PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 7:56 AM ET

Sponsor Check › Sponsor group

GL

Group linked by Bruce Victor Roberts

One sponsor team, 37 deal companies · Brevard, NC

Grouped because: 1 shared person, same business address (37 issuers), similar issuer names (11) (automatic match from the filings) · not the same sponsor?

37deal companies
$41Mreported sold
302investors
65Form D filings
2010–2025active
0new, last 12 mo
Follow this sponsor groupLook further ↓

Data last updated Oct 23, 2026, 5:45 PM ET · Latest filing in this group Jan 6, 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

Group linked by Bruce Victor Roberts is a sponsor group of 37 issuers that PartnerFacts links to one sponsor (shared people, same business address, similar issuer names; automatic match from the filings), filing 65 Form D filings between Jun 2010 and Jan 2025.

What this means One team, 37 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: $41M to 302 investors (latest filing per issuer). Industries as reported: "Other" (10), Agriculture (8), Other Banking and Financial Services (7), Manufacturing (3) and 9 more. Issuers are based in NC (37).

What this means $41M raised across the group, about $136K per investor. Amounts come from each company's latest Form D; they are what the sponsor reported, not audited figures.

Principal people: Bruce Victor Roberts (37 issuers, executive officer and director), Bruce Victor Robert (1 issuer, executive officer), Charles Reynolds (1 issuer, executive officer), David Gonzales (1 issuer, promoter), Peter Stuart MIlhaupt (1 issuer, executive officer) and 1 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 Jan 6, 2025.

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

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, OK, OR, PA, RI, SC, SD, TN, TX, VT, WA, WI, WV, WY), property records (NYC, FL, IL and TX counties) — 6 court cases matching the name, 6 bankruptcy cases matching the name, 2 property records listed in Key records below.

What this means 14 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 the newest 50 of 65 public filings for Group linked by Bruce Victor Roberts and found 16 differences, 4 worth asking the sponsor about: 4 filings report more than 10% of the money raised going to insiders; Group linked by Bruce Victor Roberts includes 23 deals that stopped filing before reaching their target; 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 Group linked by Bruce Victor Roberts has not run yet — it is joining a line of 29,043 names; searches run around the clock at the hosts' allowed rate. Searched so far: 638 names.

Community comments are quoted as written by their authors. Sources searched: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).

Key records

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

1. Lawsuits

6 cases: 3 closed (disposition not in docket feed), 3 dismissed

CAROLINA FINANCIAL SECURITIES, LLC v. T3 COMMUNICATIONS, INC. closed
District Court, M.D. North Carolina · No. 1:21-cv-00408 · Filed May 24, 2021 · Closed Oct 18, 2021 · Nature of suit: 190 Contract: Other · Cause: 28:1332 Diversity-Contract Dispute
Role of CAROLINA FINANCIAL SECURITIES, LLC: Plaintiff · Outcome: Terminated 2021-10-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name made of generic words; court in the issuer's state (NC)
Southern Roots Farming Company, LLC v. CFG Financial Services, LLC dismissed
District Court, E.D. North Carolina · No. 7:19-cv-00038 · Filed Feb 27, 2019 · Closed Mar 25, 2020 · Nature of suit: 422 Bankruptcy Appeal (801) · Cause: 28:0158 Bankruptcy Appeal from Judgment/Order
Role of CFG Financial Services, LLC: Defendant · Outcome: Terminated 2020-03-25 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; name has one distinctive word; court in the issuer's state (NC)
Tull Hill Farms, Inc. v. CFG Financial Services, LLC dismissed
District Court, E.D. North Carolina · No. 7:19-cv-00018 · Filed Feb 4, 2019 · Closed Feb 28, 2020 · Nature of suit: 422 Bankruptcy appeals rule 28 USC 158
Role of CFG Financial Services, LLC: Defendant · Outcome: Terminated 2020-02-28 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; name has one distinctive word; court in the issuer's state (NC)
BF Funding, LLC v. Boersen Farms, Inc. closed
District Court, W.D. Michigan · No. 1:17-cv-00533 · Filed Jun 13, 2017 · Closed Jun 28, 2017 · Nature of suit: 150 Contract: Recovery/Enforcement · Cause: 28:1441 Petition for Removal- Breach of Contract
Role of BF Funding, LLC: Plaintiff · Outcome: Terminated 2017-06-28 — FJC Integrated Database disposition: Remanded to state court Docket on CourtListener ↗
exact company name; court in MI (not the issuer's state)
Mainstreet Funding, LLC v. Stadlberger closed
District Court, C.D. California · No. 2:14-cv-09063 · Filed Nov 24, 2014 · Closed Nov 25, 2014
Role of Mainstreet Funding, LLC: Plaintiff · Outcome: Terminated 2014-11-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; court in CA (not the issuer's state); filed 2014, issuer incorporated 2020
IMG Funding, LLC v. International Manufacturing Group, Inc. dismissed
District Court, E.D. California · No. 2:14-cv-00583 · Filed Feb 28, 2014 · Closed Jan 30, 2019 · Nature of suit: Securities/Commodities · Cause: 15:78m(a) Securities Exchange Act
Role of IMG Funding, LLC: Plaintiff · Outcome: Terminated 2019-01-30 — FJC Integrated Database disposition: Voluntarily dismissed 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: VA (crawled Oct 23, 2026)

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 Group linked by Bruce Victor Roberts..

State securities regulators: Securities regulators searched (3,318 actions): 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), DE DOJ Investor Protection Unit (257 actions, 1987–2026), TX State Securities Board (586 actions, 2006–2026), WA DFI (2,039 actions, 2001–2026) — last crawled Oct 23, 2026, 9:57 PM ET. No machine-readable public listing today for CO, FL, IA, IN, MN, NE, NJ, NY, OH, UT, VA (see docs/state-regulators.md).

3. Bankruptcies

6 cases: 2 open, 4 closed (disposition not in docket feed)

Berry Capital Management II, LLC open
United States Bankruptcy Court, E.D. North Carolina · No. 25-04003 · Filed Oct 10, 2025
Role of Berry Capital Management II, LLC: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in the issuer's state (NC)
Berry Capital Management, LLC open
United States Bankruptcy Court, E.D. North Carolina · No. 25-04002 · Filed Oct 10, 2025
Role of Berry Capital Management, LLC: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in the issuer's state (NC)
Kapila v. Miami NDT Delta Leasing l, LLC closed
United States Bankruptcy Court, S.D. Florida. · No. 22-01308 · Filed Sep 27, 2022 · Closed Jan 23, 2023
Role of Kapila v. Miami NDT Delta Leasing l, LLC: Party · Outcome: Case closed 2023-01-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in FL (not the issuer's state)
CFG Financial Services, LLC v. Wayne Bailey Produce Co., LLC closed
United States Bankruptcy Court, E.D. North Carolina · No. 19-00023 · Filed Mar 22, 2019 · Closed Apr 11, 2019
Role of CFG Financial Services, LLC: Plaintiff · Outcome: Case closed 2019-04-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in the issuer's state (NC)
SP Funding, LLC v. Wayne Bailey, Inc. closed
United States Bankruptcy Court, E.D. North Carolina · No. 18-00066 · Filed Jun 26, 2018 · Closed Feb 25, 2020
Role of SP Funding, LLC: Plaintiff · Outcome: Case closed 2020-02-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; court in the issuer's state (NC)
Wayne Bailey, Inc. v. SP Funding, LLC closed
United States Bankruptcy Court, E.D. North Carolina · No. 18-00037 · Filed May 18, 2018 · Closed Mar 6, 2020 · Nature of suit: 02 Other (e.g. other actions that would have been brought in state court if unrelated to bankruptcy); 12 Recovery of money/property - 547 preference
Role of SP Funding, LLC: Defendant · Outcome: Case closed 2020-03-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; court in the issuer's state (NC)
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.

