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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:59 AM ET

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Andrew J Small

Named as an officer, director or promoter on SEC Form D filings · NY · Mar 3, 2009 → Jan 19, 2017

6deals (issuers)
$7.41Breported sold
2,043investors
44Form D filings
2009–2017years on file

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:17 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Andrew J Small is listed as an executive officer on 44 SEC Form D filings by 6 issuers between Mar 2009 and Jan 2017. Largest by amount reported sold: ARCHSTONE OFFSHORE FUND LTD (Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2016–2017; $3.33B reported sold to 561 investors), ARCHSTONE PARTNERS LP (New York, NY — pooled investment fund — 2010–2017; $2.3B reported sold to 674 investors), AP OPPORTUNITIES FUND LP (New York, NY — pooled investment fund — 2010–2017; $651.1M reported sold to 371 investors), ARCHSTONE ABSOLUTE RETURN STRATEGIES FUND, LTD. (Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2015–2017; $532.2M reported sold to 98 investors), Archstone Equity Strategies Fund LP (New York, NY — pooled investment fund — 2009–2017; $304.8M reported sold to 170 investors) and 1 more (all listed below).

What this means A repeat sponsor — 6 separate companies raised money with this person listed as executive officer, over about 8 years. Across those companies the filings report $7.41B sold in total.

Listed alongside Alfred J Shuman (44 shared filings), Joseph Pignatelli, Jr (44 shared filings), David R Parker (39 shared filings), Rinarisa Coronel DeFronze (22 shared filings) and David Bree (5 shared filings).

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

All 6 issuers belong to the sponsor group Archstone (9 issuers, $7.84B reported sold, 2009–2017).

What this means A sponsor group is one team that sets up a new company for each deal. Archstone has 9 companies on file and $7.84B 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) — 10 bankruptcy cases matching the name listed in Key records below.

What this means 10 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 44 public filings for Andrew J Small and found 10 differences, 3 worth asking the sponsor about: Bankruptcy case: Andrew J. Small and Mary K. Bingham-Small; 5 offerings reported less sold on a later filing than an earlier one; 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 Andrew J Small has not run yet — it is joining a line of 44,768 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, 2:17 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 Andrew J Small..

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

10 cases: 10 closed (disposition not in docket feed)

Andrew J. Small closed
United States Bankruptcy Court, N.D. Illinois · No. 15-82468 · Filed Sep 30, 2015 · Closed Jan 4, 2016
Role of Andrew J. Small: Debtor · Outcome: Case closed 2016-01-04 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 14 federal dockets); 3 people with this name in Form D filings; court in IL (not a filing state)
Andrew P. Small and Mary E. Small closed
United States Bankruptcy Court, D. Massachusetts · No. 13-14637 · Filed Aug 2, 2013 · Closed Nov 7, 2018
Role of Andrew P. Small and Mary E. Small: Debtor · Outcome: Case closed 2018-11-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 14 federal dockets); 3 people with this name in Form D filings; court in MA (not a filing state); middle initial differs
Andrew B. Small and Ellen C. Small closed
United States Bankruptcy Court, M.D. Pennsylvania · No. 1:13-bk-00745 · Filed Feb 15, 2013 · Closed Aug 21, 2013
Role of Andrew B. Small and Ellen C. Small: Debtor · Outcome: Case closed 2013-08-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 14 federal dockets); 3 people with this name in Form D filings; court in PA (not a filing state); middle initial differs
Andrew T. Small closed
United States Bankruptcy Court, W.D. Texas · No. 12-12674 · Filed Nov 30, 2012 · Closed Mar 1, 2013
Role of Andrew T. Small: Debtor · Outcome: Case closed 2013-03-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 14 federal dockets); 3 people with this name in Form D filings; court in TX (not a filing state); middle initial differs
Andrew P. Small and Mary E. Small closed
United States Bankruptcy Court, D. Massachusetts · No. 06-12760 · Filed Aug 16, 2006 · Closed Jun 4, 2008
Role of Andrew P. Small and Mary E. Small: Debtor · Outcome: Case closed 2008-06-04 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 14 federal dockets); 3 people with this name in Form D filings; court in MA (not a filing state); middle initial differs
Andrew L. Small closed
United States Bankruptcy Court, N.D. Iowa · No. 04-01843 · Filed May 11, 2004 · Closed Aug 18, 2004
Role of Andrew L. Small: Debtor · Outcome: Case closed 2004-08-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 14 federal dockets); 3 people with this name in Form D filings; court in IA (not a filing state); middle initial differs
Andrew J. Small and Mary K. Bingham-Small closed
United States Bankruptcy Court, W.D. New York · No. 1-04-13209 · Filed May 3, 2004 · Closed Aug 16, 2004
Role of Andrew J. Small and Mary K. Bingham-Small: Debtor · Outcome: Case closed 2004-08-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 14 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (NY)
Andrew M. Small closed
United States Bankruptcy Court, W.D. Texas · No. 02-55663 · Filed Nov 15, 2002 · Closed Feb 26, 2003
Role of Andrew M. Small: Debtor · Outcome: Case closed 2003-02-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 14 federal dockets); 3 people with this name in Form D filings; court in TX (not a filing state); middle initial differs
Andrew P. Small and Mary E. Small closed
United States Bankruptcy Court, D. Massachusetts · No. 90-11429 · Filed Mar 26, 1990 · Closed Jul 23, 1991
Role of Andrew P. Small and Mary E. Small: Debtor · Outcome: Case closed 1991-07-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 14 federal dockets); 3 people with this name in Form D filings; court in MA (not a filing state); middle initial differs
Andrew J. Small closed
United States Bankruptcy Court, D. Connecticut · No. 87-20538 · Filed May 18, 1987 · Closed Aug 31, 1987
Role of Andrew J. Small: Debtor · Outcome: Case closed 1987-08-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 14 federal dockets); 3 people with this name in Form D filings; court in CT (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, 2:17 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

