County TX (ownership only, no deed, mortgage or sale records; HCAD ownership rolls 2005–2026); Dallas County TX (ownership only, no deed, mortgage or sale records; DCAD ownership rolls 2021–2027); Hillsborough County FL (FL DOR 2026 ownership roll + Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026), Miami-Dade County FL (FL DOR 2026 ownership roll), Broward County FL (FL DOR 2026 ownership roll), Palm Beach County FL (FL DOR 2026 ownership roll); King County WA (Assessor sale records 0000-00-00–2026-10-14; no owner-of-record names published); Cook County IL (Assessor sale records 1982–2026 + ownership rolls 2014–2026); also looked up per issuer when its page is viewed. Recorder indexes (party names on deeds, mortgages and liens) in TX, AZ, NV, CA and WA counties and outside the Clerk index in FL, mortgages and liens outside NYC and Hillsborough County, lis pendens and foreclosure notices everywhere, Los Angeles County CA, Clark County NV, New York City bulk pass (not finished; per-issuer lookups only so far), Maricopa County AZ (loader ready; commercial-purpose statement not yet filed), Salt Lake County UT, and all other counties are not covered — not searched. Last refresh by source: Cook County IL Assessor via Cook County Open Data (Parcel Sales wvhk-k5uv; Parcel Addresses 3723-97qp) Oct 24, 2026, 9:05 AM ET; Cook County IL Assessor via Cook County Open Data (Parcel Sales wvhk-k5uv; Parcel Addresses 3723-97qp) Oct 24, 2026, 8:30 AM ET; King County WA Assessor Real Property Sales extract (EXTR_RPSale.csv) Oct 24, 2026, 8:27 AM ET; Florida DOR NAL roll (Palm Beach 60) Oct 24, 2026, 8:25 AM ET; Florida DOR NAL roll (Broward 16) Oct 24, 2026, 8:24 AM ET; Florida DOR NAL roll (Dade 23) Oct 24, 2026, 8:23 AM ET; Florida DOR NAL roll (Hillsborough 39) Oct 24, 2026, 8:21 AM ET; Dallas Central Appraisal District ACCOUNT_INFO.CSV Oct 24, 2026, 8:20 AM ET; Harris County Appraisal District real_acct.txt Oct 24, 2026, 8:00 AM ET; Hillsborough County FL Clerk daily index Oct 23, 2026, 8:59 PM ET. NYC and Cook County are also looked up per issuer when its page is viewed; the most recent such lookup on this site finished Oct 24, 2026, 3:30 AM ET. Parties are named as the recorder's index names them (role suffixes as recorded); no address, account number or trust date is shown for an individual, and individual owners of record (home ownership) are not matched or shown. Items still in human review are not shown.

Issuers in this group

Why each issuer is here is stated in the "Linked by" column. Low-confidence links are never shown — they wait for human review.

