PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:01 AM ET

Sponsor Check › Sponsor group

N

Nicholas

One sponsor team, 10 deal companies · San Diego, CA

Grouped because: 8 shared people, 2 shared management entities, same business address (7 issuers), similar issuer names (8) (automatic match from the filings) · not the same sponsor?

10deal companies
$194.3Mreported sold
130investors
43Form D filings
2009–2026active
0new, last 12 mo
Follow this sponsor groupLook further ↓

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

Nicholas is a sponsor group of 10 issuers that PartnerFacts links to one sponsor (shared people, shared management entity, same business address, similar issuer names; automatic match from the filings), filing 43 Form D filings between Feb 2009 and Feb 2026.

What this means One team, 10 deal companies, about 17 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: $194.3M to 130 investors (latest filing per issuer). Industries as reported: Pooled Investment Fund (8), "Other" (2). Issuers are based in CA (10).

What this means $194.3M raised across the group, about $1.49M per investor. Amounts come from each company's latest Form D; they are what the sponsor reported, not audited figures.

Principal people: Catherine Nicholas (6 issuers, executive officer and promoter), Nicholas Investment Partners, L.L.C. (6 issuers, executive officer and promoter, entity), Arthur E. Nicholas (5 issuers, executive officer and promoter), Gregory Gleeson (5 issuers, executive officer and promoter, entity), Christopher Siriani (4 issuers, executive officer) and 29 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 Feb 12, 2026.

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

Adviser registration (Form ADV) on record: NICHOLAS INVESTMENT PARTNERS, L.P..

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) — 20 court cases matching the name, 2 bankruptcy cases matching the name listed in Key records below.

What this means 22 records came back, including 4 court cases 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 43 public filings for Nicholas and found 21 differences, 6 worth asking the sponsor about: Amount sold went down between filings; 6 offerings reported fewer investors on a later filing; 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 Nicholas has not run yet — it is joining a line of 45,225 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

