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Adolfo Pena

Named as an officer, director or promoter on SEC Form D filings · Bermuda (as filed: D0), TN · Mar 15, 2013 → May 28, 2026

21deals (issuers)
$16.07Breported sold
1,131investors
95Form D filings
2013–2026years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · 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

Adolfo Pena is listed as an executive officer and director on 95 SEC Form D filings by 21 issuers between Mar 2013 and May 2026. Largest by amount reported sold: IRON CATASTROPHE FUND, LTD. (Hamilton, Bermuda (as filed: D0) — pooled investment fund — 2013; $3.64B reported sold to 107 investors), PALMETTO FUND LTD (Hamilton, Bermuda (as filed: D0) — pooled investment fund — 2013–2025; $2.68B reported sold to 160 investors), Triton Fund Ltd (Hamilton, Bermuda (as filed: D0) — pooled investment fund — 2013–2025; $1.77B reported sold to 96 investors), Palmetto Catastrophe Fund, L.P. (Hamilton, Bermuda (as filed: D0) — pooled investment fund — 2013; $1.48B reported sold to 73 investors), Rubik Holdings, Ltd. (Hamilton, Bermuda (as filed: D0) — pooled investment fund — 2018–2025; $976.1M reported sold to 139 investors) and 16 more (all listed below).

What this means That is a lot of deals — 21 separate companies raised money with this person listed as executive officer and director, over about 13 years. Across those companies the filings report $16.07B sold in total.

Listed alongside Dawn Griffiths (76 shared filings), John Collis (64 shared filings), Guy Swayne (31 shared filings), Steven Glassman (25 shared filings), Helen Thornton (24 shared filings) and 24 others.

What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Adolfo. Each name links to their own page.

The issuers belong to 2 sponsor groups: Group linked by Dawn Griffiths (37 issuers, $17.97B reported sold, 2009–2026) and Velocity (2 issuers, $130.6M reported sold, 2018–2023).

What this means This person is listed across more than one sponsor team; each group page shows that team's full track record.

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) — 13 bankruptcy cases matching the name listed in Key records below.

What this means 13 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 the newest 50 of 95 public filings for Adolfo Pena and found 6 differences, 2 worth asking the sponsor about: Investor count went down between filings; 6 paid sellers are listed without a CRD number; 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 Adolfo Pena has not run yet — it is joining a line of 51,171 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

None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026

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.

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 Adolfo Pena..

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

13 cases: 13 closed (disposition not in docket feed)

Adolfo Pena and Claudia Pena closed
United States Bankruptcy Court, N.D. Illinois · No. 20-01637 · Filed Jan 20, 2020 · Closed May 8, 2020
Role of Adolfo Pena and Claudia Pena: Debtor · Outcome: Case closed 2020-05-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 14 federal dockets); court in IL (not a filing state)
Adolfo L Pena and Leyla Maria Pena closed
United States Bankruptcy Court, S.D. Florida. · No. 19-16875 · Filed May 24, 2019 · Closed Oct 7, 2019
Role of Adolfo L Pena and Leyla Maria Pena: Debtor · Outcome: Case closed 2019-10-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 14 federal dockets); court in FL (not a filing state)
Adolfo Pena and Emma Pena closed
United States Bankruptcy Court, N.D. California · No. 13-10813 · Filed Apr 20, 2013 · Closed Dec 20, 2013
Role of Adolfo Pena and Emma Pena: Debtor · Outcome: Case closed 2013-12-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 14 federal dockets); court in CA (not a filing state)
Adolfo A Pena, Jr and Zenaida S. Pena closed
United States Bankruptcy Court, W.D. Texas · No. 11-52075 · Filed Jun 10, 2011 · Closed Sep 23, 2011
Role of Adolfo A Pena, Jr: Debtor · Outcome: Case closed 2011-09-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 14 federal dockets); court in TX (not a filing state)
Adolfo Pena closed
United States Bankruptcy Court, N.D. Illinois · No. 10-36578 · Filed Aug 16, 2010 · Closed Dec 10, 2010
Role of Adolfo Pena: Debtor · Outcome: Case closed 2010-12-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 14 federal dockets); court in IL (not a filing state)
Adolfo R Pena and Maria F Pena closed
United States Bankruptcy Court, C.D. California · No. 9:09-bk-12467 · Filed Jun 23, 2009 · Closed Jun 7, 2010
Role of Adolfo R Pena and Maria F Pena: Debtor · Outcome: Case closed 2010-06-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 14 federal dockets); court in CA (not a filing state)
Adolfo PENA closed
United States Bankruptcy Court, D. New Jersey · No. 08-27378 · Filed Sep 12, 2008 · Closed Dec 15, 2008
Role of Adolfo PENA: Debtor · Outcome: Case closed 2008-12-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 14 federal dockets); court in NJ (not a filing state)
Adolfo Pena closed
United States Bankruptcy Court, C.D. California · No. 2:03-bk-23931 · Filed May 22, 2003 · Closed Sep 19, 2003
Role of Adolfo Pena: Debtor · Outcome: Case closed 2003-09-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 14 federal dockets); court in CA (not a filing state)
Adolfo Pena Pena closed
United States Bankruptcy Court, C.D. California · No. 2:02-bk-34412 · Filed Aug 27, 2002 · Closed Mar 19, 2003
Role of Adolfo Pena Pena: Debtor · Outcome: Case closed 2003-03-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 14 federal dockets); court in CA (not a filing state)
Adolfo Pena closed
United States Bankruptcy Court, N.D. Texas · No. 00-33708 · Filed Jun 6, 2000 · Closed Jun 28, 2002
Role of Adolfo Pena: Debtor · Outcome: Case closed 2002-06-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 14 federal dockets); court in TX (not a filing state)
Adolfo Pena and Betty Jean Pena closed
United States Bankruptcy Court, N.D. Texas · No. 98-80510 · Filed Dec 17, 1998 · Closed Apr 27, 2000
Role of Adolfo Pena and Betty Jean Pena: Debtor · Outcome: Case closed 2000-04-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 14 federal dockets); court in TX (not a filing state)
Adolfo M Pena closed
United States Bankruptcy Court, C.D. California · No. 6:97-bk-17797 · Filed May 1, 1997 · Closed Oct 30, 1997
Role of Adolfo M Pena: Debtor · Outcome: Case closed 1997-10-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 14 federal dockets); court in CA (not a filing state)
Adolfo Pena and Socorro Pena closed
United States Bankruptcy Court, E.D. Louisiana · No. 96-14924 · Filed Oct 11, 1996 · Closed Mar 6, 1997
Role of Adolfo Pena and Socorro Pena: Debtor · Outcome: Case closed 1997-03-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 14 federal dockets); court in LA (not a filing state)
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