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.

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 Group linked by Bruce Victor Roberts — 4 worth asking about (compared the newest 50 of 65 filings on Oct 24, 2026; older filings not covered)

Note · May 18, 2018 – Oct 10, 2025

5 bankruptcy cases name the subject or team members

Bankruptcy case: Berry Capital Management II, LLC — filed Oct 10, 2025 · Bankruptcy case: Berry Capital Management, LLC — filed Oct 10, 2025 · Bankruptcy case: Wayne Bailey, Inc. v. SP Funding, LLC — filed May 18, 2018 · Bankruptcy case: SP Funding, LLC v. Wayne Bailey, Inc. — filed Jun 26, 2018 · Bankruptcy case: CFG Financial Services, LLC v. Wayne Bailey Produce Co., LLC — filed Mar 22, 2019

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Docket · United States Bankruptcy Court, E.D. North Carolina ↗Berry Capital Management II, LLC — PartnerFacts page ↗Docket · United States Bankruptcy Court, E.D. North Carolina ↗Berry Capital Management, LLC — PartnerFacts page ↗
Sources
Worth asking · Sep 12, 2016 – May 25, 2021

4 filings report more than 10% of the money raised going to insiders

193% of the money raised went to insiders — Azzly Funding, LLC · 208% of the money raised went to insiders — Thunder Investment Partners, LLC · 15% of the money raised went to insiders — Brasstown Funding II LLC · 11% of the money raised went to insiders — BF Funding, LLC

What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.

Form D · May 25, 2021 ↗Azzly Funding, LLC — PartnerFacts page ↗Form D/A · Oct 4, 2018 ↗Thunder Investment Partners, LLC — PartnerFacts page ↗
Sources
Note · May 30, 2014 – May 31, 2023

8 paid sellers are also listed insiders

Bruce Victor Roberts is both a listed executive officer, director and a paid seller — Teardown Funding #2,LLC · Bruce Victor Roberts is both a listed executive officer and a paid seller — Drop Zone Canopy Company, LLC · Bruce Victor Roberts is both a listed executive officer and a paid seller — Teardown Funding #1, LLC · Bruce Victor Roberts is both a listed director and a paid seller — Blue Gem Restart, LLC · Bruce Victor Roberts is both a listed executive officer and a paid seller — Carofin, LLC · and 3 more

What this means The same person is listed as running the company and as being paid to sell its securities. Ask how much and on what terms.

Form D · May 31, 2023 ↗Bruce Victor Roberts — PartnerFacts page ↗Teardown Funding #2,LLC — PartnerFacts page ↗Form D · Apr 14, 2023 ↗
Sources
Worth asking · Jun 29, 2012 – Jul 22, 2024

Group linked by Bruce Victor Roberts includes 23 deals that stopped filing before reaching their target

DNP Leasing Company, LLC (last filing Jul 22, 2024; $115,000 sold of $3,000,000); Drop Zone Canopy Company, LLC (last filing Jul 1, 2024; $925,000 sold of $3,500,000); Fairmont Breakers Investco, LLC (last filing Mar 26, 2024; $1,225,000 sold of $50,000,000); ABP Funding, LLC (last filing Aug 19, 2021; $1,625,000 sold of $3,305,000); Dash 3 Funding, LLC (last filing Jun 17, 2021; $400,000 sold of $1,000,000); Azzly Funding, LLC (last filing May 25, 2021; $50,000 sold of $2,300,000); and 17 more. 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.

DNP Leasing Company, LLC — PartnerFacts page ↗Drop Zone Canopy Company, LLC — PartnerFacts page ↗Fairmont Breakers Investco, LLC — PartnerFacts page ↗ABP Funding, LLC — PartnerFacts page ↗
Sources
Worth asking · Mar 23, 2023 – Sep 20, 2023

Form D filed 181 days after the first sale — K-Island Resources, LLC

The filing says the first sale was Mar 23, 2023. The Form D was filed Sep 20, 2023 — 181 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 166 days past that.

What this means The notice went in months after money was taken in. Late notices are common and carry no penalty by themselves, but it is fair to ask the sponsor why the paperwork lagged.

Form D · Sep 20, 2023 ↗K-Island Resources, LLC — PartnerFacts page ↗
Sources
Note · Aug 5, 2013 – Jan 6, 2025

27 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 — Empower Feeder Holdco, LLC (latest filing Jan 6, 2025) · No amendment in the last 12 months on an offering that may still be open — CFG Financial Services, LLC (latest filing Nov 21, 2024) · No amendment in the last 12 months on an offering that may still be open — DNP Leasing Company, LLC (latest filing Jul 22, 2024) · No amendment in the last 12 months on an offering that may still be open — Empower Feeder Holdco, LLC (latest filing Jul 1, 2024) · No amendment in the last 12 months on an offering that may still be open — Drop Zone Canopy Company, LLC (latest filing Jul 1, 2024) · and 22 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 · Jan 6, 2025 ↗Empower Feeder Holdco, LLC — PartnerFacts page ↗Form D · Nov 21, 2024 ↗CFG Financial Services, LLC — PartnerFacts page ↗
Sources
Worth asking · Nov 13, 2019 – Jan 23, 2020

David Gonzales is no longer listed on the Jan 23, 2020 amendment — Blue Gem Restart, LLC

David Gonzales appears on the Nov 13, 2019 Form D (promoter) but not on the Jan 23, 2020 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 · Nov 13, 2019 ↗Form D/A · Jan 23, 2020 ↗David Gonzales — PartnerFacts page ↗Blue Gem Restart, LLC — PartnerFacts page ↗
Sources
Note · Mar 8, 2022 – Apr 24, 2023

Bruce Victor Roberts's role changed at K-Island Resources, LLC: executive officer → director

The Mar 8, 2022 filing lists Bruce Victor Roberts as executive officer; the Apr 24, 2023 Form D/A lists 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 · Mar 8, 2022 ↗Form D/A · Apr 24, 2023 ↗Bruce Victor Roberts — PartnerFacts page ↗K-Island Resources, LLC — PartnerFacts page ↗
Sources
Note · Jan 26, 2022 – Feb 13, 2023

Bruce Victor Roberts's role changed at Berry Capital Management, LLC: executive officer → director

