PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:20 AM ET

Sponsor Check › Sponsor group

K

Kennedy

One sponsor team, 3 deal companies · St Louis, MO

Grouped because: 16 shared people, 1 shared management entity, same business address (3 issuers), similar issuer names (3) (automatic match from the filings) · not the same sponsor?

3deal companies
$2.06Mreported sold
29investors
17Form D filings
2010–2021active
0new, last 12 mo
Follow this sponsor groupLook further ↓

Data last updated Oct 23, 2026, 5:45 PM ET · Latest filing in this group Apr 12, 2021 · 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

Kennedy is a sponsor group of 3 issuers that PartnerFacts links to one sponsor (shared people, same business address, similar issuer names, shared management entity; automatic match from the filings), filing 17 Form D filings between Jan 2010 and Apr 2021.

What this means One team, 3 deal companies, about 11 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: $2.06M to 29 investors (latest filing per issuer). Industries as reported: Pooled Investment Fund (2), Investing (1). Issuers are based in MO (3).

What this means $2.06M raised across the group, about $71K per investor. Amounts come from each company's latest Form D; they are what the sponsor reported, not audited figures.

Principal people: Don Cobin (3 issuers, executive officer and director), Frank Andrew Latuda, Jr. (3 issuers, executive officer and director), John M. Hillhouse (3 issuers, director), Randall Lee Kirkland (3 issuers, executive officer and director), Richard Ernest Oliver (3 issuers, executive officer) and 16 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 Apr 12, 2021.

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

Adviser registration (Form ADV) on record: KENNEDY CAPITAL MANAGEMENT.

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) — 4 court cases matching the name, 4 bankruptcy cases matching the name listed in Key records below.

What this means 8 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 17 public filings for Kennedy and found 8 differences: Last filing Apr 12, 2021 with 18% of the target sold; Form D filed 17 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 Kennedy has not run yet — it is joining a line of 30,937 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: 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

4 cases: 2 dismissed, 2 judgment

Estate of Paul L. Miller, Jr. v. Kennedy Capital Management, Inc. dismissed
District Court, E.D. Missouri · No. 4:06-cv-01120 · Filed Jul 24, 2006 · Closed Aug 29, 2006 · Nature of suit: 791 Employee Retirement Income Security Act
Role of Kennedy Capital Management, Inc.: Defendant · Outcome: Terminated 2006-08-29 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
exact company name; name has one distinctive word; court in the issuer's state (MO)
Lewis and Kennedy, Inc. v. Permanent Mission of the Republic of Botswana to the United Nations dismissed matched at sponsor-group level (Kennedy)
District Court, S.D. New York · No. 1:05-cv-02591 · Filed Mar 4, 2005 · Closed Apr 17, 2006 · Nature of suit: Contract: Other · Cause: 28:1330 Breach of Contract
Role of Kennedy, Inc.: Plaintiff · Outcome: Terminated 2006-04-17 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; name has one distinctive word; court in NY (not the issuer's state)
LEASING SVC CORP v. KENNEDY INC judgment matched at sponsor-group level (Kennedy)
District Court, S.D. New York · No. · Filed Dec 23, 1987 · Closed Mar 3, 1988 · Nature of suit: 190 Other contract actions
Role of KENNEDY INC: Defendant · Outcome: Terminated 1988-03-03 — FJC Integrated Database disposition: Judgment on default; judgment for plaintiff Docket on CourtListener ↗
exact company name; name has one distinctive word; court in NY (not the issuer's state); filed 1987, first Form D 2010
KENNEDY CO v. ORION COMPUTER INC judgment matched at sponsor-group level (Kennedy)
District Court, N.D. Illinois · No. · Filed Mar 18, 1987 · Closed Sep 11, 1987 · Nature of suit: 190 Other contract actions
Role of KENNEDY CO: Plaintiff · Outcome: Terminated 1987-09-11 — FJC Integrated Database disposition: Judgment on default; judgment for plaintiff Docket on CourtListener ↗
exact company name; name has one distinctive word; court in IL (not the issuer's state); filed 1987, first Form D 2010
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 Kennedy..

