PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:34 AM ET

Sponsor Check › Sponsor group

PA

P A W Small

One sponsor team, 3 deal companies · Greenwich, CT

Grouped because: 1 shared person, 2 shared management entities (automatic match from the filings) · not the same sponsor?

3deal companies
$820Mreported sold
420investors
35Form D filings
2010–2026active
0new, last 12 mo
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Data last updated Oct 23, 2026, 5:45 PM ET · Latest filing in this group Feb 20, 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

P A W Small is a sponsor group of 3 issuers that PartnerFacts links to one sponsor (shared people, shared management entity; automatic match from the filings), filing 35 Form D filings between Apr 2010 and Feb 2026.

What this means One team, 3 deal companies, about 16 years of track record in SEC filings. We link the companies because the same people or address appear on their forms — tap "Request a correction" if that is wrong.

Combined reported sold: $820M to 420 investors (latest filing per issuer). Industries as reported: Pooled Investment Fund (3). Issuers are based in CT (3).

What this means $820M raised across the group, about $1.95M per investor. Amounts come from each company's latest Form D; they are what the sponsor reported, not audited figures.

Principal people: P.A.W. Capital Corp. (3 issuers, executive officer, entity), P.A.W. Capital Partners, L.P. (3 issuers, executive officer, entity) and Peter A. Wright (3 issuers, executive officer).

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 Feb 20, 2026.

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

Adviser registration (Form ADV) on record: P.A.W. CAPITAL PARTNERS, LP.

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) — 50 court cases matching the name, 5 bankruptcy cases matching the name listed in Key records below.

What this means 55 records came back, including 1 court case still open — open cases can take years and cost money. 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 35 public filings for P A W Small and found 14 differences, 6 worth asking the sponsor about: Adviser P.A.W. CAPITAL PARTNERS, LP reports disciplinary disclosures on Form ADV; Form D filed 2,751 days after the first sale; 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 P A W Small has not run yet — it is joining a line of 56,725 names; searches run around the clock at the hosts' allowed rate. Searched so far: 641 names.

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

Key records

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

1. Lawsuits

50 cases: 7 closed (disposition not in docket feed), 31 dismissed, 11 judgment, 1 open

