Sponsor Check › Sponsor group
15 issuers linked to one sponsor · SAN FRANCISCO, CA
Grouped because: 11 shared people, 4 shared management entities, same business address (9 issuers), similar issuer names (10) · confidence 80% (automatic match from the filings) · Not the same sponsor? Request a correction
Data last updated: Oct 23, 2026, 5:45 PM ET · Latest filing in this group: Oct 22, 2026 · Courts (RECAP) last checked: not yet · SEC enforcement last checked: Oct 23, 2026, 9:51 PM ET
The five facts investors ask about first. Each section states what was searched and when. Items still in human review are not shown.
Not yet searched.
Sources to be searched: CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Search queued. Results are added automatically; check back later or follow this page to be notified.
State courts: not yet searched. No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.
SEC enforcement searched: SEC litigation releases + SEC administrative proceedings (sec.gov index, 1995-09-19 → 2026-10-23) — last checked Oct 23, 2026, 9:51 PM ET; State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states: not yet searched.
None found in sources searched.
Not yet searched.
Sources to be searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Search queued. Results are added automatically; check back later or follow this page to be notified.
State courts: not yet searched. No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.
No public statement by this sponsor group has been collected yet, so there is nothing to compare. Sources compared: the sponsor's own website (known only from an approved profile claim or its Form ADV) · SEC Form D · SEC Form ADV (IAPD) · Internet Archive · No website is on file for this sponsor group yet.
3 of 19 offerings report sales commissions totalling $18,750; 0 report finder's fees; 2 report proceeds to related persons totalling $4,327,500. (includes amounts the issuer reported as estimates)
| Source | Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it |
|---|---|---|---|---|---|
| EDGAR ↗ | Oct 22, 2026 D/A File 021-539955 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Oct 22, 2026 D/A File 021-539944 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Dec 22, 2025 D File 021-567731 | $6,250 | $0 | $0 | Charles B. Harrison BrokerCheck CRD 3071551 ↗ via H&L Equities, LLC (CRD 113794 ↗) Scott Harrison BrokerCheck CRD 4981070 ↗ via H&L Equities, LLC (CRD 113794 ↗) Patrick J. Whelchel BrokerCheck CRD 5389090 ↗ via H&L Equities, LLC (CRD 113794 ↗) Lori Mayfield BrokerCheck CRD 4899271 ↗ via H&L Equities, LLC (CRD 113794 ↗) |
| EDGAR ↗ | Apr 14, 2023 D File 021-478931 | $0 | $0 | $3,400,000 (est.) Estimated maximum annual management fee during the investment period based on aggregate commitments of $220,000,000 million. | None listed on this filing |
| EDGAR ↗ | Feb 3, 2020 D File 021-359638 | $6,250 | $0 | $0 | Charles B. Harrison BrokerCheck CRD 3071551 ↗ via H&L Equities, LLC (CRD 113794 ↗) Scott Harrison BrokerCheck CRD 4981070 ↗ via H&L Equities, LLC (CRD 113794 ↗) Patrick J. Whelchel BrokerCheck CRD 5389090 ↗ via H&L Equities, LLC (CRD 113794 ↗) Lori Mayfield BrokerCheck CRD 4899271 ↗ via H&L Equities, LLC (CRD 113794 ↗) Charles Mathes BrokerCheck CRD 5980160 ↗ via H&L Equities, LLC (CRD 113794 ↗) |
| EDGAR ↗ | Nov 5, 2019 D/A File 021-306788 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Feb 7, 2019 D File 021-332385 | $6,250 | $0 | $0 | Charles B. Harrison BrokerCheck CRD 3071551 ↗ via H & L Equities, LLC (CRD 113794 ↗) Scott Harrison BrokerCheck CRD 4981070 ↗ via H & L Equities, LLC (CRD 113794 ↗) Patrick J. Whelchel BrokerCheck CRD 5389090 ↗ via H & L Equities, LLC (CRD 113794 ↗) Lori Mayfield BrokerCheck CRD 4899271 ↗ via H & L Equities, LLC (CRD 113794 ↗) |
| EDGAR ↗ | Jun 28, 2018 D File 021-315722 | $0 | $0 | $0 | N/A no CRD number reported |
