PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:52 AM ET

Sponsor Check › Sponsor group

E

Elmtree

One sponsor team, 17 deal companies · St. Louis, MO

Grouped because: 5 shared people, same business address (10 issuers), similar issuer names (13) (automatic match from the filings) · not the same sponsor?

17deal companies
$3.83Breported sold
845investors
30Form D filings
2011–2026active
1new, last 12 mo
Follow this sponsor groupLook further ↓

Data last updated Oct 23, 2026, 5:45 PM ET · Latest filing in this group Mar 30, 2026 · 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

Elmtree is a sponsor group of 17 issuers that PartnerFacts links to one sponsor (shared people, similar issuer names, same business address; automatic match from the filings), filing 30 Form D filings between Oct 2011 and Mar 2026.

What this means One team, 17 deal companies, about 15 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: $3.83B to 845 investors (latest filing per issuer). Industries as reported: Pooled Investment Fund (7), REITS and Finance (5), Commercial (3), Other Real Estate (2). Issuers are based in MO (16), NY (1).

What this means $3.83B raised across the group, about $4.53M per investor. Amounts come from each company's latest Form D; they are what the sponsor reported, not audited figures.

Principal people: James G. Koman (17 issuers, executive officer, director, and promoter), David Leavitt (10 issuers, executive officer, director, and promoter), Kerry Gawrych (10 issuers, executive officer, director, and promoter), Joseph C. YIU (9 issuers, executive officer and promoter), Jason Ridgway (8 issuers, executive officer and promoter) and 10 more.

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

Activity: 1 new offering in the last 12 months; latest filing Mar 30, 2026.

What this means still raising money this year.

Adviser registration (Form ADV) on record: ELMTREE FUNDS, 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) — none found.

What this means Nothing turned up where we looked (4 sources). That does not prove there is nothing — it means none was found in those sources on that date.

We compared 30 public filings for Elmtree and found 16 differences, 6 worth asking the sponsor about: 4 paid sellers are listed without a CRD number; 158 other issuers file from the same address; 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 Elmtree has not run yet — it is joining a line of 62,582 names; searches run around the clock at the hosts' allowed rate. Searched so far: 737 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

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

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.

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 Elmtree..

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 Elmtree — 6 worth asking about (compared 30 filings on Oct 24, 2026)

Note · Jun 30, 2020

Last filing Jun 30, 2020 with 45% of the target sold — ElmTree Unity Debt Fund, L.P.

ElmTree Unity Debt Fund, L.P. (last filing Jun 30, 2020; $90,000,000 sold of $200,000,000). There is no filing in more than two years and the last one reported under half the 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.

ElmTree Unity Debt Fund, L.P. — PartnerFacts page ↗EDGAR filer page ↗
Sources
Worth asking · May 28, 2024 – May 27, 2025

4 paid sellers are listed without a CRD number

Paid seller listed without a CRD number: INTER CAPITAL ADVISORS — ELMTREE U.S. NET LEASE FUND V-A, L.P. · Paid seller listed without a CRD number: AUGUST ADVISORS INC. — ELMTREE U.S. NET LEASE FUND V-A, L.P. · Paid seller listed without a CRD number: INTER CAPITAL ADVISORS — ELMTREE U.S. NET LEASE FUND V-B, L.P. · Paid seller listed without a CRD number: AUGUST ADVISORS INC. — ELMTREE U.S. NET LEASE FUND V-B, L.P.

What this means Without a CRD number we cannot look a seller up on BrokerCheck. Ask who they are and whether they are registered.

Form D/A · May 27, 2025 ↗BrokerCheck search: INTER CAPITAL ADVISORS ↗ELMTREE U.S. NET LEASE FUND V-A, L.P. — PartnerFacts page ↗BrokerCheck search: AUGUST ADVISORS INC. ↗
Sources
Worth asking · Mar 30, 2026

158 other issuers file from the same address — HPS ElmTree Stabilized Net Lease Fund, L.P.