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

4 cases: 4 closed (disposition not in docket feed)

Lorenz and Kennedy, Inc. closed matched at sponsor-group level (Kennedy)
United States Bankruptcy Court, E.D. Michigan · No. 05-42143 · Filed Jan 25, 2005 · Closed Nov 15, 2005
Role of Kennedy, Inc.: Debtor · Outcome: Case closed 2005-11-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in MI (not the issuer's state)
Mims v. Kennedy Capital Management, Inc. closed
United States Bankruptcy Court, N.D. Texas · No. 97-03452 · Filed Oct 3, 1997 · Closed Feb 23, 2004
Role of Kennedy Capital Management, Inc.: Defendant · Outcome: Case closed 2004-02-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in TX (not the issuer's state)
Bash v. Kennedy Co closed matched at sponsor-group level (Kennedy)
United States Bankruptcy Court, N.D. Ohio · No. 94-01423 · Filed Nov 16, 1994 · Closed May 31, 1995
Role of Kennedy Co: Defendant · Outcome: Case closed 1995-05-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in OH (not the issuer's state); filed 1994, first Form D 2010
Kennedy Company Corp closed matched at sponsor-group level (Kennedy)
United States Bankruptcy Court, N.D. Illinois · No. 80-10063 · Filed Aug 12, 1980 · Closed Dec 15, 1989
Role of Kennedy Company Corp: Debtor · Outcome: Case closed 1989-12-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in IL (not the issuer's state); filed 1980, first Form D 2010
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.

8 differences found between the filings for Kennedy (compared 17 filings on Oct 24, 2026)

Note · Apr 12, 2021

Last filing Apr 12, 2021 with 18% of the target sold — KENNEDY CAPITAL MANAGEMENT, INC.

KENNEDY CAPITAL MANAGEMENT, INC. (last filing Apr 12, 2021; $2,344,185 sold of $12,726,000). There is no filing in more than two years and the last one reported under half the target sold.

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

KENNEDY CAPITAL MANAGEMENT, INC. — PartnerFacts page ↗EDGAR filer page ↗
Sources
Note · Sep 30, 2011 – Oct 17, 2011

Form D filed 17 days after the first sale — KENNEDY CAPITAL MANAGEMENT, INC.

The filing says the first sale was Sep 30, 2011. The Form D was filed Oct 17, 2011 — 17 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 2 days past that.

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

Form D · Oct 17, 2011 ↗KENNEDY CAPITAL MANAGEMENT, INC. — PartnerFacts page ↗
Sources
Note · Jan 1, 2010 – Apr 12, 2021

14 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 — KENNEDY CAPITAL MANAGEMENT, INC. (latest filing Apr 12, 2021) · No amendment in the last 12 months on an offering that may still be open — KENNEDY CAPITAL MANAGEMENT, INC. (latest filing Jul 8, 2020) · No amendment in the last 12 months on an offering that may still be open — KENNEDY CAPITAL MANAGEMENT, INC. (latest filing Jul 1, 2019) · No amendment in the last 12 months on an offering that may still be open — KENNEDY CAPITAL MANAGEMENT, INC. (latest filing Jul 5, 2018) · No amendment in the last 12 months on an offering that may still be open — KCM SMALL CAP CORE FUND LLC (latest filing Dec 20, 2017) · and 9 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 · Apr 12, 2021 ↗KENNEDY CAPITAL MANAGEMENT, INC. — PartnerFacts page ↗Form D · Jul 8, 2020 ↗Form D · Jul 1, 2019 ↗
Sources
Note · Dec 20, 2017 – Jan 16, 2019

Don Cobin's role changed at KCM SMALL CAP CORE FUND LLC: director → executive officer, director

The Dec 20, 2017 filing lists Don Cobin as director; the Jan 16, 2019 Form D lists executive officer, director.

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

Form D · Dec 20, 2017 ↗Form D · Jan 16, 2019 ↗Don Cobin — PartnerFacts page ↗KCM SMALL CAP CORE FUND LLC — PartnerFacts page ↗
Sources
Note · Apr 7, 2017 – Jul 5, 2018

Don Cobin's role changed at KENNEDY CAPITAL MANAGEMENT, INC.: director → executive officer, director

The Apr 7, 2017 filing lists Don Cobin as director; the Jul 5, 2018 Form D lists executive officer, director.

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

Form D · Apr 7, 2017 ↗Form D · Jul 5, 2018 ↗Don Cobin — PartnerFacts page ↗KENNEDY CAPITAL MANAGEMENT, INC. — PartnerFacts page ↗
Sources
Note · Jul 1, 2019 – Apr 2, 2020

Jena Bjornson is written 2 different ways on the filings

listed as "Jena Bjornson" on 3 filings (from Jul 1, 2019), and "Jena Amber Bjornson" on the Apr 2, 2020 filing.