The Jan 26, 2022 filing lists Bruce Victor Roberts as executive officer; the Feb 13, 2023 Form D lists 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 · Jan 26, 2022 ↗Form D · Feb 13, 2023 ↗Bruce Victor Roberts — PartnerFacts page ↗Berry Capital Management, LLC — PartnerFacts page ↗
Sources
Note · Aug 23, 2013 – Jan 22, 2024

11 offerings changed their target amount between filings

Offering amount changed between filings — K-Island Resources, LLC · Offering amount changed between filings — K-Island Resources, LLC · Offering amount changed between filings — K-Island Resources, LLC · Offering amount changed between filings — K-Island Resources, LLC · Offering amount changed between filings — Carofin, LLC · and 6 more

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

Form D/A (earlier) · Dec 18, 2023 ↗Form D/A (later) · Jan 22, 2024 ↗K-Island Resources, LLC — PartnerFacts page ↗Form D (earlier) · Nov 8, 2023 ↗
Sources
Note · Oct 24, 2019 – Jan 22, 2020

Minimum investment changed between filings — Carofin, LLC

The Oct 24, 2019 filing lists a minimum of $25,000; the Jan 22, 2020 Form D/A lists $5,000.

What this means A different minimum usually means the offering terms changed. Check which terms apply to you.

Form D/A (earlier) · Oct 24, 2019 ↗Form D/A (later) · Jan 22, 2020 ↗Carofin, LLC — PartnerFacts page ↗
Sources
Note · Aug 23, 2013 – Sep 12, 2016

Bruce Victor Roberts is written 3 different ways on the filings

listed as "Bruce Victor Roberts" on 33 filings (from Aug 23, 2013), and "Bruce Roberts" on 8 filings (from May 30, 2014), and "Bruce V Roberts" on 10 filings (from Sep 12, 2016).

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 · Aug 23, 2013 ↗Form D · May 30, 2014 ↗Form D · Sep 12, 2016 ↗Bruce Victor Roberts — PartnerFacts page ↗
Sources
Note · Oct 24, 2014 – Oct 11, 2016

Reported revenue range changed between filings — SP Funding, LLC

"$1,000,001 - $5,000,000" (Oct 24, 2014); then "Decline to Disclose" (Oct 11, 2016).

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 · Oct 24, 2014 ↗Form D · Oct 11, 2016 ↗SP Funding, LLC — PartnerFacts page ↗
Sources
Note · Aug 23, 2013 – Mar 4, 2016

Reported revenue range changed between filings — Brasstown Funding II LLC

"$1,000,001 - $5,000,000" (Aug 23, 2013); then "Decline to Disclose" (Mar 4, 2016).

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 · Aug 23, 2013 ↗Form D/A · Mar 4, 2016 ↗Brasstown Funding II LLC — PartnerFacts page ↗
Sources
Note · Mar 19, 2012 – Jan 6, 2025

Member companies were formed in 2 different states

North Carolina (33), Delaware (4) — out of 37 member issuers. The odd ones out: 737 Funding LLC (Delaware); 6064 Deep Branch LLC (Delaware); Chatel Funding, LLC (Delaware); Thunder Investment Partners, LLC (Delaware).

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.

Group linked by Bruce Victor Roberts — sponsor group page ↗737 Funding LLC — PartnerFacts page ↗6064 Deep Branch LLC — PartnerFacts page ↗Chatel Funding, LLC — PartnerFacts page ↗
Sources
Note · Nov 13, 2019 – Jan 23, 2020

Issuer used a different name before — Blue Gem Restart, LLC

SEC records list prior names for this filer: Catalyst DIP, LLC. The current name on file is "Blue Gem Restart, LLC".

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 ↗Blue Gem Restart, LLC — 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. We compared the newest 50 of 65 filings (work cap); older filings are not covered here. As of Oct 24, 2026.

5. Money to insiders

33 of 47 offerings report sales commissions totalling $7,326,102; 0 report finder's fees; 18 report proceeds to related persons totalling $1,454,438. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Jan 6, 2025 D
Empower Feeder Holdco, LLC
File 021-534231
$80,000 (est.)$0$0
Manager of the LLC is also a representative of the broker-dealer. He will not receive any compensation for serving as manager of the entity, but may earn investment banking fees and sales compensation.
Bruce V Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Kristen A Dawson BrokerCheck CRD 2154005 ↗
via Carofin, LLC (CRD 298717 ↗)
EDGAR ↗
Nov 21, 2024 D
CFG Financial Services, LLC
File 021-530035
$0$0$0None listed on this filingEDGAR ↗
Jul 22, 2024 D
DNP Leasing Company, LLC
File 021-519430
$180,000 (est.)$0$0
Manager of the LLC is also a representative of the broker-dealer. He will not receive any compensation for serving as manager of the entity, but may earn investment banking and sales compensation.
Bruce V Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Bruce B Smith BrokerCheck CRD 2332178 ↗
via Carofin, LLC (CRD 298717 ↗)

Joshua R Greene BrokerCheck CRD 5690935 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)
EDGAR ↗
Jul 1, 2024 D
Drop Zone Canopy Company, LLC
File 021-517498
$120,000 (est.)$0$0
Manager of the LLC is also a representative of the broker-dealer. He will not receive any compensation for serving as manager of the entity, but may earn investment banking and sales compensation.
Bruce V Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Garrick Ruiz BrokerCheck CRD 5584980 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Garrick Ruiz BrokerCheck CRD 5584980 ↗
via Carofin, LLC (CRD 298717 ↗)

Bruce B Smith BrokerCheck CRD 2332178 ↗
via Carofin, LLC (CRD 298717 ↗)

John T Gramling III BrokerCheck CRD 6728407 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)
EDGAR ↗
Jul 1, 2024 D
Empower Feeder Holdco, LLC
File 021-517461
$120,000 (est.)$0$0
Manager of the LLC is also a representative of the broker-dealer. He will not receive any compensation for serving as manager of the entity, but may earn investment banking fees and sales compensation.
Bruce V Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Bruce B Smith BrokerCheck CRD 2332178 ↗
via Carofin, LLC (CRD 298717 ↗)
EDGAR ↗
Mar 26, 2024 D/A
Fairmont Breakers Investco, LLC
File 021-505001
$2,500,000 (est.)$0$0
Manager of the LLC is also a representative of the broker-dealer. He will not receive compensation for serving as manager of the entity, but may earn investment banking fees and sales compensation.
Bruce V Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Garrick G Ruiz BrokerCheck CRD 5584980 ↗
via Carofin, LLC (CRD 298717 ↗)

Nathan Yue Jia BrokerCheck CRD 6840358 ↗
via Carofin, LLC (CRD 298727 ↗)

Phillip Nash Roberts BrokerCheck CRD 6182908 ↗
via Carofin, LLC (CRD 298717 ↗)

