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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:40 AM ET

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Barbara Ruth Claussen

Named as an officer, director or promoter on SEC Form D filings · NY · Dec 31, 2013 → Nov 22, 2019

36deals (issuers)
$5.67Breported sold
252investors
165Form D filings
2013–2019years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:19 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Barbara Ruth Claussen is listed as an executive officer and director on 165 SEC Form D filings by 36 issuers between Jul 2009 and Nov 2019. Largest by amount reported sold: AllianzGI Convertible LLC (New York, NY — pooled investment fund — 2017–2018; $525.7M reported sold to 3 investors), AllianzGI Structured Alpha Global Equity 500 LLC (New York, NY — pooled investment fund — 2015–2019; $495.5M reported sold to 2 investors), AllianzGI Structured Alpha Multi-Beta Series LLC I (New York, NY — pooled investment fund — 2014–2019; $414.9M reported sold to 1 investors), AllianzGI STRUCTURED ALPHA 500 LLC (New York, NY — pooled investment fund — 2009–2019; $333.3M reported sold to 35 investors), AllianzGI Structured Alpha Multi-Beta Series LLC I - US Fixed Income Series (New York, NY — pooled investment fund — 2016–2019; $307.5M reported sold to 3 investors) and 31 more (all listed below).

What this means That is a lot of deals — 36 separate companies raised money with this person listed as executive officer and director, over about 10 years. Across those companies the filings report $5.67B sold in total.

Listed alongside Douglas Gorman Forsyth (114 shared filings), Erin Bengtson-Olivieri (100 shared filings), Satyajit Siddharth Kumar (90 shared filings), Giorgio Carlino (86 shared filings), Douglas Eu (76 shared filings) and 48 others.

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

The issuers belong to 2 sponsor groups: Allianzgi Structured Alpha (39 issuers, $5.89B reported sold, 2009–2021) and Virtus (2 issuers, $0 reported sold, 2017–2026).

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) — 1 bankruptcy case matching the name listed in Key records below.

What this means 1 record 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 165 public filings for Barbara Ruth Claussen and found 5 differences, 1 worth asking the sponsor about: 19 people are no longer listed on a later amendment; 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 Barbara Ruth Claussen has not run yet — it is joining a line of 58,628 names; searches run around the clock at the hosts' allowed rate. Searched so far: 661 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, 2:19 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 Barbara Ruth Claussen..

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

1 case: 1 closed (disposition not in docket feed)

James E. Silvey and Barbara L. Claussen closed
United States Bankruptcy Court, M.D. Florida · No. 6:20-bk-04032 · Filed Jul 17, 2020 · Closed Oct 23, 2020
Role of James E. Silvey and Barbara L. Claussen: Debtor · Outcome: Case closed 2020-10-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 5 federal dockets); court in FL (not a filing state); middle initial differs
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, 2:19 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

5 differences found between the filings for Barbara Ruth Claussen — 1 worth asking about (compared the newest 50 of 165 filings on Oct 24, 2026; older filings not covered)

Note · Apr 1, 2008 – Nov 22, 2019

8 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 — AllianzGI Structured Alpha Global Equity 350 LLC (latest filing Nov 22, 2019) · No amendment in the last 12 months on an offering that may still be open — AllianzGI Structured Alpha Global Equity 500 LLC (latest filing Sep 26, 2019) · No amendment in the last 12 months on an offering that may still be open — AllianzGI Structured Alpha Emerging Markets Equity 350 LLC (latest filing Aug 27, 2019) · No amendment in the last 12 months on an offering that may still be open — AllianzGI Structured Alpha Large Cap Equity 350 L.P. (latest filing Aug 1, 2019) · No amendment in the last 12 months on an offering that may still be open — AllianzGI Tactical Volatility LLC (latest filing May 30, 2019) · and 3 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 · Nov 22, 2019 ↗AllianzGI Structured Alpha Global Equity 350 LLC — PartnerFacts page ↗Form D/A · Sep 26, 2019 ↗AllianzGI Structured Alpha Global Equity 500 LLC — PartnerFacts page ↗
Sources
Worth asking · Jan 4, 2019 – Sep 23, 2020