Alger Small Cap Growth Institutional Fund (Alger SICAV) v. WageWorks, Inc. closed
District Court, N.D. California · No. 4:21-cv-01140 · Filed Feb 16, 2021 · Closed Aug 11, 2021 · Nature of suit: 850 Securities/Commodities · Cause: 15:78m(a) Securities Exchange Act
Role of Alger Small Cap Growth Institutional Fund (Alger SICAV) v. WageWorks, Inc.: Party · Outcome: Terminated 2021-08-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in CA (not the issuer's state)
Lion 2004 Receivables Trust v. Long Term Preferred Care, Inc. dismissed
District Court, D. Delaware · No. 1:16-cv-00723 · Filed Aug 17, 2016 · Closed Apr 16, 2019 · Nature of suit: 190 Contract: Other · Cause: 28:1332 Diversity-Breach of Contract
Role of Lion 2004 Receivables Trust v. Long Term Preferred Care, Inc.: Party · Outcome: Terminated 2019-04-16 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
company name words appear in the caption; court in DE (not the issuer's state)
AMALGAMATED BANK, as Trustee for the LONGVIEW 600 SMALL CAP INDEX FUND, Derivatively on Behalf of LUMBER LIQUIDATORS HOLDINGS, INC. v. Brock dismissed
District Court, E.D. Virginia · No. 4:15-cv-00030 · Filed Apr 15, 2015 · Closed Nov 17, 2016 · Nature of suit: 160 Stockholders Suits · Cause: 28:1332 Diversity-Breach of Fiduciary Duty
Role of AMALGAMATED BANK, as Trustee for the LONGVIEW 600 SMALL CAP INDEX FUND, Derivatively on Behalf of LUMBER LIQUIDATORS HOLDINGS, INC. v. Brock: Party · Outcome: Terminated 2016-11-17 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
company name words appear in the caption; court in VA (not the issuer's state)
In re: Fundamental Long Term Care, Inc. closed
District Court, M.D. Florida · No. 8:14-cv-01377 · Filed Jun 10, 2014 · Closed Jun 25, 2014 · Nature of suit: Bankruptcy Withdrawl · Cause: 28:0157 Motion for Withdrawal of Reference
Role of In re: Fundamental Long Term Care, Inc.: Party · Outcome: Terminated 2014-06-25 (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)
Fundamental Long Term Care, Inc. v. Scharrer closed
District Court, M.D. Florida · No. 8:13-cv-02273 · Filed Sep 3, 2013 · Closed Dec 19, 2013 · Nature of suit: Bankruptcy Appeal (801) · Cause: 28:0158 Bankruptcy Appeal from Judgment/Order
Role of Fundamental Long Term Care, Inc. v. Scharrer: Party · Outcome: Terminated 2013-12-19 — FJC Integrated Database disposition: Remanded to U.S. agency Docket on CourtListener ↗
company name words appear in the caption; court in FL (not the issuer's state)
Beyer v. UnitedHealth Group Short-Term and Long-Term Disability Plan dismissed
District Court, D. Colorado · No. 1:13-cv-01960 · Filed Jul 23, 2013 · Closed Jul 28, 2014 · Nature of suit: 791 Employee Retirement Income Security Act (ERISA) · Cause: 29:1132 E.R.I.S.A.-Employee Benefits
Role of Beyer v. UnitedHealth Group Short-Term and Long-Term Disability Plan: Party · Outcome: Terminated 2014-07-28 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
company name words appear in the caption; court in CO (not the issuer's state)
In re Fundamental Long Term Care, Inc. dismissed
District Court, M.D. Florida · No. 8:13-cv-00603 · Filed Mar 6, 2013 · Closed Sep 4, 2013 · Nature of suit: Bankruptcy Appeal (801) · Cause: 28:0158 Bankruptcy Appeal from Judgment/Order
Role of In re Fundamental Long Term Care, Inc.: Party · Outcome: Terminated 2013-09-04 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
company name words appear in the caption; court in FL (not the issuer's state)
Kapp v. BellSouth Long Term Disability Plan for Management Employees judgment
District Court, S.D. Ohio · No. 3:11-cv-00393 · Filed Nov 4, 2011 · Closed Jan 2, 2013 · Nature of suit: Contract: Other · Cause: 29:1001 E.R.I.S.A.: Employee Retirement
Role of Kapp v. BellSouth Long Term Disability Plan for Management Employees: Party · Outcome: Terminated 2013-01-02 — FJC Integrated Database disposition: Other; judgment for plaintiff Docket on CourtListener ↗
company name words appear in the caption; court in OH (not the issuer's state)
Adair v. El Pueblo Boys' & Girls' Ranch, Inc. Long Term Disability Plan dismissed
District Court, D. Colorado · No. 1:11-cv-02749 · Filed Oct 21, 2011 · Closed Sep 5, 2013 · Nature of suit: 791 Employee Retirement Income Security Act (ERISA) · Cause: 29:1132 E.R.I.S.A.-Employee Benefits
Role of Adair v. El Pueblo Boys' & Girls' Ranch, Inc. Long Term Disability Plan: Party · Outcome: Terminated 2013-09-05 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
company name words appear in the caption; court in CO (not the issuer's state)
In re Gulf States Long Term Acute Care of Covington, L.L.C. dismissed
District Court, E.D. Louisiana · No. 2:11-cv-01659 · Filed Jul 15, 2011 · Closed Jul 20, 2017 · Nature of suit: 423 Bankruptcy Withdrawl · Cause: 28:0157 Motion for Withdrawal of Reference
Role of In re Gulf States Long Term Acute Care of Covington, L.L.C.: Party · Outcome: Terminated 2017-07-20 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
company name words appear in the caption; court in LA (not the issuer's state)
Goldstein v. Palo Alto Small Cap Master Fund, L.P. dismissed
District Court, N.D. California · No. 5:11-cv-03066 · Filed Jun 21, 2011 · Closed Sep 30, 2011 · Nature of suit: 850 Securities/Commodities · Cause: 15:78m(a) Securities Exchange Act
Role of Goldstein v. Palo Alto Small Cap Master Fund, L.P.: Party · Outcome: Terminated 2011-09-30 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
company name words appear in the caption; court in CA (not the issuer's state)
Bigley v. CIBER, Inc. Long Term Disability Coverage For Class I and Class II judgment
District Court, D. Colorado · No. 1:11-cv-00055 · Filed Jan 7, 2011 · Closed May 9, 2013 · Nature of suit: 791 Employee Retirement Income Security Act (ERISA) · Cause: 29:1132 E.R.I.S.A.-Employee Benefits
Role of Bigley v. CIBER, Inc. Long Term Disability Coverage For Class I and Class II: Party · Outcome: Terminated 2013-05-09 — FJC Integrated Database disposition: Other; judgment for defendant Docket on CourtListener ↗
company name words appear in the caption; court in CO (not the issuer's state)
Ponder v. Group Long Term Disability Plan for Employees of Frontier Airlines, Inc. dismissed
District Court, D. Colorado · No. 1:09-cv-02697 · Filed Nov 17, 2009 · Closed Mar 17, 2010 · Nature of suit: 791 Employee Retirement Income Security Act (ERISA) · Cause: 29:1001 E.R.I.S.A.: Employee Retirement
Role of Ponder v. Group Long Term Disability Plan for Employees of Frontier Airlines, Inc.: Party · Outcome: Terminated 2010-03-17 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
company name words appear in the caption; court in CO (not the issuer's state)
PharMerica Long-Term Care, LLC v. Krystopowicz closed
District Court, N.D. Georgia · No. 1:09-cv-02056 · Filed Jul 29, 2009 · Closed Feb 7, 2013 · Nature of suit: Contract: Other · Cause: 28:1332 Diversity-Other Contract
Role of PharMerica Long-Term Care, LLC v. Krystopowicz: Party · Outcome: Terminated 2013-02-07 — FJC Integrated Database disposition: Stayed pending bankruptcy Docket on CourtListener ↗
company name words appear in the caption; court in GA (not the issuer's state)
Pharmerica Long-Term Care v. Infinia Healthcare dismissed
District Court, D. Utah · No. 2:09-cv-00600 · Filed Jul 7, 2009 · Closed Nov 16, 2011 · Nature of suit: Contract: Other · Cause: 28:1332 Diversity-Other Contract
Role of Pharmerica Long-Term Care v. Infinia Healthcare: Party · Outcome: Terminated 2011-11-16 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
company name words appear in the caption; court in UT (not the issuer's state)
Platinum Long Term Growth, L.L.C. v. Firstgold Corp. dismissed
District Court, S.D. New York · No. 1:09-cv-05714 · Filed Jun 23, 2009 · Closed Jun 17, 2011 · Nature of suit: 850 Securities/Commodities · Cause: 15:78m(a) Securities Exchange Act
Role of Platinum Long Term Growth, L.L.C. v. Firstgold Corp.: Party · Outcome: Terminated 2011-06-17 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
company name words appear in the caption; court in NY (not the issuer's state)
Prakash v. Pulsent Corporation Employee Long Term Disability Plan judgment
District Court, D. Colorado · No. 1:09-cv-00282 · Filed Feb 10, 2009 · Closed Mar 3, 2009 · Nature of suit: Other Statutory Actions · Cause: 28:1331dd Fed. Question: Discovery Disputes