Bruce B Smith BrokerCheck CRD 2332178 ↗
via Carofin, LLC (CRD 298717 ↗)
EDGAR ↗
Mar 12, 2024 D
Drop Zone Canopy Company, LLC
File 021-507332
$105,000 (est.)$0$0
Manager of the LLC is also a representative of the broker-dealer. He will not receive any compensation for serving as manager of the entity, but may earn investment banking fees and sales compensation.
Bruce V Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Garrick G Ruiz BrokerCheck CRD 5584980 ↗
via Carofin, LLC (CRD 298717 ↗)

Garrick G Ruiz BrokerCheck CRD 5584980 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Bruce B Smith BrokerCheck CRD 2332178 ↗
via Carofin, LLC (CRD 298717 ↗)

John T Gramling III BrokerCheck CRD 6728407 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Joshua R Greene BrokerCheck CRD 5690935 ↗
via Carofin, LLC (CRD 298717 ↗)
EDGAR ↗
Jan 22, 2024 D/A
K-Island Resources, LLC
File 021-496791
$0$0$0None listed on this filingEDGAR ↗
Sep 28, 2023 D/A
K-Island Resources, LLC
File 021-492551
$0$0$0
Mr. Roberts does not receive additional or specific compensation for the sale of the Notes. CFG Financial Services, LLC, an entity managed by Bruce V. Roberts, will be providing administrative agent services to investors and K-Island Resources, LLC.
Bruce V Roberts BrokerCheck CRD 1489110 ↗EDGAR ↗
May 31, 2023 D
Teardown Funding #2,LLC
File 021-483046
$97,500 (est.)$0$0
Manager of LLC is also a representative of the broker-dealer. He will not receive compensation for serving as manager of the entity, but may earn investment banking fees and sales compensation.
Bruce V Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Garrick G Ruiz BrokerCheck CRD 5584980 ↗
via Carofin, LLC (CRD 298717 ↗)

Garrick G Ruiz BrokerCheck CRD 4484980 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Bruce B Smith BrokerCheck CRD 2332178 ↗
via Carofin, LLC (CRD 298717 ↗)
EDGAR ↗
Apr 24, 2023 D/A
K-Island Resources, LLC
File 021-436267
$0$0$0
Mr. Roberts does not receive additional or specific compensation for the sales of the Notes. CFG Financial Services, LLC, an entity managed by Bruce V. Roberts will be providing administrative agent services to Investor and K-Island.
Bruce V Roberts BrokerCheck CRD 1489110 ↗EDGAR ↗
Apr 14, 2023 D
Drop Zone Canopy Company, LLC
File 021-478899
$210,000 (est.)$0$0Bruce V Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)
EDGAR ↗
Feb 13, 2023 D
Berry Capital Management, LLC
File 021-473303
$125,000 (est.)$0$0Joshua R Greene BrokerCheck CRD 5690935 ↗
via Carofin, LLC (CRD 298717 ↗)

Garrick G Ruiz BrokerCheck CRD 5584980 ↗
via Carofin, LLC (CRD 298717 ↗)

Garrick G Ruiz BrokerCheck CRD 5584980 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)
EDGAR ↗
Jan 23, 2023 D
Berry Capital Management II, LLC
File 021-471487
$125,000 (est.)$0$0Bruce V Roberts BrokerCheck CRD 1489110 ↗
via 41970 (CRD 41970 ↗)

Garrick G Ruiz BrokerCheck CRD 5584980 ↗
via Carofin, LLC (CRD 298717 ↗)

Garrick G Ruiz BrokerCheck CRD 5584980 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Joshua R Greene BrokerCheck CRD 5690935 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)
EDGAR ↗
Jun 27, 2022 D
Teardown Funding #1, LLC
File 021-450327
$178,862$0$0
Manager of the LLC is also a representative of the broker-dealer. He will not receive compensation for serving as manager of the entity, but may earn investment banking fees and sales compensation.
Bruce Victor Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Garrick G Ruiz BrokerCheck CRD 5584980 ↗
via Carofin, LLC (CRD 298717 ↗)

Bruce Buckley Smith BrokerCheck CRD 2332178 ↗
via Carofin,LLC (CRD 298717 ↗)

Joshua Reid Greene BrokerCheck CRD 5690935 ↗
via Carofin, LLC (CRD 298717 ↗)

Phillip Nash Roberts BrokerCheck CRD 6182908 ↗
via Carofin, LLC (CRD 298717 ↗)
EDGAR ↗
Jan 26, 2022 D
Berry Capital Management, LLC
File 021-430810
$115,000 (est.)$0$0Bruce V Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Nirag C Shah BrokerCheck CRD 6914670 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Garrick G Ruiz BrokerCheck CRD 5584980 ↗
via Carofin, LLC (CRD 298717 ↗)

Bruce B Smith BrokerCheck CRD 2332178 ↗
via Carofin, LLC (CRD 298717 ↗)

Phillip Nash Roberts BrokerCheck CRD 6182908 ↗
via Carofin, LLC (CRD 298717 ↗)

Joshua R Greene BrokerCheck CRD 5690935 ↗
via Carofin, LLC (CRD 298717 ↗)
EDGAR ↗
Aug 19, 2021 D
ABP Funding, LLC
File 021-410548
$165,250 (est.)$0$0
Manager of the LLC is also a representative of the broker-dealer. He will not receive compensation for serving as the manager of the entity, but may earn investment banking fees and sales compensation.
Bruce V Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Garrick G Ruiz BrokerCheck CRD 5584980 ↗
via Carofin, LLC (CRD 298717 ↗)

Phillip Nash Robert BrokerCheck CRD 6182908 ↗
via Carofin, LLC (CRD 298717 ↗)