The address on file, 40 West 57th Street, 33rd Floor, New York, NY, is used by 159 issuers in our index across 3 sponsor groups; 158 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.

HPS ElmTree Stabilized Net Lease Fund, L.P. — PartnerFacts page ↗EDGAR filer page · HPS ElmTree Stabilized Net Lease Fund, L.P. ↗
Sources
Worth asking · Nov 2, 2021

26 other issuers file from the same address — 3 member issuers (ELMTREE U.S. NET LEASE FUND IV, L.P.; ELMTREE U.S. NET LEASE FUND IV-A, L.P.; ELMTREE U.S. NET LEASE FUND IV-B, L.P.)

The address on file, 120 South Central Avenue, Suite 300, St. Louis, MO, is used by 29 issuers in our index across 5 sponsor groups; 26 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.

ELMTREE U.S. NET LEASE FUND IV, L.P. — PartnerFacts page ↗ELMTREE U.S. NET LEASE FUND IV-A, L.P. — PartnerFacts page ↗ELMTREE U.S. NET LEASE FUND IV-B, L.P. — PartnerFacts page ↗EDGAR filer page · ELMTREE U.S. NET LEASE FUND IV, L.P. ↗
Sources
Worth asking · Jan 11, 2021 – Mar 16, 2021

Form D filed 64 days after the first sale — ETCL BROOMFIELD, LLC

The filing says the first sale was Jan 11, 2021. The Form D was filed Mar 16, 2021 — 64 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 49 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Form D · Mar 16, 2021 ↗ETCL BROOMFIELD, LLC — PartnerFacts page ↗
Sources
Worth asking · Apr 19, 2019 – Jul 2, 2019

Form D filed 74 days after the first sale — ElmTree Unity Debt Fund, L.P.

The filing says the first sale was Apr 19, 2019. The Form D was filed Jul 2, 2019 — 74 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 59 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Form D · Jul 2, 2019 ↗ElmTree Unity Debt Fund, L.P. — PartnerFacts page ↗
Sources
Note · Jan 27, 2021 – Mar 16, 2021

Form D filed 48 days after the first sale — ELMTREE FUND IV REIT, LLC

The filing says the first sale was Jan 27, 2021. The Form D was filed Mar 16, 2021 — 48 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 33 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Form D · Mar 16, 2021 ↗ELMTREE FUND IV REIT, LLC — PartnerFacts page ↗
Sources
Note · Feb 10, 2012 – May 27, 2025

5 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 — ELMTREE U.S. NET LEASE FUND V-B, L.P. (latest filing May 27, 2025) · No amendment in the last 12 months on an offering that may still be open — ELMTREE U.S. NET LEASE FUND V-A, L.P. (latest filing May 27, 2025) · No amendment in the last 12 months on an offering that may still be open — ElmTree Industrial Trust, Inc. (latest filing Jul 11, 2024) · No amendment in the last 12 months on an offering that may still be open — ElmTree Unity Debt Fund, L.P. (latest filing Jun 30, 2020) · No amendment in the last 12 months on an offering that may still be open — ELM Auburn I, LLC (latest filing Feb 21, 2012)

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 · May 27, 2025 ↗ELMTREE U.S. NET LEASE FUND V-B, L.P. — PartnerFacts page ↗Form D/A · May 27, 2025 ↗ELMTREE U.S. NET LEASE FUND V-A, L.P. — PartnerFacts page ↗
Sources
Worth asking · Jun 7, 2012 – Sep 13, 2012

Steve Shott is no longer listed on the Sep 13, 2012 amendment — ELMTREE NET LEASE FUND II, LLC

Steve Shott appears on the Jun 7, 2012 Form D (executive officer) but not on the Sep 13, 2012 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 · Jun 7, 2012 ↗Form D/A · Sep 13, 2012 ↗Steve Shott — PartnerFacts page ↗ELMTREE NET LEASE FUND II, LLC — PartnerFacts page ↗
Sources
Note · Jun 30, 2020 – Nov 2, 2021

