Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:55 AM ET

Sponsor Check › Person

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

Alan Gerstein

Named as an officer, director or promoter on SEC Form D filings · NY · Jan 30, 2015 → Jul 15, 2019

6deals (issuers)

$1Breported sold

254investors

20Form D filings

2015–2019years on file

Follow this person Look further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:33 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Alan Gerstein is listed as a director on 20 SEC Form D filings by 6 issuers between Jan 2015 and Jul 2019. Largest by amount reported sold: BlueMountain Global Volatility Fund Ltd. (New York, NY — pooled investment fund — 2015–2019; $299.6M reported sold to 32 investors), BlueMountain Global Volatility Fund L.P. (New York, NY — pooled investment fund — 2015–2019; $282.7M reported sold to 22 investors), BlueMountain Long/Short Equity Fund Ltd. (New York, NY — pooled investment fund — 2015–2017; $168.7M reported sold to 14 investors), BlueMountain Long/Short Equity Fund L.P. (New York, NY — pooled investment fund — 2015–2017; $150.1M reported sold to 96 investors), BlueMountain Summit Opportunities Fund II (US) L.P. (New York, NY — pooled investment fund — 2015; $76.6M reported sold to 68 investors) and 1 more (all listed below).

What this means A repeat sponsor — 6 separate companies raised money with this person listed as director, over about 4 years. Across those companies the filings report $1B sold in total.

Listed alongside Gary Linford (20 shared filings), BlueMountain Capital Management, LLC (19 shared filings, management entity), Mark Shapiro (16 shared filings), Andrew Feldstein (14 shared filings), Elizabeth Gile (10 shared filings) and 6 others.

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

All 6 issuers belong to the sponsor group Bluemountain (16 issuers, $7.73B reported sold, 2012–2019).

What this means A sponsor group is one team that sets up a new company for each deal. Bluemountain has 16 companies on file and $7.73B 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 (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) — 7 court cases matching the name, 1 SEC release, 1 state regulator order, 4 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 20 public filings for Alan Gerstein and found 6 differences, 2 worth asking the sponsor about: Regulator action naming a team member: Mark David Shapiro (CPA) (Sep 12, 2008); 4 Form Ds were filed more than 15 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.

What the community is saying

Community search for Alan Gerstein has not run yet — it is joining a line of 43,429 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

7 cases: 2 closed (disposition not in docket feed), 5 dismissed

Gerstein v. Equifax Information Services LLC closed

District Court, N.D. Georgia · No. 1:17-cv-05048 · Filed Dec 11, 2017 · Closed Feb 20, 2019 · Nature of suit: 190 Contract: Other · Cause: 28:1332 Diversity-Breach of Fiduciary Duty

Role of Gerstein: Plaintiff · Outcome: Terminated 2019-02-20 — FJC Integrated Database disposition: Statistical closing Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 17 federal dockets); surname only in the caption; court in GA (not a filing state)

Gerstein v. Equifax Information Services LLC closed

District Court, S.D. Ohio · No. 1:17-cv-00593 · Filed Sep 8, 2017 · Closed Dec 11, 2017 · Nature of suit: 890 Other Statutory Actions · Cause: 15:1681 Fair Credit Reporting Act

Role of Gerstein: Plaintiff · Outcome: Terminated 2017-12-11 — FJC Integrated Database disposition: Multi-district litigation transfer Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 17 federal dockets); surname only in the caption; court in OH (not a filing state)

Gerstein v. Equifax Credit Information Services dismissed

District Court, N.D. Illinois · No. 1:16-cv-08878 · Filed Sep 13, 2016 · Closed Oct 24, 2016 · Nature of suit: 890 Other statutory actions

Role of Gerstein: Plaintiff · Outcome: Terminated 2016-10-24 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 17 federal dockets); surname only in the caption; court in IL (not a filing state)