SourceIssuerLinked byLocationIndustryFilingsSold (max)InvestorsMin. investment (latest filing)Active
EDGAR ↗BA BROYHILL AFFINITY FUND LLCshared people, similar issuer namesLENIOR, NCInvesting3$21,270,80220$500,0002009–2011
EDGAR ↗CP CAPITALSOUTH PARTNERS FUND III LPshared people, same business address, similar issuer namesCharlotte, NCPooled Investment Fund1$96,325,000103$50,0002009–2009
EDGAR ↗SP Surety Partners, LLCshared peopleLENOIR, NCInvesting1$25,505,86439$250,0002009–2009
EDGAR ↗BA BROYHILL ALL WEATHER FUND L Pshared people, similar issuer namesLENOIR, NCInvesting2$23,524,82931$250,0002009–2010
EDGAR ↗CS CSPV SIDE CAR I, LLCshared people, same business addressCHARLOTTE, NCPooled Investment Fund1$50,000,0003$1,250,0002010–2010
EDGAR ↗CP CAPITALSOUTH PARTNERS FLORIDA SIDECAR FUND I, L.P.shared people, same business address, similar issuer namesCHARLOTTE, NCPooled Investment Fund1$2,525,0002$2,500,0002010–2010
EDGAR ↗CA CSP - A1 Capital, LLCshared people, same business addressCHARLOTTE, NCPooled Investment Fund1$50,000,0003$1,250,0002010–2010
EDGAR ↗CS CapitalSouth SBIC Fund IV, L.P.shared people, same business address, similar issuer namesCHARLOTTE, NCPooled Investment Fund2$54,245,545
offering $100,000,000 · similar: $155,000–$5,250,000
31
similar: 4–27
$100,000
similar: $1,000–$100,000
2013–2014
EDGAR ↗CF Capitala Finance Corp.shared people, same business address, similar issuer namesCharlotte, NCInvesting1$179,486,400
offering $179,486,400 · similar: $763,000–$10,000,000
10
similar: 4–23
No minimum reported
similar: $10,000–$78,388
2013–2013
EDGAR ↗CI Capitala Investment Advisors, LLCshared people, same business address, similar issuer namesCHARLOTTE, NCOther Banking and Financial Services1$1,950,000
offering $1,950,000 · similar: $2,144,500–$20,220,000
9
similar: 2–24
$100,000
similar: $10,000–$100,000
2015–2015
EDGAR ↗CP Capitala Private Advisors, LLCshared people, same business address, similar issuer namesCHARLOTTE, NCOther Banking and Financial Services2$1,000,000
offering $250,000 · similar: $2,144,500–$20,220,000
5
similar: 2–24
No minimum reported
similar: $10,000–$100,000
2016–2017
EDGAR ↗CP Capitala Private Credit Fund V, L.P.shared people, same business address, similar issuer namesCHARLOTTE, NCPooled Investment Fund2$44,000,000
offering $350,000,000 · similar: $500,000–$16,420,250
9
similar: 2–28
$1,000,000
similar: $5,000–$100,000
2016–2017
EDGAR ↗CS Capitala SBIC Fund VI, L.P.shared people, same business address, similar issuer namesCHARLOTTE, NCPooled Investment Fund4$173,620,000
offering $400,000,000 · similar: $155,000–$5,250,000
60
similar: 4–27
$100,000
similar: $1,000–$100,000
2021–2024
EDGAR ↗BP BROYHILL PARTNERS, LPshared people, same business address, similar issuer namesCHARLOTTE, NCPooled Investment Fund3$13,133,345
offering Indefinite · similar: $155,000–$5,250,000
18
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2022–2024
EDGAR ↗BV Broyhill Vitruvian Value, LPshared people, same business address, similar issuer namesCHARLOTTE, NCPooled Investment Fund1$0
offering Indefinite · similar: $155,000–$5,250,000
0
similar: 4–27
$1,000,000
similar: $1,000–$100,000
2025–2025

"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Investing / 506(b) (2,521 filings); Pooled Investment Fund / 506(b) (83,801 filings); Other Banking and Financial Services / 506(b) (1,630 filings); Pooled Investment Fund / 506(c) (8,096 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