10 differences found between the filings for Andrew J Small — 3 worth asking about (compared 44 filings on Oct 24, 2026)

Worth asking · May 3, 2004 – Aug 16, 2004

Bankruptcy case: Andrew J. Small and Mary K. Bingham-Small — filed May 3, 2004

United States Bankruptcy Court, W.D. New York docket "Andrew J. Small and Mary K. Bingham-Small" filed May 3, 2004, closed Aug 16, 2004. Andrew J Small is listed as Debtor ("Andrew J. Small and Mary K. Bingham-Small"). Our match estimate: 44%.

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.

Sources
Worth asking · Jan 20, 2012 – Jan 19, 2017

5 offerings reported less sold on a later filing than an earlier one

Amount sold went down between filings — ARCHSTONE PARTNERS II LP · Amount sold went down between filings — ARCHSTONE PARTNERS II LP · Amount sold went down between filings — ARCHSTONE PARTNERS LP · Amount sold went down between filings — ARCHSTONE PARTNERS LP · Amount sold went down between filings — AP OPPORTUNITIES FUND LP

What this means Amounts sold normally only go up. Ask the sponsor what happened on each.

Sources
Worth asking · Mar 24, 2009 – Jan 19, 2017

8 offerings reported fewer investors on a later filing

Investor count went down between filings — ARCHSTONE PARTNERS II LP · Investor count went down between filings — ARCHSTONE PARTNERS LP · Investor count went down between filings — Archstone Equity Strategies Fund LP · Investor count went down between filings — AP OPPORTUNITIES FUND LP · Investor count went down between filings — ARCHSTONE PARTNERS LP · and 3 more

What this means Investor counts normally only grow. Ask the sponsor what happened on each.

Sources
Note · Jan 1, 1991 – Jan 19, 2017

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 — ARCHSTONE PARTNERS LP (latest filing Jan 19, 2017) · No amendment in the last 12 months on an offering that may still be open — ARCHSTONE OFFSHORE FUND LTD (latest filing Jan 19, 2017) · No amendment in the last 12 months on an offering that may still be open — Archstone Equity Strategies Fund LP (latest filing Jan 19, 2017) · No amendment in the last 12 months on an offering that may still be open — ARCHSTONE ABSOLUTE RETURN STRATEGIES FUND, LTD. (latest filing Jan 19, 2017) · No amendment in the last 12 months on an offering that may still be open — AP OPPORTUNITIES FUND LP (latest filing Jan 19, 2017) · 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.

Sources
Note · Feb 6, 2013 – Jan 24, 2014

Minimum investment changed between filings — ARCHSTONE PARTNERS LP

The Feb 6, 2013 filing lists a minimum of $0; the Jan 24, 2014 Form D/A lists $100,000.

What this means A different minimum usually means the offering terms changed. Check which terms apply to you.