Comparisons cover issuers and sponsor groups — see the issuer pages under Deals

6 differences found between the filings for Adolfo Pena — 2 worth asking about (compared the newest 50 of 95 filings on Oct 24, 2026; older filings not covered)

Worth asking · Dec 12, 2023 – Dec 11, 2024

Investor count went down between filings — Rembrandt Catastrophe Fund Ltd

The Dec 12, 2023 filing reports 22 investors; the Dec 11, 2024 Form D/A reports 19 investors.

What this means Investor counts normally only grow. A smaller number can mean investors left or were refunded, or a count was corrected. Ask the sponsor what happened.

Form D/A (earlier) · Dec 12, 2023 ↗Form D/A (later) · Dec 11, 2024 ↗Rembrandt Catastrophe Fund Ltd — PartnerFacts page ↗
Sources
Worth asking · Oct 21, 2009 – Dec 4, 2025

6 paid sellers are listed without a CRD number

Paid seller listed without a CRD number: Man Investments AG — PALMETTO FUND LTD · Paid seller listed without a CRD number: Man Investments AG — Triton Fund Ltd · Paid seller listed without a CRD number: Man Investments AG — Rembrandt Catastrophe Fund Ltd · Paid seller listed without a CRD number: Man Investments AG — JUNIPER CATASTROPHE FUND LTD · Paid seller listed without a CRD number: Man Investments AG — NEPHILA CATASTROPHE FUND, LTD · and 1 more

What this means Without a CRD number we cannot look a seller up on BrokerCheck. Ask who they are and whether they are registered.

Form D/A · Dec 4, 2025 ↗BrokerCheck search: Man Investments AG ↗PALMETTO FUND LTD — PartnerFacts page ↗Form D/A · Dec 4, 2025 ↗
Sources
Note · Jun 1, 2006 – Dec 12, 2023

No amendment in the last 12 months on an offering that may still be open — JUNIPER CATASTROPHE FUND LTD (latest filing Dec 12, 2023)

The latest filing for this offering is dated Dec 12, 2023 (first sale Jun 1, 2006). It reports $771,950,443 sold of an indefinite amount 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.

Form D/A · Dec 12, 2023 ↗JUNIPER CATASTROPHE FUND LTD — PartnerFacts page ↗
Sources
Note · Jan 1, 2003 – Dec 12, 2023

No amendment in the last 12 months on an offering that may still be open — NEPHILA CATASTROPHE FUND, LTD (latest filing Dec 12, 2023)

The latest filing for this offering is dated Dec 12, 2023 (first sale Jan 1, 2003). It reports $959,353,511 sold of an indefinite amount 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.

Form D/A · Dec 12, 2023 ↗NEPHILA CATASTROPHE FUND, LTD — PartnerFacts page ↗
Sources
Note · Jul 1, 2006 – Jan 7, 2020

No amendment in the last 12 months on an offering that may still be open — ONYX CATASTROPHE FUND LTD (latest filing Jan 7, 2020)

The latest filing for this offering is dated Jan 7, 2020 (first sale Jul 1, 2006). It reports $293,385,802 sold of an indefinite amount 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.

Form D/A · Jan 7, 2020 ↗ONYX CATASTROPHE FUND LTD — PartnerFacts page ↗
Sources
Note · Mar 15, 2013 – Jan 7, 2020

6 role changes for the same people across filings

Adolfo Pena's role changed at Triton Fund Ltd: executive officer → director · Adolfo Pena's role changed at NEPHILA CATASTROPHE FUND, LTD: executive officer → director · Adolfo Pena's role changed at JUNIPER CATASTROPHE FUND LTD: executive officer → director · Adolfo Pena's role changed at Rembrandt Catastrophe Fund Ltd: executive officer → director · Adolfo Pena's role changed at PALMETTO FUND LTD: executive officer → director · and 1 more

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

Form D/A · Mar 15, 2013 ↗Form D/A · Jan 7, 2020 ↗Adolfo Pena — PartnerFacts page ↗Triton Fund Ltd — 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. We compared the newest 50 of 95 filings (work cap); older filings are not covered here. As of Oct 24, 2026.

5. Money to insiders

12 of 22 offerings report sales commissions totalling $55,743,881; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
May 28, 2026 D/A
Tyche Catastrophe Fund Ltd.
File 021-402630
$0$0$0None listed on this filingEDGAR ↗
May 28, 2026 D/A
ONYX CATASTROPHE FUND LTD
File 021-451463
$0$0$0None listed on this filingEDGAR ↗
Dec 4, 2025 D/A
PALMETTO FUND LTD
File 021-84806
$19,941,729$0$0Man Investments AG no CRD number reported
Man Investments Inc. BrokerCheck CRD 15770 ↗
via Man Investments Inc. (CRD 15770 ↗)

KKR Capital Markets, LLC BrokerCheck CRD 143571 ↗
via KKR Capital Markets, LLC (CRD 143571 ↗)
EDGAR ↗
Dec 4, 2025 D/A
Rembrandt Catastrophe Fund Ltd
File 021-92433
$0$0$0Man Investments AG no CRD number reported
Man Investments Inc. BrokerCheck CRD 15770 ↗
via Man Investments Inc. (CRD 15770 ↗)