6 offerings changed their target amount between filings

Offering amount changed between filings — ELMTREE U.S. NET LEASE FUND IV-B, L.P. · Offering amount changed between filings — ELMTREE U.S. NET LEASE FUND IV-A, L.P. · Offering amount changed between filings — ELMTREE U.S. NET LEASE FUND IV, L.P. · Offering amount changed between filings — ELMTREE U.S. NET LEASE FUND IV-B, L.P. · Offering amount changed between filings — ELMTREE U.S. NET LEASE FUND IV-A, L.P. · and 1 more

What this means Targets change as deals grow or shrink. Ask whether later money has the same terms.

Form D/A (earlier) · Jun 30, 2021 ↗Form D/A (later) · Nov 2, 2021 ↗ELMTREE U.S. NET LEASE FUND IV-B, L.P. — PartnerFacts page ↗Form D/A (earlier) · Jun 30, 2021 ↗
Sources
Note · Oct 24, 2011 – Feb 2, 2017

JAMES G. KOMAN is written 2 different ways on the filings

listed as "James G. Koman" on 27 filings (from Oct 24, 2011), and "James Koman" on 3 filings (from Feb 2, 2017).

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 24, 2011 ↗Form D · Feb 2, 2017 ↗JAMES G. KOMAN — PartnerFacts page ↗
Sources
Note · Feb 19, 2021

Formed in 2021 per the latest filing, but activity is dated 2020 — ELMTREE U.S. NET LEASE FUND IV-B, L.P.

The issuer's latest filing says it was formed in 2021. The Jun 30, 2021 filing says the first sale was Jul 1, 2020 — before that year.

What this means A company cannot sell before it exists, so one of the two dates is likely a typo on the form. Ask the sponsor for the formation document.

Form D · Feb 19, 2021 ↗ELMTREE U.S. NET LEASE FUND IV-B, L.P. — PartnerFacts page ↗
Sources
Note · Oct 24, 2011 – Mar 16, 2021

6 issuers use a registered-agent or shared-office address

Address on file is a registered agent / shared office — ETCL BROOMFIELD, LLC · Address on file is a registered agent / shared office — ELMTREE FUND IV REIT, LLC · Address on file is a registered agent / shared office — ELMTREE NET LEASE FUND II, LLC · Address on file is a registered agent / shared office — ET Philadelphia, LLC · Address on file is a registered agent / shared office — ELM Auburn I, LLC · and 1 more

What this means A registered agent's address is a mailbox, not where the team works. Ask where the business operates.

Form D · Mar 16, 2021 ↗ETCL BROOMFIELD, LLC — PartnerFacts page ↗Form D · Mar 16, 2021 ↗ELMTREE FUND IV REIT, LLC — PartnerFacts page ↗
Sources
Note · Oct 24, 2011 – Mar 30, 2026

Member companies were formed in 3 different states

Delaware (13), Missouri (3), Maryland (1) — out of 17 member issuers. The odd ones out: ELM Auburn I, LLC (Missouri); ET Philadelphia, LLC (Missouri); ET Sparrows Point, LLC (Missouri); ElmTree Industrial Trust, Inc. (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.

Elmtree — sponsor group page ↗ELM Auburn I, LLC — PartnerFacts page ↗ET Philadelphia, LLC — PartnerFacts page ↗ET Sparrows Point, LLC — PartnerFacts page ↗
Sources
Note · Oct 24, 2011 – Mar 30, 2026

Member companies list addresses in 2 different states

MO (16), NY (1). 6 members use a registered-agent or shared-office address: ELM Net Lease Fund, LLC (8025 Forsyth, Suite 100, St. Louis, MO); ELM Auburn I, LLC (8025 Forsyth, Suite 100, St. Louis, MO); ELMTREE NET LEASE FUND II, LLC (8025 Forsyth, Suite 100, St. Louis, MO); ET Philadelphia, LLC (8025 Forsyth, Suite 100, St. Louis, MO).