Sources
Note · Feb 6, 2013 – Jan 24, 2014

Minimum investment changed between filings — AP OPPORTUNITIES FUND LP

The Feb 6, 2013 filing lists a minimum of $0; the Jan 24, 2014 Form D/A lists $100,000.

What this means A different minimum usually means the offering terms changed. Check which terms apply to you.

Sources
Note · Mar 3, 2009 – Mar 24, 2009

Minimum investment changed between filings — Archstone Equity Strategies Fund LP

The Mar 3, 2009 filing lists a minimum of $1,000,000; the Mar 24, 2009 Form D/A lists $100,000.

What this means A different minimum usually means the offering terms changed. Check which terms apply to you.

Sources
Note · Mar 3, 2009 – Jan 22, 2015

Andrew J Small is written 2 different ways on the filings

listed as "Andrew J. Small" on 39 filings (from Mar 3, 2009), and "Andrew Small" on 5 filings (from Jan 22, 2015).

What this means Same person, written differently — a middle name or suffix left off, or spelled another way. It is normal, but check that the full legal name matches your subscription documents.

Sources
Note · Aug 23, 2023 – Oct 13, 2026

Same name, different state: "Andrew Small" (C3) is a separate record

This page covers filings where the address state is NY. A separate record, "Andrew Small" with address state C3, is listed on 3 filings — most recently by Graphene Manufacturing Group Ltd. (Oct 13, 2026). The two records do not overlap in time: this page runs Mar 3, 2009 to Jan 19, 2017; the other runs Aug 23, 2023 to Oct 13, 2026.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

Sources
Note · Feb 18, 2022

Same name, different state: "ANDREW SMALL" (TX) is a separate record

This page covers filings where the address state is NY. A separate record, "ANDREW SMALL" with address state TX, is listed on 1 filing — most recently by DECATUR WAREHOUSE, LLC (Feb 18, 2022). The two records do not overlap in time: this page runs Mar 3, 2009 to Jan 19, 2017; the other has one filing dated Feb 18, 2022.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

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. As of Oct 24, 2026.

5. Money to insiders

6 of 6 offerings report sales commissions totalling $6,540,554; 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
Jan 19, 2017 D/A
Archstone Equity Strategies Fund LP
File 021-68459
$6,529 (est.)$0$0 (est.)
CONTINUED FROM ITEM #15...thereafter the fees were paid by A.P. Management Company, LLC, the Investment Manager of the Issuer.
"Morgan Keegan and Company, Inc. (""MK&C"")" BrokerCheck CRD 4161 ↗
via "Morgan Keegan and Company, Inc. (""MK&C"")" (CRD 4161 ↗)

"RAYMOND JAMES & ASSOCIATES, INC. (""RJ&A"")" BrokerCheck CRD 705 ↗
via "RAYMOND JAMES & ASSOCIATES, INC. (""RJ&A"")" (CRD 705 ↗)
EDGAR ↗
Jan 19, 2017 D/A
ARCHSTONE PARTNERS II LP
File 021-123416
$71,022 (est.)$0$0 (est.)Morgan Keegan and Company, Inc. BrokerCheck CRD 4161 ↗
via Morgan Keegan and Company, Inc. (CRD 4161 ↗)

RAYMOND JAMES & ASSOCIATES, INC. BrokerCheck CRD 705 ↗
via RAYMOND JAMES & ASSOCIATES, INC. (CRD 705 ↗)
EDGAR ↗
Jan 19, 2017 D/A
ARCHSTONE PARTNERS LP
File 021-87161-3N
$2,494,978 (est.)$0$0 (est.)
CONTINUED FROM ITEM #15...and thereafter the fees were paid by Archstone Management Co LLC, the Investment Manager/General Partner of the Issuer.
"Morgan Keegan and Company, Inc. (""MK&C"")" BrokerCheck CRD 4161 ↗
via "Morgan Keegan and Company, Inc. (""MK&C"")" (CRD 4161 ↗)

"RAYMOND JAMES & ASSOCIATES, INC. (""RJ&A"")" BrokerCheck CRD 705 ↗
via "RAYMOND JAMES & ASSOCIATES, INC. (""RJ&A"")" (CRD 705 ↗)
EDGAR ↗
Jan 19, 2017 D/A
AP OPPORTUNITIES FUND LP
File 021-127600
$749,196 (est.)$0$0 (est.)
CONTINUED FROM ITEM #15...and thereafter the fees were paid by A.P. Management Company, LLC, the Investment Manager of the Issuer.
"Morgan Keegan and Company, Inc. (""MK&C"")" BrokerCheck CRD 4161 ↗
via "Morgan Keegan and Company, Inc. (""MK&C"")" (CRD 4161 ↗)