KKR Capital Markets, LLC BrokerCheck CRD 143571 ↗
via KKR Capital Markets, LLC (CRD 143571 ↗)
EDGAR ↗
Dec 4, 2025 D/A
Triton Fund Ltd
File 021-84426
$11,221,024$0$0Man Investments AG no CRD number reported
Man Investments Inc. BrokerCheck CRD 15770 ↗
via Man Investments Inc. (CRD 15770 ↗)

KKR Capital Markets, LLC BrokerCheck CRD 143571 ↗
via KKR Capital Markets, LLC (CRD 143571 ↗)
EDGAR ↗
Dec 4, 2025 D/A
Rubik Holdings, Ltd.
File 021-211147
$10,747,622$0$0KKR Capital Markets, LLC BrokerCheck CRD 143571 ↗
via KKR Capital Markets, LLC (CRD 143571 ↗)
EDGAR ↗
Nov 26, 2025 D/A
Delos Fund Ltd
File 021-424848
$0$0$0None listed on this filingEDGAR ↗
Dec 12, 2023 D/A
JUNIPER CATASTROPHE FUND LTD
File 021-92352
$7,708,865$0$0Man Investments Inc. BrokerCheck CRD 15770 ↗
via Man Investments Inc. (CRD 15770 ↗)

Man Investments AG no CRD number reported
KKR Capital Markets, LLC BrokerCheck CRD 143571 ↗
via KKR Capital Markets, LLC (CRD 143571 ↗)
EDGAR ↗
Dec 12, 2023 D/A
NEPHILA CATASTROPHE FUND, LTD
File 021-84804
$3,469,554$0$0Man Investments AG no CRD number reported
Man Investments Inc. BrokerCheck CRD 15770 ↗
via Man Investments Inc. (CRD 15770 ↗)

KKR Capital Markets, LLC BrokerCheck CRD 143571 ↗
via KKR Capital Markets, LLC (CRD 143571 ↗)
EDGAR ↗
Jan 7, 2020 D/A
ONYX CATASTROPHE FUND LTD
File 021-92359
$0$0$0Man Investments AG no CRD number reported
Man Investments Inc. BrokerCheck CRD 15770 ↗
via Man Investments Inc. (CRD 15770 ↗)

KKR Capital Markets, LLC BrokerCheck CRD 143571 ↗
via KKR Capital Markets, LLC (CRD 143571 ↗)
EDGAR ↗
Jan 7, 2020 D/A
Spectrum Fund Ltd
File 021-84423
$0$0$0KKR Capital Markets, LLC BrokerCheck CRD 143571 ↗
via KKR Capital Markets, LLC (CRD 143571 ↗)

Man Investments Inc. BrokerCheck CRD 15770 ↗
via Man Investments Inc. (CRD 15770 ↗)

Man Investments AG no CRD number reported		EDGAR ↗
Jan 23, 2018 D
Velocity Risk Underwriters, LLC
File 021-303908
$0$0$0None listed on this filingEDGAR ↗
Mar 20, 2014 D/A
KAIROS CATASTROPHE FUND, LTD.
File 021-194136
$0$0$0 (est.)Man Investments Inc. BrokerCheck CRD 15770 ↗
via Man Investments Inc. (CRD 15770 ↗)
EDGAR ↗
Mar 15, 2013 D/A
IRON CATASTROPHE FUND, L.P.
File 021-135480
$2,368 (est.)$0$0 (est.)Man Investments AG no CRD number reported
via Man Investments AG

Man Investments Inc. BrokerCheck CRD 15770 ↗
via Man Investments Inc. (CRD 15770 ↗)
EDGAR ↗
Mar 15, 2013 D/A
IRON CATASTROPHE FUND, LTD.
File 021-135481
$1,274,478 (est.)$0$0 (est.)Man Investments AG no CRD number reported
via Man Investments AG

Man Investments Inc. BrokerCheck CRD 15770 ↗
via Man Investments Inc. (CRD 15770 ↗)
EDGAR ↗
Mar 15, 2013 D/A
JUNIPER CATASTROPHE FUND LP
File 021-122885
$74,247 (est.)$0$0 (est.)Man Investments AG no CRD number reported
via Man Investments AG

Man Investments Inc. BrokerCheck CRD 15770 ↗
via Man Investments Inc. (CRD 15770 ↗)
EDGAR ↗
Mar 15, 2013 D
KAIROS CATASTROPHE FUND L.P.
File 021-193368
$0$0$0 (est.)Man Investments AG no CRD number reported
via Man Investments AG

Man Investments Inc. BrokerCheck CRD 15770 ↗
via Man Investments Inc. (CRD 15770 ↗)
EDGAR ↗
Mar 15, 2013 D/A
NEPHILA CATASTROPHE FUND L P
File 021-84805
$189,695 (est.)$0$0 (est.)Man Investments AG no CRD number reported
via Man Investments AG

Man Investment Inc. BrokerCheck CRD 15770 ↗
via Man Investment Inc. (CRD 15770 ↗)
EDGAR ↗
Mar 15, 2013 D/A
Nimbus Weather Fund LP
File 021-84425
$8,440 (est.)$0$0 (est.)Man Investments AG no CRD number reported
via Man Investments AG

Man Investments Inc. BrokerCheck CRD 15770 ↗
via Man Investments Inc. (CRD 15770 ↗)
EDGAR ↗
Mar 15, 2013 D/A
Nimbus Weather Fund Ltd
File 021-91339
$0$0$0 (est.)None listed on this filingEDGAR ↗
Mar 15, 2013 D/A
Palmetto Catastrophe Fund, L.P.
File 021-135482
$1,088,751 (est.)$0$0 (est.)Man Investments AG no CRD number reported
via Man Investments AG

Man Investments Inc. BrokerCheck CRD 15770 ↗
via Man Investments Inc. (CRD 15770 ↗)
EDGAR ↗
Mar 15, 2013 D/A
Triton Fund L P
File 021-95503
$17,108 (est.)$0$0 (est.)Man Investments AG no CRD number reported
via Man Investments AG

Man Investment Inc. BrokerCheck CRD 15770 ↗
via Man Investment Inc. (CRD 15770 ↗)
EDGAR ↗
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 every filing this person is listed on (latest filing per offering, per issuer).