Gerstein v. Financial Management Services, Inc. dismissed

District Court, E.D. New York · No. 2:11-cv-04355 · Filed Sep 9, 2011 · Closed Jul 24, 2012 · Nature of suit: 480 Consumer credit

Role of Gerstein: Plaintiff · Outcome: Terminated 2012-07-24 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 17 federal dockets); surname only in the caption; court in the person's filing state (NY)

Gerstein v. I.C. Systems, Inc. dismissed

District Court, E.D. New York · No. 2:11-cv-02097 · Filed Apr 25, 2011 · Closed Jan 3, 2012 · Nature of suit: 480 Consumer credit

Role of Gerstein: Plaintiff · Outcome: Terminated 2012-01-03 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 17 federal dockets); surname only in the caption; court in the person's filing state (NY)

Hurwitz v. Gerstein Grayson, LLP dismissed

District Court, E.D. New York · No. 1:06-cv-01163 · Filed Mar 15, 2006 · Closed May 10, 2006 · Nature of suit: 480 Consumer credit

Role of Gerstein Grayson, LLP: Defendant · Outcome: Terminated 2006-05-10 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 17 federal dockets); surname only in the caption; court in the person's filing state (NY)

JBF CORPORATION v. JEROLD D. GERSTEIN dismissed

District Court, D. New Jersey · No. 1:95-cv-00327 · Filed Jan 20, 1995 · Closed Feb 1, 1996 · Nature of suit: 380 Other personal property damage

Role of JEROLD D. GERSTEIN: Defendant · Outcome: Terminated 1996-02-01 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 17 federal dockets); different first name (jerold); court in NJ (not a filing state)

What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:33 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

1 SEC release; 1 state regulator order

Individuals Suspended FINRA · Financial Industry Regulatory Authority (FINRA)

Order date Jul 20, 2023 · Regulator: Financial Industry Regulatory Authority (FINRA) · Parties (regulator's caption): Robert Spencer Gerstein (CRD #840752, Boca Raton, Florida)

As listed by the regulator: An AWC was issued in which Gerstein was assessed a deferred fine of $5,000, suspended from association with any FINRA member in all capacity for six months and ordered to pay $129,496, plus interest, in deferred restitution to customers. Without admitting or denying the findings, Gerstein consented to the sanctions and to the entry of findings that he engaged in short-term trading in securities intended to be held long-term. The suspension is in effect from August 7, 2023, through February 6, 2024. Order / docket ↗ Regulator's list ↗

same rare surname (5 people in Form D filings); different first name (spencer); nationwide regulator (FINRA) — the state is not a signal

Clif Goldstein, formerly known as Clifford Dixon Noe, Paul Howe Noe, also known as Paul Noe Randall, Carolyn M. Kaplan, Noel Alelov, Russell B. Gerstein, Nuell W. Paschal, Great American Trust Company, Inc., and Great American Trust Corporation, Inc. Litigation release

SEC · Feb 14, 2002 · Parties as named in the release: Clif Goldstein, formerly known as Clifford Dixon Noe, Paul Howe Noe, also known as Paul Noe Randall, Carolyn M. Kaplan, Noel Alelov, Russell B. Gerstein, Nuell W. Paschal, Great American Trust Company, Inc., and Great American Trust Corporation, Inc. Read the release ↗

same rare surname (5 people in Form D filings); different first name (russell)

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 Alan Gerstein..