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

Form D · Jul 1, 2019 ↗Form D · Apr 2, 2020 ↗Jena Bjornson — PartnerFacts page ↗
Sources
Note · Apr 7, 2017 – Dec 20, 2017

Niraj S. Shah is written 2 different ways on the filings

listed as "Niraj S. Shah" on 5 filings (from Apr 7, 2017), and "Niraj Surendra Shah" on 4 filings (from Dec 20, 2017).

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

Form D · Apr 7, 2017 ↗Form D · Dec 20, 2017 ↗Niraj S. Shah — PartnerFacts page ↗
Sources
Note · Jan 14, 2010 – Apr 12, 2021

Issuer used a different name before — KENNEDY CAPITAL MANAGEMENT, INC.

SEC records list prior names for this filer: KENNEDY CAPITAL MANAGEMENT INC. The current name on file is "KENNEDY CAPITAL MANAGEMENT, INC.".

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 ↗KENNEDY CAPITAL MANAGEMENT, INC. — PartnerFacts page ↗
Sources
What is compared

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

5. Money to insiders

0 of 17 offerings report sales commissions; 0 report finder's fees; 6 report proceeds to related persons totalling $85,298. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Apr 12, 2021 D
KENNEDY CAPITAL MANAGEMENT, INC.
File 021-395425
$0$0$0None listed on this filingEDGAR ↗
Jul 8, 2020 D
KENNEDY CAPITAL MANAGEMENT, INC.
File 021-370393
$0$0$0None listed on this filingEDGAR ↗
Apr 2, 2020 D
KCM SMALL CAP CORE FUND LLC
File 021-364231
$0$0$823 (est.)
The Issuer pays a .9 percent annual management fee to Kennedy Capital Management, Inc. (the Issuer's manager and investment adviser).
None listed on this filingEDGAR ↗
Jul 1, 2019 D
KENNEDY CAPITAL MANAGEMENT, INC.
File 021-343196
$0$0$0None listed on this filingEDGAR ↗
Apr 1, 2019 D
KCM SMALL CAP CORE FUND LLC
File 021-336166
$0$0$165 (est.)
The Issuer pays a one percent annual management fee to Kennedy Capital Management, Inc. (the Issuer's manager and investment adviser).
None listed on this filingEDGAR ↗
Jan 16, 2019 D
KCM SMALL CAP CORE FUND LLC
File 021-330666
$0$0$10,000 (est.)
The Issuer pays a one percent annual management fee to Kennedy Capital Management, Inc. (the Issuer's manager and investment adviser).
None listed on this filingEDGAR ↗
Jul 5, 2018 D
KENNEDY CAPITAL MANAGEMENT, INC.
File 021-316106
$0$0$0None listed on this filingEDGAR ↗
Dec 20, 2017 D
KCM SMALL CAP CORE FUND LLC
File 021-301329
$0$0$9,060 (est.)
The Issuer pays a one percent annual management fee to Kennedy Capital Management, Inc. (the Issuer's manager and investment adviser).
None listed on this filingEDGAR ↗
Apr 7, 2017 D
KENNEDY CAPITAL MANAGEMENT, INC.
File 021-284299
$0$0$0None listed on this filingEDGAR ↗
Apr 13, 2016 D
KENNEDY CAPITAL MANAGEMENT, INC.
File 021-261167
$0$0$0None listed on this filingEDGAR ↗
Apr 7, 2015 D
KENNEDY CAPITAL MANAGEMENT, INC.
File 021-237412
$0$0$0None listed on this filingEDGAR ↗
May 28, 2014 D
KCM MID CAP VALUE FUND LLC
File 021-218136
$0$0$2,250 (est.)
The issuer pays a 0.90 percent management fee to Kennedy Capital Management, Inc. (the issuer's manager and investment adviser).
None listed on this filingEDGAR ↗
Apr 8, 2014 D
KENNEDY CAPITAL MANAGEMENT, INC.
File 021-215082
$0$0$0None listed on this filingEDGAR ↗
Sep 20, 2013 D
KCM SMALL CAP CORE FUND LLC
File 021-203250
$0$0$63,000 (est.)
The Issuer pays a one percent annual management fee to Kennedy Capital Management, Inc. (the Issuer's manager and investment adviser).
None listed on this filingEDGAR ↗
Apr 8, 2013 D
KENNEDY CAPITAL MANAGEMENT, INC.
File 021-194630
$0$0$0None listed on this filingEDGAR ↗
Oct 17, 2011 D
KENNEDY CAPITAL MANAGEMENT, INC.
File 021-167382
$0$0$0None listed on this filingEDGAR ↗
Jan 14, 2010 D
KENNEDY CAPITAL MANAGEMENT, INC.
File 021-110074
$0$0$0None listed on this filingEDGAR ↗
How this is counted