Role of Prakash v. Pulsent Corporation Employee Long Term Disability Plan: Party · Outcome: Terminated 2009-03-03 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for defendant Docket on CourtListener ↗
company name words appear in the caption; court in CO (not the issuer's state)
Pharmerica Long-Term Care, Inc. v. Goldenlife Senior Care, Inc. dismissed
District Court, N.D. Texas · No. 3:09-cv-00130 · Filed Jan 21, 2009 · Closed Nov 20, 2009 · Nature of suit: Contract: Other Contract · Cause: 28:1332 Diversity-Other Contract
Role of Pharmerica Long-Term Care, Inc. v. Goldenlife Senior Care, Inc.: Party · Outcome: Terminated 2009-11-20 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
company name words appear in the caption; court in TX (not the issuer's state)
Pharmerica, Long Term Care, Inc. v. Manuele judgment
District Court, M.D. Florida · No. 8:08-cv-02216 · Filed Nov 5, 2008 · Closed Nov 17, 2009 · Nature of suit: Other Statutory Actions · Cause: 18:1030 Violation of Computer Fraud & Abuse Act
Role of Pharmerica, Long Term Care, Inc. v. Manuele: Party · Outcome: Terminated 2009-11-17 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for plaintiff Docket on CourtListener ↗
company name words appear in the caption; court in FL (not the issuer's state)
PharMerica Long-Term Care, Inc. v. Krystopowicz closed
District Court, D. New Mexico · No. 1:08-cv-00975 · Filed Oct 20, 2008 · Closed Jul 29, 2009 · Nature of suit: Contract: Other · Cause: 28:1332 Diversity-Other Contract
Role of PharMerica Long-Term Care, Inc. v. Krystopowicz: Party · Outcome: Terminated 2009-07-29 — FJC Integrated Database disposition: Transfer to another district Docket on CourtListener ↗
company name words appear in the caption; court in NM (not the issuer's state)
Denison v. United Airlines, Inc. Long Term Disability Income Plan dismissed
District Court, S.D. New York · No. 1:08-cv-07435 · Filed Aug 22, 2008 · Closed Nov 26, 2008 · Nature of suit: 791 Employee Retirement Income Security Act
Role of Denison v. United Airlines, Inc. Long Term Disability Income Plan: Party · Outcome: Terminated 2008-11-26 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
company name words appear in the caption; court in NY (not the issuer's state)
Bencivenga v. Group Long Term Disability Plan for Employees of Cymer, Inc. dismissed
District Court, S.D. California · No. 3:08-cv-01540 · Filed Aug 20, 2008 · Closed Jun 8, 2009 · Nature of suit: 791 Employee Retirement Income Security Act
Role of Bencivenga v. Group Long Term Disability Plan for Employees of Cymer, Inc.: Party · Outcome: Terminated 2009-06-08 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
company name words appear in the caption; court in CA (not the issuer's state)
Moi v. Cardinal Health, Inc., Group Long Term Disability Benefit Plan dismissed
District Court, S.D. California · No. 3:08-cv-01150 · Filed Jun 26, 2008 · Closed May 13, 2009 · Nature of suit: 791 Employee Retirement Income Security Act
Role of Moi v. Cardinal Health, Inc., Group Long Term Disability Benefit Plan: Party · Outcome: Terminated 2009-05-13 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
company name words appear in the caption; court in CA (not the issuer's state)
Farhad v. Oracle Corporation Long Term Disability Plan dismissed
District Court, S.D. California · No. 3:08-cv-01055 · Filed Jun 13, 2008 · Closed Aug 21, 2008 · Nature of suit: 791 Employee Retirement Income Security Act
Role of Farhad v. Oracle Corporation Long Term Disability Plan: Party · Outcome: Terminated 2008-08-21 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
company name words appear in the caption; court in CA (not the issuer's state)
Rizzotti v. Central Pacific Mortgage Company Long Term Disability Plan open
District Court, N.D. California · No. 4:08-cv-02749 · Filed Jun 2, 2008
Role of Rizzotti v. Central Pacific Mortgage Company Long Term Disability Plan: Party · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
company name words appear in the caption; court in CA (not the issuer's state)
Platinum Long Term Growth IV, LLC v. Pride Business Development Holdings, Inc. judgment
District Court, S.D. New York · No. 1:08-cv-01110 · Filed Feb 4, 2008 · Closed Apr 29, 2008 · Nature of suit: 190 Contract: Other · Cause: 28:1332 Diversity-Breach of Contract
Role of Platinum Long Term Growth IV, LLC v. Pride Business Development Holdings, Inc.: Party · Outcome: Terminated 2008-04-29 — FJC Integrated Database disposition: Judgment on default; judgment for plaintiff Docket on CourtListener ↗
company name words appear in the caption; court in NY (not the issuer's state)
Thompson v. Long Term Disability Plan for Employees of Molex Inc. dismissed
District Court, N.D. Illinois · No. 1:08-cv-00439 · Filed Jan 18, 2008 · Closed Jun 10, 2008 · Nature of suit: 791 Employee Retirement Income Security Act
Role of Thompson v. Long Term Disability Plan for Employees of Molex Inc.: Party · Outcome: Terminated 2008-06-10 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
company name words appear in the caption; court in IL (not the issuer's state)
Moszyczynska v. URS Corporation Long Term Disability Plan dismissed
District Court, S.D. New York · No. 1:07-cv-11088 · Filed Dec 7, 2007 · Closed Sep 17, 2008 · Nature of suit: 190 Other contract actions
Role of Moszyczynska v. URS Corporation Long Term Disability Plan: Party · Outcome: Terminated 2008-09-17 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
company name words appear in the caption; court in NY (not the issuer's state)
EFund Small-Cap Fund, LP v. Challenger Powerboats, Inc., f/k/a Xtreme Cos, Inc. dismissed
District Court, D. Nevada · No. 3:07-cv-00550 · Filed Nov 14, 2007 · Closed Jan 29, 2008 · Nature of suit: 140 Negotiable instruments
Role of EFund Small-Cap Fund, LP v. Challenger Powerboats, Inc., f/k/a Xtreme Cos, Inc.: Party · Outcome: Terminated 2008-01-29 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
company name words appear in the caption; court in NV (not the issuer's state)
Hinton v. The Group Short Term Disability and Long Term Disability Plan for Employees of Invacare Corporation dismissed
District Court, D. Rhode Island · No. 1:07-cv-00321 · Filed Aug 23, 2007 · Closed Sep 3, 2008 · Nature of suit: 791 Employee Retirement Income Security Act
Role of Hinton v. The Group Short Term Disability and Long Term Disability Plan for Employees of Invacare Corporation: Party · Outcome: Terminated 2008-09-03 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
company name words appear in the caption; court in RI (not the issuer's state)
Kilbride v. Merrill Lynch & Co., Inc. Basic Long Term Disability Plan dismissed
District Court, S.D. New York · No. 1:07-cv-07092 · Filed Aug 9, 2007 · Closed Nov 18, 2008 · Nature of suit: 791 Employee Retirement Income Security Act
Role of Kilbride v. Merrill Lynch & Co., Inc. Basic Long Term Disability Plan: Party · Outcome: Terminated 2008-11-18 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
company name words appear in the caption; court in NY (not the issuer's state)
Woodland v. Rheem Manufacturing Company Long Term Disability Plan dismissed
District Court, S.D. New York · No. 1:07-cv-03210 · Filed Apr 20, 2007 · Closed Sep 18, 2007 · Nature of suit: 791 Employee Retirement Income Security Act
Role of Woodland v. Rheem Manufacturing Company Long Term Disability Plan: Party · Outcome: Terminated 2007-09-18 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
company name words appear in the caption; court in NY (not the issuer's state)
Walsh v. Long Term Disability Coverage for All Employees Located in the United States of DeVry, Inc. judgment
District Court, N.D. Illinois · No. 1:07-cv-01478 · Filed Mar 15, 2007 · Closed Mar 9, 2009 · Nature of suit: Other Statutory Actions · Cause: 29:1132 E.R.I.S.A.-Employee Benefits
Role of Walsh v. Long Term Disability Coverage for All Employees Located in the United States of DeVry, Inc.: Party · Outcome: Terminated 2009-03-09 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for defendant Docket on CourtListener ↗
company name words appear in the caption; court in IL (not the issuer's state)
PGI Inc v. Wynnefield Partners Small Cap Value LP dismissed