"RAYMOND JAMES & ASSOCIATES, INC. (""RJ&A"")" BrokerCheck CRD 705 ↗
via "RAYMOND JAMES & ASSOCIATES, INC. (""RJ&A"")" (CRD 705 ↗)
EDGAR ↗
Jan 19, 2017 D/A
ARCHSTONE ABSOLUTE RETURN STRATEGIES FUND, LTD.
File 021-41286
$320,013 (est.)$0$0 (est.)"Morgan Keegan and Company, Inc. (""MK&C"")" BrokerCheck CRD 4161 ↗
via "Morgan Keegan and Company, Inc. (""MK&C"")" (CRD 4161 ↗)

"RAYMOND JAMES & ASSOCIATES, INC. (""RJ&A"")" BrokerCheck CRD 705 ↗
via "RAYMOND JAMES & ASSOCIATES, INC. (""RJ&A"")" (CRD 705 ↗)
EDGAR ↗
Jan 19, 2017 D/A
ARCHSTONE OFFSHORE FUND LTD
File 021-41289
$2,898,816 (est.)$0$0 (est.)
CONTINUED FROM ITEM #15...and thereafter the fees were paid by A.P. Management Company, LLC, the Investment Manager of the Issuer.
"Morgan Keegan and Company, Inc. (""MK&C"")" BrokerCheck CRD 4161 ↗
via "Morgan Keegan and Company, Inc. (""MK&C"")" (CRD 4161 ↗)

"RAYMOND JAMES & ASSOCIATES, INC. (""RJ&A"")" BrokerCheck CRD 705 ↗
via "RAYMOND JAMES & ASSOCIATES, INC. (""RJ&A"")" (CRD 705 ↗)
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 Andrew J Small 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: Archstone

ARCHSTONE PARTNERS LP

New York, NY · Feb 11, 2010 → Jan 19, 2017 · 9 filings
  • Jan 19, 2017 · D/A · $2,298,581,693 sold of Indefinite · 674 investors · min. $100,000 · role: Executive Officer (Andrew J Small is the Chief Financial Officer of Archstone Management Company, LLC, the General Partner of the Issuer.) EDGAR ↗
  • Jan 22, 2016 · D/A · $2,298,581,693 sold of Indefinite · 674 investors · min. $100,000 · role: Executive Officer (Andrew J Small is the Chief Financial Officer of Archstone Management Company, LLC, the General Partner of the Issuer.) EDGAR ↗
  • Jan 22, 2015 · D/A · $2,291,681,693 sold of Indefinite · 671 investors · min. $100,000 · role: Executive Officer (Andrew J Small is the Chief Financial Officer of Archstone Management Company, LLC, the General Partner of the Issuer.) EDGAR ↗
  • Jan 24, 2014 · D/A · $2,071,726,280 sold of Indefinite · 614 investors · min. $100,000 · role: Executive Officer (Andrew J Small is the Chief Financial Officer of Archstone Management Company, LLC, the General Partner of the Issuer.) EDGAR ↗
  • Feb 6, 2013 · D/A · $2,056,955,701 sold of Indefinite · 611 investors · min. No minimum reported · role: Executive Officer (Andrew J Small is the Chief Financial Officer of Archstone Management Company, LLC, the General Partner of the Issuer.) EDGAR ↗
  • Dec 21, 2012 · D/A · $2,058,815,328 sold of Indefinite · 609 investors · min. No minimum reported · role: Executive Officer (Andrew J Small is the Chief Financial Officer of Archstone Management Company, LLC, the General Partner of the Issuer.) EDGAR ↗
  • Jan 20, 2012 · D/A · $2,112,581,594 sold of Indefinite · 315 investors · min. No minimum reported · role: Executive Officer (Andrew J. Small is the Chief Financial Officer of Archstone Management Company, LLC, the General Partner of the Issuer.) EDGAR ↗
  • Feb 1, 2011 · D/A · $2,078,625,657 sold of Indefinite · 370 investors · min. No minimum reported · role: Executive Officer (Andrew J. Small is the Chief Financial Officer of Archstone Management Company, LLC, the General Partner of the Issuer.) EDGAR ↗
  • Feb 11, 2010 · D/A · $1,959,186,545 sold of Indefinite · 406 investors · min. No minimum reported · role: Executive Officer (Andrew J. Small is the Chief Financial Officer of Archstone Management Company, LLC, the General Partner of the Issuer.) EDGAR ↗

Raised $2.3B from 674 investors as of the latest filing. Andrew is listed as executive officer on 9 filings for this deal.