19 people are no longer listed on a later amendment

Barbara Ruth Claussen is no longer listed on the Sep 23, 2020 amendment — Virtus International Small-Cap Opportunities LLC · Barbara Ruth Claussen is no longer listed on the Sep 23, 2020 amendment — Sound Harbor Credit Solutions Fund II L.P. · Barbara Ruth Claussen is no longer listed on the Aug 5, 2020 amendment — AllianzGI China A Shares LLC · Barbara Ruth Claussen is no longer listed on the Jul 9, 2020 amendment — AllianzGI Dynamic Risk Parity LLC · Barbara Ruth Claussen is no longer listed on the Apr 2, 2020 amendment — AllianzGI Structured Alpha Multi-Beta Series LLC I - International Equity Series · and 14 more

What this means People leave; the issuer lists only current officers, directors and promoters. Ask why and who replaced them.

Form D/A · Sep 26, 2019 ↗Form D/A · Sep 23, 2020 ↗Barbara Ruth Claussen — PartnerFacts page ↗Virtus International Small-Cap Opportunities LLC — PartnerFacts page ↗
Sources
Note · Jan 2, 2013 – Dec 31, 2013

Barbara Ruth Claussen's role changed at AllianzGI Structured Alpha 1000 LLC: director → executive officer

The Jan 2, 2013 filing lists Barbara Ruth Claussen as director; the Dec 31, 2013 Form D/A lists executive officer.

What this means Roles on Form D are self-reported by the issuer. A change can mean a real change in who runs the company, or just a different box ticked. Ask who makes decisions today.

Form D/A · Jan 2, 2013 ↗Form D/A · Dec 31, 2013 ↗Barbara Ruth Claussen — PartnerFacts page ↗AllianzGI Structured Alpha 1000 LLC — PartnerFacts page ↗
Sources
Note · Jan 2, 2013 – Dec 31, 2013

Barbara Ruth Claussen's role changed at AllianzGI Structured Alpha 1000 Plus LLC: director → executive officer

The Jan 2, 2013 filing lists Barbara Ruth Claussen as director; the Dec 31, 2013 Form D/A lists executive officer.

What this means Roles on Form D are self-reported by the issuer. A change can mean a real change in who runs the company, or just a different box ticked. Ask who makes decisions today.

Form D/A · Jan 2, 2013 ↗Form D/A · Dec 31, 2013 ↗Barbara Ruth Claussen — PartnerFacts page ↗AllianzGI Structured Alpha 1000 Plus LLC — PartnerFacts page ↗
Sources
Note · Jul 2, 2009 – Dec 31, 2013

Barbara Ruth Claussen is written 2 different ways on the filings

listed as "Barbara Claussen" on 27 filings (from Jul 2, 2009), and "Barbara Ruth Claussen" on 109 filings (from Dec 31, 2013).

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.

Form D/A · Jul 2, 2009 ↗Form D/A · Dec 31, 2013 ↗Barbara Ruth Claussen — 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 165 filings (work cap); older filings are not covered here. As of Oct 24, 2026.

5. Money to insiders

4 of 36 offerings report sales commissions totalling $783,645; 0 report finder's fees; 0 report proceeds to related persons.