District Court, D. Oregon · No. 6:06-cv-01874 · Filed Dec 29, 2006 · Closed Oct 17, 2007 · Nature of suit: 160 Stockholder's Suits · Cause: 28:1332 Diversity - Stockholders Suits
Role of PGI Inc v. Wynnefield Partners Small Cap Value LP: Party · Outcome: Terminated 2007-10-17 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
company name words appear in the caption; court in OR (not the issuer's state)
Spark v. Dow Jones & Company, Inc., Long Term Disability Plan dismissed
District Court, S.D. New York · No. 1:06-cv-15242 · Filed Dec 18, 2006 · Closed Oct 25, 2007 · Nature of suit: 791 Employee Retirement Income Security Act
Role of Spark v. Dow Jones & Company, Inc., Long Term Disability Plan: Party · Outcome: Terminated 2007-10-25 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
company name words appear in the caption; court in NY (not the issuer's state)
Brower v. The Deutsch, Inc., Long Term Disability Plan dismissed
District Court, S.D. New York · No. 1:06-cv-13272 · Filed Nov 17, 2006 · Closed Apr 27, 2007 · Nature of suit: 791 Employee Retirement Income Security Act
Role of Brower v. The Deutsch, Inc., Long Term Disability Plan: Party · Outcome: Terminated 2007-04-27 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
company name words appear in the caption; court in NY (not the issuer's state)
Kindred Pharmacy Services, Inc. v. Americare Long Term Specialty Hospital, LLC dismissed
District Court, W.D. Tennessee · No. 2:06-cv-02703 · Filed Oct 17, 2006 · Closed Jun 1, 2007 · Nature of suit: Contract: Other · Cause: 28:1332 Diversity-Breach of Contract
Role of Kindred Pharmacy Services, Inc. v. Americare Long Term Specialty Hospital, LLC: Party · Outcome: Terminated 2007-06-01 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
company name words appear in the caption; court in TN (not the issuer's state)
Burke v. PriceWaterHouseCoopers LLP Long Term Disability Plan judgment
District Court, S.D. New York · No. 1:06-cv-07683 · Filed Sep 25, 2006 · Closed Mar 6, 2008 · Nature of suit: 791 Employee Retirement Income Security Act
Role of Burke v. PriceWaterHouseCoopers LLP Long Term Disability Plan: Party · Outcome: Terminated 2008-03-06 — FJC Integrated Database disposition: Other; judgment for defendant Docket on CourtListener ↗
company name words appear in the caption; court in NY (not the issuer's state)
McGowan v. Merck-Medco Managed Care, L.L.C. LLC Long Term Disability Plan closed
District Court, S.D. New York · No. 1:06-cv-06162 · Filed Aug 14, 2006 · Closed Oct 1, 2007 · Nature of suit: 791 Employee Retirement Income Security Act
Role of McGowan v. Merck-Medco Managed Care, L.L.C. LLC Long Term Disability Plan: Party · Outcome: Terminated 2007-10-01 — FJC Integrated Database disposition: Transfer to another district Docket on CourtListener ↗
company name words appear in the caption; court in NY (not the issuer's state)
Perdue v. The Pfizer, Inc., Long Term Disability Plan dismissed
District Court, S.D. New York · No. 1:06-cv-05131 · Filed Jul 6, 2006 · Closed Apr 30, 2007 · Nature of suit: 791 Employee Retirement Income Security Act
Role of Perdue v. The Pfizer, Inc., Long Term Disability Plan: Party · Outcome: Terminated 2007-04-30 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
company name words appear in the caption; court in NY (not the issuer's state)
LONG TERM CARE PHARMACY ALLIANCE v. UNITEDHEALTH GROUP, INC. judgment
District Court, District of Columbia · No. 1:06-cv-01221 · Filed Jul 6, 2006 · Closed Jul 30, 2007 · Nature of suit: Contract: Other · Cause: 28:2201 Declaratory Judgment
Role of LONG TERM CARE PHARMACY ALLIANCE v. UNITEDHEALTH GROUP, INC.: Party · Outcome: Terminated 2007-07-30 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for defendant Docket on CourtListener ↗
company name words appear in the caption; court in DC (not the issuer's state)
Babamian v. The Goldman Sachs Group, Inc. Long Term Disabillity Plan dismissed
District Court, S.D. New York · No. 1:06-cv-03041 · Filed Apr 20, 2006 · Closed Jul 18, 2007 · Nature of suit: 791 Employee Retirement Income Security Act
Role of Babamian v. The Goldman Sachs Group, Inc. Long Term Disabillity Plan: Party · Outcome: Terminated 2007-07-18 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
company name words appear in the caption; court in NY (not the issuer's state)
Long Term Care Partners, LLC v. United States judgment
District Court, D. Maryland · No. 1:06-cv-00475 · Filed Feb 23, 2006 · Closed Nov 29, 2006 · Nature of suit: Other Statutory Actions · Cause: 05:702 Administrative Procedure Act - Right of Review
Role of Long Term Care Partners, LLC v. United States: Party · Outcome: Terminated 2006-11-29 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for defendant Docket on CourtListener ↗
company name words appear in the caption; court in MD (not the issuer's state)
Roumeliote v. Long Term Disability Plan for Employees of Worthington Industries judgment
District Court, S.D. Ohio · No. 2:05-cv-00847 · Filed Sep 13, 2005 · Closed Jan 23, 2007 · Nature of suit: Other Statutory Actions · Cause: 29:1132 E.R.I.S.A.-Employee Benefits
Role of Roumeliote v. Long Term Disability Plan for Employees of Worthington Industries: Party · Outcome: Terminated 2007-01-23 — FJC Integrated Database disposition: Judgment on motion before trial Docket on CourtListener ↗
company name words appear in the caption; court in OH (not the issuer's state)
Capanegro v. Dewberry & Davis, LLC Long-Term Disability Plan dismissed
District Court, S.D. New York · No. 1:05-cv-04814 · Filed May 19, 2005 · Closed Dec 1, 2005 · Nature of suit: 791 Employee Retirement Income Security Act
Role of Capanegro v. Dewberry & Davis, LLC Long-Term Disability Plan: Party · Outcome: Terminated 2005-12-01 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
company name words appear in the caption; court in NY (not the issuer's state)
Niedens v. Stryker Corporation Group Long-Term Disability Income Plan closed
District Court, D. Kansas · No. 2:05-cv-02176 · Filed May 5, 2005 · Closed Mar 28, 2007 · Nature of suit: Contract: Other · Cause: 28:1132 E.R.I.S.A.
Role of Niedens v. Stryker Corporation Group Long-Term Disability Income Plan: Party · Outcome: Terminated 2007-03-28 — FJC Integrated Database disposition: Other Docket on CourtListener ↗
company name words appear in the caption; court in KS (not the issuer's state)
Liszewski v. Lucent Technologies Long Term Disability Plan dismissed
District Court, D. Massachusetts · No. 1:05-cv-10666 · Filed Apr 4, 2005 · Closed Apr 13, 2006 · Nature of suit: 791 Employee Retirement Income Security Act
Role of Liszewski v. Lucent Technologies Long Term Disability Plan: Party · Outcome: Terminated 2006-04-13 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
company name words appear in the caption; court in MA (not the issuer's state)
Frost v. AllianceBernstein Small Cap Value Fund judgment
District Court, D. Maryland · No. 1:04-cv-00592 · Filed Apr 1, 2004 · Closed May 24, 2011 · Nature of suit: 850 Securities/Commodities · Cause: 15:78m(a) Securities Exchange Act
Role of Frost v. AllianceBernstein Small Cap Value Fund: Party · Outcome: Terminated 2011-05-24 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for plaintiff Docket on CourtListener ↗
company name words appear in the caption; court in MD (not the issuer's state)
Loucks v. Steelcase Inc. Long Term Disability Plan dismissed
District Court, W.D. Michigan · No. 1:04-cv-00124 · Filed Feb 23, 2004 · Closed May 16, 2005 · Nature of suit: 791 Employee Retirement Income Security Act
Role of Loucks v. Steelcase Inc. Long Term Disability Plan: Party · Outcome: Terminated 2005-05-16 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
company name words appear in the caption; court in MI (not the issuer's state)
EIE Guam Corporation v. Long Term Credit Bank of Japan Ltd. dismissed
District Court, D. Guam · No. 1:00-cv-00009 · Filed Mar 3, 2000 · Closed Jan 9, 2004 · Nature of suit: 190 Other contract actions
Role of EIE Guam Corporation v. Long Term Credit Bank of Japan Ltd.: Party · Outcome: Terminated 2004-01-09 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
company name words appear in the caption; court in GU (not the issuer's state)
What was searched