What this means A registered agent's address is a mailbox, not where the team works. The other address is more likely the real office — ask which one is.

Elmtree — sponsor group page ↗ELM Net Lease Fund, LLC — PartnerFacts page ↗ELM Auburn I, LLC — PartnerFacts page ↗ELMTREE NET LEASE FUND II, LLC — PartnerFacts page ↗
Sources
Note · Jul 2, 2019 – Jun 30, 2020

Issuer used a different name before — ElmTree Unity Debt Fund, L.P.

SEC records list prior names for this filer: ET Opportunity Debt Fund I, L.P.. The current name on file is "ElmTree Unity Debt Fund, L.P.".

What this means A name change is normal, but your documents may show the old name. Match the CIK, not just the name.

EDGAR filer page ↗ElmTree Unity Debt Fund, L.P. — 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

6 of 18 offerings report sales commissions totalling $63,250; 0 report finder's fees; 4 report proceeds to related persons totalling $1,796,250. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Mar 30, 2026 D
HPS ElmTree Stabilized Net Lease Fund, L.P.
File 021-578315
$0$0$0J.P. Morgan Securities LLC BrokerCheck CRD 79 ↗EDGAR ↗
May 27, 2025 D/A
ELMTREE U.S. NET LEASE FUND V-A, L.P.
File 021-485707
$0 (est.)$0 (est.)$0 (est.)
The general partner of the Issuer is entitled to a performance allocation. The management company is entitled to a management fee. The performance allocation and management fee are fully discussed in the Issuer's confidential offering materials.
INTER CAPITAL ADVISORS no CRD number reported
AUGUST ADVISORS INC. no CRD number reported		EDGAR ↗
May 27, 2025 D/A
ELMTREE U.S. NET LEASE FUND V-B, L.P.
File 021-485708
$0 (est.)$0 (est.)$0 (est.)
The general partner of the Issuer is entitled to a performance allocation. The management company is entitled to a management fee. The performance allocation and management fee are fully discussed in the Issuer's confidential offering materials.
INTER CAPITAL ADVISORS no CRD number reported
AUGUST ADVISORS INC. no CRD number reported		EDGAR ↗
Feb 7, 2025 D
ElmTree Industrial Trust, Inc.
File 021-537691
$12,000$0$0A5 Securities LLC BrokerCheck CRD 288410 ↗
via Gary Allen Cutson (CRD 6119495 ↗)
EDGAR ↗