Joshua Reid Greene BrokerCheck CRD 5690935 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)
EDGAR ↗
Jun 17, 2021 D
Dash 3 Funding, LLC
File 021-403201
$50,000 (est.)$0$0
The manager of the LLC is also a rep. of the BD. He will not receive compensation for serving as manager, but may receive a discretionary bonus, not formulaically tied to selling activity. The amount, if any, will be determined at a future date.
Bruce V Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Garrick Ruiz BrokerCheck CRD 298717 ↗
via Carofin (CRD 5584980 ↗)
EDGAR ↗
May 25, 2021 D
Azzly Funding, LLC
File 021-400581
$138,000 (est.)$0$96,600 (est.)
The Manager of the LLC is also a representative of the broker-dealer. He will not receive compensation for serving as manager, but will earn investment banking fees and sales commission. The amount will be dependent on his sales activity.
Bruce V Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Joshua Greene BrokerCheck CRD 5690935 ↗
via Carofin, LLC (CRD 298717 ↗)
EDGAR ↗
Jan 15, 2021 D/A
Carofin, LLC
File 021-311581
$0$0$0Bruce Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)
EDGAR ↗
Jul 24, 2020 D
CAP-EX, LLC
File 021-371794
$122,250 (est.)$0$13,850 (est.)
Manager of the LLC is also a representative of the broker-dealer. He will not receive compensation for serving as the manager of the entity, but will earn investment banking fees and sales compensation. The amount will be dependent on his sales activity.
Bruce V Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Garrick Ruiz BrokerCheck CRD 5584980 ↗
via Carofin, LLC (CRD 298717 ↗)
EDGAR ↗
May 7, 2020 D
MainStreet Funding, LLC
File 021-366498
$250 (est.)$0$175 (est.)
Manager of the LLC is also a representative of the Broker-Dealer. He will not receive compensation for serving as the manager of the entity, but will earn investment banking fees and sales commission. The amount will be dependent on his sales activity.
Bruce V Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities,LLC (CRD 41970 ↗)
EDGAR ↗
Jan 23, 2020 D/A
Blue Gem Restart, LLC
File 021-353236
$210,000 (est.)$0$63,000 (est.)
Manager of the LLC is also a representative of the broker-dealer. He will not be compensated for serving as the manager of the entity, but will earn investment banking fees and sales commission. The amount will be dependent on his sales activity.
Bruce V Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securites, LLC (CRD 41970 ↗)
EDGAR ↗
Jun 5, 2019 D
TOB Funding, LLC
File 021-341174
$240,000 (est.)$0$168,000
Manager of the LLC is also a representative of the broker-dealer. He will not receive compensation for serving as the manager of the entity, but will earn investment banking fees and sales commission. The amount will be dependent of his sales activity.
Bruce V Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Peter S Milhaupt BrokerCheck CRD 728310 ↗
via Carolina Financial Securites, LLC (CRD 41970 ↗)
EDGAR ↗
Oct 4, 2018 D/A
Thunder Investment Partners, LLC
File 021-316292
$150,000$0$52,000 (est.)
Manager Member of the LLC is also a representative of the broker-dealer. He will not receive compensation for serving as the Managing Member of the entity, but will earn sales commission based on his sales activity.
Philip Nash Roberts BrokerCheck CRD 6182908 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)
EDGAR ↗
Sep 25, 2018 D/A
CM Funding, LLC
File 021-320507
$244,000$0$136,000 (est.)
The Manager of the LLC is also a representative of the broker-dealer. He will not receive compensation for serving as the Manager of the entity, but will earn sales commission based on his sales activity.
Bruce V Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)
EDGAR ↗
Feb 5, 2018 D/A
Brasstown Funding II LLC
File 021-295447
$22,074$0$60,000 (est.)
Manager of the LLC is also a representative of the broker-dealer. He will not receive compensation for serving as the manager of the entity, but will earn investment banking fees and sales commission. The amount will be dependent on his sales activity.
Bruce Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Phillip Nash Roberts BrokerCheck CRD 6182908 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)
EDGAR ↗
Feb 5, 2018 D
Chatel Funding, LLC
File 021-304789
$280,000 (est.)$0$60,000 (est.)
Manager of the LLC is also a representative of the broker-dealer. He will not receive compensation for serving as the manager of the entity, but will earn sales commission. The amount will be dependent on his sales activity.
Bruce V Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)
EDGAR ↗
Mar 2, 2017 D/A
Brasstown Funding II LLC
File 021-201807
$427,920 (est.)$0$127,607 (est.)
Manager of the LLC is also a rep of the Broker-Dealer. He won't receive compensation for serving as manager of the entity, but will earn some investment banking fees and sales commissions. The amount will be dependant on his sales activity.
Bruce Roberts BrokerCheck CRD 41970 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Catherine Hicks BrokerCheck CRD 5945027 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Bruce Smith BrokerCheck CRD 2332178 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Thomas Young BrokerCheck CRD 1196494 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

John Stanier BrokerCheck CRD 4811895 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Phillip Nash Roberts BrokerCheck CRD 6182908 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)
EDGAR ↗
Oct 11, 2016 D
SP Funding, LLC
File 021-272198
$3,000$0$1,125
The total to be paid depends on the amount of funds raised and the sources of those funds.
Bruce Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)
EDGAR ↗
Sep 12, 2016 D
BF Funding, LLC
File 021-270442
$38,756$0$150,000 (est.)
The total to be paid depends on the amount of funds raised and the sources of those funds.
Bruce V Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Phillip Nash Roberts BrokerCheck CRD 6182908 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)
EDGAR ↗
Sep 4, 2015 D
Miami NDT Delta Leasing I, LLC
File 021-247071
$200,000$0$55,000 (est.)Bruce Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Catherine Hicks BrokerCheck CRD 5945027 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Phillip Nash Roberts BrokerCheck CRD 6182908 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)
EDGAR ↗
Jul 9, 2015 D/A
C&G Engines Funding, LLC
File 021-218323
$187,740$0$55,870Bruce Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Nash Roberts BrokerCheck CRD 6182908 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Catherine Hicks BrokerCheck CRD 5945027 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

John Stanier BrokerCheck CRD 4811895 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)
EDGAR ↗
Oct 24, 2014 D
SP Funding, LLC
File 021-227113
$0$0$0None listed on this filingEDGAR ↗
Feb 28, 2014 D
IMG Funding LLC
File 021-212682
$98,000$0$0Sanjay Raghavan BrokerCheck CRD 5981634 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Thomas Young BrokerCheck CRD 1196494 ↗
via Carolina Financial Securies, LLC (CRD 41970 ↗)

Bruce Smith BrokerCheck CRD 2332178 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Bruce Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Catherine Hicks BrokerCheck CRD 5945027 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)
EDGAR ↗
Oct 31, 2013 D
Utopia Funding LLC
File 021-205599
$250,000 (est.)$0$250,000 (est.)
Up to $250,000 for administrative comp.
Bruce Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities LLC (CRD 41970 ↗)
EDGAR ↗
Aug 29, 2013 D
Catalyst Funding, LLC
File 021-202070
$0$0$0
100% of the funds raised by this entity are aggregated and used to make an investment in Catalyst Resources, LLC.
Bruce Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities LLC (CRD 41970 ↗)

Catherine Hicks BrokerCheck CRD 5945027 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Thomas Young BrokerCheck CRD 1196494 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)
EDGAR ↗
Jul 31, 2013 D
Carolina Financial Securities, LLC
File 021-200508
$0$0$0
No proceeds from this transaction were paid to any party.
Peter Milhaupt BrokerCheck CRD 728310 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)
EDGAR ↗
May 3, 2013 D
Agrifact Funding LLC
File 021-195974
$0$0$0Bruce Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities LLC (CRD 41970 ↗)
EDGAR ↗
Feb 25, 2013 D
GR Funding LLC
File 021-192300
$120,000$0$60,000 (est.)
I estimate that Bruce Roberts, as a registered representative, will be responsible for the sale of half of the securities sold.
Bruce Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Bruce Smith BrokerCheck CRD 2332178 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Peter Milhaupt BrokerCheck CRD 728310 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Catherine Hicks BrokerCheck CRD 5945027 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)
EDGAR ↗
Sep 25, 2012 D
GLAV III Funding LLC
File 021-184556
$0$0$0
This is a pass through entity. There are no management or sales fees being paid to anybody.
John Stanier BrokerCheck CRD 4811895 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Bruce Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)
EDGAR ↗
Sep 11, 2012 D
Brasstown Funding LLC
File 021-183963
$0$0$0Bruce Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)
EDGAR ↗
Aug 17, 2012 D
6064 Deep Branch LLC
File 021-182880
$0$0$0Bruce Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)
EDGAR ↗
Jun 29, 2012 D
Global Scent Funding, LLC
File 021-180520
$360,000 (est.)$0$80,000 (est.)
The named person is also a registered representative of the broker/dealer. Any payments to him will be a function of the amount of funds he raises.
Bruce Roberts BrokerCheck CRD 1489110 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)

