Sponsor Check › Sponsor group
3 issuers linked to one sponsor · PASADENA, CA
Grouped because: 12 shared people, same business address (3 issuers) · 3 issuers also list a director who sits on many unrelated issuers (not used to group) (automatic match from the filings) ·Not the same sponsor? Request a correction
Data last updated: Oct 23, 2026, 5:45 PM ET · Latest filing in this group: Mar 17, 2020 · Courts (RECAP) last checked: Oct 24, 2026, 12:52 AM ET · SEC enforcement last checked: not yet
The five facts investors ask about first. Each section states what was searched and when. Items still in human review are not shown.
None found in sources searched.
Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30) — federal district + bankruptcy courts; live RECAP re-check pending. State courts: not yet searched. PACER: not searched. · Last checked Oct 24, 2026, 12:52 AM ET.
State courts: not yet searched. 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.
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. — not yet searched; State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states: not yet searched.
Not yet searched.
No SEC search has run yet for this sponsor group.
None found in sources searched.
Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 12:52 AM ET.
State courts: not yet searched. 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.
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.
0 of 3 offerings report sales commissions; 0 report finder's fees; 0 report proceeds to related persons.
| Source | Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it |
|---|---|---|---|---|---|
| EDGAR ↗ | Mar 17, 2020 D/A File 021-137795 | $0 | $0 | $0 Directors and executive officers of the fund are paid as part of the expense of the fund and not directly from the gross proceeds of the offering. | None listed on this filing |
| EDGAR ↗ | Feb 4, 2019 D/A File 021-230661 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Feb 2, 2018 D/A File 021-157781 | $0 | $0 | $0 Directors and executive officers of the fund are paid as part of the expense of the fund and not directly from the gross proceeds of the offering. | None listed on this filing |
As reported by the issuer on Form D (Items 12–15), 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 3 issuers in this group — every filing in our index, latest filing per offering (SEC file number).
0 recorded documents and 0 ownership records matched to First in the sources searched.
Not found in sources searched as of Oct 23, 2026, 8:59 PM 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; Florida DOR NAL roll (Hillsborough 39) roll year 2026 — loaded Oct 23, 2026, 8:54 PM ET; Florida DOR NAL roll (Dade 23) roll year 2026 — loaded Oct 23, 2026, 8:58 PM ET; Harris County Appraisal District real_acct.txt roll year 2026 — loaded Oct 23, 2026, 8:58 PM ET; Dallas Central Appraisal District ACCOUNT_INFO.CSV roll year 2026 — loaded Oct 23, 2026, 8:58 PM ET. Not yet searched for this group (queued): 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); Hillsborough County FL (recorded documents from Oct 14, 2026 forward; ownership from FL DOR roll 2026); Cook County IL (assessor ownership and deed/sale records, looked up per issuer when its page is viewed); Harris County TX and Dallas County TX (assessor ownership rolls only, 2026 roll; no deed, mortgage or sale records); Miami-Dade County FL (ownership from FL DOR roll only; Clerk recorded documents not yet searched). Recorder indexes for TX, AZ, IL and WA counties, mortgages and liens outside NYC and FL, lis pendens and foreclosure notices everywhere, Miami-Dade County FL recorded documents, Maricopa County AZ, King County WA, Salt Lake County UT, and all other counties are not yet searched. Last refresh by source: Hillsborough County FL Clerk daily index Oct 23, 2026, 8:59 PM ET; Dallas Central Appraisal District ACCOUNT_INFO.CSV Oct 23, 2026, 8:58 PM ET; Harris County Appraisal District real_acct.txt Oct 23, 2026, 8:58 PM ET; Florida DOR NAL roll (Dade 23) Oct 23, 2026, 8:58 PM ET; Florida DOR NAL roll (Hillsborough 39) Oct 23, 2026, 8:54 PM ET. NYC and Cook County are looked up per issuer when its page is viewed; the most recent such lookup on this site finished Oct 24, 2026, 1:47 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.
Why each issuer is here is stated in the "Linked by" column. Low-confidence links are never shown — they wait for human review.
| Source | Issuer | Linked by | Location | Industry | Filings | Sold (max) | Investors | Min. investment (latest filing) | Active |
|---|---|---|---|---|---|---|---|---|---|
| EDGAR ↗ | First Quadrant Essential Beta Fund Ltd. | shared people, shared principal (person on 60+ issuers) at the same address or management entity, same business address, director listed on many unrelated issuers (not used to group) | PASADENA, CA | Pooled Investment Fund | 13 | $1,859,436,519 | 6 | $1,000,000 | 2010–2020 |
| EDGAR ↗ | FQ Balanced Risk Commodity Index Fund Ltd | shared people, shared principal (person on 60+ issuers) at the same address or management entity, same business address, director listed on many unrelated issuers (not used to group) | PASADENA, CA | Pooled Investment Fund | 10 | $280,612,136 | 5 | $1,000,000 | 2011–2018 |
| EDGAR ↗ | FQ Macro Fund Ltd. | shared people, shared principal (person on 60+ issuers) at the same address or management entity, same business address, director listed on many unrelated issuers (not used to group) | PASADENA, CA | Pooled Investment Fund | 6 | $183,166,128 | 5 | $1,000,000 | 2014–2019 |
Market context: not shown for these offerings — fewer than 30 Form D filings in the last 5 years share the offering's industry and exemption, or the exemption claimed is not Rule 506(b)/506(c). No ranking or score.