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: Archstone

ARCHSTONE OFFSHORE FUND LTD

Grand Cayman, Cayman Islands (as filed: E9) · Jan 22, 2016 → Jan 19, 2017 · 2 filings
  • Jan 19, 2017 · D/A · $3,327,614,341 sold of Indefinite · 561 investors · min. $100,000 · role: Executive Officer (Andrew J Small is the Chief Financial Officer of A. P. Management LLC, the General Partner of the Issuer) EDGAR ↗
  • Jan 22, 2016 · D/A · $3,316,315,058 sold of Indefinite · 558 investors · min. $100,000 · role: Executive Officer (Andrew J Small is the Chief Financial Officer of A. P. Management LLC, the General Partner of the Issuer) EDGAR ↗

Raised $3.33B from 561 investors as of the latest filing. Andrew is listed as executive officer on 2 filings for this deal.

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: Archstone

Archstone Equity Strategies Fund LP

New York, NY · Mar 3, 2009 → Jan 19, 2017 · 11 filings
  • Jan 19, 2017 · D/A · $304,790,013 sold of Indefinite · 170 investors · min. $100,000 · role: Executive Officer (Andrew J Small is the Chief Financial Officer of A. P. Management LLC, the General Partner of the Issuer) EDGAR ↗
  • Jan 22, 2016 · D/A · $303,790,013 sold of Indefinite · 170 investors · min. $100,000 · role: Executive Officer (Andrew J Small is the Chief Financial Officer of A. P. Management LLC, the General Partner of the Issuer) EDGAR ↗
  • Jan 22, 2015 · D/A · $293,670,582 sold of Indefinite · 170 investors · min. $100,000 · role: Executive Officer (Andrew J Small is the Chief Financial Officer of A. P. Management LLC, the General Partner of the Issuer) EDGAR ↗
  • Jan 24, 2014 · D/A · $278,412,010 sold of Indefinite · 162 investors · min. $100,000 · role: Executive Officer (Andrew J Small is the Chief Financial Officer of A. P. Management LLC, the General Partner of the Issuer) EDGAR ↗
  • Feb 6, 2013 · D/A · $239,091,375 sold of Indefinite · 160 investors · min. $100,000 · role: Executive Officer (Andrew J Small is the Chief Financial Officer of A. P. Management LLC, the General Partner of the Issuer) EDGAR ↗
  • Dec 21, 2012 · D/A · $239,091,375 sold of Indefinite · 160 investors · min. $100,000 · role: Executive Officer (Andrew J Small is the Chief Financial Officer of A. P. Management LLC, the General Partner of the Issuer) EDGAR ↗
  • Jan 20, 2012 · D/A · $238,942,578 sold of Indefinite · 72 investors · min. $100,000 · role: Executive Officer (Andrew J. Small is the Chief Financial Officer of A. P. Management LLC, the General Partner of the Issuer) EDGAR ↗
  • Feb 1, 2011 · D/A · $233,272,578 sold of Indefinite · 78 investors · min. $100,000 · role: Executive Officer (Andrew J. Small is the Chief Financial Officer of A. P. Management LLC, the General Partner of the Issuer) EDGAR ↗
  • Feb 11, 2010 · D/A · $226,372,685 sold of Indefinite · 86 investors · min. $100,000 · role: Executive Officer (Andrew J. Small is the Chief Financial Officer of A. P. Management LLC, the General Partner of the Issuer) EDGAR ↗
  • Mar 24, 2009 · D/A · $212,532,217 sold of Indefinite · 107 investors · min. $100,000 · role: Executive Officer (Chief Financial Officer of A. P. Management LLC, the General Partner of the Issuer) EDGAR ↗
  • Mar 3, 2009 · D/A · $212,532,217 sold of Indefinite · 107 investors · min. $1,000,000 · role: Executive Officer (Chief Financial Officer of A. P. Management LLC, the General Partner of the Issuer) EDGAR ↗

Raised $304.8M from 170 investors as of the latest filing. Andrew is listed as executive officer on 11 filings for this deal.