Jul 11, 2024 D
ElmTree Industrial Trust, Inc.
File 021-518422
$9,000$0$0WealthForge Securities, LLC BrokerCheck CRD 152550 ↗EDGAR ↗
Jan 29, 2024 D
ELMTREE U.S. NET LEASE FUND V REIT, LLC
File 021-503810
$12,000$0$0A5 SECURITIES LLC BrokerCheck CRD 288410 ↗
via GARY CUTSON (CRD 6119195 ↗)
EDGAR ↗
Nov 2, 2021 D/A
ELMTREE U.S. NET LEASE FUND IV, L.P.
File 021-370001
$0$0$0 (est.)None listed on this filingEDGAR ↗
Nov 2, 2021 D/A
ELMTREE U.S. NET LEASE FUND IV-A, L.P.
File 021-370002
$0$0$0 (est.)None listed on this filingEDGAR ↗
Nov 2, 2021 D/A
ELMTREE U.S. NET LEASE FUND IV-B, L.P.
File 021-390006
$0$0$0 (est.)None listed on this filingEDGAR ↗
Mar 16, 2021 D
ELMTREE FUND IV REIT, LLC
File 021-392489
$12,000$0$0A5 SECURITIES LLC BrokerCheck CRD 288410 ↗
via GARY CUTSON (CRD 6119195 ↗)
EDGAR ↗
Mar 16, 2021 D
ETCL BROOMFIELD, LLC
File 021-392488
$12,000$0$0A5 SECURITIES LLC BrokerCheck CRD 288410 ↗
via GARY CUTSON (CRD 6119195 ↗)
EDGAR ↗
Jun 30, 2020 D/A
ElmTree Unity Debt Fund, L.P.
File 021-343405
$0$0$0
The General Partner or certain affiliates of the General Partner may receive payments deemed to be made from the proceeds of the offering including management fees and/or incentive allocations. The amount of such fees cannot be estimated at this time.
None listed on this filingEDGAR ↗
Feb 6, 2018 D
ETCL Venture REIT, LLC
File 021-304918
$6,250$0$0Iroquois Capital Advisors, LLC BrokerCheck CRD 145235 ↗EDGAR ↗
Feb 2, 2017 D
ET Sparrows Point, LLC
File 021-279947
$0$0$0None listed on this filingEDGAR ↗
Sep 13, 2012 D/A
ELMTREE NET LEASE FUND II, LLC
File 021-179433
$0$0$1,000,000 (est.)None listed on this filingEDGAR ↗
Aug 28, 2012 D
ET Philadelphia, LLC
File 021-183328
$0$0$100,000None listed on this filingEDGAR ↗
Feb 21, 2012 D
ELM Auburn I, LLC
File 021-173713
$0$0$71,250 (est.)None listed on this filingEDGAR ↗
Oct 24, 2011 D
ELM Net Lease Fund, LLC
File 021-167686
$0$0$625,000 (est.)
The issuer will reimburse the managing member for up to a maximum of $625,000 in organizational expenses.
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 17 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, 10:16 AM ET · NYC and Cook County lookup still to run