Timeline of offerings

SourceFiledIssuerFormIndustryOfferedSold
EDGAR ↗Jun 20, 2025Broyhill Vitruvian Value, LPDPooled Investment FundIndefinite$0
EDGAR ↗Dec 6, 2024BROYHILL PARTNERS, LPD/APooled Investment FundIndefinite$13,133,345
EDGAR ↗Apr 18, 2024Capitala SBIC Fund VI, L.P.D/APooled Investment Fund$400,000,000$173,620,000
EDGAR ↗Dec 5, 2023BROYHILL PARTNERS, LPD/APooled Investment FundIndefinite$11,896,195
EDGAR ↗May 1, 2023Capitala SBIC Fund VI, L.P.D/APooled Investment Fund$400,000,000$132,620,000
EDGAR ↗Dec 5, 2022BROYHILL PARTNERS, LPDPooled Investment FundIndefinite$0
EDGAR ↗Apr 14, 2022Capitala SBIC Fund VI, L.P.D/APooled Investment Fund$400,000,000$60,920,000
EDGAR ↗May 4, 2021Capitala SBIC Fund VI, L.P.DPooled Investment Fund$400,000,000$20,475,000
EDGAR ↗Aug 18, 2017Capitala Private Credit Fund V, L.P.D/APooled Investment Fund$350,000,000$44,000,000
EDGAR ↗Aug 17, 2017Capitala Private Advisors, LLCDOther Banking and Financial Services$250,000$250,000
EDGAR ↗Sep 7, 2016Capitala Private Credit Fund V, L.P.DPooled Investment Fund$350,000,000$44,000,000
EDGAR ↗Apr 14, 2016Capitala Private Advisors, LLCDOther Banking and Financial ServicesIndefinite$1,000,000
EDGAR ↗Aug 25, 2015Capitala Investment Advisors, LLCDOther Banking and Financial Services$1,950,000$1,950,000
EDGAR ↗Mar 27, 2014CapitalSouth SBIC Fund IV, L.P.D/APooled Investment Fund$100,000,000$54,245,545
EDGAR ↗Oct 9, 2013Capitala Finance Corp.DInvesting$179,486,400$179,486,400
EDGAR ↗Apr 4, 2013CapitalSouth SBIC Fund IV, L.P.DPooled Investment Fund$100,000,000$23,800,000
EDGAR ↗May 13, 2011BROYHILL AFFINITY FUND LLCD/AInvestingIndefinite$21,270,802
EDGAR ↗Oct 20, 2010CSP - A1 Capital, LLCDPooled Investment Fund$50,000,000$50,000,000
EDGAR ↗Jul 9, 2010CAPITALSOUTH PARTNERS FLORIDA SIDECAR FUND I, L.P.DPooled Investment Fund$2,525,000$2,525,000
EDGAR ↗Jul 9, 2010CSPV SIDE CAR I, LLCDPooled Investment Fund$50,000,000$50,000,000
EDGAR ↗Mar 16, 2010BROYHILL AFFINITY FUND LLCDInvestingIndefinite$20,012,287
EDGAR ↗Mar 16, 2010BROYHILL ALL WEATHER FUND L PDInvesting$100,000,000$21,935,302
EDGAR ↗Jul 16, 2009Surety Partners, LLCDInvesting$100,000,000$25,505,864
EDGAR ↗Jul 16, 2009BROYHILL ALL WEATHER FUND L PDInvesting$100,000,000$23,524,829
EDGAR ↗May 22, 2009CAPITALSOUTH PARTNERS FUND III LPD/APooled Investment FundIndefinite$96,325,000
EDGAR ↗May 13, 2009BROYHILL AFFINITY FUND LLCDInvestingIndefinite$10,830,005

Activity: 0 new offerings in the last 12 months across all issuers in this group (new offering = a Form D that is not an amendment, D/A) · most recent filing Jun 20, 2025. Industry history, as reported on each offering's latest filing: Previous offerings: Investing (2009), Pooled Investment Fund (2009), Investing (2009), Pooled Investment Fund (2010–2013), Investing (2013), Other Banking and Financial Services (2015–2016), Pooled Investment Fund (2016), Other Banking and Financial Services (2017). Latest offering: Pooled Investment Fund (2021–2025; most recent Jun 20, 2025).