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

4 cases: 4 closed (disposition not in docket feed)

Richard S. Gerstein closed

United States Bankruptcy Court, D. Maryland · No. 01-67917 · Filed Nov 21, 2001 · Closed Jul 9, 2002

Role of Richard S. Gerstein: Debtor · Outcome: Case closed 2002-07-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 17 federal dockets); different first name (richard); court in MD (not a filing state)

Michael A Gerstein and Hillary Gerstein closed

United States Bankruptcy Court, N.D. Illinois · No. 99-36723 · Filed Nov 26, 1999 · Closed Mar 17, 2000

Role of Michael A Gerstein and Hillary Gerstein: Debtor · Outcome: Case closed 2000-03-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 17 federal dockets); different first name (michael); court in IL (not a filing state)

Richard C. Breeden, Esq. v. Gerstein closed

United States Bankruptcy Court, N.D. New York · No. 98-53013 · Filed Mar 26, 1998 · Closed Aug 22, 2000

Role of Gerstein: Defendant · Outcome: Case closed 2000-08-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 17 federal dockets); surname only in the caption; court in the person's filing state (NY)

Richard C. Breeden, Esq. v. Gerstein closed

United States Bankruptcy Court, N.D. New York · No. 98-50319 · Filed Mar 25, 1998 · Closed Mar 17, 2005

Role of Gerstein: Defendant · Outcome: Case closed 2005-03-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 17 federal dockets); surname only in the caption; court in the person's filing state (NY)

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, 2:33 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.

4. Differences between public sources

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

6 differences found between the filings for Alan Gerstein — 2 worth asking about (compared 20 filings on Oct 24, 2026)

Worth asking · Sep 12, 2008

Regulator action naming a team member: Mark David Shapiro (CPA) (Sep 12, 2008)

A ap release dated Sep 12, 2008 names Mark Shapiro (listed on the same filings). Our match estimate: 70%. The release is the source; we do not summarize its outcome here.

What this means A regulator filed or announced an action naming this person or company (or someone on the same filings). Read the release; ask the sponsor what it was and how it ended.

Mark David Shapiro (CPA) ↗Mark Shapiro — PartnerFacts page ↗

Sources

Mark David Shapiro (CPA) ↗ (Sep 12, 2008)
Mark Shapiro — PartnerFacts page ↗

Note · Mar 25, 1998 – Mar 17, 2005

Bankruptcy case: Richard C. Breeden, Esq. v. Gerstein — filed Mar 25, 1998

United States Bankruptcy Court, N.D. New York docket "Richard C. Breeden, Esq. v. Gerstein" filed Mar 25, 1998, closed Mar 17, 2005. Alan Gerstein is listed as Defendant ("Gerstein"). Our match estimate: 65%.

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

Docket · United States Bankruptcy Court, N.D. New York ↗

Sources

Docket · United States Bankruptcy Court, N.D. New York ↗ (Mar 25, 1998)

Note · Mar 26, 1998 – Aug 22, 2000

Bankruptcy case: Richard C. Breeden, Esq. v. Gerstein — filed Mar 26, 1998

United States Bankruptcy Court, N.D. New York docket "Richard C. Breeden, Esq. v. Gerstein" filed Mar 26, 1998, closed Aug 22, 2000. Alan Gerstein is listed as Defendant ("Gerstein"). Our match estimate: 65%.

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

Docket · United States Bankruptcy Court, N.D. New York ↗

Sources

Docket · United States Bankruptcy Court, N.D. New York ↗ (Mar 26, 1998)

Note · Mar 15, 2006 – Sep 9, 2011

3 court cases name Alan Gerstein — 1 as defendant

By role: plaintiff in 2, defendant in 1. Newest: "Gerstein v. Financial Management Services, Inc." (District Court, E.D. New York, Sep 9, 2011); "Gerstein v. I.C. Systems, Inc." (District Court, E.D. New York, Apr 25, 2011); "Hurwitz v. Gerstein Grayson, LLP" (District Court, E.D. New York, Mar 15, 2006). Some of these are name matches with a match estimate below 95% — check each docket.

What this means Several court cases name this subject. Some are routine business suits. Ask what each was about and how it ended.