20 cases: 4 open, 12 closed (disposition not in docket feed), 4 dismissed

Hollie v. Applied Data Finance, LLC open
District Court, M.D. Florida · No. 8:26-cv-00844 · Filed Mar 26, 2026 · Nature of suit: 480 Consumer Credit · Cause: 15:1681 Fair Credit Reporting Act
Role of Applied Data Finance, LLC: Defendant · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
exact company name; court in FL (not the issuer's state)
Washington v. Applied Data Finance, LLC open
District Court, M.D. Florida · No. 8:25-cv-02770 · Filed Oct 9, 2025 · Nature of suit: 480 Consumer Credit · Cause: 15:1681 Fair Credit Reporting Act
Role of Applied Data Finance, LLC: Defendant · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
exact company name; court in FL (not the issuer's state)
Ortiz Cardona v. Applied Data Finance, LLC open
District Court, M.D. Florida · No. 6:25-cv-01103 · Filed Jun 20, 2025
Role of Applied Data Finance, LLC: Defendant · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
exact company name; court in FL (not the issuer's state)
Martinez v. Applied Data Finance, LLC open
District Court, M.D. Florida · No. 8:25-cv-00984 · Filed Apr 18, 2025
Role of Applied Data Finance, LLC: Defendant · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
exact company name; court in FL (not the issuer's state)
Neto v. Applied Data Finance LLC closed
District Court, M.D. Florida · No. 8:25-cv-00553 · Filed Mar 7, 2025 · Closed Apr 29, 2025 · Nature of suit: 480 Consumer Credit · Cause: 15:1681 Fair Credit Reporting Act
Role of Applied Data Finance LLC: Defendant · Outcome: Terminated 2025-04-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; court in FL (not the issuer's state)
Shin v. Applied Data Finance, LLC closed
District Court, M.D. Florida · No. 8:24-cv-02728 · Filed Nov 22, 2024 · Closed Jan 14, 2025 · Nature of suit: 480 Consumer Credit · Cause: 28:1441 Notice of Removal - Fair Credit Reporti
Role of Applied Data Finance, LLC: Defendant · Outcome: Terminated 2025-01-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; court in FL (not the issuer's state)
FOSTER v. APPLIED DATA FINANCE, LLC d/b/a PERSONIFY FINANCIAL closed
District Court, S.D. Indiana · No. 1:24-cv-01009 · Filed Jun 13, 2024 · Closed Aug 26, 2024
Role of FOSTER v. APPLIED DATA FINANCE, LLC d/b/a PERSONIFY FINANCIAL: Party · Outcome: Terminated 2024-08-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in IN (not the issuer's state)
MULLINS v. APPLIED DATA FINANCE, LLC d/b/a PERSONIFY FINANCIAL closed
District Court, S.D. Indiana · No. 1:23-cv-01646 · Filed Sep 12, 2023 · Closed Nov 14, 2023
Role of MULLINS v. APPLIED DATA FINANCE, LLC d/b/a PERSONIFY FINANCIAL: Party · Outcome: Terminated 2023-11-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in IN (not the issuer's state)
Nugent v. Applied Data Finance LLC closed
District Court, D. Minnesota · No. 0:22-cv-02600 · Filed Oct 18, 2022 · Closed Jun 2, 2023
Role of Applied Data Finance LLC: Defendant · Outcome: Terminated 2023-06-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; court in MN (not the issuer's state)
Milam v. Applied Data Finance, LLC closed
District Court, M.D. Florida · No. 8:22-cv-01599 · Filed Jul 14, 2022 · Closed Oct 4, 2022 · Nature of suit: Racketeer/Corrupt Organization · Cause: 18:1961 Racketeering (RICO) Act
Role of Applied Data Finance, LLC: Defendant · Outcome: Terminated 2022-10-04 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; court in FL (not the issuer's state)
Applied Data Finance, LLC v. Does 1- 50 closed
District Court, S.D. California · No. 3:22-cv-00952 · Filed Jun 28, 2022 · Closed Oct 21, 2022
Role of Applied Data Finance, LLC: Plaintiff · Outcome: Terminated 2022-10-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; court in the issuer's state (CA)
Martinez v. Applied Data Finance, LLC closed
District Court, M.D. Florida · No. 8:22-cv-01085 · Filed May 10, 2022 · Closed Oct 3, 2022 · Nature of suit: Racketeer/Corrupt Organization · Cause: 18:1961 Racketeering (RICO) Act
Role of Applied Data Finance, LLC: Defendant · Outcome: Terminated 2022-10-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; court in FL (not the issuer's state)
Pickett v. Applied Data Finance, LLC closed
District Court, M.D. Florida · No. 8:21-cv-02835 · Filed Dec 6, 2021 · Closed Mar 25, 2022 · Nature of suit: 470 Racketeer/Corrupt Organization · Cause: 18:1961 Racketeering (RICO) Act
Role of Applied Data Finance, LLC: Defendant · Outcome: Terminated 2022-03-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; court in FL (not the issuer's state)
WOODS, JR. v. APPLIED DATA FINANCE LLC D/B/A PERSONIFY FINANCIAL closed
District Court, S.D. Indiana · No. 1:21-cv-02885 · Filed Nov 19, 2021 · Closed Mar 3, 2022
Role of WOODS, JR. v. APPLIED DATA FINANCE LLC D/B/A PERSONIFY FINANCIAL: Party · Outcome: Terminated 2022-03-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in IN (not the issuer's state)
Emery v. Applied Data Finance, LLC closed
District Court, M.D. Florida · No. 6:21-cv-01728 · Filed Oct 18, 2021 · Closed Nov 10, 2021
Role of Applied Data Finance, LLC: Defendant · Outcome: Terminated 2021-11-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; court in FL (not the issuer's state)
Gray v. Applied Data Finance, LLC closed
District Court, N.D. California · No. 3:21-cv-04742 · Filed Jun 22, 2021 · Closed Jun 30, 2022 · Nature of suit: Telephone Consumer Protection Act (TCPA) · Cause: 47:227 Restrictions of Use of Telephone Equipment
Role of Applied Data Finance, LLC: Defendant · Outcome: Terminated 2022-06-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; court in the issuer's state (CA)
Derosier v. Applied Data Finance, LLC dismissed
District Court, S.D. Florida · No. 0:20-cv-61299 · Filed Jun 30, 2020 · Closed Jul 27, 2020 · Nature of suit: 370 Other fraud · Cause: 28:1332 Diversity
Role of Applied Data Finance, LLC: Defendant · Outcome: Terminated 2020-07-27 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; court in FL (not the issuer's state)
Mullen v. Applied Data Finance, LLC dismissed
District Court, M.D. Florida · No. 5:20-cv-00082 · Filed Feb 28, 2020 · Closed May 8, 2020 · Nature of suit: 480 Consumer Credit · Cause: Restrictions on Use of Telephone Equipment
Role of Applied Data Finance, LLC: Defendant · Outcome: Terminated 2020-05-08 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; court in FL (not the issuer's state)
Jason Alan v. Applied Data Finance, LLC dismissed
District Court, C.D. California · No. 2:19-cv-01126 · Filed Feb 14, 2019 · Closed May 28, 2019 · Nature of suit: 480 Consumer Credit · Cause: 28:1441 Notice of Removal - Fair Credit Reporting Act
Role of Applied Data Finance, LLC: Defendant · Outcome: Terminated 2019-05-28 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
exact company name; court in the issuer's state (CA)
Cook v. Applied Data Finance, LLC dismissed
District Court, N.D. Illinois · No. 1:18-cv-00022 · Filed Jan 2, 2018 · Closed Apr 12, 2018 · Nature of suit: 480 Consumer Credit · Cause: 15:1692 Fair Debt Collection Act
Role of Applied Data Finance, LLC: Defendant · Outcome: Terminated 2018-04-12 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
exact company name; court in IL (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 Nicholas..