Catherine Hicks BrokerCheck CRD 5945027 ↗
via Carolina Financial Securities, LLC (CRD 41970 ↗)
EDGAR ↗
Mar 19, 2012 D
737 Funding LLC
File 021-175132
$62,500$0$25,211
This represents his portion of the Broker/Dealer commission.
Carolina Financial Securities, LLC BrokerCheck CRD 41970 ↗
via Bruce Roberts (CRD 1489110 ↗)
EDGAR ↗
Sep 1, 2011 D
Carolina Financial Securities, LLC
File 021-165282
$0$0$0None listed on this filingEDGAR ↗
Jun 30, 2010 D/A
Carolina Financial Securities, LLC
File 021-143623
$0$0$0None no CRD number reportedEDGAR ↗
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 37 issuers in this group — every filing in our index, latest filing per offering (SEC file number).

Property records 0 documents · 2 ownership records · last checked Oct 24, 2026, 7:53 AM ET · NYC and Cook County lookup still to run

0 recorded documents and 2 ownership records matched to Group linked by Bruce Victor Roberts in the sources searched.

Owner of record Harris County TX
Parcel 0533180000017 · HOUSTON, TX · Roll 2026
Owner as listed: CATALYST FUNDING LLC
Matched on: exact company name; recorded in TX, not the issuer's state. HCAD public data page (account 0533180000017) ↗ · Dataset file we read (HCAD Real_acct_owner zip) ↗ · Harris County Appraisal District real_acct.txt · Retrieved Oct 24, 2026, 6:36 AM ET
Owner of record Harris County TX
Parcel 1346440020015 · HUMBLE, TX · Roll 2026
Owner as listed: CATALYST FUNDING LLC
Matched on: exact company name; recorded in TX, not the issuer's state. HCAD public data page (account 1346440020015) ↗ · Dataset file we read (HCAD Real_acct_owner zip) ↗ · Harris County Appraisal District real_acct.txt · Retrieved Oct 24, 2026, 7:10 AM ET

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 2007–2026); Dallas County TX (ownership only, no deed, mortgage or sale records; DCAD ownership roll 2026); 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); Cook County IL (assessor ownership and deed/sale records, 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, King County WA (loader ready; first load not finished), Cook County IL bulk pass (not finished; per-issuer lookups only so far), 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: Harris County Appraisal District real_acct.txt Oct 24, 2026, 7:53 AM ET; 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; 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 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. Sources searched: 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 2007–2026) — 989,960 records, loaded Oct 24, 2026, 7:53 AM ET · Dallas County TX (DCAD ownership roll 2026) — 173,688 records, loaded Oct 23, 2026, 8:58 PM 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) — 294,950 records, loaded Oct 23, 2026, 8:58 PM 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). 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 ↗CF Carolina Financial Securities, LLCshared people, same business addressBREVARD, NCInvestment Banking4$60,0003$20,0002010–2013
EDGAR ↗7F 737 Funding LLCshared people, same business address, similar issuer namesBREVARD, NCOther1$1,250,00011$12012–2012
EDGAR ↗GS Global Scent Funding, LLCshared people, same business addressBREVARD, NCOther1$615,0006$25,0002012–2012
EDGAR ↗6D 6064 Deep Branch LLCshared people, same business addressBREVARD, NCAgriculture1$590,0003$100,0002012–2012
EDGAR ↗BF Brasstown Funding LLCshared people, same business address, similar issuer namesBREVARD, NCAgriculture1$425,0002$100,0002012–2012
EDGAR ↗GF GLAV III Funding LLCshared people, same business addressBREVARD, NCOther Real Estate1$265,0004$25,0002012–2012
EDGAR ↗GF GR Funding LLCshared people, same business address, similar issuer namesBREVARD, NCOther1$525,0004$15,0002013–2013
EDGAR ↗AF Agrifact Funding LLCshared people, same business addressBREVARD, NCOther Banking and Financial Services1$250,0001$25,0002013–2013
EDGAR ↗BF Brasstown Funding II LLCshared people, same business address, similar issuer namesBREVARD, NCAgriculture6$10,698,00036$15,0002013–2018
EDGAR ↗CF Catalyst Funding, LLCshared people, same business addressBREVARD, NCOther1$400,0003$25,0002013–2013
EDGAR ↗UF Utopia Funding LLCshared people, same business addressBREVARD, NCInvesting1$1,535,00013$25,0002013–2013
EDGAR ↗IF IMG Funding LLCshared people, same business addressBREVARD, NCManufacturing1$2,450,00018$25,0002014–2014
EDGAR ↗CG C&G Engines Funding, LLCshared people, same business addressBREVARD, NCManufacturing2$4,693,5007$25,0002014–2015
EDGAR ↗SF SP Funding, LLCshared people, same business address, similar issuer namesBREVARD, NCAgriculture2$100,0001$25,0002014–2016
EDGAR ↗MN Miami NDT Delta Leasing I, LLCshared people, same business addressBREVARD, NCOther1$1,000,000
offering $5,000,000 · similar: $500,000–$7,000,000
6
similar: 2–14
$25,000
similar: $5,000–$50,000
2015–2015
EDGAR ↗BF BF Funding, LLCshared people, same business address, similar issuer namesBREVARD, NCAgriculture1$1,325,0007$25,0002016–2016
EDGAR ↗CF Chatel Funding, LLCshared people, same business addressBREVARD, NCAgriculture1$00$25,0002018–2018
EDGAR ↗C Carofin, LLCshared people, same business addressBREVARD, NCOther Banking and Financial Services5$2,190,000
offering $2,690,000 · similar: $2,144,500–$20,220,000
10
similar: 2–24
$5,000
similar: $10,000–$100,000
2018–2021
EDGAR ↗TI Thunder Investment Partners, LLCshared people, same business addressBREVARD, NCOil and Gas2$25,000
offering $2,500,000 · similar: $1,050,000–$13,125,000
1
similar: 3–19
$25,000
similar: $11,000–$62,888
2018–2018
EDGAR ↗CF CM Funding, LLCshared people, same business address, similar issuer namesBREVARD, NCOther2$2,000,000
offering $6,100,000 · similar: $500,000–$7,000,000
1
similar: 2–14
$25,000
similar: $5,000–$50,000
2018–2018
EDGAR ↗TF TOB Funding, LLCshared people, same business addressBREVARD, NCOther Banking and Financial Services1$0
offering $4,000,000 · similar: $2,144,500–$20,220,000
0
similar: 2–24
$25,000
similar: $10,000–$100,000
2019–2019
EDGAR ↗BG Blue Gem Restart, LLCshared people, same business addressBREVARD, NCOther2$0
offering $7,000,000 · similar: $500,000–$7,000,000
0
similar: 2–14
$5,000
similar: $5,000–$50,000
2019–2020
EDGAR ↗MF MainStreet Funding, LLCshared people, same business addressBREVARD, NCOther Banking and Financial Services1$25,000
offering Indefinite · similar: $370,089–$10,000,000
1
similar: 3–28
$5,000
similar: $5,000–$25,000
2020–2020
EDGAR ↗CE CAP-EX, LLCshared people, same business addressBREVARD, NCOther1$1,000,000
offering $2,445,000 · similar: $1,100,000–$15,000,000
11
similar: 2–17
$10,000
similar: $14,962–$100,000
2020–2020
EDGAR ↗AF Azzly Funding, LLCshared people, same business addressBREVARD, NCOther Banking and Financial Services1$50,000
offering $2,300,000 · similar: $370,089–$10,000,000
1
similar: 3–28
$10,000
similar: $5,000–$25,000
2021–2021
EDGAR ↗D3 Dash 3 Funding, LLCshared people, same business addressBREVARD, NCOther Banking and Financial Services1$400,000
offering $1,000,000 · similar: $370,089–$10,000,000
1
similar: 3–28
$10,000
similar: $5,000–$25,000
2021–2021
EDGAR ↗AF ABP Funding, LLCshared people, same business addressBREVARD, NCOther1$1,625,000
offering $3,305,000 · similar: $1,100,000–$15,000,000
15
similar: 2–17
$10,000
similar: $14,962–$100,000
2021–2021
EDGAR ↗BC Berry Capital Management, LLCshared people, same business address, similar issuer namesBREVARD, NCAgriculture2$2,090,000
offering $2,500,000 · similar: $1,500,000–$10,000,000
28
similar: 1–21
$30,000
similar: $13,894–$100,000
2022–2023
EDGAR ↗KI K-Island Resources, LLCshared people, same business addressBREVARD, NCCoal Mining7$6,500,0003No minimum reported2022–2024
EDGAR ↗TF Teardown Funding #1, LLCshared people, same business address, similar issuer namesBREVARD, NCOther1$3,577,245
offering $3,577,245 · similar: $1,100,000–$15,000,000
33
similar: 2–17
$10,000
similar: $14,962–$100,000
2022–2022
EDGAR ↗BC Berry Capital Management II, LLCshared people, same business address, similar issuer namesBREVARD, NCAgriculture1$1,285,000
offering $2,500,000 · similar: $1,500,000–$10,000,000
15
similar: 1–21
$30,000
similar: $13,894–$100,000
2023–2023
EDGAR ↗DZ Drop Zone Canopy Company, LLCshared people, same business addressBREVARD, NCManufacturing3$925,000
offering $2,000,000 · similar: $2,000,000–$35,000,000
12
similar: 1–8
$15,000
similar: $10,000–$100,000
2023–2024
EDGAR ↗TF Teardown Funding #2,LLCshared people, same business address, similar issuer namesBREVARD, NCOther Travel1$1,575,00028$10,0002023–2023
EDGAR ↗FB Fairmont Breakers Investco, LLCshared people, same business addressBREVARD, NCCommercial2$1,225,000
offering $50,000,000 · similar: $3,000,000–$20,000,000
9
similar: 4–26
No minimum reported
similar: $25,000–$100,000
2024–2024
EDGAR ↗EF Empower Feeder Holdco, LLCshared people, same business addressBREVARD, NCOther Technology2$146,490
offering $2,000,000 · similar: $1,100,015–$10,001,163
3
similar: 2–14
$25,000
similar: $5,000–$50,000
2024–2025
EDGAR ↗DL DNP Leasing Company, LLCshared people, same business addressBREVARD, NCBusiness Services1$115,000
offering $3,000,000 · similar: $375,000–$18,000,000
2
similar: 2–7
$30,000
similar: $5,000–$50,000
2024–2024
EDGAR ↗CF CFG Financial Services, LLCshared people, same business addressBREVARD, NCOther Banking and Financial Services1$75,000
offering $100,000 · similar: $2,144,500–$20,220,000
3
similar: 2–24
No minimum reported
similar: $10,000–$100,000
2024–2024