| EDGAR ↗ | Feb 22, 2018 D/A File 021-306050 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Feb 24, 2017 D/A File 021-241633 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Feb 24, 2017 D/A File 021-262202 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Feb 3, 2015 D File 021-233368 | $0 | $0 | $0 (est.) THE MANAGEMENT COMPANY RECEIVES A MANAGEMENT FEE AS DESCRIBED IN THE ISSUER'S OFFERING DOCUMENTS. | None listed on this filing |
| EDGAR ↗ | Dec 5, 2013 D/A File 021-120321 | $0 | $0 | $0 (est.) The Management Company receives a management fee as described in the Issuer's offering documents. | None listed on this filing |
| EDGAR ↗ | Dec 4, 2013 D File 021-207408 | $0 | $0 | $0 (est.) The Management Company receives a management fee as described in the Issuer's offering documents. | None listed on this filing |
| EDGAR ↗ | Jul 31, 2012 D/A File 021-120311 | $0 | $0 | $0 (est.) The Management Company receives a management fee as described in the Issuer's offering documents. | None listed on this filing |
| EDGAR ↗ | Jul 31, 2012 D/A File 021-171048 | $0 | $0 | $0 (est.) The Management Company receives a management fee as described in the Issuer's offering documents. | None listed on this filing |
| EDGAR ↗ | Jul 30, 2012 D/A File 021-120310 | $0 | $0 | $0 (est.) The Management Company receives a management fee as described in the Issuer's offering documents. | None listed on this filing |
| EDGAR ↗ | Mar 3, 2011 D File 021-156141 | $0 | $0 | $927,500 (est.) "Gross proceeds from the offering will be used to redeem certain shares of Common Stock in the Company owned by Rayco Entertainment, Inc. (""Rayco""). Janet Jensen, a director in the Company, is also the President and sole shareholder of Rayco." | None listed on this filing |
| EDGAR ↗ | Feb 10, 2010 D/A File 021-80387 | $0 | $0 | $0 | None listed on this filing |
As reported by the issuer on Form D (Items 12–15), latest filing per offering (one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.
Counted across all 15 issuers in this group — every filing in our index, latest filing per offering (SEC file number).
0 recorded documents and 0 ownership records matched to Rocky Mountain in the sources searched.
Not found in sources searched (no on-demand check has run yet): 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); Hillsborough County FL Clerk of Court Official Records daily index (publicrec.hillsclerk.com D/P/M files). 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 ownership, refreshed monthly); Hillsborough County FL (recorded documents from Oct 14, 2026 forward; ownership from FL DOR roll 2026); Cook County IL, Harris County TX, Dallas County TX (assessor ownership and deed/sale records only); Miami-Dade County FL (ownership from FL DOR roll only; Clerk recorded documents not yet searched). Recorder indexes for TX, AZ, IL and WA counties, mortgages and liens outside NYC and FL, lis pendens and foreclosure notices everywhere, Miami-Dade County FL recorded documents, Maricopa County AZ, King County WA, Salt Lake County UT, and all other counties are not yet searched. Last refresh: Oct 23, 2026, 11:00 PM ET. Sources searched: Hillsborough County FL Clerk of Court Official Records daily index (publicrec.hillsclerk.com D/P/M files), 2 daily files (Oct 14, 2026 to Oct 15, 2026) — loaded Oct 23, 2026, 8:59 PM ET · Florida DOR NAL roll (Hillsborough 39) roll year 2026 — loaded Oct 23, 2026, 8:54 PM ET · Florida DOR NAL roll (Dade 23) roll year 2026 — loaded Oct 23, 2026, 8:58 PM ET · Harris County Appraisal District real_acct.txt roll year 2026 — loaded Oct 23, 2026, 8:58 PM ET · Dallas Central Appraisal District ACCOUNT_INFO.CSV roll year 2026 — loaded Oct 23, 2026, 8:58 PM ET. Not yet searched for this group (queued): NYC ACRIS via NYC Open Data (Real Property Parties 636b-3b5g, Master bnx9-e6tj, Legals 8h5j-fqxa, Document Control Codes 7isb-wh4c) · NYC PLUTO ownership via NYC Open Data (64uk-42ks) · Cook County IL Assessor via Cook County Open Data (Parcel Sales wvhk-k5uv; Parcel Addresses 3723-97qp). Counterparties that are not business entities are shown as "an individual (name withheld)"; residential addresses are never shown. Items still in human review are not shown.