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

2 cases: 2 closed (disposition not in docket feed)

Jackson v. Applied Data Finance, LLC d/b/a Personify Financia closed
United States Bankruptcy Court, N.D. Alabama · No. 21-80013 · Filed Feb 3, 2021 · Closed Sep 17, 2021
Role of Jackson v. Applied Data Finance, LLC d/b/a Personify Financia: Party · Outcome: Case closed 2021-09-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in AL (not the issuer's state)
Nicholas,Inc. closed matched at sponsor-group level (Nicholas)
United States Bankruptcy Court, D. New Jersey · No. 84-900 · Filed Feb 23, 1984 · Closed Jun 18, 1993
Role of Nicholas,Inc.: Debtor · Outcome: Case closed 1993-06-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in NJ (not the issuer's state); filed 1984, issuer incorporated 2006
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.

21 differences found between the filings for Nicholas — 6 worth asking about (compared 43 filings on Oct 24, 2026)

Note · Jul 27, 1987 – Aug 12, 1996

Bankruptcy case: Northwestern National Ins. v. Siriani — filed Jul 27, 1987

United States Bankruptcy Court, N.D. California docket "Northwestern National Ins. v. Siriani" filed Jul 27, 1987, closed Aug 12, 1996. Christopher Siriani (listed on the same filings) is listed as Defendant ("Siriani"). Our match estimate: 70%.

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

Docket · United States Bankruptcy Court, N.D. California ↗Christopher Siriani — PartnerFacts page ↗
Sources
Worth asking · Mar 29, 2018 – Feb 22, 2019

Amount sold went down between filings — PRONGHORN FF&E LP

The Mar 29, 2018 filing says $121,066,222 sold; the Feb 22, 2019 Form D/A says $51,230,353 sold — $69,835,869 less.

What this means Amounts sold normally only go up as a raise continues. A drop can mean investors were refunded, a figure was corrected, or an earlier number was wrong. Ask the sponsor which it was.

Form D/A (earlier) · Mar 29, 2018 ↗Form D/A (later) · Feb 22, 2019 ↗PRONGHORN FF&E LP — PartnerFacts page ↗
Sources
Worth asking · Mar 29, 2018 – Feb 22, 2019

Amount sold went down between filings — NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LP

The Mar 29, 2018 filing says $15,254,123 sold; the Feb 22, 2019 Form D/A says $9,911,435 sold — $5,342,688 less.

What this means Amounts sold normally only go up as a raise continues. A drop can mean investors were refunded, a figure was corrected, or an earlier number was wrong. Ask the sponsor which it was.

Form D/A (earlier) · Mar 29, 2018 ↗Form D/A (later) · Feb 22, 2019 ↗NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LP — PartnerFacts page ↗
Sources
Worth asking · May 4, 2012 – Feb 12, 2024

6 offerings reported fewer investors on a later filing

Investor count went down between filings — PRONGHORN FF&E LP · Investor count went down between filings — NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LP · Investor count went down between filings — NicTech L.P. · Investor count went down between filings — PRONGHORN FF&E LP · Investor count went down between filings — NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LP · and 1 more

What this means Investor counts normally only grow. Ask the sponsor what happened on each.

Form D/A (earlier) · Feb 10, 2023 ↗Form D/A (later) · Feb 12, 2024 ↗PRONGHORN FF&E LP — PartnerFacts page ↗Form D/A (earlier) · Feb 10, 2023 ↗
Sources
Worth asking · Dec 15, 2009 – Jul 27, 2018

Nicholas includes 4 deals that stopped filing before reaching their target

Applied Data Finance, LLC (last filing Jul 27, 2018; $30,823,369 sold of $70,284,281); NICHOLAS INVESTMENT PARTNERS SMALL CAP FUND LP (last filing Dec 16, 2009; $0 sold of $500,000,000); NICHOLAS INVESTMENT PARTNERS GROWTH EQUITY FUND LP (last filing Dec 15, 2009; $0 sold of $500,000,000); NICHOLAS INVESTMENT PARTNERS MICRO CAP FUND LP (last filing Dec 15, 2009; $0 sold of $500,000,000). Each has no filing in more than two years and reported under half its target sold.

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

Applied Data Finance, LLC — PartnerFacts page ↗NICHOLAS INVESTMENT PARTNERS SMALL CAP FUND LP — PartnerFacts page ↗NICHOLAS INVESTMENT PARTNERS GROWTH EQUITY FUND LP — PartnerFacts page ↗NICHOLAS INVESTMENT PARTNERS MICRO CAP FUND LP — PartnerFacts page ↗
Sources
Worth asking · May 1, 2008 – Feb 23, 2021

4 Form Ds were filed more than 15 days after the first sale

Form D filed 261 days after the first sale — Applied Data Finance, LLC · Form D filed 284 days after the first sale — FREEMAN ASSOCIATES LARGE CAP VALUE FUND I, L.P. · Form D filed 53 days after the first sale — NicTech L.P. · Form D filed 59 days after the first sale — Applied Data Finance, LLC

What this means Late notices are common and carry no penalty by themselves. A pattern of late paperwork is worth asking the sponsor about.