Deals 21

Every issuer that named Adolfo Pena on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

TC
Pooled Investment Fund · group: Group linked by Dawn Griffiths

Tyche Catastrophe Fund Ltd.

Hamilton, Bermuda (as filed: D0) · Jun 11, 2021 → May 28, 2026 · 6 filings
  • May 28, 2026 · D/A · $2,297,500 sold of Indefinite · 3 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • May 29, 2025 · D/A · $2,297,500 sold of Indefinite · 3 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • May 31, 2024 · D/A · $2,297,500 sold of Indefinite · 3 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Jun 2, 2023 · D/A · $2,297,500 sold of Indefinite · 3 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Jun 8, 2022 · D/A · $2,297,500 sold of Indefinite · 3 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Jun 11, 2021 · D · $1,047,500 sold of Indefinite · 2 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗

Raised $2.3M from 3 investors as of the latest filing. Adolfo is listed as director on 6 filings for this deal.

Latest filing on EDGAR ↗
Sources

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: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

OC
Pooled Investment Fund · group: Group linked by Dawn Griffiths

ONYX CATASTROPHE FUND LTD

Hamilton, Bermuda (as filed: D0) · Mar 15, 2013 → May 28, 2026 · 13 filings
  • May 28, 2026 · D/A · $915,000 sold of Indefinite · 6 investors · min. $100,000 · role: Director EDGAR ↗
  • May 29, 2025 · D/A · $865,000 sold of Indefinite · 3 investors · min. $100,000 · role: Director EDGAR ↗
  • May 31, 2024 · D/A · $865,000 sold of Indefinite · 3 investors · min. $100,000 · role: Director EDGAR ↗
  • Jun 2, 2023 · D/A · $865,000 sold of Indefinite · 3 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 7, 2022 · D · $865,000 sold of Indefinite · 3 investors · min. $100,000 · role: Director EDGAR ↗
  • Jan 7, 2020 · D/A · $293,385,802 sold of Indefinite · 25 investors · min. $100,000 · role: Director EDGAR ↗
  • Jan 10, 2019 · D/A · $293,385,802 sold of Indefinite · 25 investors · min. $100,000 · role: Director EDGAR ↗
  • Jan 19, 2018 · D/A · $293,385,802 sold of Indefinite · 25 investors · min. $100,000 · role: Director EDGAR ↗
  • Jan 26, 2017 · D/A · $286,105,802 sold of Indefinite · 25 investors · min. $100,000 · role: Director EDGAR ↗
  • Jan 28, 2016 · D/A · $286,105,802 sold of Indefinite · 25 investors · min. $100,000 · role: Director EDGAR ↗
  • Feb 5, 2015 · D/A · $286,105,802 sold of Indefinite · 25 investors · min. $100,000 · role: Director EDGAR ↗
  • Mar 20, 2014 · D/A · $286,105,802 sold of Indefinite · 25 investors · min. $100,000 · role: Director EDGAR ↗
  • Mar 15, 2013 · D/A · $286,105,802 sold of Indefinite · 25 investors · min. $100,000 · role: Executive Officer (Adolfo Pena is a Member of the Management Executive Committee of Nephila Capital Ltd., the Trading Manager of the Issuer.) EDGAR ↗

Raised $293.4M from 25 investors as of the latest filing. Adolfo is listed as director, executive officer on 13 filings for this deal.

Latest filing on EDGAR ↗
Sources

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: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

TF
Pooled Investment Fund · group: Group linked by Dawn Griffiths

Triton Fund Ltd

Hamilton, Bermuda (as filed: D0) · Mar 15, 2013 → Dec 4, 2025 · 8 filings
  • Dec 4, 2025 · D/A · $1,767,243,420 sold of Indefinite · 96 investors · min. $100,000 · role: Director EDGAR ↗
  • Dec 11, 2024 · D/A · $1,767,243,420 sold of Indefinite · 96 investors · min. $100,000 · role: Director EDGAR ↗
  • Dec 12, 2023 · D/A · $894,039,056 sold of Indefinite · 66 investors · min. $100,000 · role: Director EDGAR ↗
  • Dec 13, 2022 · D/A · $894,039,056 sold of Indefinite · 66 investors · min. $100,000 · role: Director EDGAR ↗
  • Jan 3, 2022 · D/A · $894,039,056 sold of Indefinite · 66 investors · min. $100,000 · role: Director EDGAR ↗
  • Dec 31, 2020 · D/A · $894,039,056 sold of Indefinite · 66 investors · min. $100,000 · role: Director EDGAR ↗
  • Jan 7, 2020 · D/A · $894,039,056 sold of Indefinite · 66 investors · min. $100,000 · role: Director EDGAR ↗
  • Mar 15, 2013 · D/A · $666,823,653 sold of Indefinite · 59 investors · min. $100,000 · role: Executive Officer (Adolfo Pena is a Member of the Management Executive Committee of Nephila Capital Ltd., the Trading Manager of the Issuer.) EDGAR ↗

Raised $1.77B from 96 investors as of the latest filing. Adolfo is listed as director, executive officer on 8 filings for this deal.

Latest filing on EDGAR ↗
Sources

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: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

RH
Pooled Investment Fund · group: Group linked by Dawn Griffiths

Rubik Holdings, Ltd.

Hamilton, Bermuda (as filed: D0) · Jan 8, 2018 → Dec 4, 2025 · 4 filings
  • Dec 4, 2025 · D/A · $976,068,037 sold of Indefinite · 139 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Dec 11, 2024 · D/A · $970,068,037 sold of Indefinite · 81 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Dec 12, 2023 · D/A · $750,612,442 sold of Indefinite · 59 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Jan 8, 2018 · D/A · $476,911,084 sold of Indefinite · 37 investors · min. $100,000 · role: Director EDGAR ↗

Raised $976.1M from 139 investors as of the latest filing. Adolfo is listed as director on 4 filings for this deal.