Docket · Gerstein v. Financial Management Services, Inc. ↗Docket · Gerstein v. I.C. Systems, Inc. ↗Docket · Hurwitz v. Gerstein Grayson, LLP ↗

Sources

Docket · Gerstein v. Financial Management Services, Inc. ↗ (Sep 9, 2011)
Docket · Gerstein v. I.C. Systems, Inc. ↗ (Apr 25, 2011)
Docket · Hurwitz v. Gerstein Grayson, LLP ↗ (Mar 15, 2006)

Worth asking · Mar 1, 2007 – Nov 30, 2015

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

Form D filed 2,892 days after the first sale — BlueMountain Global Volatility Fund L.P. · Form D filed 3,196 days after the first sale — BlueMountain Global Volatility Fund Ltd. · Form D filed 289 days after the first sale — BlueMountain Long/Short Equity Fund Ltd. · Form D filed 1,477 days after the first sale — BlueMountain Long/Short Equity Fund L.P.

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

Form D · Nov 30, 2015 ↗BlueMountain Global Volatility Fund L.P. — PartnerFacts page ↗Form D · Nov 30, 2015 ↗BlueMountain Global Volatility Fund Ltd. — PartnerFacts page ↗

Sources

Form D · Nov 30, 2015 ↗ (Nov 30, 2015)
BlueMountain Global Volatility Fund L.P. — PartnerFacts page ↗ (Jul 15, 2019)
Form D · Nov 30, 2015 ↗ (Nov 30, 2015)
BlueMountain Global Volatility Fund Ltd. — PartnerFacts page ↗ (Jul 15, 2019)
Form D · Jul 17, 2015 ↗ (Jul 17, 2015)
BlueMountain Long/Short Equity Fund Ltd. — PartnerFacts page ↗ (Jul 14, 2017)
Form D · Jul 17, 2015 ↗ (Jul 17, 2015)
BlueMountain Long/Short Equity Fund L.P. — PartnerFacts page ↗ (Jul 14, 2017)

Note · Mar 1, 2007 – Jul 15, 2019

6 offerings have no amendment in the last 12 months and may still be open

No amendment in the last 12 months on an offering that may still be open — BlueMountain Global Volatility Fund Ltd. (latest filing Jul 15, 2019) · No amendment in the last 12 months on an offering that may still be open — BlueMountain Global Volatility Fund L.P. (latest filing Jul 15, 2019) · No amendment in the last 12 months on an offering that may still be open — BlueMountain Long/Short Equity Fund Ltd. (latest filing Jul 14, 2017) · No amendment in the last 12 months on an offering that may still be open — BlueMountain Long/Short Equity Fund L.P. (latest filing Jul 14, 2017) · No amendment in the last 12 months on an offering that may still be open — BlueMountain Summit Opportunities Fund II (Cayman) L.P. (latest filing Aug 18, 2015) · and 1 more

What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.

Form D/A · Jul 15, 2019 ↗BlueMountain Global Volatility Fund Ltd. — PartnerFacts page ↗Form D/A · Jul 15, 2019 ↗BlueMountain Global Volatility Fund L.P. — PartnerFacts page ↗

Sources

Form D/A · Jul 15, 2019 ↗ (Jul 15, 2019)
BlueMountain Global Volatility Fund Ltd. — PartnerFacts page ↗ (Jul 15, 2019)
Form D/A · Jul 15, 2019 ↗ (Jul 15, 2019)
BlueMountain Global Volatility Fund L.P. — PartnerFacts page ↗ (Jul 15, 2019)
Form D/A · Jul 14, 2017 ↗ (Jul 14, 2017)
BlueMountain Long/Short Equity Fund Ltd. — PartnerFacts page ↗ (Jul 14, 2017)
Form D/A · Jul 14, 2017 ↗ (Jul 14, 2017)
BlueMountain Long/Short Equity Fund L.P. — PartnerFacts page ↗ (Jul 14, 2017)

What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. As of Oct 24, 2026.