Form D · Dec 9, 2015 ↗Applied Data Finance, LLC — PartnerFacts page ↗Form D · Feb 9, 2009 ↗FREEMAN ASSOCIATES LARGE CAP VALUE FUND I, L.P. — PartnerFacts page ↗
Sources
Note · May 1, 2008 – Jul 27, 2018

4 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 — Applied Data Finance, LLC (latest filing Jul 27, 2018) · No amendment in the last 12 months on an offering that may still be open — Applied Data Finance, LLC (latest filing Jun 26, 2017) · No amendment in the last 12 months on an offering that may still be open — Global Analytics Holdings, Inc. (latest filing Nov 12, 2009) · No amendment in the last 12 months on an offering that may still be open — FREEMAN ASSOCIATES LARGE CAP VALUE FUND I, L.P. (latest filing Feb 9, 2009)

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 · Jul 27, 2018 ↗Applied Data Finance, LLC — PartnerFacts page ↗Form D · Jun 26, 2017 ↗Form D · Nov 12, 2009 ↗
Sources
Worth asking · Apr 6, 2011 – Feb 12, 2026

8 people are no longer listed on a later amendment

Christopher Siriani is no longer listed on the Feb 12, 2026 amendment — NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LP · Lisa Wheatley is no longer listed on the Feb 12, 2024 amendment — PRONGHORN FF&E LP · Christopher Sirani is no longer listed on the Feb 23, 2022 amendment — PRONGHORN FF&E LP · Christopher Sirani is no longer listed on the Feb 23, 2022 amendment — NicTech L.P. · Arthur E. Nicholas is no longer listed on the Feb 22, 2019 amendment — PRONGHORN FF&E LP · and 3 more

What this means People leave; the issuer lists only current officers, directors and promoters. Ask why and who replaced them.

Form D/A · Feb 12, 2025 ↗Form D/A · Feb 12, 2026 ↗Christopher Siriani — PartnerFacts page ↗NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LP — PartnerFacts page ↗
Sources
Note · Apr 6, 2011 – May 4, 2012

6 role changes for the same people across filings

Catherine Nicholas's role changed at NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LP: executive officer, promoter → executive officer · Catherine Nicholas's role changed at PRONGHORN FF&E LP: executive officer, promoter → executive officer · Arthur E. Nicholas's role changed at NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LP: executive officer, promoter → executive officer · Arthur E. Nicholas's role changed at PRONGHORN FF&E LP: executive officer, promoter → executive officer · Nicholas Investment Partners, L.L.C.'s role changed at NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LP: executive officer, promoter → executive officer · and 1 more

What this means Roles on Form D are self-reported. Ask who runs the company today.

Form D/A · Apr 6, 2011 ↗Form D/A · May 4, 2012 ↗Catherine Nicholas — PartnerFacts page ↗NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LP — PartnerFacts page ↗
Sources
Note · Mar 29, 2018 – Feb 22, 2019

Offering amount changed between filings — PRONGHORN FF&E LP

The Mar 29, 2018 filing says $500,000,000 offered; the Feb 22, 2019 Form D/A says an indefinite amount.

What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.

Form D/A (earlier) · Mar 29, 2018 ↗Form D/A (later) · Feb 22, 2019 ↗PRONGHORN FF&E LP — PartnerFacts page ↗
Sources
Note · Mar 29, 2018 – Feb 22, 2019

Offering amount changed between filings — NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LP

The Mar 29, 2018 filing says $500,000,000 offered; the Feb 22, 2019 Form D/A says an indefinite amount.

What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.

Form D/A (earlier) · Mar 29, 2018 ↗Form D/A (later) · Feb 22, 2019 ↗NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LP — PartnerFacts page ↗
Sources
Note · Mar 29, 2018 – Feb 22, 2019

Minimum investment changed between filings — PRONGHORN FF&E LP

The Mar 29, 2018 filing lists a minimum of $50,000; the Feb 22, 2019 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 29, 2018 ↗Form D/A (later) · Feb 22, 2019 ↗PRONGHORN FF&E LP — PartnerFacts page ↗
Sources
Note · Mar 29, 2018 – Feb 22, 2019

Minimum investment changed between filings — NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LP

The Mar 29, 2018 filing lists a minimum of $1,000,000; the Feb 22, 2019 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 29, 2018 ↗Form D/A (later) · Feb 22, 2019 ↗NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LP — PartnerFacts page ↗
Sources
Note · Dec 15, 2009 – Feb 22, 2019

Catherine Nicholas is written 2 different ways on the filings

listed as "Catherine C. Nicholas" on 14 filings (from Dec 15, 2009), and "Catherine Nicholas" on 22 filings (from Feb 22, 2019).