Why each issuer is here is stated in the "Linked by" column. Low-confidence links are never shown — they wait for human review.
| Issuer | Linked by | Location | Industry | Filings | Sold (max) | Investors | Min. investment (latest filing) | Active |
|---|---|---|---|---|---|---|---|---|
| ROCKY MOUNTAIN CAPITAL | shared people, similar issuer names | Rock Springs, WY | Other Banking and Financial Services | 2 | $9,232,730 offering $9,232,730 · similar: $2,144,500–$20,220,000 | 20 similar: 2–24 | No minimum reported similar: $10,000–$100,000 | 2009–2010 |
| ROCKY MOUNTAIN WEALTH CONCEPTS CREDIT ALPHA FUND, LP | shared people, similar issuer names | SAN FRANCISCO, CA | Pooled Investment Fund | 4 | $85,500,000 offering Indefinite · similar: $155,000–$5,250,000 | 35 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 | 2009–2013 |
| ROCKY MOUNTAIN WEALTH CONCEPTS ALTERNATIVE FUND, LP | shared people, similar issuer names | San Francisco, CA | Pooled Investment Fund | 3 | $31,650,000 offering $400,000,000 · similar: $155,000–$5,250,000 | 17 similar: 4–27 | $400,000 similar: $1,000–$100,000 | 2009–2012 |
| ROCKY MOUNTAIN WEALTH CONCEPTS HYBRID FUND, LP | shared people, similar issuer names | SAN FRANCISCO, CA | Pooled Investment Fund | 5 | $42,875,000 | 19 | $1,000,000 | 2009–2013 |
| Rocky Mountain Wealth Concepts Management, Inc. | shared people, similar issuer names | JACKSON, WY | Investing | 1 | $0 offering $927,500 · similar: $763,000–$10,000,000 | 0 similar: 4–23 | No minimum reported similar: $10,000–$78,388 | 2011–2011 |
| RMWC CREDIT ALPHA FUND, LP | shared people, same business address | PALO ALTO, CA | Pooled Investment Fund | 7 | $96,150,000 offering Indefinite · similar: $155,000–$5,250,000 | 44 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 | 2012–2018 |
| RMWC Direct Lending Fund, LP | shared people, shared management entity, same business address, similar issuer names | PALO ALTO, CA | Pooled Investment Fund | 2 | $59,075,000 offering $125,000,000 · similar: $155,000–$5,250,000 | 23 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 | 2015–2017 |
| RMWC Direct Lending Opportunities Fund III, LP | shared people, shared management entity, same business address, similar issuer names | PALO ALTO, CA | Pooled Investment Fund | 2 | $83,000,000 offering Indefinite · similar: $155,000–$5,250,000 | 51 similar: 4–27 | No minimum reported similar: $1,000–$100,000 | 2018–2019 |
| New Gables Capital Lending II, LLC | shared people | CORAL GABLES, FL | Other | 1 | $0 offering $50,000,000 · similar: $500,000–$7,000,000 | 0 similar: 2–14 | $500,000 similar: $5,000–$50,000 | 2018–2018 |
| Colson Canyon Partners, LLC | shared people, shared management entity, same business address | PALO ALTO, CA | Pooled Investment Fund | 1 | $125,000 offering $125,000 · similar: $155,000–$5,250,000 | 125 similar: 4–27 | $1,000 similar: $1,000–$100,000 | 2019–2019 |
| Ballard Canyon Partners, LLC | shared people, shared management entity, same business address | PALO ALTO, CA | Pooled Investment Fund | 1 | $125,000 offering $125,000 · similar: $155,000–$5,250,000 | 125 similar: 4–27 | $1,000 similar: $1,000–$100,000 | 2020–2020 |