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Nov 22, 2019 D/A
AllianzGI Structured Alpha Global Equity 350 LLC
File 021-275462
$0$0$0None listed on this filingEDGAR ↗
Sep 26, 2019 D/A
AllianzGI Structured Alpha Global Equity 500 LLC
File 021-248656
$0$0$0None listed on this filingEDGAR ↗
Sep 26, 2019 D/A
Sound Harbor Credit Solutions Fund II L.P.
File 021-288837
$587,500$0$0Monument Group, Inc. BrokerCheck CRD 36399 ↗EDGAR ↗
Sep 26, 2019 D/A
Virtus International Small-Cap Opportunities LLC
File 021-295958
$0$0$0None listed on this filingEDGAR ↗
Aug 27, 2019 D/A
AllianzGI Structured Alpha Emerging Markets Equity 350 LLC
File 021-270026
$0$0$0None listed on this filingEDGAR ↗
Aug 8, 2019 D/A
AllianzGI China A Shares LLC
File 021-318964
$0$0$0None listed on this filingEDGAR ↗
Aug 1, 2019 D/A
AllianzGI Structured Alpha Large Cap Equity 350 L.P.
File 021-318342
$0$0$0None listed on this filingEDGAR ↗
Jul 10, 2019 D
AllianzGI Dynamic Risk Parity LLC
File 021-343853
$0$0$0None listed on this filingEDGAR ↗
May 30, 2019 D/A
AllianzGI Tactical Volatility LLC
File 021-287861
$0$0$0None listed on this filingEDGAR ↗
Apr 4, 2019 D/A
AllianzGI Structured Alpha Multi-Beta Series LLC I - US Small Cap Series
File 021-260843
$0$0$0None listed on this filingEDGAR ↗
Apr 4, 2019 D/A
AllianzGI Structured Alpha Multi-Beta Series LLC I - International Equity Series
File 021-260847
$0$0$0None listed on this filingEDGAR ↗
Apr 4, 2019 D/A
AllianzGI Structured Alpha Multi-Beta Series LLC I - US Fixed Income Series
File 021-260856
$0$0$0None listed on this filingEDGAR ↗
Apr 4, 2019 D/A
AllianzGI Structured Alpha Multi-Beta Series LLC I - US Long Credit Series
File 021-260864
$0$0$0None listed on this filingEDGAR ↗
Apr 4, 2019 D/A
AllianzGI Structured Alpha Multi-Beta Series LLC I - US Large Cap Series
File 021-260860
$0$0$0None listed on this filingEDGAR ↗
Mar 14, 2019 D/A
AllianzGI Managed Futures LLC
File 021-307928
$0$0$0None listed on this filingEDGAR ↗
Mar 5, 2019 D/A
AllianzGI Structured Alpha U.S. Fixed Income 250 LLC
File 021-306951
$0$0$0None listed on this filingEDGAR ↗
Feb 20, 2019 D/A
Virtus Emerging Markets Consumer LLC
File 021-280910
$0$0$0None listed on this filingEDGAR ↗
Feb 1, 2019 D/A
AllianzGI Emerging Markets Small Cap LLC
File 021-304579
$0$0$0None listed on this filingEDGAR ↗
Jan 4, 2019 D/A
AllianzGI STRUCTURED ALPHA 500 LLC
File 021-93787
$178,036$0$0Allianz Global Investors Distributors LLC BrokerCheck CRD 25567 ↗EDGAR ↗
Jan 4, 2019 D/A
AllianzGI STRUCTURED ALPHA U.S. EQUITY 500 LLC
File 021-122572
$0$0$0Allianz Global Investors Distributors LLC BrokerCheck CRD 25567 ↗EDGAR ↗
Jan 4, 2019 D/A
AllianzGI Structured Alpha U.S. Equity 250 LLC
File 021-93788
$0$0$0Allianz Global Investors Distributors LLC BrokerCheck CRD 25567 ↗EDGAR ↗
Jan 4, 2019 D/A
AllianzGI Structured Alpha 1000 LLC
File 021-164928
$0$0$0Goldman Sachs Execution & Clearing, L.P. BrokerCheck CRD 3466 ↗
Newedge USA LLC BrokerCheck CRD 36118 ↗
Barclays Capital, Inc. BrokerCheck CRD 19714 ↗		EDGAR ↗
Jan 4, 2019 D/A
AllianzGI Structured Alpha 1000 Plus LLC
File 021-182190
$0$0$0Goldman Sachs Execution & Clearing, L.P. BrokerCheck CRD 3466 ↗
Newedge USA LLC BrokerCheck CRD 36118 ↗
Barclays Capital, Inc. BrokerCheck CRD 19714 ↗		EDGAR ↗
Jan 4, 2019 D/A
AllianzGI Structured Alpha Multi-Beta Series LLC I
File 021-216925
$0$0$0None listed on this filingEDGAR ↗
Aug 2, 2018 D/A
AllianzGI Global Dynamic Allocation LLC
File 021-245079
$0$0$0None listed on this filingEDGAR ↗
Jul 26, 2018 D/A
AllianzGI Convertible LLC
File 021-291593
$0$0$0None listed on this filingEDGAR ↗
Jan 4, 2018 D/A
AllianzGI Structured Alpha 10 Year Treasury 500 LLC
File 021-117319
$0$0$0Allianz Global Investors Distributors LLC BrokerCheck CRD 25567 ↗EDGAR ↗
Jul 13, 2017 D/A
AllianzGI Advanced Core Bond Portfolio, a separate series of AllianzGI Institutional Multi-Series Trust
File 021-251322
$0$0$0ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC BrokerCheck CRD 25567 ↗EDGAR ↗
Jul 13, 2017 D/A
AllianzGI Discovery U.S. Portfolio, a separate series of AllianzGI Institutional Multi-Series Trust
File 021-262924
$0$0$0ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC BrokerCheck CRD 25567 ↗EDGAR ↗
Jul 13, 2017 D/A
AllianzGI Best Styles Global Managed Volatility Portfolio, a separate series of AllianzGI Institutional Multi-Series Trust
File 021-262920
$0$0$0ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC BrokerCheck CRD 25567 ↗EDGAR ↗
Jul 11, 2017 D/A
AllianzGI Global Small-Cap Opportunities Portfolio, a separate series of AllianzGI Institutional Multi-Series Trust
File 021-221844
$0$0$0ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC BrokerCheck CRD 25567 ↗EDGAR ↗
Dec 21, 2016 D/A
NFJ International Value Trust
File 021-94269
$0$0$0Allianz Global Investors Distributors BrokerCheck CRD 25567 ↗EDGAR ↗
Dec 31, 2013 D/A
Allianz Global Investors Total Return Trust
File 021-94270
$16,925$0$0Allianz Global Investors Distributors LLC BrokerCheck CRD 25567 ↗EDGAR ↗
Feb 23, 2011 D/A
All Cap Equity Trust
File 021-127591
$1,184$0$0Allianz Global Investors Distributors LLC BrokerCheck CRD 25567 ↗EDGAR ↗
Feb 23, 2011 D/A
LARGE CAP VALUE TRUST
File 021-94272
$0$0$0Allianz Global Investors Distributors LLC BrokerCheck CRD 25567 ↗EDGAR ↗
Dec 3, 2009 D/A
Oppenheimer Capital Core Fixed Income Trust
File 021-94267
$0$0$0Allianz Global Investors Distributors LLC BrokerCheck CRD 25567 ↗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 36