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/A · Dec 15, 2009 ↗Form D/A · Feb 22, 2019 ↗Catherine Nicholas — PartnerFacts page ↗
Sources
Note · Dec 15, 2009 – Feb 22, 2019

Nicholas Investment Partners, L.L.C. is written 2 different ways on the filings

listed as "Nicholas Investment Partners, L.P." on 27 filings (from Dec 15, 2009), and "Nicholas Investment Partners, L.L.C." on 9 filings (from Feb 22, 2019).

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/A · Dec 15, 2009 ↗Form D/A · Feb 22, 2019 ↗Nicholas Investment Partners, L.L.C. — PartnerFacts page ↗
Sources
Note · Feb 9, 2009 – Jul 30, 2009

John Freeman is written 2 different ways on the filings

listed as "John D Freeman" on the Feb 9, 2009 filing, and "John Freeman" on the Jul 30, 2009 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 · Feb 9, 2009 ↗Form D · Jul 30, 2009 ↗John Freeman — PartnerFacts page ↗
Sources
Note · Dec 9, 2015 – Jul 27, 2018

Industry group changed between filings — Applied Data Finance, LLC

"Other Banking and Financial Services" (Dec 9, 2015 to Jun 26, 2017); then "Other" (Jul 27, 2018).

What this means The issuer described its business differently on different forms. Often it is just a different box ticked; sometimes the deal itself changed. Ask which business your money is in.

Form D · Dec 9, 2015 ↗Form D · Jul 27, 2018 ↗Applied Data Finance, LLC — PartnerFacts page ↗
Sources
Note · Mar 29, 2018 – Feb 12, 2026

5 address changes between filings

Address moved from Rancho Santa Fe, CA to San Diego, CA — PRONGHORN FF&E LP · Address moved from Rancho Santa Fe, CA to San Diego, CA — NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LP · Address moved from Rancho Santa Fe, CA to San Diego, CA — NicTech L.P. · Address moved from Rancho Sante Fe, CA to Rancho Santa Fe, CA — PRONGHORN FF&E LP · Address moved from Rancho Sante Fe, CA to Rancho Santa Fe, CA — NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LP

What this means Businesses move. If you were told one city and the forms say another, ask which is current.

Form D/A · Feb 12, 2025 ↗Form D/A · Feb 12, 2026 ↗PRONGHORN FF&E LP — PartnerFacts page ↗Form D/A · Feb 12, 2025 ↗
Sources
Note · Feb 9, 2009 – Feb 12, 2026

Member companies were formed in 2 different states

Delaware (9), De (1) — out of 10 member issuers. The odd ones out: FREEMAN ASSOCIATES LARGE CAP VALUE FUND I, L.P. (De).

What this means Sponsors often form each deal company in Delaware or Wyoming no matter where the property is. A mix is common; it just tells you which state's rules each company lives under.

Nicholas — sponsor group page ↗FREEMAN ASSOCIATES LARGE CAP VALUE FUND I, L.P. — PartnerFacts page ↗
Sources
Note · Nov 12, 2009

Issuer used a different name before — Global Analytics Holdings, Inc.

SEC records list prior names for this filer: Global Analytics Holding, Inc.. The current name on file is "Global Analytics Holdings, 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 ↗Global Analytics Holdings, Inc. — PartnerFacts page ↗
Sources
Note · Feb 9, 2009

Issuer used a different name before — FREEMAN ASSOCIATES LARGE CAP VALUE FUND I, L.P.

SEC records list prior names for this filer: FREEMAN ASSOCIATES LARGE CAP FAIR VALUE FUND I, L.P.. The current name on file is "FREEMAN ASSOCIATES LARGE CAP VALUE FUND I, 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 ↗FREEMAN ASSOCIATES LARGE CAP VALUE FUND I, 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

