ADAM STEIN is listed as an executive officer, director, and promoter on 15 SEC Form D filings by 9 issuers between Dec 2010 and May 2023. Largest by amount reported sold: LIGHTBAY INVESTMENT PARTNERS II LP (Los Angeles, CA — pooled investment fund — 2021–2023; $1.04B reported sold to 141 investors), LIGHTBAY INVESTMENT PARTNERS II-A LP (Los Angeles, CA — pooled investment fund — 2021–2023; $1.04B reported sold to 141 investors), LIGHTBAY EXECUTIVE FUND II LP (Los Angeles, CA — pooled investment fund — 2022–2023; $1.04B reported sold to 141 investors), FDO Holdings, Inc. (Los Angeles, CA — retailing — 2010; $317.3M reported sold to 48 investors), SF CC Holdings, Inc. (Commerce, CA — retailing — 2012; $310.1M reported sold to 33 investors) and 4 more (all listed below).
What this means A repeat sponsor — 9 separate companies raised money with this person listed as executive officer, director, and promoter, over about 13 years. Across those companies the filings report $3.76B sold in total.
Listed alongside NAVROZ RAHEMTULLA (9 shared filings), Thomas Arnold (4 shared filings), Travis Putnam (4 shared filings), David Kaplan (2 shared filings), BRAD J. BRUTOCAO (1 shared filing) and 14 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around ADAM. Each name links to their own page.
6 of the issuers belong to the sponsor group Lightbay (6 issuers, $3.13B reported sold, 2017–2023).
What this means A sponsor group is one team that sets up a new company for each deal. Lightbay has 6 companies on file and $3.13B 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 (AZ, CA, DE, TX, WA) — 1 court case matching the name, 6 bankruptcy cases matching the name listed in Key records below.
What this means 7 records came back. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.
We compared 15 public filings for ADAM STEIN and found 8 differences, 2 worth asking the sponsor about: Form D filed 81 days after the first sale; Form D filed 1,342 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.