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

AS
Pooled Investment Fund · group: Allianzgi Structured Alpha

AllianzGI Structured Alpha Global Equity 350 LLC

New York, NY · Dec 1, 2016 → Nov 22, 2019 · 4 filings
  • Nov 22, 2019 · D/A · $200,510,000 sold of Indefinite · 3 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Nov 29, 2018 · D/A · $200,510,000 sold of Indefinite · 3 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Nov 30, 2017 · D/A · $200,510,000 sold of Indefinite · 3 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Dec 1, 2016 · D · $200,510,000 sold of Indefinite · 3 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗

Raised $200.5M from 3 investors as of the latest filing. Barbara is listed as executive officer 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.

SH
Pooled Investment Fund · group: Allianzgi Structured Alpha

Sound Harbor Credit Solutions Fund II L.P.

New York, NY · Jun 15, 2017 → Sep 26, 2019 · 3 filings
  • Sep 26, 2019 · D/A · $99,650,000 sold of Indefinite · 51 investors · min. No minimum reported · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Oct 2, 2018 · D/A · $99,650,000 sold of Indefinite · 51 investors · min. No minimum reported · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Jun 15, 2017 · D · $99,650,000 sold of Indefinite · 51 investors · min. No minimum reported · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗

Raised $99.7M from 51 investors as of the latest filing. Barbara is listed as executive officer on 3 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.

VI
Pooled Investment Fund · group: Virtus

Virtus International Small-Cap Opportunities LLC

Hartford, CT · Oct 4, 2017 → Sep 26, 2019 · 3 filings
  • Sep 26, 2019 · D/A · $5,000,000 sold of Indefinite · 2 investors · min. $3,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings, LLC) EDGAR ↗
  • Oct 2, 2018 · D/A · $5,000,000 sold of Indefinite · 2 investors · min. $3,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings, LLC) EDGAR ↗
  • Oct 4, 2017 · D · $5,000,000 sold of Indefinite · 2 investors · min. $3,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings, LLC) EDGAR ↗

Raised $5M from 2 investors as of the latest filing. Barbara is listed as executive officer on 3 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.