Latest filing on EDGAR ↗
Sources

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: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

RC
Pooled Investment Fund · group: Group linked by Dawn Griffiths

Rembrandt Catastrophe Fund Ltd

Hamilton, Bermuda (as filed: D0) · Mar 15, 2013 → Dec 4, 2025 · 14 filings
  • Dec 4, 2025 · D/A · $735,992,042 sold of Indefinite · 19 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Dec 11, 2024 · D/A · $735,992,042 sold of Indefinite · 19 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Dec 12, 2023 · D/A · $393,497,315 sold of Indefinite · 22 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Dec 13, 2022 · D/A · $393,497,315 sold of Indefinite · 22 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Jan 3, 2022 · D/A · $390,997,315 sold of Indefinite · 21 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Dec 31, 2020 · D/A · $331,843,915 sold of Indefinite · 20 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Jan 7, 2020 · D/A · $330,543,915 sold of Indefinite · 18 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Jan 10, 2019 · D/A · $330,543,915 sold of Indefinite · 18 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Jan 19, 2018 · D/A · $330,543,915 sold of Indefinite · 18 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Jan 26, 2017 · D/A · $330,543,915 sold of Indefinite · 18 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Jan 28, 2016 · D/A · $330,543,915 sold of Indefinite · 18 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Feb 5, 2015 · D/A · $330,543,915 sold of Indefinite · 18 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Mar 20, 2014 · D/A · $330,543,915 sold of Indefinite · 18 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Mar 15, 2013 · D/A · $330,543,915 sold of Indefinite · 18 investors · min. $100,000 · role: Executive Officer (Adolfo Pena is a Member of the Management Executive Committee of Nephila Capital Ltd., the Trading Manager of the Issuer.) EDGAR ↗

Raised $736M from 22 investors as of the latest filing. Adolfo is listed as director, executive officer on 14 filings for this deal.

Latest filing on EDGAR ↗
Sources

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: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

PF
Pooled Investment Fund · group: Group linked by Dawn Griffiths

PALMETTO FUND LTD

Hamilton, Bermuda (as filed: D0) · Mar 15, 2013 → Dec 4, 2025 · 14 filings
  • Dec 4, 2025 · D/A · $2,678,479,331 sold of Indefinite · 160 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Dec 11, 2024 · D/A · $2,677,764,331 sold of Indefinite · 158 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Dec 12, 2023 · D/A · $1,621,781,995 sold of Indefinite · 116 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Dec 13, 2022 · D/A · $1,621,781,995 sold of Indefinite · 116 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Jan 3, 2022 · D/A · $1,621,781,995 sold of Indefinite · 116 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Dec 31, 2020 · D/A · $1,621,781,995 sold of Indefinite · 116 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Jan 7, 2020 · D/A · $1,621,781,995 sold of Indefinite · 116 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Jan 10, 2019 · D/A · $1,621,781,995 sold of Indefinite · 116 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Jan 19, 2018 · D/A · $1,582,631,995 sold of Indefinite · 114 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Jan 26, 2017 · D/A · $1,476,061,995 sold of Indefinite · 108 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Jan 28, 2016 · D/A · $1,467,561,995 sold of Indefinite · 107 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Feb 5, 2015 · D/A · $1,467,561,995 sold of Indefinite · 107 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Mar 20, 2014 · D/A · $1,435,435,912 sold of Indefinite · 102 investors · min. $100,000 · role: Director EDGAR ↗
  • Mar 15, 2013 · D/A · $1,345,971,929 sold of Indefinite · 95 investors · min. $100,000 · role: Executive Officer (Adolfo Pena is a Member of the Management Executive Committee of Nephila Capital Ltd., the Trading Manager of the Issuer.) EDGAR ↗

Raised $2.68B from 160 investors as of the latest filing. Adolfo is listed as director, executive officer on 14 filings for this deal.

Latest filing on EDGAR ↗
Sources

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: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

DF
Pooled Investment Fund · group: Group linked by Dawn Griffiths

Delos Fund Ltd

Hamilton, Bermuda (as filed: D0) · Dec 14, 2021 → Nov 26, 2025 · 5 filings
  • Nov 26, 2025 · D/A · $151,495,450 sold of Indefinite · 13 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Dec 4, 2024 · D/A · $151,443,450 sold of Indefinite · 12 investors · min. $100,000 · role: Director EDGAR ↗
  • Dec 7, 2023 · D/A · $6,880,000 sold of Indefinite · 5 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Dec 8, 2022 · D/A · $580,000 sold of Indefinite · 2 investors · min. $100,000 · role: Director EDGAR ↗
  • Dec 14, 2021 · D · $580,000 sold of Indefinite · 2 investors · min. $100,000 · role: Director EDGAR ↗

Raised $151.5M from 13 investors as of the latest filing. Adolfo is listed as director on 5 filings for this deal.

Latest filing on EDGAR ↗
Sources

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: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

NC
Pooled Investment Fund · group: Group linked by Dawn Griffiths

NEPHILA CATASTROPHE FUND, LTD

Hamilton, Bermuda (as filed: D0) · Mar 15, 2013 → Dec 12, 2023 · 6 filings
  • Dec 12, 2023 · D/A · $959,353,511 sold of Indefinite · 71 investors · min. $100,000 · role: Director EDGAR ↗
  • Dec 13, 2022 · D/A · $959,353,511 sold of Indefinite · 71 investors · min. $100,000 · role: Director EDGAR ↗
  • Jan 3, 2022 · D/A · $959,353,511 sold of Indefinite · 71 investors · min. $100,000 · role: Director EDGAR ↗
  • Dec 31, 2020 · D/A · $959,353,511 sold of Indefinite · 71 investors · min. $100,000 · role: Director EDGAR ↗
  • Jan 7, 2020 · D/A · $959,353,511 sold of Indefinite · 71 investors · min. $100,000 · role: Director EDGAR ↗
  • Mar 15, 2013 · D/A · $931,852,996 sold of Indefinite · 69 investors · min. $100,000 · role: Executive Officer (Adolfo Pena is a Member of the Management Executive Committee of Nephila Capital Ltd., the Trading Manager of the Issuer.) EDGAR ↗

Raised $959.4M from 71 investors as of the latest filing. Adolfo is listed as director, executive officer on 6 filings for this deal.