5. Money to insiders

3 of 6 offerings report sales commissions totalling $10,847,300; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)

Offering (latest filing)	Sales commissions	Finder's fees	To insiders	Paid to sell it	Source
Jul 15, 2019 D/A BlueMountain Global Volatility Fund Ltd. File 021-252101	$10,740,375 (est.)	$0 (est.)	$0 (est.) The Investment Manager receives a monthly management fee based on net asset value as set forth in the offering materials.	BUTLER CAPITAL INVESTMENTS, LLC BrokerCheck CRD 114242 ↗	EDGAR ↗
Jul 15, 2019 D/A BlueMountain Global Volatility Fund L.P. File 021-252104	$2,792 (est.)	$0 (est.)	$0 (est.) The Investment Manager receives a monthly management fee based on net asset value and the General Partner receives a performance allocation as set forth in the offering materials.	BUTLER CAPITAL INVESTMENTS, LLC BrokerCheck CRD 114242 ↗	EDGAR ↗
Jul 14, 2017 D/A BlueMountain Long/Short Equity Fund L.P. File 021-243963	$104,133 (est.)	$0 (est.)	$0 (est.) The Investment Manager receives a monthly management fee based on net asset value and the General Partner receives a performance allocation as set forth in the offering materials.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED BrokerCheck CRD 7691 ↗	EDGAR ↗
Jul 14, 2017 D/A BlueMountain Long/Short Equity Fund Ltd. File 021-243964	$0 (est.)	$0 (est.)	$0 (est.) The Investment Manager receives a monthly management fee base on net asset value and BlueMountain Long/Short Equity GP, LLC receives a performance allocation as set forth in the offering materials.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED BrokerCheck CRD 7691 ↗	EDGAR ↗
Aug 18, 2015 D/A BlueMountain Summit Opportunities Fund II (US) L.P. File 021-233208	$0 (est.)	$0 (est.)	$0 (est.) The Investment Manager may receive a quarterly management fee based on net asset value.	UBS Financial Services Inc. BrokerCheck CRD 8174 ↗	EDGAR ↗
Aug 18, 2015 D/A BlueMountain Summit Opportunities Fund II (Cayman) L.P. File 021-233210	$0 (est.)	$0 (est.)	$0 (est.) The Investment Manager may receive a quarterly management fee based on net asset value.	UBS Financial Services Inc. BrokerCheck CRD 8174 ↗	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 6

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

Pooled Investment Fund · group: Bluemountain

BlueMountain Global Volatility Fund Ltd.

New York, NY · Nov 30, 2015 → Jul 15, 2019 · 5 filings

Jul 15, 2019 · D/A · $299,559,820 sold of Indefinite · 32 investors · min. $100,000 · role: Director EDGAR ↗
Jul 16, 2018 · D/A · $299,559,820 sold of Indefinite · 32 investors · min. $100,000 · role: Director EDGAR ↗
Jul 14, 2017 · D/A · $299,559,820 sold of Indefinite · 32 investors · min. $100,000 · role: Director EDGAR ↗
Jul 15, 2016 · D/A · $224,559,820 sold of Indefinite · 31 investors · min. $100,000 · role: Director EDGAR ↗
Nov 30, 2015 · D · $224,559,820 sold of Indefinite · 31 investors · min. $100,000 · role: Director EDGAR ↗

Raised $299.6M from 32 investors as of the latest filing. Alan 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.

Pooled Investment Fund · group: Bluemountain

BlueMountain Global Volatility Fund L.P.