| RMWC DIRECT LENDING OPPORTUNITIES FUND IV, LP | shared people, same business address, similar issuer names | NEW YORK, NY | Pooled Investment Fund | 1 | $220,000,000 offering Indefinite · similar: $155,000–$5,250,000 | 103 similar: 4–27 | $25,000 similar: $1,000–$100,000 | 2023–2023 |
| RMWC Real Estate Lending Fund V - Hybrid Evergreen, LP | shared people, shared management entity, same business address, similar issuer names | NEW YORK, NY | Pooled Investment Fund | 3 | $73,000,000 offering Indefinite · similar: $500,000–$16,420,250 | 81 similar: 2–28 | No minimum reported similar: $5,000–$100,000 | 2025–2026 |
| RMWC Real Estate Lending Fund V - Hybrid Evergreen Feeder, LP | shared people, shared management entity, same business address, similar issuer names | NEW YORK, NY | Pooled Investment Fund | 3 | $8,000,000 offering Indefinite · similar: $500,000–$16,420,250 | 7 similar: 2–28 | No minimum reported similar: $5,000–$100,000 | 2025–2026 |
| Platt Canyon Partners LLC | shared people, shared management entity, same business address | NEW YORK, NY | REITS and Finance | 1 | $125,000 offering Indefinite · similar: $125,000–$125,000 | 125 similar: 124–125 | $1,000 similar: $1,000–$1,000 | 2025–2025 |
"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years (6 industry/exemption sets on this page); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
| Source | Filed | Issuer | Form | Industry | Offered | Sold |
|---|---|---|---|---|---|---|
| EDGAR ↗ | Oct 22, 2026 | RMWC Real Estate Lending Fund V - Hybrid Evergreen Feeder, LP | D/A | Pooled Investment Fund | Indefinite | $8,000,000 |
| EDGAR ↗ | Oct 22, 2026 | RMWC Real Estate Lending Fund V - Hybrid Evergreen, LP | D/A | Pooled Investment Fund | Indefinite | $73,000,000 |
| EDGAR ↗ | Mar 17, 2026 | RMWC Real Estate Lending Fund V - Hybrid Evergreen Feeder, LP | D/A | Pooled Investment Fund | Indefinite | $1,400,000 |
| EDGAR ↗ | Mar 17, 2026 | RMWC Real Estate Lending Fund V - Hybrid Evergreen, LP | D/A | Pooled Investment Fund | Indefinite | $45,540,000 |
| EDGAR ↗ | Dec 22, 2025 | Platt Canyon Partners LLC | D | REITS and Finance | Indefinite | $125,000 |
| EDGAR ↗ | Mar 5, 2025 | RMWC Real Estate Lending Fund V - Hybrid Evergreen Feeder, LP | D | Pooled Investment Fund | Indefinite | $0 |
| EDGAR ↗ | Mar 5, 2025 | RMWC Real Estate Lending Fund V - Hybrid Evergreen, LP | D | Pooled Investment Fund | Indefinite | $0 |
| EDGAR ↗ | Apr 14, 2023 | RMWC DIRECT LENDING OPPORTUNITIES FUND IV, LP | D | Pooled Investment Fund | Indefinite | $220,000,000 |
| EDGAR ↗ | Feb 3, 2020 | Ballard Canyon Partners, LLC | D | Pooled Investment Fund | $125,000 | $125,000 |
| EDGAR ↗ | Nov 5, 2019 | RMWC Direct Lending Opportunities Fund III, LP | D/A | Pooled Investment Fund | Indefinite | $83,000,000 |
| EDGAR ↗ | Feb 7, 2019 | Colson Canyon Partners, LLC | D | Pooled Investment Fund | $125,000 | $125,000 |
| EDGAR ↗ | Jun 28, 2018 | New Gables Capital Lending II, LLC | D | Other | $50,000,000 | $0 |
| EDGAR ↗ | Mar 1, 2018 | RMWC Direct Lending Opportunities Fund III, LP | D | Pooled Investment Fund | Indefinite | $0 |
| EDGAR ↗ | Feb 22, 2018 | RMWC CREDIT ALPHA FUND, LP | D/A | Pooled Investment Fund | Indefinite | $96,150,000 |
| EDGAR ↗ | Feb 21, 2018 | RMWC CREDIT ALPHA FUND, LP | D | Pooled Investment Fund | Indefinite | $96,150,000 |
