Andy Neuberger is listed as a promoter on 3 SEC Form D filings by 1 issuer between Mar 2014 and Sep 2014: BP CFL Trust (Wilmington, DE — other banking and financial services — 2014; $69.8M reported sold to 41 investors).
What this means One deal on file with the SEC, filed Sep 2014. A Form D is the notice a company files after it starts selling a private investment — it is a notice, not an approval.
No other person or management entity is listed on the same filings.
What this means The filings name this person alone — no co-officers, directors or promoters were listed.
The issuer belongs to the sponsor group Basepoint (20 issuers, $671.9M reported sold, 2012–2019).
What this means A sponsor group is one team that sets up a new company for each deal. Basepoint has 20 companies on file and $671.9M reported sold in total — the group page shows the whole track record in one place.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AZ, CA, DE, TX, WA) — none found.
What this means Nothing turned up where we looked (3 sources). That does not prove there is nothing — it means none was found in those sources on that date.
We compared 3 public filings for Andy Neuberger and found 4 differences: Offering amount changed between filings; No amendment in the last 12 months on an offering that may still be open; 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.