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

Counted across all 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, 9:18 AM ET · NYC and Cook County lookup still to run

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

Not found in sources searched as of Oct 24, 2026, 9:18 AM ET: Hillsborough County FL Clerk of Court Official Records daily index (publicrec.hillsclerk.com D/P/M files), 2 daily files (Oct 14, 2026 to Oct 15, 2026) — loaded Oct 23, 2026, 8:59 PM ET; Harris County TX (HCAD ownership rolls 2005–2026) — 1,032,426 records, loaded Oct 24, 2026, 8:00 AM ET; Dallas County TX (DCAD ownership rolls 2021–2027) — 285,535 records, loaded Oct 24, 2026, 8:20 AM ET; Hillsborough County FL (FL DOR 2026 ownership roll + Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026), Miami-Dade County FL (FL DOR 2026 ownership roll), Broward County FL (FL DOR 2026 ownership roll), Palm Beach County FL (FL DOR 2026 ownership roll) — 514,336 records, loaded Oct 24, 2026, 8:25 AM ET; King County WA (Assessor sale records 0000-00-00–2026-10-14; no owner-of-record names published) — 538,619 records, loaded Oct 24, 2026, 8:27 AM ET; Cook County IL (Assessor sale records 1982–2026 + ownership rolls 2014–2026) — 1,031,843 records, loaded Oct 24, 2026, 9:05 AM ET. Still to be looked up for this group: NYC ACRIS via NYC Open Data (Real Property Parties 636b-3b5g, Master bnx9-e6tj, Legals 8h5j-fqxa, Document Control Codes 7isb-wh4c) · NYC PLUTO ownership via NYC Open Data (64uk-42ks) · Cook County IL Assessor via Cook County Open Data (Parcel Sales wvhk-k5uv; Parcel Addresses 3723-97qp). Records in other counties, and recorder indexes we do not yet cover, were not searched.

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

Issuers in this group

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

SourceIssuerLinked byLocationIndustryFilingsSold (max)InvestorsMin. investment (latest filing)Active
EDGAR ↗KC KENNEDY CAPITAL MANAGEMENT, INC.shared people, same business address, similar issuer namesST LOUIS, MOInvesting11$2,344,185
offering $1,869,108 · similar: $763,000–$10,000,000
27
similar: 4–23
$4,756
similar: $10,000–$78,388
2010–2021
EDGAR ↗KS KCM SMALL CAP CORE FUND LLCshared people, shared management entity, same business address, similar issuer namesST LOUIS, MOPooled Investment Fund5$6,300,000
offering $91,500 · similar: $155,000–$5,250,000
1
similar: 4–27
$91,500
similar: $1,000–$100,000
2013–2020
EDGAR ↗KM KCM MID CAP VALUE FUND LLCshared people, shared management entity, same business address, similar issuer namesST LOUIS, MOPooled Investment Fund1$250,000
offering Indefinite · similar: $155,000–$5,250,000
1
similar: 4–27
$1,000,000
similar: $1,000–$100,000
2014–2014