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

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

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

2. Regulatory actions

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

What was searched

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

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

5 cases: 4 closed (disposition not in docket feed), 1 open

Palm Small Cap Global Master Fund LP v. Rogers closed
United States Bankruptcy Court, D. New Jersey · No. 21-01210 · Filed Mar 18, 2021 · Closed Nov 19, 2021
Role of Palm Small Cap Global Master Fund LP v. Rogers: Party · Outcome: Case closed 2021-11-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in NJ (not the issuer's state)
RXR 20 Crossways Park North Owner LLC v. Triumph Small Cap Fund, Inc. closed
United States Bankruptcy Court, E.D. New York · No. 8-18-08063 · Filed May 2, 2018 · Closed Jul 23, 2018
Role of RXR 20 Crossways Park North Owner LLC v. Triumph Small Cap Fund, Inc.: Party · Outcome: Case closed 2018-07-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in NY (not the issuer's state)
Fundamental Long Term Care, Inc. - Adversary Proceeding closed
United States Bankruptcy Court, M.D. Florida · No. 8:13-ap-00929 · Filed Oct 8, 2013 · Closed Feb 12, 2016 · Nature of suit: 72 Injunctive relief - other; 91 Declaratory judgment
Role of Fundamental Long Term Care, Inc. - Adversary Proceeding: Party · Outcome: Case closed 2016-02-12 (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)
Fundamental Long Term Care, Inc. open
United States Bankruptcy Court, M.D. Florida · No. 8:11-bk-22258 · Filed Dec 5, 2011
Role of Fundamental Long Term Care, Inc.: Party · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
company name words appear in the caption; court in FL (not the issuer's state)
Gulf States Long Term Acute Care of Covington, LLC closed
United States Bankruptcy Court, E.D. Louisiana · No. 09-11116 · Filed Apr 20, 2009 · Closed Jan 24, 2018
Role of Gulf States Long Term Acute Care of Covington, LLC: Party · Outcome: Case closed 2018-01-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in LA (not the issuer's state)
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.