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

Not found in sources searched as of Oct 24, 2026, 10:16 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 1999–2026) — 1,263,035 records, loaded Oct 24, 2026, 9:34 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 1999–2026); 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: NYC ACRIS via NYC Open Data (Real Property Parties 636b-3b5g, Master bnx9-e6tj, Legals 8h5j-fqxa, Document Control Codes 7isb-wh4c) Oct 24, 2026, 9:34 AM ET; Cook County IL Assessor via Cook County Open Data (Parcel Sales wvhk-k5uv; Parcel Addresses 3723-97qp) Oct 24, 2026, 9:34 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 ↗EN ELM Net Lease Fund, LLCshared peopleST. LOUIS, MOCommercial1$00No minimum reported2011–2011
EDGAR ↗EA ELM Auburn I, LLCshared peopleST. LOUIS, MOCommercial1$5,000,00015$100,0002012–2012
EDGAR ↗EN ELMTREE NET LEASE FUND II, LLCshared people, similar issuer namesST. LOUIS, MOOther Real Estate2$00$1,000,0002012–2012
EDGAR ↗EP ET Philadelphia, LLCshared peopleST. LOUIS, MOCommercial1$3,100,0000$250,0002012–2012
EDGAR ↗ES ET Sparrows Point, LLCshared people, same business addressSAINT LOUIS, MOOther Real Estate1$3,000,000
offering $3,000,000 · similar: $2,250,000–$16,950,000
3
similar: 5–32
$250,000
similar: $15,000–$100,000
2017–2017
EDGAR ↗EV ETCL Venture REIT, LLCshared people, same business address, similar issuer namesST. LOUIS, MOREITS and Finance1$125,000
offering $125,000 · similar: $125,000–$125,000
125
similar: 124–125
$1,000
similar: $1,000–$1,000
2018–2018
EDGAR ↗EU ElmTree Unity Debt Fund, L.P.shared people, same business address, similar issuer namesSAINT LOUIS, MOPooled Investment Fund2$90,000,000
offering $200,000,000 · similar: $155,000–$5,250,000
2
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2019–2020
EDGAR ↗EU ELMTREE U.S. NET LEASE FUND IV, L.P.shared people, same business address, similar issuer namesST. LOUIS, MOPooled Investment Fund3$888,000,000
offering $888,000,000 · similar: $155,000–$5,250,000
49
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2020–2021
EDGAR ↗EU ELMTREE U.S. NET LEASE FUND IV-A, L.P.shared people, same business address, similar issuer namesST. LOUIS, MOPooled Investment Fund3$888,000,000
offering $888,000,000 · similar: $155,000–$5,250,000
40
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2020–2021
EDGAR ↗EU ELMTREE U.S. NET LEASE FUND IV-B, L.P.shared people, same business address, similar issuer namesST. LOUIS, MOPooled Investment Fund3$888,000,000
offering $888,000,000 · similar: $155,000–$5,250,000
32
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2021–2021
EDGAR ↗EF ELMTREE FUND IV REIT, LLCshared people, similar issuer namesSAINT LOUIS, MOREITS and Finance1$125,000
offering $125,000 · similar: $125,000–$125,000
125
similar: 124–125
$1,000
similar: $1,000–$1,000
2021–2021
EDGAR ↗EB ETCL BROOMFIELD, LLCshared people, similar issuer namesSAINT LOUIS, MOREITS and Finance1$125,000
offering $125,000 · similar: $125,000–$125,000
125
similar: 124–125
$1,000
similar: $1,000–$1,000
2021–2021
EDGAR ↗EU ELMTREE U.S. NET LEASE FUND V-A, L.P.shared people, same business address, similar issuer namesST. LOUIS, MOPooled Investment Fund3$530,224,000
offering $1,250,000,000 · similar: $155,000–$5,250,000
75
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2023–2025
EDGAR ↗EU ELMTREE U.S. NET LEASE FUND V-B, L.P.shared people, same business address, similar issuer namesST. LOUIS, MOPooled Investment Fund3$530,224,000
offering $1,250,000,000 · similar: $155,000–$5,250,000
4
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2023–2025
EDGAR ↗EU ELMTREE U.S. NET LEASE FUND V REIT, LLCshared people, same business address, similar issuer namesST. LOUIS, MOREITS and Finance1$125,000
offering $125,000 · similar: $125,000–$125,000
125
similar: 124–125
$1,000
similar: $1,000–$1,000
2024–2024
EDGAR ↗EI ElmTree Industrial Trust, Inc.shared people, same business address, similar issuer namesSt. Louis, MOREITS and Finance2$1,200,000
offering $125,000 · similar: $125,000–$125,000
125
similar: 124–125
$1,000
similar: $1,000–$1,000
2024–2025
EDGAR ↗HE HPS ElmTree Stabilized Net Lease Fund, L.P.shared people, similar issuer namesNEW YORK, NYPooled Investment Fund1$0
offering Indefinite · similar: $155,000–$5,250,000
0
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2026–2026