"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Investing / 506(b) (2,521 filings); Pooled Investment Fund / 506(b) (83,801 filings); 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 ↗Apr 12, 2021KENNEDY CAPITAL MANAGEMENT, INC.DInvesting$1,869,108$1,716,916
EDGAR ↗Jul 8, 2020KENNEDY CAPITAL MANAGEMENT, INC.DInvesting$1,881,708$920,664
EDGAR ↗Apr 2, 2020KCM SMALL CAP CORE FUND LLCDPooled Investment Fund$91,500$91,500
EDGAR ↗Jul 1, 2019KENNEDY CAPITAL MANAGEMENT, INC.DInvesting$2,528,283$1,681,905
EDGAR ↗Apr 1, 2019KCM SMALL CAP CORE FUND LLCDPooled Investment Fund$16,500$16,500
EDGAR ↗Jan 16, 2019KCM SMALL CAP CORE FUND LLCDPooled Investment Fund$1,000,000$1,000,000
EDGAR ↗Jul 5, 2018KENNEDY CAPITAL MANAGEMENT, INC.DInvesting$3,290,157$2,344,185
EDGAR ↗Dec 20, 2017KCM SMALL CAP CORE FUND LLCDPooled Investment FundIndefinite$906,000
EDGAR ↗Apr 7, 2017KENNEDY CAPITAL MANAGEMENT, INC.DInvesting$2,736,517$2,055,165
EDGAR ↗Apr 13, 2016KENNEDY CAPITAL MANAGEMENT, INC.DInvesting$2,082,850$102,249
EDGAR ↗Apr 7, 2015KENNEDY CAPITAL MANAGEMENT, INC.DInvesting$1,762,725$1,528,932
EDGAR ↗May 28, 2014KCM MID CAP VALUE FUND LLCDPooled Investment FundIndefinite$250,000
EDGAR ↗Apr 8, 2014KENNEDY CAPITAL MANAGEMENT, INC.DInvesting$873,250$527,443
EDGAR ↗Sep 20, 2013KCM SMALL CAP CORE FUND LLCDPooled Investment FundIndefinite$6,300,000
EDGAR ↗Apr 8, 2013KENNEDY CAPITAL MANAGEMENT, INC.DInvesting$1,559,800$1,389,640
EDGAR ↗Oct 17, 2011KENNEDY CAPITAL MANAGEMENT, INC.DInvesting$1,376,288$1,141,312
EDGAR ↗Jan 14, 2010KENNEDY CAPITAL MANAGEMENT, INC.DInvesting$12,726,000$893,648

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 Apr 12, 2021. Industry history, as reported on each offering's latest filing: Previous offerings: Investing (2010–2013), Pooled Investment Fund (2013), Investing (2014), Pooled Investment Fund (2014), Investing (2015–2017), Pooled Investment Fund (2017), Investing (2018), Pooled Investment Fund (2019), Investing (2019), Pooled Investment Fund (2020). Latest offering: Investing (2020–2021; most recent Apr 12, 2021).

People across the group

NameRolesIssuers hereFirst → last listed
RK Robert B. Karn IIIDirector3Jan 14, 2010 → Apr 12, 2021
RO Richard Ernest OliverExecutive Officer3Jan 14, 2010 → Apr 12, 2021
DC Don CobinDirector, Executive Officer3Apr 8, 2013 → Apr 12, 2021
RS Richard Henry SiniseExecutive Officer3Jan 14, 2010 → Jul 1, 2019
FL Frank Andrew Latuda, Jr.Executive Officer, Director3Jan 14, 2010 → Dec 20, 2017
JH John M. HillhouseDirector3Jan 14, 2010 → Apr 7, 2017
RK Randall Lee KirklandExecutive Officer, Director3Jan 14, 2010 → Apr 13, 2016
SM Stephen A. MaceExecutive Officer3Jan 14, 2010 → Apr 13, 2016
SD Samuel T. DeKinderDirector3Jan 14, 2010 → Apr 13, 2016
NS Niraj S. ShahExecutive Officer2Apr 7, 2017 → Apr 12, 2021
MS Matthew H. ScanlanDirector2Dec 20, 2017 → Apr 12, 2021
JB James J. BoyneDirector2Jul 5, 2018 → Apr 12, 2021
FL Francis Andrew Latuda, Jr.Executive Officer, Director2Jul 5, 2018 → Apr 12, 2021
MB Michael BertzDirector2Jul 5, 2018 → Apr 12, 2021
JB Jena BjornsonExecutive Officer2Jul 1, 2019 → Apr 12, 2021
KC Kennedy Capital Management, Inc. entityExecutive Officer, Director2Sep 20, 2013 → Apr 2, 2020
KW Kimberly D. WoodExecutive Officer, Director2Apr 7, 2017 → Dec 20, 2017
JB Jean BarnardDirector1Jul 8, 2020 → Apr 12, 2021
CB Craig A. BrannamExecutive Officer1Jul 5, 2018 → Jul 5, 2018
JB James J. BoyceDirector1Dec 20, 2017 → Dec 20, 2017
PR Patricia A. RowDirector1Jan 14, 2010 → Jan 14, 2010

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); 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)

KENNEDY CAPITAL MANAGEMENT — SEC-registered investment adviser · SEC registration status as reported: “Approved” since Jul 17, 1980 · SEC file 801-15323 · Main office: ST LOUIS, MO · IAPD record ↗ · Form ADV filing (PDF) ↗