People across the group

NameRolesIssuers hereFirst → last listed
JA Joseph B. Alala, IIIExecutive Officer, Director10May 22, 2009 → Apr 18, 2024
MB Markham Hunt BroyhillExecutive Officer, Director6May 13, 2009 → Apr 18, 2024
JM John F. McGlinn, IIIExecutive Officer, Director6May 22, 2009 → Apr 14, 2022
CP Christopher R. PaveseExecutive Officer3May 13, 2009 → Jun 20, 2025
RW Richard WheelahanExecutive Officer3Oct 9, 2013 → Aug 18, 2017
CC CORPORATION CAPITALSOUTHExecutive Officer3May 22, 2009 → Jul 9, 2010
SA Stephen A. ArnallExecutive Officer, Director2Oct 9, 2013 → Apr 18, 2024
DW Dan J WakinExecutive Officer2Jul 16, 2009 → Mar 16, 2010
JW James John WatsonExecutive Officer1Jun 20, 2025 → Jun 20, 2025
RB R. Broyhill Asset Management, LLC entityExecutive Officer1Dec 5, 2022 → Dec 6, 2024
RB R. Broyhill Partners GP, LLC entityExecutive Officer1Dec 5, 2022 → Dec 6, 2024
FS F-VI, LLC Capitala SBICDirector1May 4, 2021 → Apr 18, 2024
LG Lynne GirtsExecutive Officer1Sep 7, 2016 → Aug 18, 2017
FS F-IV, LLC CapitalSouth SBICExecutive Officer1Apr 4, 2013 → Mar 27, 2014
AI Advisors, LLC Capitala InvestmentExecutive Officer1Apr 4, 2013 → Mar 27, 2014
MB M. Hunt BroyhillDirector1Oct 9, 2013 → Oct 9, 2013
LC Larry W. CarrollDirector1Oct 9, 2013 → Oct 9, 2013
RM R. Charles MoyerDirector1Oct 9, 2013 → Oct 9, 2013
HC H. Paul ChapmanDirector1Oct 9, 2013 → Oct 9, 2013
DF Donald FinkellExecutive Officer1May 13, 2009 → May 13, 2011
CI CSP International Side Car I, LLC entityExecutive Officer1Oct 20, 2010 → Oct 20, 2010
FM FUND I, LLC CSP-FLORIDA MEZZANINEExecutive Officer1Jul 9, 2010 → Jul 9, 2010
FP F-III, LLC CapitalSouth PartnersExecutive Officer1May 22, 2009 → May 22, 2009
MB Markahm Hunt BroyhillExecutive Officer1May 22, 2009 → May 22, 2009
SP SBIC F-III, LLC CapitalSouth PartnersExecutive Officer1May 22, 2009 → May 22, 2009
KB Kenneth S. BerrymanExecutive Officer1May 22, 2009 → May 22, 2009
DR David H. ReedExecutive Officer1May 22, 2009 → May 22, 2009
JT John Kendrick TurnerExecutive Officer1May 22, 2009 → May 22, 2009

Business registration (state registry / Secretary of State)

None of the 15 issuers has a record in the registries searched.

Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file). A registry listing is the state's own record of the entity; it says nothing about the offering itself.

Adviser registration (Form ADV)

CAPITALA PRIVATE ADVISORS, LLC — SEC-registered investment adviser · SEC registration status as reported: “Approved” since Jun 16, 2016 · SEC file 801-107897 · Main office: CHARLOTTE, NC · IAPD record ↗ · Form ADV filing (PDF) ↗

Regulatory assets under management: $505,135,000 as reported on Form ADV filed Mar 27, 2026 (Item 5.F(2)(c)) · 12 accounts (Item 5.F(2)(f))