| Source | Filed | Issuer | Form | Industry | Offered | Sold |
|---|---|---|---|---|---|---|
| EDGAR ↗ | Mar 17, 2020 | First Quadrant Essential Beta Fund Ltd. | D/A | Pooled Investment Fund | $5,986,975,997 | $747,402,763 |
| EDGAR ↗ | Feb 4, 2019 | First Quadrant Essential Beta Fund Ltd. | D/A | Pooled Investment Fund | $7,622,265,503 | $942,626,728 |
| EDGAR ↗ | Feb 4, 2019 | FQ Macro Fund Ltd. | D/A | Pooled Investment Fund | $2,012,875,859 | $182,530,733 |
| EDGAR ↗ | Feb 2, 2018 | FQ Macro Fund Ltd. | D/A | Pooled Investment Fund | $1,912,481,520 | $183,166,128 |
| EDGAR ↗ | Feb 2, 2018 | FQ Balanced Risk Commodity Index Fund Ltd | D/A | Pooled Investment Fund | $3,499,666,888 | $72,886,512 |
| EDGAR ↗ | Feb 2, 2018 | First Quadrant Essential Beta Fund Ltd. | D/A | Pooled Investment Fund | $7,258,516,888 | $942,626,782 |
| EDGAR ↗ | Feb 2, 2017 | First Quadrant Essential Beta Fund Ltd. | D/A | Pooled Investment Fund | $7,592,160,000 | $1,198,193,249 |
| EDGAR ↗ | Feb 2, 2017 | FQ Balanced Risk Commodity Index Fund Ltd | D/A | Pooled Investment Fund | $3,568,860,000 | $72,886,500 |
| EDGAR ↗ | Feb 2, 2017 | FQ Macro Fund Ltd. | D/A | Pooled Investment Fund | $2,049,250,000 | $138,500,000 |
| EDGAR ↗ | Jul 18, 2016 | FQ Balanced Risk Commodity Index Fund Ltd | D/A | Pooled Investment Fund | $3,540,060,000 | $102,129,704 |
| EDGAR ↗ | Jul 18, 2016 | FQ Macro Fund Ltd. | D/A | Pooled Investment Fund | $1,973,450,000 | $90,000,000 |
| EDGAR ↗ | Jul 18, 2016 | First Quadrant Essential Beta Fund Ltd. | D/A | Pooled Investment Fund | $7,436,160,000 | $1,198,193,249 |
| EDGAR ↗ | Jul 16, 2015 | FQ Macro Fund Ltd. | D/A | Pooled Investment Fund | $2,465,173,000 | $59,000,000 |
| EDGAR ↗ | Jul 16, 2015 | FQ Balanced Risk Commodity Index Fund Ltd | D/A | Pooled Investment Fund | $3,818,730,000 | $213,284,017 |
| EDGAR ↗ | Jul 16, 2015 | First Quadrant Essential Beta Fund Ltd. | D/A | Pooled Investment Fund | $6,581,542,543 | $1,859,436,519 |
| EDGAR ↗ | Dec 22, 2014 | FQ Macro Fund Ltd. | D | Pooled Investment Fund | $2,465,173,000 | $42,000,000 |
| EDGAR ↗ | Jun 30, 2014 | FQ Balanced Risk Commodity Index Fund Ltd | D/A | Pooled Investment Fund | $3,818,730,000 | $203,511,408 |
| EDGAR ↗ | Jun 30, 2014 | First Quadrant Essential Beta Fund Ltd. | D/A | Pooled Investment Fund | $6,581,542,543 | $115,117,187 |
| EDGAR ↗ | Jul 22, 2013 | First Quadrant Essential Beta Fund Ltd. | D/A | Pooled Investment Fund | $3,236,691,669 | $1,269,286,437 |
| EDGAR ↗ | Jul 22, 2013 | FQ Balanced Risk Commodity Index Fund Ltd | D/A | Pooled Investment Fund | $3,851,460,000 | $261,986,964 |
| EDGAR ↗ | Aug 16, 2012 | FQ Balanced Risk Commodity Index Fund Ltd | D/A | Pooled Investment Fund | $3,851,460,000 | $280,612,136 |
| EDGAR ↗ | Aug 16, 2012 | First Quadrant Essential Beta Fund Ltd. | D/A | Pooled Investment Fund | $3,787,920,000 | $412,801,859 |
| EDGAR ↗ | Feb 7, 2012 | FQ Balanced Risk Commodity Index Fund Ltd | D/A | Pooled Investment Fund | $3,851,460,000 | $280,612,136 |
| EDGAR ↗ | Feb 7, 2012 | First Quadrant Essential Beta Fund Ltd. | D/A | Pooled Investment Fund | $3,787,920,000 | $412,801,859 |
| EDGAR ↗ | Jun 30, 2011 | First Quadrant Essential Beta Fund Ltd. | D/A | Pooled Investment Fund | $3,787,920,000 | $247,230,400 |
| EDGAR ↗ | Jun 30, 2011 | FQ Balanced Risk Commodity Index Fund Ltd | D/A | Pooled Investment Fund | $3,851,460,000 | $182,500,000 |
| EDGAR ↗ | Apr 4, 2011 | FQ Balanced Risk Commodity Index Fund Ltd | D | Pooled Investment Fund | $3,851,460,000 | $182,500,000 |
| EDGAR ↗ | Dec 29, 2010 | First Quadrant Essential Beta Fund Ltd. | D/A | Pooled Investment Fund | $3,787,920,000 | $247,230,400 |
| EDGAR ↗ | Jan 14, 2010 | First Quadrant Essential Beta Fund Ltd. | D | Pooled Investment Fund | $3,870,480,000 | $100,000,000 |
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 Mar 17, 2020. Industry history, as reported on each offering's latest filing: All 3 offerings reported: Pooled Investment Fund (2010–2014).