New York, NY · Nov 30, 2015 → Jul 15, 2019 · 5 filings

Jul 15, 2019 · D/A · $282,690,839 sold of Indefinite · 22 investors · min. No minimum reported · role: Director (Member of the Board of Managers of the General Partner) EDGAR ↗
Jul 16, 2018 · D/A · $282,690,839 sold of Indefinite · 22 investors · min. No minimum reported · role: Director (Member of the Board of Managers of the General Partner) EDGAR ↗
Jul 14, 2017 · D/A · $182,690,839 sold of Indefinite · 22 investors · min. No minimum reported · role: Director (Member of the Board of Managers of the General Partner) EDGAR ↗
Jul 15, 2016 · D/A · $32,190,839 sold of Indefinite · 21 investors · min. No minimum reported · role: Director (Member of the Board of Managers of the General Partner) EDGAR ↗
Nov 30, 2015 · D · $31,800,534 sold of Indefinite · 21 investors · min. No minimum reported · role: Director (Member of the Board of Managers of the General Partner) EDGAR ↗

Raised $282.7M from 22 investors as of the latest filing. Alan is listed as director on 5 filings for this deal.

Latest filing on EDGAR ↗

Sources

Pooled Investment Fund · group: Bluemountain

BlueMountain Long/Short Equity Fund Ltd.

New York, NY · Jul 17, 2015 → Jul 14, 2017 · 3 filings

Jul 14, 2017 · D/A · $168,680,136 sold of Indefinite · 14 investors · min. $100,000 · role: Director EDGAR ↗
Jul 15, 2016 · D/A · $164,608,136 sold of Indefinite · 11 investors · min. $100,000 · role: Director EDGAR ↗
Jul 17, 2015 · D · $25,158,136 sold of Indefinite · 4 investors · min. $100,000 · role: Director EDGAR ↗

Raised $168.7M from 14 investors as of the latest filing. Alan is listed as director on 3 filings for this deal.

Latest filing on EDGAR ↗

Sources

Pooled Investment Fund · group: Bluemountain

BlueMountain Long/Short Equity Fund L.P.

New York, NY · Jul 17, 2015 → Jul 14, 2017 · 3 filings

Jul 14, 2017 · D/A · $150,124,645 sold of Indefinite · 96 investors · min. No minimum reported · role: Director EDGAR ↗
Jul 15, 2016 · D/A · $132,501,159 sold of Indefinite · 42 investors · min. No minimum reported · role: Director EDGAR ↗
Jul 17, 2015 · D · $73,066,200 sold of Indefinite · 31 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $150.1M from 96 investors as of the latest filing. Alan is listed as director on 3 filings for this deal.

Latest filing on EDGAR ↗

Sources

Pooled Investment Fund · group: Bluemountain

BlueMountain Summit Opportunities Fund II (Cayman) L.P.

New York, NY · Jan 30, 2015 → Aug 18, 2015 · 2 filings

Aug 18, 2015 · D/A · $24,940,500 sold of Indefinite · 22 investors · min. $100,000 · role: Director (Member of Board of Managers of General Partner) EDGAR ↗
Jan 30, 2015 · D · $20,700,000 sold of Indefinite · 5 investors · min. $100,000 · role: Director (Member of Board of Managers of General Partner) EDGAR ↗

Raised $24.9M from 22 investors as of the latest filing. Alan is listed as director on 2 filings for this deal.

Latest filing on EDGAR ↗

Sources

Pooled Investment Fund · group: Bluemountain

BlueMountain Summit Opportunities Fund II (US) L.P.

New York, NY · Jan 30, 2015 → Aug 18, 2015 · 2 filings

Aug 18, 2015 · D/A · $76,600,000 sold of Indefinite · 68 investors · min. No minimum reported · role: Director (Member of Board of Managers of General Partner) EDGAR ↗
Jan 30, 2015 · D · $51,675,000 sold of Indefinite · 24 investors · min. No minimum reported · role: Director (Member of Board of Managers of General Partner) EDGAR ↗

Raised $76.6M from 68 investors as of the latest filing. Alan is listed as director on 2 filings for this deal.

Latest filing on EDGAR ↗

Sources

People around Alan 11

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

Management entity

BlueMountain Capital Management, LLC

Executive Officer · 19 shared filings (6 issuers) · also on 9 other issuers

BlueMountain Capital Management, LLC is on 15 issuers in total — a repeat sponsor. Their page lists every one.

Management entity