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: Archstone

ARCHSTONE ABSOLUTE RETURN STRATEGIES FUND, LTD.

Grand Cayman, Cayman Islands (as filed: E9) · Jan 22, 2015 → Jan 19, 2017 · 3 filings
  • Jan 19, 2017 · D/A · $532,208,639 sold of Indefinite · 98 investors · min. $100,000 · role: Executive Officer (Andrew J Small is the Chief Financial Officer of A. P. Management LLC, the General Partner of the Issuer) EDGAR ↗
  • Jan 22, 2016 · D/A · $532,208,639 sold of Indefinite · 98 investors · min. $100,000 · role: Executive Officer (Andrew J Small is the Chief Financial Officer of A. P. Management LLC, the General Partner of the Issuer) EDGAR ↗
  • Jan 22, 2015 · D/A · $531,888,639 sold of Indefinite · 97 investors · min. $100,000 · role: Executive Officer (Andrew J Small is the Chief Financial Officer of A. P. Management LLC, the General Partner of the Issuer) EDGAR ↗

Raised $532.2M from 98 investors as of the latest filing. Andrew is listed as executive officer on 3 filings for this deal.

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: Archstone

AP OPPORTUNITIES FUND LP

New York, NY · Feb 11, 2010 → Jan 19, 2017 · 9 filings
  • Jan 19, 2017 · D/A · $651,099,583 sold of Indefinite · 371 investors · min. $100,000 · role: Executive Officer (Andrew J Small is the Chief Financial Officer of A.P. Management LLC, the General Partner of the Issuer.) EDGAR ↗
  • Jan 22, 2016 · D/A · $649,266,967 sold of Indefinite · 370 investors · min. $100,000 · role: Executive Officer (Andrew J Small is the Chief Financial Officer of A.P. Management LLC, the General Partner of the Issuer.) EDGAR ↗
  • Jan 22, 2015 · D/A · $647,817,788 sold of Indefinite · 368 investors · min. $100,000 · role: Executive Officer (Andrew J Small is the Chief Financial Officer of A.P. Management LLC, the General Partner of the Issuer.) EDGAR ↗
  • Jan 24, 2014 · D/A · $618,537,011 sold of Indefinite · 356 investors · min. $100,000 · role: Executive Officer (Andrew J Small is the Chief Financial Officer of A.P. Management LLC, the General Partner of the Issuer.) EDGAR ↗
  • Feb 6, 2013 · D/A · $608,479,767 sold of Indefinite · 354 investors · min. No minimum reported · role: Executive Officer (Andrew J Small is the Chief Financial Officer of A.P. Management LLC, the General Partner of the Issuer.) EDGAR ↗
  • Dec 21, 2012 · D/A · $607,329,767 sold of Indefinite · 354 investors · min. No minimum reported · role: Executive Officer (Andrew J Small is the Chief Financial Officer of A.P. Management LLC, the General Partner of the Issuer.) EDGAR ↗
  • Jan 20, 2012 · D/A · $624,535,378 sold of Indefinite · 162 investors · min. No minimum reported · role: Executive Officer (Andrew J. Small is the Chief Financial Officer of A.P. Management LLC, the General Partner of the Issuer.) EDGAR ↗
  • Feb 1, 2011 · D/A · $601,267,495 sold of Indefinite · 220 investors · min. No minimum reported · role: Executive Officer (Andrew J. Small is the Chief Financial Officer of A.P. Management LLC, the General Partner of the Issuer.) EDGAR ↗
  • Feb 11, 2010 · D/A · $581,585,548 sold of Indefinite · 225 investors · min. No minimum reported · role: Executive Officer (Andrew J. Small is the Chief Financial Officer of A.P. Management LLC, the General Partner of the Issuer.) EDGAR ↗

Raised $651.1M from 371 investors as of the latest filing. Andrew is listed as executive officer on 9 filings for this deal.