| EDGAR ↗ | Feb 24, 2017 | RMWC Direct Lending Fund, LP | D/A | Pooled Investment Fund | $125,000,000 | $59,075,000 |
| EDGAR ↗ | Feb 24, 2017 | RMWC CREDIT ALPHA FUND, LP | D/A | Pooled Investment Fund | Indefinite | $95,600,000 |
| EDGAR ↗ | Apr 28, 2016 | RMWC CREDIT ALPHA FUND, LP | D | Pooled Investment Fund | Indefinite | $95,600,000 |
| EDGAR ↗ | Jun 12, 2015 | RMWC Direct Lending Fund, LP | D | Pooled Investment Fund | $125,000,000 | $10,000,000 |
| EDGAR ↗ | Feb 3, 2015 | RMWC CREDIT ALPHA FUND, LP | D | Pooled Investment Fund | Indefinite | $90,000,000 |
| EDGAR ↗ | Dec 5, 2013 | ROCKY MOUNTAIN WEALTH CONCEPTS CREDIT ALPHA FUND, LP | D/A | Pooled Investment Fund | Indefinite | $85,500,000 |
| EDGAR ↗ | Dec 4, 2013 | ROCKY MOUNTAIN WEALTH CONCEPTS HYBRID FUND, LP | D | Pooled Investment Fund | Indefinite | $35,000,000 |
| EDGAR ↗ | Jul 31, 2012 | RMWC CREDIT ALPHA FUND, LP | D/A | Pooled Investment Fund | $1,000,000,000 | $2,935,000 |
| EDGAR ↗ | Jul 31, 2012 | ROCKY MOUNTAIN WEALTH CONCEPTS ALTERNATIVE FUND, LP | D/A | Pooled Investment Fund | $400,000,000 | $25,522,435 |
| EDGAR ↗ | Jul 31, 2012 | ROCKY MOUNTAIN WEALTH CONCEPTS CREDIT ALPHA FUND, LP | D/A | Pooled Investment Fund | $400,000,000 | $75,877,578 |
| EDGAR ↗ | Jul 30, 2012 | ROCKY MOUNTAIN WEALTH CONCEPTS HYBRID FUND, LP | D/A | Pooled Investment Fund | $1,000,000,000 | $33,005,410 |
| EDGAR ↗ | Jan 3, 2012 | RMWC CREDIT ALPHA FUND, LP | D | Pooled Investment Fund | $1,000,000,000 | $2,900,000 |
| EDGAR ↗ | Jul 7, 2011 | ROCKY MOUNTAIN WEALTH CONCEPTS HYBRID FUND, LP | D/A | Pooled Investment Fund | $1,000,000,000 | $42,875,000 |
| EDGAR ↗ | Mar 3, 2011 | Rocky Mountain Wealth Concepts Management, Inc. | D | Investing | $927,500 | $0 |
| EDGAR ↗ | Jul 8, 2010 | ROCKY MOUNTAIN WEALTH CONCEPTS HYBRID FUND, LP | D/A | Pooled Investment Fund | $1,000,000,000 | $39,450,000 |
| EDGAR ↗ | Jul 8, 2010 | ROCKY MOUNTAIN WEALTH CONCEPTS ALTERNATIVE FUND, LP | D/A | Pooled Investment Fund | $400,000,000 | $31,650,000 |
| EDGAR ↗ | Jul 8, 2010 | ROCKY MOUNTAIN WEALTH CONCEPTS CREDIT ALPHA FUND, LP | D/A | Pooled Investment Fund | $400,000,000 | $54,100,000 |
| EDGAR ↗ | Feb 10, 2010 | ROCKY MOUNTAIN CAPITAL | D/A | Other Banking and Financial Services | $9,232,730 | $9,232,730 |
| EDGAR ↗ | Jul 17, 2009 | ROCKY MOUNTAIN WEALTH CONCEPTS CREDIT ALPHA FUND, LP | D/A | Pooled Investment Fund | $400,000,000 | $35,600,000 |
| EDGAR ↗ | Jul 17, 2009 | ROCKY MOUNTAIN WEALTH CONCEPTS ALTERNATIVE FUND, LP | D/A | Pooled Investment Fund | $400,000,000 | $22,350,000 |
| EDGAR ↗ | Jul 17, 2009 | ROCKY MOUNTAIN WEALTH CONCEPTS HYBRID FUND, LP | D/A | Pooled Investment Fund | $1,000,000,000 | $11,000,000 |
| EDGAR ↗ | Jun 23, 2009 | ROCKY MOUNTAIN CAPITAL | D | Other Banking and Financial Services | $3,100,000 | $2,838,980 |
Activity: 1 new offering 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 Oct 22, 2026. Industry history, as reported on each offering's latest filing: Previous offerings: Other Banking and Financial Services (2009), Pooled Investment Fund (2009), Investing (2011), Pooled Investment Fund (2012–2018), Other (2018), Pooled Investment Fund (2019–2025). Latest offering: REITS and Finance (Dec 22, 2025).