Latest filing on EDGAR ↗
Sources

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: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

JC
Pooled Investment Fund · group: Group linked by Dawn Griffiths

JUNIPER CATASTROPHE FUND LTD

Hamilton, Bermuda (as filed: D0) · Mar 15, 2013 → Dec 12, 2023 · 11 filings
  • Dec 12, 2023 · D/A · $771,950,443 sold of Indefinite · 43 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Dec 13, 2022 · D/A · $771,950,443 sold of Indefinite · 43 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Jan 3, 2022 · D/A · $771,950,443 sold of Indefinite · 43 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Dec 31, 2020 · D/A · $771,950,443 sold of Indefinite · 43 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Jan 7, 2020 · D/A · $742,950,443 sold of Indefinite · 42 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Jan 8, 2019 · D/A · $732,950,443 sold of Indefinite · 42 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Jan 19, 2018 · D/A · $712,950,443 sold of Indefinite · 42 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Jan 26, 2017 · D/A · $690,950,443 sold of Indefinite · 41 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Jan 28, 2016 · D/A · $690,950,443 sold of Indefinite · 41 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Feb 5, 2015 · D/A · $645,950,443 sold of Indefinite · 41 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Mar 15, 2013 · D/A · $549,265,222 sold of Indefinite · 40 investors · min. $100,000 · role: Executive Officer (Adolfo Pena is a Member of the Management Executive Committee of Nephila Capital Ltd., the Trading Manager of the Issuer.) EDGAR ↗

Raised $772M from 43 investors as of the latest filing. Adolfo is listed as director, executive officer on 11 filings for this deal.

Latest filing on EDGAR ↗
Sources

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: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

SF
Pooled Investment Fund · group: Group linked by Dawn Griffiths

Spectrum Fund Ltd

Hamilton, Bermuda (as filed: D0) · Mar 15, 2013 → Jan 7, 2020 · 2 filings
  • Jan 7, 2020 · D/A · $188,176,298 sold of Indefinite · 48 investors · min. $100,000 · role: Director EDGAR ↗
  • Mar 15, 2013 · D/A · $188,176,298 sold of Indefinite · 48 investors · min. $100,000 · role: Executive Officer (Adolfo Pena is a Member of the Management Executive Committee of Nephila Capital Ltd., the Trading Manager of the Issuer.) EDGAR ↗

Raised $214.2M from 48 investors as of the latest filing. Adolfo is listed as director, executive officer on 2 filings for this deal.

Latest filing on EDGAR ↗
Sources

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: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

VR
Insurance · group: Velocity

Velocity Risk Underwriters, LLC

Nashville, TN · Jan 23, 2018
  • Jan 23, 2018 · D · $8,340,000 sold of Indefinite · 7 investors · min. No minimum reported · role: Director (Member of the Board of Managers) EDGAR ↗

Raised $11.2M from 12 investors as of the latest filing. Adolfo is listed as director.

Latest filing on EDGAR ↗
Sources

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: Insurance / 506(b) (687 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.

KC
Pooled Investment Fund · group: Group linked by Dawn Griffiths

KAIROS CATASTROPHE FUND, LTD.

Hamilton, Bermuda (as filed: D0) · Mar 28, 2013 → Mar 20, 2014 · 2 filings
  • Mar 20, 2014 · D/A · $9,950,000 sold of Indefinite · 2 investors · min. $100,000 · role: Director (Alternate Director) EDGAR ↗
  • Mar 28, 2013 · D · $0 sold of Indefinite · 0 investors · min. $100,000 · role: Executive Officer (Adolfo Pena is a Member of the Management Executive Committee of Nephila Capital Ltd., the Trading Manager of the Issuer.) EDGAR ↗

Raised $235.5M from 26 investors as of the latest filing. Adolfo is listed as director, executive officer on 2 filings for this deal.

Latest filing on EDGAR ↗
Sources

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: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

TF
Pooled Investment Fund · group: Group linked by Dawn Griffiths

Triton Fund L P

Hamilton, Bermuda (as filed: D0) · Mar 15, 2013
  • Mar 15, 2013 · D/A · $289,862,356 sold of Indefinite · 63 investors · min. No minimum reported · role: Executive Officer (Adolfo Pena is a Member of the Management Executive Committee of Nephila Capital Ltd., the General Partner of the Issuer.) EDGAR ↗

Raised $589.2M from 74 investors as of the latest filing. Adolfo is listed as executive officer.

Latest filing on EDGAR ↗
Sources

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.

PC
Pooled Investment Fund · group: Group linked by Dawn Griffiths

Palmetto Catastrophe Fund, L.P.

Hamilton, Bermuda (as filed: D0) · Mar 15, 2013
  • Mar 15, 2013 · D/A · $375,314,678 sold of Indefinite · 45 investors · min. No minimum reported · role: Executive Officer (Adolfo Pena is a Member of the Management Executive Committee of Nephila Capital Ltd., the General Partner of the Issuer.) EDGAR ↗

Raised $1.48B from 73 investors as of the latest filing. Adolfo is listed as executive officer.

Latest filing on EDGAR ↗
Sources

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.

NW
Pooled Investment Fund · group: Group linked by Dawn Griffiths

Nimbus Weather Fund Ltd

Hamilton, Bermuda (as filed: D0) · Mar 15, 2013
  • Mar 15, 2013 · D/A · $608,610,325 sold of Indefinite · 13 investors · min. $100,000 · role: Executive Officer (Adolfo Pena is a Member of the Management Executive Committee of Nephila Capital Ltd., the Trading Manager of the Issuer.) EDGAR ↗

Raised $800.6M from 16 investors as of the latest filing. Adolfo is listed as executive officer.