Websites listed on Form ADV (Item 1.I): WWW.CAPITALAGROUP.COM ↗

Item 11 disclosure questions as answered on Form ADV filed Mar 27, 2026: 0 of 24 answered “Yes”
  • No — Form ADV Item 11 asks: “Do any of the events below involve you or any of your supervised persons?”
  • No — Form ADV Item 11A(1) asks: “A. In the past ten years, have you or any advisory affiliate: (1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to any felony?”
  • No — Form ADV Item 11A(2) asks: “A. (2) been charged with any felony?”
  • No — Form ADV Item 11B(1) asks: “B. In the past ten years, have you or any advisory affiliate: (1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a misdemeanor involving: investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?”
  • No — Form ADV Item 11B(2) asks: “B. (2) been charged with a misdemeanor listed in Item 11.B(1)?”
  • No — Form ADV Item 11C(1) asks: “C. Has the SEC or the Commodity Futures Trading Commission (CFTC) ever: (1) found you or any advisory affiliate to have made a false statement or omission?”
  • No — Form ADV Item 11C(2) asks: “C. (2) found you or any advisory affiliate to have been involved in a violation of SEC or CFTC regulations or statutes?”
  • No — Form ADV Item 11C(3) asks: “C. (3) found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
  • No — Form ADV Item 11C(4) asks: “C. (4) entered an order against you or any advisory affiliate in connection with investment-related activity?”
  • No — Form ADV Item 11C(5) asks: “C. (5) imposed a civil money penalty on you or any advisory affiliate, or ordered you or any advisory affiliate to cease and desist from any activity?”
  • No — Form ADV Item 11D(1) asks: “D. Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: (1) ever found you or any advisory affiliate to have made a false statement or omission, or been dishonest, unfair, or unethical?”
  • No — Form ADV Item 11D(2) asks: “D. (2) ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?”
  • No — Form ADV Item 11D(3) asks: “D. (3) ever found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
  • No — Form ADV Item 11D(4) asks: “D. (4) in the past ten years, entered an order against you or any advisory affiliate in connection with an investment-related activity?”
  • No — Form ADV Item 11D(5) asks: “D. (5) ever denied, suspended, or revoked your or any advisory affiliate's registration or license, or otherwise prevented you or any advisory affiliate, by order, from associating with an investment-related business or restricted your or any advisory affiliate's activity?”
  • No — Form ADV Item 11E(1) asks: “E. Has any self-regulatory organization or commodities exchange ever: (1) found you or any advisory affiliate to have made a false statement or omission?”
  • No — Form ADV Item 11E(2) asks: “E. (2) found you or any advisory affiliate to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the SEC)?”
  • No — Form ADV Item 11E(3) asks: “E. (3) found you or any advisory affiliate to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
  • No — Form ADV Item 11E(4) asks: “E. (4) disciplined you or any advisory affiliate by expelling or suspending you or the advisory affiliate from membership, barring or suspending you or the advisory affiliate from association with other members, or otherwise restricting your or the advisory affiliate's activities?”
  • No — Form ADV Item 11F asks: “F. Has an authorization to act as an attorney, accountant, or federal contractor granted to you or any advisory affiliate ever been revoked or suspended?”
  • No — Form ADV Item 11G asks: “G. Are you or any advisory affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of Item 11.C., 11.D., or 11.E.?”
  • No — Form ADV Item 11H(1)(a) asks: “H. (1) Has any domestic or foreign court: (a) in the past ten years, enjoined you or any advisory affiliate in connection with any investment-related activity?”
  • No — Form ADV Item 11H(1)(b) asks: “H. (1)(b) ever found that you or any advisory affiliate were involved in a violation of investment-related statutes or regulations?”
  • No — Form ADV Item 11H(1)(c) asks: “H. (1)(c) ever dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or any advisory affiliate by a state or foreign financial regulatory authority?”
  • No — Form ADV Item 11H(2) asks: “H. (2) Are you or any advisory affiliate now the subject of any civil proceeding that could result in a "yes" answer to any part of Item 11.H(1)?”

Answers as filed by the adviser on Form ADV Part 1A, Item 11; question text quoted from the form. Details of each “Yes” are in the Disclosure Reporting Pages of the Form ADV (PDF) ↗.

Matched on issuer name = adviser name, SEC CIK on Form ADV = issuer CIK · Form ADV data: SEC Investment Adviser Information Report (SEC-registered advisers), file dated 2026-10-02, loaded Oct 23, 2026, 8:39 PM ET · IAPD record last checked Oct 23, 2026, 8:36 PM ET

Meta advertising

No Meta Pixel ids or Facebook / Instagram page links on file for Capitala as of Oct 24, 2026 — the sponsor website is read for them once it is on file (runs automatically). Meta Ad Library: not searched by PartnerFacts (no API access); a one-tap Ad Library search is under Look further.

Other offering types (Regulation A and Regulation Crowdfunding)

Searched SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.

Public profiles and social

No website or social profile named in Capitala's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #325,355 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓

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Social and web

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Courts

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Securities regulators

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Business registries

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