0 of 13 offerings report sales commissions; 0 report finder's fees; 1 reports proceeds to related persons totalling $700,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Feb 12, 2026 D/A
NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LP
File 021-125751
$0$0$0 (est.)
None, although the general partner of the issuer receives investment management fees.
None listed on this filingEDGAR ↗
Feb 12, 2026 D/A
PRONGHORN FF&E LP
File 021-89916
$0$0$0 (est.)
None, although the general partner of the issuer receives investment management fees.
None listed on this filingEDGAR ↗
Feb 12, 2026 D/A
NicTech L.P.
File 021-390229
$0$0$0 (est.)
Nicholas Investment Partners, L.P. receives up to .75% on an annual basis of the net asset value of the Issuer and a special profit allocation.
None listed on this filingEDGAR ↗
Jul 27, 2018 D
Applied Data Finance, LLC
File 021-317853
$0$0$0None listed on this filingEDGAR ↗
Jun 26, 2017 D
Applied Data Finance, LLC
File 021-289429
$0$0$0 (est.)None listed on this filingEDGAR ↗
Apr 27, 2016 D
Applied Data Finance, LLC
File 021-262145
$0$0$0 (est.)None listed on this filingEDGAR ↗
Dec 9, 2015 D
Applied Data Finance, LLC
File 021-252710
$0$0$0None listed on this filingEDGAR ↗
Dec 16, 2009 D/A
NICHOLAS INVESTMENT PARTNERS SMALL CAP FUND LP
File 021-122611
$0 (est.)$0 (est.)$0 (est.)
None, although the general partner of the issuer receives investment management fees and a special profit allocation.
None listed on this filingEDGAR ↗
Dec 15, 2009 D/A
NICHOLAS INVESTMENT PARTNERS MICRO CAP FUND LP
File 021-122610
$0 (est.)$0 (est.)$0 (est.)
None, although the general partner of the issuer receives investment management fees and a special profit allocation.
None listed on this filingEDGAR ↗
Dec 15, 2009 D/A
NICHOLAS INVESTMENT PARTNERS GROWTH EQUITY FUND LP
File 021-122609
$0 (est.)$0 (est.)$0 (est.)
None, although the general partner of the issuer receives investment management fees and a special profit allocation.
None listed on this filingEDGAR ↗
Nov 12, 2009 D
Global Analytics Holdings, Inc.
File 021-136070
$0$0$700,000 (est.)
Executive officers and directors who are employees or consultants may be compensated for such services in whole or in part from the proceeds of the offering.
None listed on this filingEDGAR ↗
Jul 30, 2009 D
FREEMAN FAIR VALUE FUND II LP
File 021-104345
$0$0$0 (est.)
Customary advisory fees are paid by the Issuer to the General Partner as provided for in the issuer's offering materials.
None listed on this filingEDGAR ↗
Feb 9, 2009 D
FREEMAN ASSOCIATES LARGE CAP VALUE FUND I, L.P.
File 021-126730
$0$0$0
Customary advisory fees are paid by the issuer to the general partner/managing member/investment manager (as applicable), as provided for in the issuer's offering materials.
None listed on this filingEDGAR ↗
How this is counted

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

Counted across all 10 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, 9:34 AM ET · NYC and Cook County lookup still to run

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

Not found in sources searched as of Oct 24, 2026, 9:34 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 ↗FA FREEMAN ASSOCIATES LARGE CAP VALUE FUND I, L.P.shared people, same business address, similar issuer namesSAN DIEGO, CAPooled Investment Fund1$10,642,6731No minimum reported2009–2009
EDGAR ↗FF FREEMAN FAIR VALUE FUND II LPshared people, same business address, similar issuer namesSAN DIEGO, CAPooled Investment Fund1$00No minimum reported2009–2009
EDGAR ↗GA Global Analytics Holdings, Inc.shared peopleSAN DIEGO, CAOther1$10,000,00013No minimum reported2009–2009
EDGAR ↗NI NICHOLAS INVESTMENT PARTNERS MICRO CAP FUND LPshared people, shared management entity, same business address, similar issuer namesRancho Sante Fe, CAPooled Investment Fund1$00$1,000,0002009–2009
EDGAR ↗NI NICHOLAS INVESTMENT PARTNERS GROWTH EQUITY FUND LPshared people, shared management entity, same business address, similar issuer namesRancho Sante Fe, CAPooled Investment Fund1$00$1,000,0002009–2009
EDGAR ↗NI NICHOLAS INVESTMENT PARTNERS SMALL CAP FUND LPshared people, shared management entity, similar issuer namesRANCHO SANTA FE, CAPooled Investment Fund1$00$1,000,0002009–2009
EDGAR ↗NI NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LPshared people, shared management entity, same business address, similar issuer namesSAN DIEGO, CAPooled Investment Fund14$15,254,123
offering Indefinite · similar: $155,000–$5,250,000
15
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2009–2026
EDGAR ↗PF PRONGHORN FF&E LPshared people, shared management entity, same business address, similar issuer namesSAN DIEGO, CAPooled Investment Fund13$121,066,222
offering Indefinite · similar: $155,000–$5,250,000
38
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2011–2026
EDGAR ↗AD Applied Data Finance, LLCshared peopleSAN DIEGO, CAOther4$30,823,369
offering $70,284,281 · similar: $500,000–$7,000,000
35
similar: 2–14
No minimum reported
similar: $5,000–$50,000
2015–2018
EDGAR ↗NL NicTech L.P.shared people, shared management entity, same business address, similar issuer namesSAN DIEGO, CAPooled Investment Fund6$47,399,523
offering Indefinite · similar: $155,000–$5,250,000
28
similar: 4–27
No minimum reported
similar: $1,000–$100,000
2021–2026