"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years (10 industry/exemption sets on this page); 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 ↗Jan 6, 2025Empower Feeder Holdco, LLCDOther Technology$2,000,000$146,490
EDGAR ↗Nov 21, 2024CFG Financial Services, LLCDOther Banking and Financial Services$100,000$75,000
EDGAR ↗Jul 22, 2024DNP Leasing Company, LLCDBusiness Services$3,000,000$115,000
EDGAR ↗Jul 1, 2024Empower Feeder Holdco, LLCDOther Technology$3,000,000$30,000
EDGAR ↗Jul 1, 2024Drop Zone Canopy Company, LLCDManufacturing$2,000,000$620,000
EDGAR ↗Mar 26, 2024Fairmont Breakers Investco, LLCD/ACommercial$50,000,000$1,225,000
EDGAR ↗Mar 12, 2024Drop Zone Canopy Company, LLCDManufacturing$1,750,000$925,000
EDGAR ↗Feb 12, 2024Fairmont Breakers Investco, LLCDCommercial$50,000,000$350,000
EDGAR ↗Jan 22, 2024K-Island Resources, LLCD/ACoal Mining$6,500,000$6,500,000
EDGAR ↗Dec 18, 2023K-Island Resources, LLCD/ACoal Mining$4,500,000$4,500,000
EDGAR ↗Nov 8, 2023K-Island Resources, LLCDCoal Mining$2,500,000$2,500,000
EDGAR ↗Sep 28, 2023K-Island Resources, LLCD/ACoal Mining$2,000,000$1,500,000
EDGAR ↗Sep 20, 2023K-Island Resources, LLCDCoal Mining$1,000,000$1,000,000
EDGAR ↗May 31, 2023Teardown Funding #2,LLCDOther Travel$1,950,000$1,575,000
EDGAR ↗Apr 24, 2023K-Island Resources, LLCD/ACoal Mining$5,700,000$5,700,000
EDGAR ↗Apr 14, 2023Drop Zone Canopy Company, LLCDManufacturing$3,500,000$676,559
EDGAR ↗Feb 13, 2023Berry Capital Management, LLCDAgriculture$2,500,000$345,000
EDGAR ↗Jan 23, 2023Berry Capital Management II, LLCDAgriculture$2,500,000$1,285,000
EDGAR ↗Jun 27, 2022Teardown Funding #1, LLCDOther$3,577,245$3,577,245
EDGAR ↗Mar 8, 2022K-Island Resources, LLCDCoal Mining$4,000,000$3,000,000
EDGAR ↗Jan 26, 2022Berry Capital Management, LLCDAgriculture$2,300,000$2,090,000
EDGAR ↗Aug 19, 2021ABP Funding, LLCDOther$3,305,000$1,625,000
EDGAR ↗Jun 17, 2021Dash 3 Funding, LLCDOther Banking and Financial Services$1,000,000$400,000
EDGAR ↗May 25, 2021Azzly Funding, LLCDOther Banking and Financial Services$2,300,000$50,000
EDGAR ↗Jan 15, 2021Carofin, LLCD/AOther Banking and Financial Services$2,690,000$2,190,000
EDGAR ↗Jul 24, 2020CAP-EX, LLCDOther$2,445,000$1,000,000
EDGAR ↗May 7, 2020MainStreet Funding, LLCDOther Banking and Financial ServicesIndefinite$25,000
EDGAR ↗Jan 23, 2020Blue Gem Restart, LLCD/AOther$7,000,000$0
EDGAR ↗Jan 22, 2020Carofin, LLCD/AOther Banking and Financial Services$2,000,000$1,500,000
EDGAR ↗Nov 13, 2019Blue Gem Restart, LLCDOther$2,300,000$0
EDGAR ↗Oct 24, 2019Carofin, LLCD/AOther Banking and Financial Services$1,500,000$1,400,000
EDGAR ↗Jun 5, 2019TOB Funding, LLCDOther Banking and Financial Services$4,000,000$0
EDGAR ↗Oct 18, 2018Carofin, LLCD/AOther Banking and Financial Services$1,500,000$850,000
EDGAR ↗Oct 4, 2018Thunder Investment Partners, LLCD/AOil and Gas$2,500,000$25,000
EDGAR ↗Sep 25, 2018CM Funding, LLCD/AOther$6,100,000$2,000,000
EDGAR ↗Aug 31, 2018CM Funding, LLCDOther$6,100,000$0
EDGAR ↗Jul 9, 2018Thunder Investment Partners, LLCDOil and Gas$6,000,000$0
EDGAR ↗May 3, 2018Carofin, LLCDOther Banking and Financial Services$1,500,000$0
EDGAR ↗Feb 5, 2018Brasstown Funding II LLCD/AAgricultureIndefinite$2,757,750
EDGAR ↗Feb 5, 2018Chatel Funding, LLCDAgriculture$7,000,000$0
EDGAR ↗Sep 26, 2017Brasstown Funding II LLCDAgriculture$5,500,000$411,083
EDGAR ↗Mar 2, 2017Brasstown Funding II LLCD/AAgricultureIndefinite$10,698,000
EDGAR ↗Oct 11, 2016SP Funding, LLCDAgriculture$3,000,000$100,000
EDGAR ↗Sep 12, 2016BF Funding, LLCDAgriculture$27,000,000$1,325,000
EDGAR ↗Mar 4, 2016Brasstown Funding II LLCD/AAgricultureIndefinite$7,863,000
EDGAR ↗Sep 4, 2015Miami NDT Delta Leasing I, LLCDOther$5,000,000$1,000,000
EDGAR ↗Jul 9, 2015C&G Engines Funding, LLCD/AManufacturing$6,000,000$4,693,500
EDGAR ↗Mar 5, 2015Brasstown Funding II LLCD/AAgriculture$7,000,000$4,278,000
EDGAR ↗Oct 24, 2014SP Funding, LLCDAgriculture$5,000,000$0
EDGAR ↗May 30, 2014C&G Engines Funding, LLCDManufacturing$6,000,000$250,000
EDGAR ↗Feb 28, 2014IMG Funding LLCDManufacturing$5,000,000$2,450,000
EDGAR ↗Oct 31, 2013Utopia Funding LLCDInvesting$5,000,000$1,535,000
EDGAR ↗Aug 29, 2013Catalyst Funding, LLCDOther$14,000,000$400,000
EDGAR ↗Aug 23, 2013Brasstown Funding II LLCDAgriculture$4,000,000$250,000
EDGAR ↗Jul 31, 2013Carolina Financial Securities, LLCDInvestment Banking$20,000$20,000
EDGAR ↗May 3, 2013Agrifact Funding LLCDOther Banking and Financial Services$2,000,000$250,000
EDGAR ↗Feb 25, 2013GR Funding LLCDOther$3,000,000$525,000
EDGAR ↗Sep 25, 2012GLAV III Funding LLCDOther Real Estate$1,000,000$265,000
EDGAR ↗Sep 11, 2012Brasstown Funding LLCDAgriculture$1,000,000$425,000
EDGAR ↗Aug 17, 20126064 Deep Branch LLCDAgriculture$600,000$590,000
EDGAR ↗Jun 29, 2012Global Scent Funding, LLCDOther$12,000,000$615,000
EDGAR ↗Mar 19, 2012737 Funding LLCDOther$1,250,000$1,250,000
EDGAR ↗Sep 1, 2011Carolina Financial Securities, LLCDInvestment Banking$20,000$20,000
EDGAR ↗Jun 30, 2010Carolina Financial Securities, LLCD/AInvestment Banking$60,000$60,000
EDGAR ↗Jun 17, 2010Carolina Financial Securities, LLCDInvestment Banking$60,000$20,000