14 differences found between the filings for P A W Small — 6 worth asking about (compared 35 filings on Oct 24, 2026)

Worth asking · May 1, 2012

Adviser P.A.W. CAPITAL PARTNERS, LP reports disciplinary disclosures on Form ADV

The firm's Form ADV answers "yes" to Item 11 (disciplinary history) — items 11C(2), 11C(3), 11C(4), 11C(5). It is linked to P.A.W. SMALL CAP PARTNERS, L.P. (member issuer). Our match estimate: 80%. Status on file: Approved since May 1, 2012.

What this means The firm answered "yes" to at least one disciplinary question on its SEC adviser form. The details are in the ADV on adviserinfo.sec.gov.

Form ADV · P.A.W. CAPITAL PARTNERS, LP ↗P.A.W. SMALL CAP PARTNERS, L.P. — PartnerFacts page ↗
Sources
Worth asking · Oct 1, 2002 – Apr 13, 2010

Form D filed 2,751 days after the first sale — P.A.W. SMALL CAP PARTNERS, L.P.

The filing says the first sale was Oct 1, 2002. The Form D was filed Apr 13, 2010 — 2,751 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 2,736 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 · Apr 13, 2010 ↗P.A.W. SMALL CAP PARTNERS, L.P. — PartnerFacts page ↗
Sources
Worth asking · Dec 1, 1990 – Apr 13, 2010

Form D filed 7,073 days after the first sale — P.A.W. PARTNERS, LP

The filing says the first sale was Dec 1, 1990. The Form D was filed Apr 13, 2010 — 7,073 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 7,058 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 · Apr 13, 2010 ↗P.A.W. PARTNERS, LP — PartnerFacts page ↗
Sources
Note · Oct 1, 2010 – Nov 2, 2018

No amendment in the last 12 months on an offering that may still be open — P.A.W. FAF, L.P. (latest filing Nov 2, 2018)

The latest filing for this offering is dated Nov 2, 2018 (first sale Oct 1, 2010). It reports $79,720,475 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D/A · Nov 2, 2018 ↗P.A.W. FAF, L.P. — PartnerFacts page ↗
Sources
Note · Dec 1, 1990 – Mar 13, 2017

No amendment in the last 12 months on an offering that may still be open — P.A.W. PARTNERS, LP (latest filing Mar 13, 2017)

The latest filing for this offering is dated Mar 13, 2017 (first sale Dec 1, 1990). It reports $390,250,455 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D/A · Mar 13, 2017 ↗P.A.W. PARTNERS, LP — PartnerFacts page ↗
Sources
Worth asking · Mar 19, 2015 – Mar 18, 2016

Peter A. Wright is no longer listed on the Mar 18, 2016 amendment — P.A.W. SMALL CAP PARTNERS, L.P.

Peter A. Wright appears on the Mar 19, 2015 Form D/A (executive officer) but not on the Mar 18, 2016 Form D/A for the same offering.

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

Form D/A · Mar 19, 2015 ↗Form D/A · Mar 18, 2016 ↗Peter A. Wright — PartnerFacts page ↗P.A.W. SMALL CAP PARTNERS, L.P. — PartnerFacts page ↗
Sources
Worth asking · Mar 19, 2015 – Mar 18, 2016

Peter A. Wright is no longer listed on the Mar 18, 2016 amendment — P.A.W. PARTNERS, LP

Peter A. Wright appears on the Mar 19, 2015 Form D/A (executive officer) but not on the Mar 18, 2016 Form D/A for the same offering.

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

Form D/A · Mar 19, 2015 ↗Form D/A · Mar 18, 2016 ↗Peter A. Wright — PartnerFacts page ↗P.A.W. PARTNERS, LP — PartnerFacts page ↗
Sources
Worth asking · Nov 13, 2014 – Nov 12, 2015

Peter A. Wright is no longer listed on the Nov 12, 2015 amendment — P.A.W. FAF, L.P.

Peter A. Wright appears on the Nov 13, 2014 Form D/A (executive officer) but not on the Nov 12, 2015 Form D/A for the same offering.

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

Form D/A · Nov 13, 2014 ↗Form D/A · Nov 12, 2015 ↗Peter A. Wright — PartnerFacts page ↗P.A.W. FAF, L.P. — PartnerFacts page ↗
Sources
Note · Nov 12, 2015 – Nov 10, 2016

P.A.W. Capital Partners, L.P.'s role changed at P.A.W. FAF, L.P.: executive officer, promoter → executive officer

The Nov 12, 2015 filing lists P.A.W. Capital Partners, L.P. as executive officer, promoter; the Nov 10, 2016 Form D/A lists executive officer.

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

Form D/A · Nov 12, 2015 ↗Form D/A · Nov 10, 2016 ↗P.A.W. Capital Partners, L.P. — PartnerFacts page ↗P.A.W. FAF, L.P. — PartnerFacts page ↗
Sources
Note · Mar 19, 2015 – Mar 18, 2016

Minimum investment changed between filings — P.A.W. SMALL CAP PARTNERS, L.P.

The Mar 19, 2015 filing lists a minimum of $1,000,000; the Mar 18, 2016 Form D/A lists $0.

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

Form D/A (earlier) · Mar 19, 2015 ↗Form D/A (later) · Mar 18, 2016 ↗P.A.W. SMALL CAP PARTNERS, L.P. — PartnerFacts page ↗
Sources
Note · Mar 19, 2015 – Mar 18, 2016

Minimum investment changed between filings — P.A.W. PARTNERS, LP

The Mar 19, 2015 filing lists a minimum of $1,000,000; the Mar 18, 2016 Form D/A lists $0.

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

Form D/A (earlier) · Mar 19, 2015 ↗Form D/A (later) · Mar 18, 2016 ↗P.A.W. PARTNERS, LP — PartnerFacts page ↗
Sources
Note · Nov 2, 2018

Address on file is a registered agent / shared office — P.A.W. FAF, L.P.