Latest filing on EDGAR ↗
Sources

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.

NW
Pooled Investment Fund · group: Group linked by Dawn Griffiths

Nimbus Weather Fund LP

Hamilton, Bermuda (as filed: D0) · Mar 15, 2013
  • Mar 15, 2013 · D/A · $20,013,623 sold of Indefinite · 40 investors · min. No minimum reported · role: Executive Officer (Adolfo Pena is a Member of the Management Executive Committee of Nephila Capital Ltd., the General Partner of the Issuer.) EDGAR ↗

Raised $163.2M from 53 investors as of the latest filing. Adolfo is listed as executive officer.

Latest filing on EDGAR ↗
Sources

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.

NC
Pooled Investment Fund · group: Group linked by Dawn Griffiths

NEPHILA CATASTROPHE FUND L P

Hamilton, Bermuda (as filed: D0) · Mar 15, 2013
  • Mar 15, 2013 · D/A · $156,052,552 sold of Indefinite · 40 investors · min. No minimum reported · role: Executive Officer (Adolfo Pena is a Member of the Management Executive Committee of Nephila Capital Ltd., the General Partner of the Issuer.) EDGAR ↗

Raised $200.8M from 60 investors as of the latest filing. Adolfo is listed as executive officer.

Latest filing on EDGAR ↗
Sources

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.

KC
Pooled Investment Fund · group: Group linked by Dawn Griffiths

KAIROS CATASTROPHE FUND L.P.

Hamilton, Bermuda (as filed: D0) · Mar 15, 2013
  • Mar 15, 2013 · D · $0 sold of Indefinite · 0 investors · min. No minimum reported · role: Executive Officer (Adolfo Pena is a Member of the Management Executive Committee of Nephila Capital Ltd., the General Partner of the Issuer.) EDGAR ↗

Raised $201.5M from 22 investors as of the latest filing. Adolfo is listed as executive officer.

Latest filing on EDGAR ↗
Sources

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.

JC
Pooled Investment Fund · group: Group linked by Dawn Griffiths

JUNIPER CATASTROPHE FUND LP

Hamilton, Bermuda (as filed: D0) · Mar 15, 2013
  • Mar 15, 2013 · D/A · $76,994,727 sold of Indefinite · 16 investors · min. No minimum reported · role: Executive Officer (Adolfo Pena is a Member of the Management Executive Committee of Nephila Capital Ltd., the General Partner of the Issuer.) EDGAR ↗

Raised $115.7M from 35 investors as of the latest filing. Adolfo is listed as executive officer.

Latest filing on EDGAR ↗
Sources

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.

IC
Pooled Investment Fund · group: Group linked by Dawn Griffiths

IRON CATASTROPHE FUND, LTD.

Hamilton, Bermuda (as filed: D0) · Mar 15, 2013
  • Mar 15, 2013 · D/A · $1,756,889,127 sold of Indefinite · 38 investors · min. $100,000 · role: Executive Officer (Adolfo Pena is a Member of the Management Executive Committee of Nephila Capital Ltd., the Trading Manager of the Issuer.) EDGAR ↗

Raised $3.64B from 107 investors as of the latest filing. Adolfo is listed as executive officer.

Latest filing on EDGAR ↗
Sources

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.

IC
Pooled Investment Fund · group: Group linked by Dawn Griffiths

IRON CATASTROPHE FUND, L.P.

Hamilton, Bermuda (as filed: D0) · Mar 15, 2013
  • Mar 15, 2013 · D/A · $2,027,226 sold of Indefinite · 3 investors · min. No minimum reported · role: Executive Officer (Adolfo Pena is a Member of the Management Executive Committee of Nephila Capital Ltd., the General Partner of the Issuer.) EDGAR ↗

Raised $82.3M from 33 investors as of the latest filing. Adolfo is listed as executive officer.

Latest filing on EDGAR ↗
Sources

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.

People around Adolfo 29

Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.

DG
No photo found yet (own website and image search run after this page is viewed)
Person

Dawn Griffiths

Director · 76 shared filings (11 issuers) · also on 54 other issuers

Dawn Griffiths is on 65 issuers in total — a repeat sponsor. Their page lists every one.

JC
No photo found yet (own website and image search run after this page is viewed)
Person

John Collis

Director · 64 shared filings (10 issuers) · also on 16 other issuers

John Collis is on 26 issuers in total — a repeat sponsor. Their page lists every one.

GS
No photo found yet (own website and image search run after this page is viewed)
Person

Guy Swayne

Director · 31 shared filings (5 issuers) · also on 13 other issuers

Guy Swayne is on 18 issuers in total — a repeat sponsor. Their page lists every one.

SG
No photo found yet (own website and image search run after this page is viewed)
Person

Steven Glassman

Executive Officer, Director, Promoter · 25 shared filings (17 issuers) · also on 4 other issuers

Steven Glassman is on 21 issuers in total — a repeat sponsor. Their page lists every one.

HT
No photo found yet (own website and image search run after this page is viewed)
Person

Helen Thornton

Executive Officer, Director · 24 shared filings (17 issuers) · also on 3 other issuers

Helen Thornton is on 20 issuers in total — a repeat sponsor. Their page lists every one.

LT
No photo found yet (own website and image search run after this page is viewed)
Person

Laura Taylor

Director, Executive Officer · 19 shared filings (18 issuers) · also on 7 other issuers

Laura Taylor is on 25 issuers in total — a repeat sponsor. Their page lists every one.

FM
No photo found yet (own website and image search run after this page is viewed)
Person

Frank Majors

Executive Officer, Director · 18 shared filings (18 issuers) · also on 3 other issuers

Frank Majors is on 21 issuers in total — a repeat sponsor. Their page lists every one.

BS
No photo found yet (own website and image search run after this page is viewed)
Person

Barney Schauble

Director · 17 shared filings (17 issuers) · also on 2 other issuers

Barney Schauble is on 19 issuers in total — a repeat sponsor. Their page lists every one.