| Name | Roles | Issuers here | First → last listed |
|---|---|---|---|
| Coleman Andrews | Executive Officer, Director, Promoter | 12 | Jun 23, 2009 → Dec 22, 2025 |
| Michael Rubenstein | Executive Officer, Promoter | 7 | Jun 23, 2009 → Feb 22, 2018 |
| Steven Fischler | Executive Officer, Director | 5 | Jun 28, 2018 → Oct 22, 2026 |
| Larry Frye | Executive Officer | 5 | Mar 3, 2011 → Jul 31, 2012 |
| HEATHER MERCIER | Executive Officer, Promoter | 5 | Jul 8, 2010 → Jan 3, 2012 |
| Nate Clemensen | Executive Officer, Director | 4 | Dec 4, 2013 → Feb 3, 2020 |
| TINA MARTINEZ | Executive Officer, Promoter | 4 | Jun 23, 2009 → Feb 10, 2010 |
| RMWC Real Estate Lending Fund V - GP, LLC entity | Director | 3 | Mar 5, 2025 → Oct 22, 2026 |
| NATHANAEL CLEMENSEN | Executive Officer, Director | 3 | Feb 3, 2015 → Apr 14, 2023 |
| RMWC entity | Director | 2 | Mar 5, 2025 → Oct 22, 2026 |
| Jonathan Cohen | Executive Officer | 2 | Mar 5, 2025 → Oct 22, 2026 |
| Coleman Andrews | Executive Officer | 2 | Mar 5, 2025 → Oct 22, 2026 |
| RMWC Direct Lending Fund GP, LLC entity | Director | 2 | Jun 12, 2015 → Feb 3, 2020 |
| RMWC Direct Lending Opportunities Fund III GP, LLC entity | Director | 2 | Mar 1, 2018 → Nov 5, 2019 |
| RACHEL MARKUS | Executive Officer | 2 | Feb 3, 2015 → Feb 22, 2018 |
| RMWC Real Estate Lending Fund V - Evergreen, LP entity | Director | 1 | Dec 22, 2025 → Dec 22, 2025 |
| Jonathan Cohen | Executive Officer | 1 | Dec 22, 2025 → Dec 22, 2025 |
| RMWC Management, Inc. entity | Director | 1 | Dec 22, 2025 → Dec 22, 2025 |
| RMWC Direct Lending Opportunities Fund IV GP, LLC entity | Director | 1 | Apr 14, 2023 → Apr 14, 2023 |
| RMWC Direct Lending Fund II, LP entity | Director | 1 | Feb 3, 2020 → Feb 3, 2020 |
| RMWC Direct Lending Opportunities Fund III, LP entity | Director | 1 | Feb 7, 2019 → Feb 7, 2019 |
| Eyal Alfi | Executive Officer | 1 | Jun 28, 2018 → Jun 28, 2018 |
| RMWC CREDIT ALPHA FUND GP, LLC entity | Promoter | 1 | Feb 3, 2015 → Feb 22, 2018 |
| Rocky Mountain Wealth Concepts Credit Alpha Fund GP, LLC entity | Promoter | 1 | Dec 5, 2013 → Dec 5, 2013 |
| Rocky Mountain Wealth Concepts Hybrid Fund GP, LLC entity | Promoter | 1 | Jul 30, 2012 → Dec 4, 2013 |
| Rocky Mountain Wealth Concepts Alternative Fund GP, LLC entity | Promoter | 1 | Jul 31, 2012 → Jul 31, 2012 |
| Rocky Mountain Wealth Concepts Credit Strategies Fund II GP, LLC entity | Promoter | 1 | Jul 31, 2012 → Jul 31, 2012 |
| Rocky Mountain Wealth Concepts Credit Strategies Fund GP, LLC entity | Promoter | 1 | Jul 31, 2012 → Jul 31, 2012 |
| Janet Jensen | Director | 1 | Mar 3, 2011 → Mar 3, 2011 |
| Marc B. Wolpow | Director | 1 | Jun 23, 2009 → Feb 10, 2010 |
| Clayton Andrews | Director | 1 | Jun 23, 2009 → Feb 10, 2010 |
| Mark Heineken | Executive Officer | 1 | Jun 23, 2009 → Feb 10, 2010 |
| Kevin Wilson | Director | 1 | Jun 23, 2009 → Feb 10, 2010 |
| Mark Hendrickson | Executive Officer, Director | 1 | Jun 23, 2009 → Feb 10, 2010 |
| Joseph Martinez | Executive Officer | 1 | Jun 23, 2009 → Feb 10, 2010 |
Not yet searched. Sources to be searched: SEC Investment Adviser Information Reports — Form ADV data for SEC-registered advisers and exempt reporting advisers (file dated 2026-10-02); SEC Investment Adviser Public Disclosure (IAPD) firm search — registered and exempt reporting advisers · Search queued. Results are added automatically; check back later.
None found in sources searched.
Sources searched: SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 · Last checked Oct 23, 2026, 8:41 PM ET.
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