"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); Other / 506(b) (18,678 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 12, 2026PRONGHORN FF&E LPD/APooled Investment FundIndefinite$84,947,169
EDGAR ↗Feb 12, 2026NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LPD/APooled Investment FundIndefinite$10,451,484
EDGAR ↗Feb 12, 2026NicTech L.P.D/APooled Investment FundIndefinite$47,399,523
EDGAR ↗Feb 12, 2025PRONGHORN FF&E LPD/APooled Investment FundIndefinite$81,262,444
EDGAR ↗Feb 12, 2025NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LPD/APooled Investment FundIndefinite$10,451,484
EDGAR ↗Feb 12, 2025NicTech L.P.D/APooled Investment FundIndefinite$45,824,523
EDGAR ↗Feb 12, 2024NicTech L.P.D/APooled Investment FundIndefinite$43,861,535
EDGAR ↗Feb 12, 2024PRONGHORN FF&E LPD/APooled Investment FundIndefinite$81,262,444
EDGAR ↗Feb 12, 2024NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LPD/APooled Investment FundIndefinite$10,451,484
EDGAR ↗Feb 10, 2023PRONGHORN FF&E LPD/APooled Investment FundIndefinite$80,512,444
EDGAR ↗Feb 10, 2023NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LPD/APooled Investment FundIndefinite$10,451,484
EDGAR ↗Feb 10, 2023NicTech L.P.D/APooled Investment FundIndefinite$40,461,535
EDGAR ↗Feb 23, 2022NicTech L.P.D/APooled Investment FundIndefinite$20,895,441
EDGAR ↗Feb 23, 2022PRONGHORN FF&E LPD/APooled Investment FundIndefinite$80,284,470
EDGAR ↗Feb 23, 2022NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LPD/APooled Investment FundIndefinite$10,451,484
EDGAR ↗Feb 23, 2021NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LPD/APooled Investment FundIndefinite$10,451,484
EDGAR ↗Feb 23, 2021PRONGHORN FF&E LPD/APooled Investment FundIndefinite$78,284,470
EDGAR ↗Feb 23, 2021NicTech L.P.DPooled Investment FundIndefinite$17,705,441
EDGAR ↗Feb 24, 2020PRONGHORN FF&E LPD/APooled Investment FundIndefinite$54,895,353
EDGAR ↗Feb 24, 2020NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LPD/APooled Investment FundIndefinite$9,951,483
EDGAR ↗Feb 22, 2019NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LPD/APooled Investment FundIndefinite$9,911,435
EDGAR ↗Feb 22, 2019PRONGHORN FF&E LPD/APooled Investment FundIndefinite$51,230,353
EDGAR ↗Jul 27, 2018Applied Data Finance, LLCDOther$70,284,281$30,823,369
EDGAR ↗Mar 29, 2018NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LPD/APooled Investment Fund$500,000,000$15,254,123
EDGAR ↗Mar 29, 2018PRONGHORN FF&E LPD/APooled Investment Fund$500,000,000$121,066,222
EDGAR ↗Jun 26, 2017Applied Data Finance, LLCDOther Banking and Financial Services$12,000,000$6,661,578
EDGAR ↗Mar 29, 2017PRONGHORN FF&E LPD/APooled Investment Fund$500,000,000$94,628,775
EDGAR ↗Mar 29, 2017NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LPD/APooled Investment Fund$500,000,000$14,535,414
EDGAR ↗Apr 27, 2016Applied Data Finance, LLCDOther Banking and Financial Services$9,500,000$9,500,000
EDGAR ↗Dec 9, 2015Applied Data Finance, LLCDOther Banking and Financial Services$9,300,000$9,300,000
EDGAR ↗Apr 29, 2013NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LPD/APooled Investment Fund$500,000,000$9,092,643
EDGAR ↗Apr 29, 2013PRONGHORN FF&E LPD/APooled Investment Fund$500,000,000$63,317,148
EDGAR ↗May 4, 2012PRONGHORN FF&E LPD/APooled Investment Fund$500,000,000$63,119,748
EDGAR ↗May 4, 2012NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LPD/APooled Investment Fund$500,000,000$8,022,000
EDGAR ↗Apr 18, 2011PRONGHORN FF&E LPD/APooled Investment Fund$500,000,000$63,119,748
EDGAR ↗Apr 6, 2011NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LPD/APooled Investment Fund$500,000,000$6,442,000
EDGAR ↗Dec 21, 2009NICHOLAS INVESTMENT PARTNERS CONVERTIBLES FUND LPD/APooled Investment Fund$500,000,000$5,050,000
EDGAR ↗Dec 16, 2009NICHOLAS INVESTMENT PARTNERS SMALL CAP FUND LPD/APooled Investment Fund$500,000,000$0
EDGAR ↗Dec 15, 2009NICHOLAS INVESTMENT PARTNERS GROWTH EQUITY FUND LPD/APooled Investment Fund$500,000,000$0
EDGAR ↗Dec 15, 2009NICHOLAS INVESTMENT PARTNERS MICRO CAP FUND LPD/APooled Investment Fund$500,000,000$0
EDGAR ↗Nov 12, 2009Global Analytics Holdings, Inc.DOther$14,000,000$10,000,000
EDGAR ↗Jul 30, 2009FREEMAN FAIR VALUE FUND II LPDPooled Investment FundIndefinite$0
EDGAR ↗Feb 9, 2009FREEMAN ASSOCIATES LARGE CAP VALUE FUND I, L.P.DPooled Investment FundIndefinite$10,642,673