"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Other Real Estate / 506(b) (5,033 filings); REITS and Finance / 506(b) (3,490 filings); Pooled Investment Fund / 506(b) (83,801 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 ↗Mar 30, 2026HPS ElmTree Stabilized Net Lease Fund, L.P.DPooled Investment FundIndefinite$0
EDGAR ↗May 27, 2025ELMTREE U.S. NET LEASE FUND V-B, L.P.D/APooled Investment Fund$1,250,000,000$530,224,000
EDGAR ↗May 27, 2025ELMTREE U.S. NET LEASE FUND V-A, L.P.D/APooled Investment Fund$1,250,000,000$530,224,000
EDGAR ↗Feb 7, 2025ElmTree Industrial Trust, Inc.DREITS and Finance$125,000$125,000
EDGAR ↗Jul 11, 2024ElmTree Industrial Trust, Inc.DREITS and FinanceIndefinite$1,200,000
EDGAR ↗May 28, 2024ELMTREE U.S. NET LEASE FUND V-B, L.P.D/APooled Investment Fund$1,250,000,000$419,705,301
EDGAR ↗May 28, 2024ELMTREE U.S. NET LEASE FUND V-A, L.P.D/APooled Investment Fund$1,250,000,000$419,705,301
EDGAR ↗Jan 29, 2024ELMTREE U.S. NET LEASE FUND V REIT, LLCDREITS and Finance$125,000$125,000
EDGAR ↗Jun 30, 2023ELMTREE U.S. NET LEASE FUND V-B, L.P.DPooled Investment Fund$1,250,000,000$0
EDGAR ↗Jun 30, 2023ELMTREE U.S. NET LEASE FUND V-A, L.P.DPooled Investment Fund$1,250,000,000$0
EDGAR ↗Nov 2, 2021ELMTREE U.S. NET LEASE FUND IV-B, L.P.D/APooled Investment Fund$888,000,000$888,000,000
EDGAR ↗Nov 2, 2021ELMTREE U.S. NET LEASE FUND IV-A, L.P.D/APooled Investment Fund$888,000,000$888,000,000
EDGAR ↗Nov 2, 2021ELMTREE U.S. NET LEASE FUND IV, L.P.D/APooled Investment Fund$888,000,000$888,000,000
EDGAR ↗Jun 30, 2021ELMTREE U.S. NET LEASE FUND IV-B, L.P.D/APooled Investment FundIndefinite$503,841,750
EDGAR ↗Jun 30, 2021ELMTREE U.S. NET LEASE FUND IV-A, L.P.D/APooled Investment FundIndefinite$503,841,750
EDGAR ↗Jun 30, 2021ELMTREE U.S. NET LEASE FUND IV, L.P.D/APooled Investment FundIndefinite$503,841,750
EDGAR ↗Mar 16, 2021ETCL BROOMFIELD, LLCDREITS and Finance$125,000$125,000
EDGAR ↗Mar 16, 2021ELMTREE FUND IV REIT, LLCDREITS and Finance$125,000$125,000
EDGAR ↗Feb 19, 2021ELMTREE U.S. NET LEASE FUND IV-B, L.P.DPooled Investment Fund$500,000,000$0
EDGAR ↗Jun 30, 2020ELMTREE U.S. NET LEASE FUND IV-A, L.P.DPooled Investment Fund$500,000,000$0
EDGAR ↗Jun 30, 2020ELMTREE U.S. NET LEASE FUND IV, L.P.DPooled Investment Fund$500,000,000$0
EDGAR ↗Jun 30, 2020ElmTree Unity Debt Fund, L.P.D/APooled Investment Fund$200,000,000$90,000,000
EDGAR ↗Jul 2, 2019ElmTree Unity Debt Fund, L.P.DPooled Investment Fund$200,000,000$75,000,000
EDGAR ↗Feb 6, 2018ETCL Venture REIT, LLCDREITS and Finance$125,000$125,000
EDGAR ↗Feb 2, 2017ET Sparrows Point, LLCDOther Real Estate$3,000,000$3,000,000
EDGAR ↗Sep 13, 2012ELMTREE NET LEASE FUND II, LLCD/AOther Real EstateIndefinite$0
EDGAR ↗Aug 28, 2012ET Philadelphia, LLCDCommercial$3,100,000$3,100,000
EDGAR ↗Jun 7, 2012ELMTREE NET LEASE FUND II, LLCDOther Real EstateIndefinite$0
EDGAR ↗Feb 21, 2012ELM Auburn I, LLCDCommercialIndefinite$5,000,000
EDGAR ↗Oct 24, 2011ELM Net Lease Fund, LLCDCommercialIndefinite$0

Activity: 1 new offering 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 Mar 30, 2026. Industry history, as reported on each offering's latest filing: Previous offerings: Commercial (2011–2012), Other Real Estate (2012), Commercial (2012), Other Real Estate (2017), REITS and Finance (2018), Pooled Investment Fund (2019–2021), REITS and Finance (2021), Pooled Investment Fund (2023), REITS and Finance (2024–2025). Latest offering: Pooled Investment Fund (Mar 30, 2026).