AS
Pooled Investment Fund · group: Allianzgi Structured Alpha

AllianzGI Structured Alpha Global Equity 500 LLC

New York, NY · Oct 2, 2015 → Sep 26, 2019 · 5 filings
  • Sep 26, 2019 · D/A · $495,500,000 sold of Indefinite · 2 investors · min. $1,000,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Sep 27, 2018 · D/A · $495,500,000 sold of Indefinite · 2 investors · min. $1,000,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Sep 29, 2017 · D/A · $495,500,000 sold of Indefinite · 2 investors · min. $1,000,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Sep 30, 2016 · D/A · $495,500,000 sold of Indefinite · 2 investors · min. $1,000,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Oct 2, 2015 · D · $495,500,000 sold of Indefinite · 2 investors · min. $1,000,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗

Raised $495.5M from 2 investors as of the latest filing. Barbara is listed as executive officer 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.

AS
Pooled Investment Fund · group: Allianzgi Structured Alpha

AllianzGI Structured Alpha Emerging Markets Equity 350 LLC

New York, NY · Sep 2, 2016 → Aug 27, 2019 · 4 filings
  • Aug 27, 2019 · D/A · $80,100,000 sold of Indefinite · 2 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings, LLC) EDGAR ↗
  • Aug 29, 2018 · D/A · $80,100,000 sold of Indefinite · 2 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings, LLC) EDGAR ↗
  • Aug 30, 2017 · D/A · $80,100,000 sold of Indefinite · 2 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings, LLC) EDGAR ↗
  • Sep 2, 2016 · D · $80,100,000 sold of Indefinite · 2 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings, LLC) EDGAR ↗

Raised $80.1M from 2 investors as of the latest filing. Barbara is listed as executive officer 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.

AC
Pooled Investment Fund · group: Allianzgi Structured Alpha

AllianzGI China A Shares LLC

New York, NY · Aug 10, 2018 → Aug 8, 2019 · 2 filings
  • Aug 8, 2019 · D/A · $25,250,000 sold of Indefinite · 3 investors · min. $3,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Aug 10, 2018 · D · $25,250,000 sold of Indefinite · 3 investors · min. $3,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗

Raised $25.3M from 3 investors as of the latest filing. Barbara is listed as 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.

AS
Pooled Investment Fund · group: Allianzgi Structured Alpha

AllianzGI Structured Alpha Large Cap Equity 350 L.P.

New York, NY · Aug 2, 2018 → Aug 1, 2019 · 2 filings
  • Aug 1, 2019 · D/A · $150,500,000 sold of Indefinite · 3 investors · min. No minimum reported · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Aug 2, 2018 · D · $150,500,000 sold of Indefinite · 3 investors · min. No minimum reported · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗

Raised $150.5M from 3 investors as of the latest filing. Barbara is listed as 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.

AD
Pooled Investment Fund · group: Allianzgi Structured Alpha

AllianzGI Dynamic Risk Parity LLC

New York, NY · Jul 10, 2019
  • Jul 10, 2019 · D · $5,294,180 sold of Indefinite · 2 investors · min. $10,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗

Raised $5.29M from 2 investors as of the latest filing. Barbara 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. "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.

AT
Pooled Investment Fund · group: Allianzgi Structured Alpha

AllianzGI Tactical Volatility LLC

New York, NY · Jun 1, 2017 → May 30, 2019 · 3 filings
  • May 30, 2019 · D/A · $2,010,000 sold of Indefinite · 2 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings, LLC) EDGAR ↗
  • May 31, 2018 · D/A · $2,010,000 sold of Indefinite · 2 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings, LLC) EDGAR ↗
  • Jun 1, 2017 · D · $2,010,000 sold of Indefinite · 2 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings, LLC) EDGAR ↗

Raised $2.01M from 2 investors as of the latest filing. Barbara is listed as executive officer on 3 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.

AS
Pooled Investment Fund · group: Allianzgi Structured Alpha

AllianzGI Structured Alpha Multi-Beta Series LLC I - US Small Cap Series

New York, NY · Apr 7, 2016 → Apr 4, 2019 · 4 filings
  • Apr 4, 2019 · D/A · $60,000,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings, LLC) EDGAR ↗
  • Apr 5, 2018 · D/A · $60,000,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings, LLC) EDGAR ↗
  • Apr 7, 2017 · D/A · $60,000,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings, LLC) EDGAR ↗
  • Apr 7, 2016 · D · $60,000,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings, LLC) EDGAR ↗

Raised $60M from 1 investor as of the latest filing. Barbara is listed as executive officer 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.