Regulatory assets under management: $5,019,213,881 as reported on Form ADV filed May 21, 2026 (Item 5.F(2)(c)) · 213 accounts (Item 5.F(2)(f))

Websites listed on Form ADV (Item 1.I): WWW.KENNEDYCAPITAL.COM/ESG-MUTUAL-FUND ↗

Item 11 disclosure questions as answered on Form ADV filed May 21, 2026: 0 of 24 answered “Yes”
  • No — Form ADV Item 11 asks: “Do any of the events below involve you or any of your supervised persons?”
  • No — Form ADV Item 11A(1) asks: “A. In the past ten years, have you or any advisory affiliate: (1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to any felony?”
  • No — Form ADV Item 11A(2) asks: “A. (2) been charged with any felony?”
  • No — Form ADV Item 11B(1) asks: “B. In the past ten years, have you or any advisory affiliate: (1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a misdemeanor involving: investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?”
  • No — Form ADV Item 11B(2) asks: “B. (2) been charged with a misdemeanor listed in Item 11.B(1)?”
  • No — Form ADV Item 11C(1) asks: “C. Has the SEC or the Commodity Futures Trading Commission (CFTC) ever: (1) found you or any advisory affiliate to have made a false statement or omission?”
  • No — Form ADV Item 11C(2) asks: “C. (2) found you or any advisory affiliate to have been involved in a violation of SEC or CFTC regulations or statutes?”
  • No — Form ADV Item 11C(3) asks: “C. (3) found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
  • No — Form ADV Item 11C(4) asks: “C. (4) entered an order against you or any advisory affiliate in connection with investment-related activity?”
  • No — Form ADV Item 11C(5) asks: “C. (5) imposed a civil money penalty on you or any advisory affiliate, or ordered you or any advisory affiliate to cease and desist from any activity?”
  • No — Form ADV Item 11D(1) asks: “D. Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: (1) ever found you or any advisory affiliate to have made a false statement or omission, or been dishonest, unfair, or unethical?”
  • No — Form ADV Item 11D(2) asks: “D. (2) ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?”
  • No — Form ADV Item 11D(3) asks: “D. (3) ever found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
  • No — Form ADV Item 11D(4) asks: “D. (4) in the past ten years, entered an order against you or any advisory affiliate in connection with an investment-related activity?”
  • No — Form ADV Item 11D(5) asks: “D. (5) ever denied, suspended, or revoked your or any advisory affiliate's registration or license, or otherwise prevented you or any advisory affiliate, by order, from associating with an investment-related business or restricted your or any advisory affiliate's activity?”
  • No — Form ADV Item 11E(1) asks: “E. Has any self-regulatory organization or commodities exchange ever: (1) found you or any advisory affiliate to have made a false statement or omission?”
  • No — Form ADV Item 11E(2) asks: “E. (2) found you or any advisory affiliate to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the SEC)?”
  • No — Form ADV Item 11E(3) asks: “E. (3) found you or any advisory affiliate to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
  • No — Form ADV Item 11E(4) asks: “E. (4) disciplined you or any advisory affiliate by expelling or suspending you or the advisory affiliate from membership, barring or suspending you or the advisory affiliate from association with other members, or otherwise restricting your or the advisory affiliate's activities?”
  • No — Form ADV Item 11F asks: “F. Has an authorization to act as an attorney, accountant, or federal contractor granted to you or any advisory affiliate ever been revoked or suspended?”
  • No — Form ADV Item 11G asks: “G. Are you or any advisory affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of Item 11.C., 11.D., or 11.E.?”
  • No — Form ADV Item 11H(1)(a) asks: “H. (1) Has any domestic or foreign court: (a) in the past ten years, enjoined you or any advisory affiliate in connection with any investment-related activity?”
  • No — Form ADV Item 11H(1)(b) asks: “H. (1)(b) ever found that you or any advisory affiliate were involved in a violation of investment-related statutes or regulations?”
  • No — Form ADV Item 11H(1)(c) asks: “H. (1)(c) ever dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or any advisory affiliate by a state or foreign financial regulatory authority?”
  • No — Form ADV Item 11H(2) asks: “H. (2) Are you or any advisory affiliate now the subject of any civil proceeding that could result in a "yes" answer to any part of Item 11.H(1)?”

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

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

Meta advertising

No Meta Pixel ids or Facebook / Instagram page links on file for Kennedy 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 Kennedy's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #216,997 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓

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Social and web

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Courts

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Securities regulators

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

Business registries

Missouri Secretary of State business search ↗OpenCorporates ↗