The latest filing lists P.A.W. Capital Partners, L.P., 4 Greenwich Office Park, 3rd Floor, Greenwich, CT. That address is used by 7 issuers in our index (7 issuers in 5 unrelated clusters).

What this means Many small companies use a registered agent's address — it is legal and common. It means the Form D address is not where the team works. Ask where the business operates and who runs it day to day.

Form D/A · Nov 2, 2018 ↗P.A.W. FAF, L.P. — PartnerFacts page ↗
Sources
Note · Mar 13, 2017

Address on file is a registered agent / shared office — P.A.W. PARTNERS, LP

The latest filing lists P.A.W. Capital Partners, L.P., 4 Greenwich Office Park, 3rd Floor, Greenwich, CT. That address is used by 7 issuers in our index (7 issuers in 5 unrelated clusters).

What this means Many small companies use a registered agent's address — it is legal and common. It means the Form D address is not where the team works. Ask where the business operates and who runs it day to day.

Form D/A · Mar 13, 2017 ↗P.A.W. PARTNERS, LP — PartnerFacts page ↗
Sources
Note · Apr 13, 2010 – Feb 20, 2026

Issuer used a different name before — P.A.W. SMALL CAP PARTNERS, L.P.

SEC records list prior names for this filer: P.A.W. SMALL CAPITAL PARTNERS, L.P.; P.A.W. LONG TERM PARTNERS, L.P.. The current name on file is "P.A.W. SMALL CAP PARTNERS, 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 ↗P.A.W. SMALL CAP PARTNERS, 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

None reported on 3 offerings — no sales commissions, finder's fees or proceeds to insiders

Per-offering detail
Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Feb 20, 2026 D/A
P.A.W. SMALL CAP PARTNERS, L.P.
File 021-140515
$0 (est.)$0 (est.)$0 (est.)
The General Partner receives customary management fees.
None listed on this filingEDGAR ↗
Nov 2, 2018 D/A
P.A.W. FAF, L.P.
File 021-149040
$0 (est.)$0 (est.)$0 (est.)
The General Partner receives customary management fees.
None listed on this filingEDGAR ↗
Mar 13, 2017 D/A
P.A.W. PARTNERS, LP
File 021-140514
$0 (est.)$0 (est.)$0 (est.)
The General Partner receives customary management fees as provided in the Issuer's offering documents.
None listed on this filingEDGAR ↗

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 3 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 P A W Small 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 ↗PA P.A.W. SMALL CAP PARTNERS, L.P.shared people, shared management entityGREENWICH, CTPooled Investment Fund18$350,045,369
offering Indefinite · similar: $155,000–$5,250,000
127
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2010–2026
EDGAR ↗PA P.A.W. PARTNERS, LPshared people, shared management entityGREENWICH, CTPooled Investment Fund8$390,250,455
offering Indefinite · similar: $155,000–$5,250,000
212
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2010–2017
EDGAR ↗PA P.A.W. FAF, L.P.shared people, shared management entityGREENWICH, CTPooled Investment Fund9$79,720,475
offering Indefinite · similar: $155,000–$5,250,000
81
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2010–2018

"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: 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 ↗Feb 20, 2026P.A.W. SMALL CAP PARTNERS, L.P.D/APooled Investment FundIndefinite$350,045,369
EDGAR ↗Feb 21, 2025P.A.W. SMALL CAP PARTNERS, L.P.D/APooled Investment FundIndefinite$342,594,403
EDGAR ↗Feb 21, 2024P.A.W. SMALL CAP PARTNERS, L.P.D/APooled Investment FundIndefinite$334,024,780
EDGAR ↗Feb 28, 2023P.A.W. SMALL CAP PARTNERS, L.P.D/APooled Investment FundIndefinite$319,647,362
EDGAR ↗Mar 4, 2022P.A.W. SMALL CAP PARTNERS, L.P.D/APooled Investment FundIndefinite$304,110,581
EDGAR ↗Mar 5, 2021P.A.W. SMALL CAP PARTNERS, L.P.D/APooled Investment FundIndefinite$277,783,300
EDGAR ↗Mar 6, 2020P.A.W. SMALL CAP PARTNERS, L.P.D/APooled Investment FundIndefinite$253,225,188
EDGAR ↗Mar 6, 2019P.A.W. SMALL CAP PARTNERS, L.P.D/APooled Investment FundIndefinite$229,463,071
EDGAR ↗Nov 2, 2018P.A.W. FAF, L.P.D/APooled Investment FundIndefinite$79,720,475
EDGAR ↗Mar 13, 2018P.A.W. SMALL CAP PARTNERS, L.P.D/APooled Investment FundIndefinite$203,612,029
EDGAR ↗Nov 9, 2017P.A.W. FAF, L.P.D/APooled Investment FundIndefinite$78,128,586
EDGAR ↗Mar 13, 2017P.A.W. SMALL CAP PARTNERS, L.P.D/APooled Investment FundIndefinite$172,999,196
EDGAR ↗Mar 13, 2017P.A.W. PARTNERS, LPD/APooled Investment FundIndefinite$390,250,455
EDGAR ↗Nov 10, 2016P.A.W. FAF, L.P.D/APooled Investment FundIndefinite$65,242,444
EDGAR ↗Mar 18, 2016P.A.W. SMALL CAP PARTNERS, L.P.D/APooled Investment FundIndefinite$153,487,741
EDGAR ↗Mar 18, 2016P.A.W. PARTNERS, LPD/APooled Investment FundIndefinite$389,513,521
EDGAR ↗Nov 12, 2015P.A.W. FAF, L.P.D/APooled Investment FundIndefinite$57,855,565
EDGAR ↗Mar 19, 2015P.A.W. SMALL CAP PARTNERS, L.P.D/APooled Investment FundIndefinite$143,028,717
EDGAR ↗Mar 19, 2015P.A.W. PARTNERS, LPD/APooled Investment FundIndefinite$388,969,671
EDGAR ↗Nov 13, 2014P.A.W. FAF, L.P.D/APooled Investment FundIndefinite$52,412,264
EDGAR ↗Mar 19, 2014P.A.W. SMALL CAP PARTNERS, L.P.D/APooled Investment FundIndefinite$129,978,688
EDGAR ↗Mar 19, 2014P.A.W. PARTNERS, LPD/APooled Investment FundIndefinite$388,640,564
EDGAR ↗Nov 15, 2013P.A.W. FAF, L.P.D/APooled Investment FundIndefinite$45,937,549
EDGAR ↗Mar 19, 2013P.A.W. SMALL CAP PARTNERS, L.P.D/APooled Investment FundIndefinite$120,532,360
EDGAR ↗Mar 19, 2013P.A.W. PARTNERS, LPD/APooled Investment FundIndefinite$388,640,564
EDGAR ↗Nov 15, 2012P.A.W. FAF, L.P.D/APooled Investment FundIndefinite$40,225,338
EDGAR ↗Mar 27, 2012P.A.W. SMALL CAP PARTNERS, L.P.D/APooled Investment FundIndefinite$104,619,661
EDGAR ↗Mar 27, 2012P.A.W. PARTNERS, LPD/APooled Investment FundIndefinite$381,435,564
EDGAR ↗Oct 14, 2011P.A.W. FAF, L.P.D/APooled Investment FundIndefinite$6,226,000
EDGAR ↗Apr 13, 2011P.A.W. PARTNERS, LPD/APooled Investment FundIndefinite$381,135,564
EDGAR ↗Mar 21, 2011P.A.W. SMALL CAP PARTNERS, L.P.D/APooled Investment FundIndefinite$98,426,494
EDGAR ↗Dec 28, 2010P.A.W. SMALL CAP PARTNERS, L.P.D/APooled Investment FundIndefinite$87,762,459
EDGAR ↗Oct 14, 2010P.A.W. FAF, L.P.DPooled Investment FundIndefinite$250,000
EDGAR ↗Apr 13, 2010P.A.W. SMALL CAP PARTNERS, L.P.DPooled Investment FundIndefinite$83,394,661
EDGAR ↗Apr 13, 2010P.A.W. PARTNERS, LPDPooled Investment FundIndefinite$371,862,683