| Name | Roles | Issuers here | First → last listed |
|---|---|---|---|
| Roger Priaulx | Director | 3 | Jul 22, 2013 → Mar 17, 2020 |
| Darren Stainrod | Director | 3 | Feb 2, 2017 → Mar 17, 2020 |
| Joel L. Brouwer | Executive Officer, Director | 3 | Jul 22, 2013 → Mar 17, 2020 |
| Stephane Lachance | Director | 3 | Jul 22, 2013 → Jul 18, 2016 |
| Dori Levanoni | Executive Officer | 2 | Jan 14, 2010 → Jul 22, 2013 |
| Affiliated Managers Group | Executive Officer | 2 | Jan 14, 2010 → Jul 22, 2013 |
| Jia Ye | Executive Officer | 2 | Dec 29, 2010 → Jul 22, 2013 |
| Kenneth J. Ferguson | Executive Officer | 2 | Jan 14, 2010 → Aug 16, 2012 |
| Joseph A. Germain | Director | 2 | Aug 16, 2012 → Aug 16, 2012 |
| Timothy Meckel | Director | 2 | Jan 14, 2010 → Feb 7, 2012 |
| Kent C. Roberts, II | Executive Officer | 2 | Jan 14, 2010 → Apr 4, 2011 |
| Chuck Fannin | Executive Officer | 2 | Dec 29, 2010 → Apr 4, 2011 |
| L First Quadrant entity | Promoter | 1 | Jun 30, 2014 → Mar 17, 2020 |
| Curtis J Ketterer | Executive Officer | 1 | Jan 14, 2010 → Jul 22, 2013 |
| Ed E. Peters | Executive Officer | 1 | Jan 14, 2010 → Jul 22, 2013 |
| R. Max Darnell | Executive Officer | 1 | Jan 14, 2010 → Jul 22, 2013 |
| Edgar E. Peters | Executive Officer | 1 | Apr 4, 2011 → Jul 22, 2013 |
| Curt J. Ketterer | Executive Officer | 1 | Apr 4, 2011 → Jul 22, 2013 |
| Ronnie Max Darnell | Executive Officer | 1 | Apr 4, 2011 → Jul 22, 2013 |
| Jeff Murphy | Director | 1 | Dec 29, 2010 → Aug 16, 2012 |
| Jeffrey Murphy | Director | 1 | Apr 4, 2011 → Aug 16, 2012 |
| Christopher G. Luck | Executive Officer | 1 | Jan 14, 2010 → Dec 29, 2010 |
| Nathaniel Dalton | Director | 1 | Jan 14, 2010 → Jan 14, 2010 |
| Jia Yia | Executive Officer | 1 | Jan 14, 2010 → Jan 14, 2010 |
Not yet searched. Sources to be searched: SEC Investment Adviser Information Reports — Form ADV data for SEC-registered advisers and exempt reporting advisers (file dated 2026-10-02); SEC Investment Adviser Public Disclosure (IAPD) firm search — registered and exempt reporting advisers · Search queued. Results are added automatically; check back later.
Not yet searched.
Sources to be searched: the sponsor's website (none on record yet; a sponsor's website is known only 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 — we never look it up elsewhere) for Meta Pixel ids and Facebook / Instagram page links; Meta Ad Library API: not yet searched (API access pending). We never read facebook.com or instagram.com; readers get a link to Meta's public Ad Library instead.
None found in sources searched.
Sources 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 · Last checked Oct 23, 2026, 8:41 PM ET.
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