People across the group

NameRolesIssuers hereFirst → last listed
JK JAMES G. KOMANExecutive Officer, Promoter, Director17Oct 24, 2011 → Mar 30, 2026
DL DAVID LEAVITTExecutive Officer, Promoter, Director10Jun 30, 2020 → Mar 30, 2026
KG KERRY GAWRYCHExecutive Officer, Promoter, Director10Jun 30, 2020 → Mar 30, 2026
JY JOSEPH C. YIUExecutive Officer, Promoter9Oct 24, 2011 → Nov 2, 2021
JR JASON RIDGWAYExecutive Officer, Promoter8Jun 30, 2020 → May 27, 2025
JR JASON RIDGEWAYExecutive Officer, Promoter1Mar 30, 2026 → Mar 30, 2026
EV ETCL Venture GP, LLC entityPromoter1Feb 6, 2018 → Feb 6, 2018
EM ElmTree Managing Member II, LLC entityPromoter1Jun 7, 2012 → Sep 13, 2012
EF ElmTree Funds, LLC entityPromoter1Jun 7, 2012 → Sep 13, 2012
LL Limited Liability Company ET Philadelphia Management, LLC entityPromoter1Aug 28, 2012 → Aug 28, 2012
LL Limited Liability Company C. Elmtree Special Opportunities Fund I, LLC entityPromoter1Aug 28, 2012 → Aug 28, 2012
SS Steve ShottExecutive Officer1Jun 7, 2012 → Jun 7, 2012
LL limited liability company ELM Auburn Management, LLC entityPromoter1Feb 21, 2012 → Feb 21, 2012
LL limited liability company Equity Lease Management, LLC entityPromoter1Oct 24, 2011 → Oct 24, 2011
LL limited liability company Elm Managing Member, LLC entityPromoter1Oct 24, 2011 → Oct 24, 2011

Business registration (state registry / Secretary of State)

None of the 17 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); KY (Kentucky Secretary of State — Business Entity Search (sosbes.sos.ky.gov), searched by issuer name, data as of Oct 24, 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)

ELMTREE FUNDS, LLC — SEC-registered investment adviser · SEC registration status as reported: “Approved” since Sep 2, 2025 · SEC file 801-134683 · Main office: ST. LOUIS, MO · IAPD record ↗ · Form ADV filing (PDF) ↗

Regulatory assets under management: $7,773,898,501 as reported on Form ADV filed Mar 31, 2026 (Item 5.F(2)(c)) · 16 accounts (Item 5.F(2)(f))

Websites listed on Form ADV (Item 1.I): elmtreefunds.com ↗

Item 11 disclosure questions as answered on Form ADV filed Mar 31, 2026: 9 of 24 answered “Yes”
  • No — Form ADV Item 11 asks: “Do any of the events below involve you or any of your supervised persons?”
  • Yes (1 disclosure reported) — 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?”
  • Yes (1 disclosure reported) — Form ADV Item 11C(4) asks: “C. (4) entered an order against you or any advisory affiliate in connection with investment-related activity?”
  • Yes (1 disclosure reported) — 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?”
  • Yes (1 disclosure reported) — 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?”
  • Yes (2 disclosures reported) — 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?”
  • Yes (1 disclosure reported) — 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)?”
  • Yes (1 disclosure reported) — 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.?”
  • Yes (1 disclosure reported) — 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?”
  • Yes (1 disclosure reported) — 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)?”
  • 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(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 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(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(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(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 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?”

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 management entity listed on Form D = adviser name, same state (MO) · 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 Elmtree 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 Elmtree's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #176,317 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓

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Grouping is PartnerFacts' inference from public filings (shared related persons, management entities, business address). Everything else on this page is drawn from the filings themselves. Not the same sponsor? Request a correction.

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Business registries

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