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 12, 2026. Industry history, as reported on each offering's latest filing: Previous offerings: Pooled Investment Fund (2009), Other (2009), Pooled Investment Fund (2009–2011), Other Banking and Financial Services (2015–2017), Other (2018). Latest offering: Pooled Investment Fund (Feb 23, 2021).

People across the group

NameRolesIssuers hereFirst → last listed
CN Catherine NicholasExecutive Officer, Promoter6Dec 15, 2009 → Feb 12, 2026
NI Nicholas Investment Partners, L.L.C. entityExecutive Officer, Promoter6Dec 15, 2009 → Feb 12, 2026
AN Arthur E. NicholasExecutive Officer, Promoter5Dec 15, 2009 → Mar 29, 2018
GG Gregory Gleeson entityExecutive Officer, Promoter5Dec 15, 2009 → Apr 18, 2011
CS Christopher SirianiExecutive Officer4Jul 30, 2009 → Feb 12, 2026
JW John WylieExecutive Officer3Feb 22, 2019 → Feb 12, 2026
CS Christopher SiraniExecutive Officer3Feb 22, 2019 → Feb 12, 2026
KG Krishna GopinathanExecutive Officer, Director2Nov 12, 2009 → Jul 27, 2018
MT Michael ThiemannDirector, Executive Officer2Jul 30, 2009 → Nov 12, 2009
JF John FreemanExecutive Officer, Director2Feb 9, 2009 → Jul 30, 2009
MG Monika GargExecutive Officer1Feb 23, 2021 → Feb 12, 2026
LW Lisa WheatleyExecutive Officer1Feb 22, 2019 → Feb 10, 2023
ES Eric SchwartzDirector1Dec 9, 2015 → Jul 27, 2018
DZ Daniel ZwirnExecutive Officer, Director1Dec 9, 2015 → Jul 27, 2018
BK Broud KuhnExecutive Officer1Apr 27, 2016 → Jul 27, 2018
GF Glen FreterExecutive Officer1Apr 27, 2016 → Jul 27, 2018
RB Richard J. BuoncoreDirector1Jul 27, 2018 → Jul 27, 2018
JC Jack CohenExecutive Officer1Jun 26, 2017 → Jun 26, 2017
PP Pranav PatelExecutive Officer1Jun 26, 2017 → Jun 26, 2017
DH Derek HigginbothamExecutive Officer1Jun 26, 2017 → Jun 26, 2017
MO Melissa OntiverosExecutive Officer1Jun 26, 2017 → Jun 26, 2017
DC Daniel ChelewExecutive Officer1Apr 27, 2016 → Apr 27, 2016
DC Dan ChelewExecutive Officer1Dec 9, 2015 → Dec 9, 2015
SG Sally GroenkeExecutive Officer1Nov 12, 2009 → Nov 12, 2009
LR Larry RosenbergerDirector1Nov 12, 2009 → Nov 12, 2009
PR Peter RipDirector1Nov 12, 2009 → Nov 12, 2009
PP Purna PatnaikExecutive Officer1Nov 12, 2009 → Nov 12, 2009
PJ Peter JohnsonExecutive Officer1Jul 30, 2009 → Jul 30, 2009
TM Timothy MayExecutive Officer1Jul 30, 2009 → Jul 30, 2009
TA Thomas AnichiniExecutive Officer1Jul 30, 2009 → Jul 30, 2009
RE Roger EvansDirector1Jul 30, 2009 → Jul 30, 2009
MH Maninder HunjanExecutive Officer, Director1Jul 30, 2009 → Jul 30, 2009
AV Audrey ViterbiDirector1Jul 30, 2009 → Jul 30, 2009
GG Geoff GoodmanExecutive Officer1Feb 9, 2009 → Feb 9, 2009

Business registration (state registry / Secretary of State)

None of the 10 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)

NICHOLAS INVESTMENT PARTNERS, L.P. — SEC-registered investment adviser · SEC registration status as reported: “Approved” since Apr 17, 2006 · SEC file 801-66532 · Main office: SAN DIEGO, CA · IAPD record ↗ · Form ADV filing (PDF) ↗

Regulatory assets under management: $1,450,892,122 as reported on Form ADV filed Jul 10, 2026 (Item 5.F(2)(c)) · 32 accounts (Item 5.F(2)(f))

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

Item 11 disclosure questions as answered on Form ADV filed Jul 10, 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 management entity listed on Form D = adviser name, business address on Form ADV = address on Form D · 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

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