PP
No photo found yet (own website and image search run after this page is viewed)
Person

Paul Pereech

Executive Officer · 17 shared filings (17 issuers)

Paul Pereech is on 17 issuers in total — a repeat sponsor. Their page lists every one.

MM
No photo found yet (own website and image search run after this page is viewed)
Person

Maria Marsh

Executive Officer · 17 shared filings (17 issuers)

Maria Marsh is on 17 issuers in total — a repeat sponsor. Their page lists every one.

GH
No photo found yet (own website and image search run after this page is viewed)
Person

Gregory P Hagood

Executive Officer, Director, Promoter · 15 shared filings (15 issuers)

Gregory P Hagood is on 15 issuers in total — a repeat sponsor. Their page lists every one.

JC
No photo found yet (own website and image search run after this page is viewed)
Person

John M Collis

Director · 12 shared filings (1 issuer)

Listed on the same filings as Adolfo Pena. Their page shows their other deals.

JL
No photo found yet (own website and image search run after this page is viewed)
Person

Jessica Laird

Director · 11 shared filings (3 issuers) · also on 5 other issuers

Jessica Laird is on 8 issuers in total — a repeat sponsor. Their page lists every one.

DO
No photo found yet (own website and image search run after this page is viewed)
Person

David Oliveira

Director · 6 shared filings (3 issuers) · also on 2 other issuers

David Oliveira is on 5 issuers in total — a repeat sponsor. Their page lists every one.

JD
No photo found yet (own website and image search run after this page is viewed)
Person

Jean-Paul Dyer

Director · 5 shared filings (1 issuer) · also on 13 other issuers

Jean-Paul Dyer is on 14 issuers in total — a repeat sponsor. Their page lists every one.

WH
No photo found yet (own website and image search run after this page is viewed)
Person

William Heyland

Director · 5 shared filings (1 issuer) · also on 3 other issuers

Listed on the same filings as Adolfo Pena. Their page shows their other deals.

EH
No photo found yet (own website and image search run after this page is viewed)
Person

Elliot Hubbard

Director · 4 shared filings (4 issuers) · also on 8 other issuers

Elliot Hubbard is on 12 issuers in total — a repeat sponsor. Their page lists every one.

GH
No photo found yet (own website and image search run after this page is viewed)
Person

Greg Hagood

Executive Officer, Director · 2 shared filings (2 issuers) · also on 17 other issuers

Greg Hagood is on 19 issuers in total — a repeat sponsor. Their page lists every one.

CP
No photo found yet (own website and image search run after this page is viewed)
Person

Chris Parish

Director · 2 shared filings (2 issuers) · also on 4 other issuers

Chris Parish is on 6 issuers in total — a repeat sponsor. Their page lists every one.

NH
No photo found yet (own website and image search run after this page is viewed)
Person

Neil Horner

Director · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as Adolfo Pena. Their page shows their other deals.

RH
No photo found yet (own website and image search run after this page is viewed)
Person

Rod Harden

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Adolfo Pena. Their page shows their other deals.

PR
No photo found yet (own website and image search run after this page is viewed)
Person

Praveen Reddy

Executive Officer · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as Adolfo Pena. Their page shows their other deals.

KJ
No photo found yet (own website and image search run after this page is viewed)
Person

Kristi Jeffers

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Adolfo Pena. Their page shows their other deals.

PH
No photo found yet (own website and image search run after this page is viewed)
Person

P. Gregory Hagood

Director · 1 shared filing (1 issuer)

Listed on the same filings as Adolfo Pena. Their page shows their other deals.

AO
No photo found yet (own website and image search run after this page is viewed)
Person

Alison Olipant

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Adolfo Pena. Their page shows their other deals.

CP
No photo found yet (own website and image search run after this page is viewed)
Person

Carolyn Parker

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Adolfo Pena. Their page shows their other deals.

CT
No photo found yet (own website and image search run after this page is viewed)
Person

Christopher Thomson

Director · 1 shared filing (1 issuer)

Listed on the same filings as Adolfo Pena. Their page shows their other deals.

PB
No photo found yet (own website and image search run after this page is viewed)
Person

Philip Bowie

Executive Officer, Director · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as Adolfo Pena. Their page shows their other deals.

RV
No photo found yet (own website and image search run after this page is viewed)
Person

Rebecca Vernon

Director · 1 shared filing (1 issuer)

Listed on the same filings as Adolfo Pena. Their page shows their other deals.

The team behind the deals

GL
Sponsor group

Group linked by Dawn Griffiths

37 issuers · 369 filings · $17.97B reported sold · 2009–2026

One team, 37 deal companies. Adolfo Pena is listed on 20 of them.

Sources

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 Adolfo Pena.

V
Sponsor group

Velocity

2 issuers · 5 filings · $130.6M reported sold · 2018–2023

One team, 2 deal companies. Adolfo Pena is listed on 1 of them.

Sources

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 Adolfo Pena.

Same business address

24 other issuers file from the same address

A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.

Registrations and other filings

Business registration (state registry / Secretary of State)

Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. 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).

Adviser registration (Form ADV)

None of the 21 issuers this person is listed on appears in Form ADV (searched 24,962 advisers as of Oct 2, 2026). A person is never an adviser firm; Form ADV is checked for the issuers and the management companies they are listed with.

Other offering types (Regulation A and Regulation Crowdfunding)

Searched SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.

Property records none — individuals are not matched

Property records are matched to companies only, never to individuals, so none are matched to Adolfo Pena by design. 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 21 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Adolfo Pena is listed on: none on file. No website or social profile named in IRON CATASTROPHE FUND, LTD.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #51,532 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓

Look further

One-tap searches on sites we do not index ourselves, with the name pre-filled (Hamilton, D0). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

LinkedIn people search ↗Instagram ↗X (Twitter) ↗Facebook ↗YouTube ↗Google ↗Google Images ↗Google News ↗Meta Ad Library ↗

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗Davidson County TN Circuit Court Clerk case search ↗

Securities regulators

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

Business registries

Tennessee Secretary of State business search ↗OpenCorporates ↗

Change history

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