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 Feb 20, 2026. Industry history, as reported on each offering's latest filing: All 3 offerings reported: Pooled Investment Fund (2010).

People across the group

NameRolesIssuers hereFirst → last listed
PA P.A.W. Capital Corp. entityExecutive Officer3Nov 13, 2014 → Feb 20, 2026
PA P.A.W. Capital Partners, L.P. entityExecutive Officer3Nov 13, 2014 → Feb 20, 2026
PW Peter A. WrightExecutive Officer3Apr 13, 2010 → Mar 19, 2015

Business registration (state registry / Secretary of State)

None of the 3 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)

P.A.W. CAPITAL PARTNERS, LP — SEC-registered investment adviser · SEC registration status as reported: “Approved” since May 1, 2012 · SEC file 801-74083 · Main office: GREENWICH, CT · IAPD record ↗ · Form ADV filing (PDF) ↗

Regulatory assets under management: $166,836,829 as reported on Form ADV filed Sep 16, 2026 (Item 5.F(2)(c)) · 57 accounts (Item 5.F(2)(f))

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

Item 11 disclosure questions as answered on Form ADV filed Sep 16, 2026: 4 of 24 answered “Yes”
  • Yes — 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(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?”
  • 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?”
  • 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 11D(1) asks: “D. Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: (1) ever found you or any advisory affiliate to have made a false statement or omission, or been dishonest, unfair, or unethical?”
  • No — Form ADV Item 11D(2) asks: “D. (2) ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?”
  • No — Form ADV Item 11D(3) asks: “D. (3) ever found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
  • No — Form ADV Item 11D(4) asks: “D. (4) in the past ten years, entered an order against you or any advisory affiliate in connection with an investment-related activity?”
  • No — Form ADV Item 11D(5) asks: “D. (5) ever denied, suspended, or revoked your or any advisory affiliate's registration or license, or otherwise prevented you or any advisory affiliate, by order, from associating with an investment-related business or restricted your or any advisory affiliate's activity?”
  • No — Form ADV Item 11E(1) asks: “E. Has any self-regulatory organization or commodities exchange ever: (1) found you or any advisory affiliate to have made a false statement or omission?”
  • No — Form ADV Item 11E(2) asks: “E. (2) found you or any advisory affiliate to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the SEC)?”
  • No — Form ADV Item 11E(3) asks: “E. (3) found you or any advisory affiliate to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
  • No — Form ADV Item 11E(4) asks: “E. (4) disciplined you or any advisory affiliate by expelling or suspending you or the advisory affiliate from membership, barring or suspending you or the advisory affiliate from association with other members, or otherwise restricting your or the advisory affiliate's activities?”
  • No — Form ADV Item 11F asks: “F. Has an authorization to act as an attorney, accountant, or federal contractor granted to you or any advisory affiliate ever been revoked or suspended?”
  • No — Form ADV Item 11G asks: “G. Are you or any advisory affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of Item 11.C., 11.D., or 11.E.?”
  • No — Form ADV Item 11H(1)(a) asks: “H. (1) Has any domestic or foreign court: (a) in the past ten years, enjoined you or any advisory affiliate in connection with any investment-related activity?”
  • No — Form ADV Item 11H(1)(b) asks: “H. (1)(b) ever found that you or any advisory affiliate were involved in a violation of investment-related statutes or regulations?”
  • No — Form ADV Item 11H(1)(c) asks: “H. (1)(c) ever dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or any advisory affiliate by a state or foreign financial regulatory authority?”
  • No — Form ADV Item 11H(2) asks: “H. (2) Are you or any advisory affiliate now the subject of any civil proceeding that could result in a "yes" answer to any part of Item 11.H(1)?”

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

Matched on management entity listed on Form D = adviser name, same state (CT) · 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 P A W Small 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 P A W Small's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #274,344 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓

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Social and web

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Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗Connecticut Judicial Branch case look-up ↗

Securities regulators

SEC EDGAR full-text search ↗SEC action look-up ↗FINRA BrokerCheck ↗SEC IAPD adviser search ↗

Business registries

Connecticut Secretary of State business search ↗OpenCorporates ↗