Sponsor Check › Management entity
Management entity named on Form D filings · NY · Jun 10, 2019 → Jun 10, 2019
Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:15 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET
413 Summit Manager is a management entity listed as an executive officer on 1 SEC Form D filing by 1 issuer in Jun 2019: LJJ TRG Summit OZ Fund, L.P. (Woodmere, NY — residential — 2019; $10.8M reported sold to 17 investors).
What this means One deal on file with the SEC, filed Jun 2019. A Form D is the notice a company files after it starts selling a private investment — it is a notice, not an approval.
Listed alongside Lewis Barbanel (1 shared filing) and Robert Silverman (1 shared filing).
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around 413. Each name links to their own page.
The issuer belongs to the sponsor group Ljj (2 issuers, $41.5M reported sold, 2016–2019).
What this means A sponsor group is one team that sets up a new company for each deal. Ljj has 2 companies on file and $41.5M reported sold in total — the group page shows the whole track record in one place.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, LA, ME, MO, MS, MT, NASAA, NC, NH, NM, OR, RI, TX, WA) — none found.
What this means Nothing turned up where we looked (3 sources). That does not prove there is nothing — it means none was found in those sources on that date.
We compared 1 public filing for 413 Summit Manager and found 4 differences: Bankruptcy case: Richard C. Breeden, Esq. v. Barbanel; 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.
Community search for 413 Summit Manager has not run yet — it is joining a line of 20,491 names; searches run around the clock at the hosts' allowed rate. Searched so far: 307 names.
Community comments are quoted as written by their authors. Sources searched: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).
Five things investors ask first. Items still in human review are counted, not shown.
None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026
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, 2:15 AM ET.
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.
None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: NV (crawled Oct 23, 2026)
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 413 Summit Manager..
State securities regulators: Securities regulators searched (3,318 actions): AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002), DE DOJ Investor Protection Unit (257 actions, 1987–2026), TX State Securities Board (586 actions, 2006–2026), WA DFI (2,039 actions, 2001–2026) — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first — last crawled Oct 23, 2026, 9:57 PM ET. No machine-readable public listing today for IA, IN, KS, MI, NE, NV (see docs/state-regulators.md).
None found in sources searched — federal bankruptcy courts (CourtListener / RECAP), checked Oct 24, 2026
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, 2:15 AM ET.
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.
Comparisons cover issuers and sponsor groups — see the issuer pages under Deals
4 differences found between the filings for 413 Summit Manager (compared 1 filing on Oct 24, 2026)
United States Bankruptcy Court, N.D. New York docket "Richard C. Breeden, Esq. v. Barbanel" filed Jan 26, 1998, closed Nov 20, 2001. Lewis Barbanel (listed on the same filings) is listed as Defendant ("Barbanel"). 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.
United States Bankruptcy Court, N.D. New York docket "Richard C. Breeden, Esq. v. Barbanel" filed Jan 26, 1998, closed Sep 27, 2001. Lewis Barbanel (listed on the same filings) is listed as Defendant ("Barbanel"). 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.
The filing says the first sale was May 24, 2019. The Form D was filed Jun 10, 2019 — 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.
The latest filing for this offering is dated Jun 10, 2019 (first sale May 24, 2019). It reports $10,800,000 sold of $15,500,000 offered. No later amendment is in our index as of Oct 24, 2026.
What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.
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.
0 of 1 offering report sales commissions; 0 report finder's fees; 1 reports proceeds to related persons totalling $821,206.
| Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it | Source |
|---|---|---|---|---|---|
| Jun 10, 2019 D LJJ TRG Summit OZ Fund, L.P. File 021-341513 | $0 | $0 | $821,206 The above figure assumes that the maximum offering proceeds are received by the Fund and represents an estimate of certain asset management fees, acquisition fees and development fees to be received by the general partner in connection with the Project. | None listed on this filing | EDGAR ↗ |
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 every filing this entity is listed on (latest filing per offering, per issuer).
Every issuer that named 413 Summit Manager on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.
Raised $10.8M from 17 investors (70% of the $15.5M target) as of the latest filing. 413 is listed as executive officer.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Residential / 506(b) (4,183 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.
Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.
Listed on the same filings as 413 Summit Manager. Their page shows their other deals.
Listed on the same filings as 413 Summit Manager. Their page shows their other deals.
One team, 2 deal companies. 413 Summit Manager is listed on 1 of them.
Issuers are grouped when their Form D filings share related persons, a management entity or a business address (automatic match from the filings). "Listed" marks the issuers that name 413 Summit Manager.
Searched SEC Form ADV bulk data (registered + exempt reporting advisers) (24,962 records as of Oct 2, 2026, 8:00 AM ET) — nothing matched 413 Summit Manager.
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.
413 Summit Manager is matched through the issuers it is listed on; property records are tied to issuers, not to management companies, on this site. Searched property records in Hillsborough County FL (Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026 + FL DOR 2026 ownership roll), Miami-Dade County FL (FL DOR 2026 ownership roll), Harris County TX (HCAD 2026 ownership roll), Dallas County TX (DCAD 2026 ownership roll), New York City ACRIS documents and PLUTO ownership rows already retrieved for other issuers, Cook County IL sale and ownership rows already retrieved for other issuers (814,874 records as of Oct 23, 2026, 8:59 PM ET) for the 1 issuer this person is listed on — nothing matched.
Websites and social links of the issuers 413 Summit Manager is listed on: none on file. No website or social profile named in LJJ TRG Summit OZ Fund, L.P.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #234,115 of 374,652 in line (481 issuers searched so far). One-tap searches: Look further ↓
One-tap searches on sites we do not index ourselves, with the name pre-filled (Woodmere, NY). Each opens in a new tab; what you find there is not verified by PartnerFacts.
No corrections have been requested for this page.
Free. Logged with status: received → under review → fixed / confirmed with source.
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