AS
Pooled Investment Fund · group: Allianzgi Structured Alpha

AllianzGI Structured Alpha Multi-Beta Series LLC I - US Fixed Income Series

New York, NY · Apr 7, 2016 → Apr 4, 2019 · 4 filings
  • Apr 4, 2019 · D/A · $307,500,000 sold of Indefinite · 3 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Apr 5, 2018 · D/A · $307,500,000 sold of Indefinite · 3 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Apr 7, 2017 · D/A · $307,500,000 sold of Indefinite · 3 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Apr 7, 2016 · D · $307,500,000 sold of Indefinite · 3 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗

Raised $307.5M from 3 investors as of the latest filing. Barbara is listed as executive officer 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.

AS
Pooled Investment Fund · group: Allianzgi Structured Alpha

AllianzGI Structured Alpha Multi-Beta Series LLC I - International Equity Series

New York, NY · Apr 7, 2016 → Apr 4, 2019 · 5 filings
  • Apr 4, 2019 · D/A · $290,000,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Apr 5, 2018 · D/A · $290,000,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Apr 7, 2017 · D/A · $290,000,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Apr 8, 2016 · D/A · $290,000,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Apr 7, 2016 · D · $290,000,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗

Raised $290M from 1 investor as of the latest filing. Barbara is listed as executive officer 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.

AS
Pooled Investment Fund · group: Allianzgi Structured Alpha

AllianzGI Structured Alpha Multi-Beta Series LLC I - US Long Credit Series

New York, NY · Apr 7, 2016 → Apr 4, 2019 · 4 filings
  • Apr 4, 2019 · D/A · $150,000,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Apr 5, 2018 · D/A · $150,000,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Apr 7, 2017 · D/A · $150,000,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Apr 7, 2016 · D · $150,000,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗

Raised $150M from 1 investor as of the latest filing. Barbara is listed as executive officer 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.

AS
Pooled Investment Fund · group: Allianzgi Structured Alpha

AllianzGI Structured Alpha Multi-Beta Series LLC I - US Large Cap Series

New York, NY · Apr 7, 2016 → Apr 4, 2019 · 4 filings
  • Apr 4, 2019 · D/A · $295,000,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Apr 5, 2018 · D/A · $295,000,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Apr 7, 2017 · D/A · $295,000,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Apr 7, 2016 · D · $295,000,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗

Raised $295M from 1 investor as of the latest filing. Barbara is listed as executive officer 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.

AM
Pooled Investment Fund · group: Allianzgi Structured Alpha

AllianzGI Managed Futures LLC

New York, NY · Mar 16, 2018 → Mar 14, 2019 · 2 filings
  • Mar 14, 2019 · D/A · $110,000,000 sold of Indefinite · 3 investors · min. $10,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Mar 16, 2018 · D · $110,000,000 sold of Indefinite · 3 investors · min. $10,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗

Raised $110M from 3 investors as of the latest filing. Barbara is listed as 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.

AS
Pooled Investment Fund · group: Allianzgi Structured Alpha

AllianzGI Structured Alpha U.S. Fixed Income 250 LLC

New York, NY · Mar 5, 2018 → Mar 5, 2019 · 2 filings
  • Mar 5, 2019 · D/A · $302,810,000 sold of Indefinite · 4 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Mar 5, 2018 · D · $302,810,000 sold of Indefinite · 4 investors · min. $1,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗

Raised $302.8M from 4 investors as of the latest filing. Barbara is listed as 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.

VE
Pooled Investment Fund · group: Virtus

Virtus Emerging Markets Consumer LLC

Hartford, CT · Feb 17, 2017 → Feb 20, 2019 · 3 filings
  • Feb 20, 2019 · D/A · $10,210,000 sold of Indefinite · 2 investors · min. $3,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. LLC) EDGAR ↗
  • Feb 16, 2018 · D/A · $10,210,000 sold of Indefinite · 2 investors · min. $3,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. LLC) EDGAR ↗
  • Feb 17, 2017 · D · $10,210,000 sold of Indefinite · 2 investors · min. $3,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. LLC) EDGAR ↗

Raised $10.2M from 2 investors as of the latest filing. Barbara is listed as executive officer on 3 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.