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: Archstone

ARCHSTONE PARTNERS II LP

New York, NY · Oct 2, 2009 → Jan 19, 2017 · 10 filings
  • Jan 19, 2017 · D/A · $129,562,271 sold of Indefinite · 117 investors · min. $100,000 · role: Executive Officer (Andrew J Small is the Chief Financial Officer of Archstone Management Company, LLC, the General Partner of the Issuer.) EDGAR ↗
  • Oct 26, 2016 · D/A · $185,761,522 sold of Indefinite · 169 investors · min. $100,000 · role: Executive Officer (Andrew J Small is the Chief Financial Officer of Archstone Management Company, LLC, the General Partner of the Issuer.) EDGAR ↗
  • Nov 12, 2015 · D/A · $185,678,782 sold of Indefinite · 169 investors · min. $100,000 · role: Executive Officer (Andrew J Small is the Chief Financial Officer of Archstone Management Company, LLC, the General Partner of the Issuer.) EDGAR ↗
  • Nov 19, 2014 · D/A · $182,082,600 sold of Indefinite · 166 investors · min. $100,000 · role: Executive Officer (Andrew J Small is the Chief Financial Officer of Archstone Management Company, LLC, the General Partner of the Issuer.) EDGAR ↗
  • Dec 5, 2013 · D/A · $174,802,600 sold of Indefinite · 160 investors · min. $100,000 · role: Executive Officer (Andrew J Small is the Chief Financial Officer of Archstone Management Company, LLC, the General Partner of the Issuer.) EDGAR ↗
  • Dec 21, 2012 · D/A · $292,667,915 sold of Indefinite · 153 investors · min. $100,000 · role: Executive Officer (Andrew J Small is the Chief Financial Officer of Archstone Management Company, LLC, the General Partner of the Issuer.) EDGAR ↗
  • Aug 21, 2012 · D/A · $154,100,000 sold of Indefinite · 153 investors · min. $100,000 · role: Executive Officer (Andrew J Small is the Chief Financial Officer of Archstone Management Company, LLC, the General Partner of the Issuer.) EDGAR ↗
  • Sep 6, 2011 · D/A · $142,372,344 sold of Indefinite · 130 investors · min. $100,000 · role: Executive Officer (Andrew J. Small is the Chief Financial Officer of Archstone Management Company, LLC, the General Partner of the Issuer.) EDGAR ↗
  • Sep 24, 2010 · D/A · $113,140,096 sold of Indefinite · 103 investors · min. $100,000 · role: Executive Officer (Andrew J. Small is the Chief Financial Officer of Archstone Management Company, LLC, the General Partner of the Issuer.) EDGAR ↗
  • Oct 2, 2009 · D/A · $78,488,226 sold of Indefinite · 83 investors · min. $100,000 · role: Executive Officer (Andrew J. Small is the Chief Financial Officer of Archstone Management Company, LLC, the General Partner of the Issuer.) EDGAR ↗

Raised $292.7M from 169 investors as of the latest filing. Andrew is listed as executive officer on 10 filings for this deal.

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.

Other pages with the same name (2)

Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.

  • ANDREW SMALL — TX, 1 issuer, Feb 18, 2022 → Feb 18, 2022 · no shared issuer
  • Andrew Small — Australia (as filed: C3), 1 issuer, Aug 23, 2023 → Oct 13, 2026 · no shared issuer

People around Andrew 5

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

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

Alfred J Shuman

Executive Officer, Director · 44 shared filings (6 issuers) · also on 3 other issuers

Alfred J Shuman is on 9 issuers in total — a repeat sponsor. Their page lists every one.

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

Joseph Pignatelli, Jr

Executive Officer, Director · 44 shared filings (6 issuers) · also on 3 other issuers

Joseph Pignatelli, Jr is on 9 issuers in total — a repeat sponsor. Their page lists every one.

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

David R Parker

Executive Officer · 39 shared filings (4 issuers)

Listed on the same filings as Andrew J Small. Their page shows their other deals.

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

Rinarisa Coronel DeFronze

Executive Officer · 22 shared filings (6 issuers)

Rinarisa Coronel DeFronze is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

David Bree

Director · 5 shared filings (2 issuers) · also on 408 other issuers

David Bree is on 410 issuers in total — a repeat sponsor. Their page lists every one.

The team behind the deals

Sponsor group

Archstone

9 issuers · 82 filings · $7.84B reported sold · 2009–2017

One team, 9 deal companies. Andrew J Small is listed on 6 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 Andrew J Small.

Same business address

13 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 6 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 Andrew J Small 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 6 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Andrew J Small is listed on: none on file. No website or social profile named in ARCHSTONE OFFSHORE FUND LTD's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #276,893 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 (Grand Cayman, E9). Each opens in a new tab; what you find there is not verified by PartnerFacts.

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