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 Jan 6, 2025. Industry history, as reported on each offering's latest filing: Previous offerings: Investment Banking (2010–2011), Other (2012), Agriculture (2012), Other Real Estate (2012), Other (2013), Other Banking and Financial Services (2013), Investment Banking (2013), Agriculture (2013), Other (2013), Investing (2013), Manufacturing (2014), Agriculture (2014), Other (2015), Agriculture (2016–2018), Other Banking and Financial Services (2018), Oil and Gas (2018), Other (2018), Other Banking and Financial Services (2019), Other (2019), Other Banking and Financial Services (2020), Other (2020), Other Banking and Financial Services (2021), Other (2021), Agriculture (2022), Coal Mining (2022), Other (2022), Agriculture (2023), Manufacturing (2023), Other Travel (2023), Coal Mining (2023), Commercial (2024), Manufacturing (2024), Other Technology (2024), Business Services (2024), Other Banking and Financial Services (2024). Latest offering: Other Technology (Jan 6, 2025).

People across the group

NameRolesIssuers hereFirst → last listed
BR Bruce Victor RobertsExecutive Officer, Director37Sep 1, 2011 → Jan 6, 2025
DG David GonzalesPromoter1Nov 13, 2019 → Nov 13, 2019
RK Richard Stephen KostkasExecutive Officer1Feb 28, 2014 → Feb 28, 2014
CR Charles ReynoldsExecutive Officer1Oct 31, 2013 → Oct 31, 2013
PM Peter Stuart MIlhauptExecutive Officer1Jul 31, 2013 → Jul 31, 2013
BR Bruce Victor RobertExecutive Officer1Jun 17, 2010 → Jun 30, 2010

Adviser registration (Form ADV)

Searched SEC Form ADV bulk data (registered + exempt reporting advisers) (24,962 records as of Oct 2, 2026, 8:00 AM ET) — nothing matched Group linked by Bruce Victor Roberts.

Meta advertising

No Meta Pixel ids or Facebook / Instagram page links on file for Group linked by Bruce Victor Roberts 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 Group linked by Bruce Victor Roberts's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #258,885 of 374,652 in line (1,373 issuers searched so far). One-tap searches: Look further ↓

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