AE
Pooled Investment Fund · group: Allianzgi Structured Alpha

AllianzGI Emerging Markets Small Cap LLC

New York, NY · Feb 1, 2018 → Feb 1, 2019 · 2 filings
  • Feb 1, 2019 · D/A · $15,000,000 sold of Indefinite · 1 investors · min. $3,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Feb 1, 2018 · D · $15,000,000 sold of Indefinite · 1 investors · min. $3,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗

Raised $15M from 1 investor as of the latest filing. Barbara is listed as 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.

AS
Pooled Investment Fund · group: Allianzgi Structured Alpha

AllianzGI Structured Alpha Multi-Beta Series LLC I

New York, NY · May 7, 2014 → Jan 4, 2019 · 7 filings
  • Jan 4, 2019 · D/A · $414,934,486 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jan 4, 2018 · D/A · $414,934,486 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jan 4, 2017 · D/A · $414,934,486 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jan 8, 2016 · D/A · $414,934,486 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jan 7, 2015 · D/A · $414,934,486 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • May 7, 2014 · D/A · $414,934,486 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • May 7, 2014 · D · $414,934,486 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗

Raised $414.9M from 1 investor as of the latest filing. Barbara is listed as executive officer on 7 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.

AS
Pooled Investment Fund · group: Allianzgi Structured Alpha

AllianzGI Structured Alpha 1000 Plus LLC

New York, NY · Aug 3, 2012 → Jan 4, 2019 · 9 filings
  • Jan 4, 2019 · D/A · $49,352,984 sold of Indefinite · 6 investors · min. $1,000,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Jan 4, 2018 · D/A · $49,352,984 sold of Indefinite · 6 investors · min. $1,000,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Jan 4, 2017 · D/A · $49,352,984 sold of Indefinite · 6 investors · min. $1,000,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Jan 6, 2016 · D/A · $49,352,984 sold of Indefinite · 6 investors · min. $1,000,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Jan 7, 2015 · D/A · $49,352,984 sold of Indefinite · 6 investors · min. $1,000,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Dec 23, 2014 · D/A · $49,352,984 sold of Indefinite · 6 investors · min. $1,000,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Dec 31, 2013 · D/A · $49,352,984 sold of Indefinite · 6 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jan 2, 2013 · D/A · $5,878,985 sold of Indefinite · 5 investors · min. $1,000,000 · role: Director (Member of Management Board of Allianz Global Investors U.S. LLC, Managing Member) EDGAR ↗
  • Aug 3, 2012 · D · $5,878,985 sold of Indefinite · 5 investors · min. $1,000,000 · role: Director (Member of Management Board of Allianz Global Investors Capital LLC, Managing Member) EDGAR ↗

Raised $49.4M from 6 investors as of the latest filing. Barbara is listed as executive officer, director on 9 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.

AS
Pooled Investment Fund · group: Allianzgi Structured Alpha

AllianzGI STRUCTURED ALPHA U.S. EQUITY 500 LLC

New York, NY · Jul 6, 2009 → Jan 4, 2019 · 12 filings
  • Jan 4, 2019 · D/A · $263,080,892 sold of Indefinite · 10 investors · min. $750,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Jan 4, 2018 · D/A · $263,080,892 sold of Indefinite · 10 investors · min. $750,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Jan 4, 2017 · D/A · $263,080,892 sold of Indefinite · 10 investors · min. $750,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Jan 6, 2016 · D/A · $263,080,892 sold of Indefinite · 10 investors · min. $750,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Jan 7, 2015 · D/A · $263,080,892 sold of Indefinite · 10 investors · min. $750,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Dec 23, 2014 · D/A · $263,080,892 sold of Indefinite · 10 investors · min. $750,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Dec 31, 2013 · D/A · $263,080,892 sold of Indefinite · 10 investors · min. $750,000 · role: Executive Officer EDGAR ↗
  • Jan 2, 2013 · D/A · $10,010,000 sold of Indefinite · 2 investors · min. $750,000 · role: Executive Officer EDGAR ↗
  • Aug 7, 2012 · D/A · $10,010,000 sold of Indefinite · 2 investors · min. $750,000 · role: Executive Officer EDGAR ↗
  • Sep 7, 2011 · D/A · $10,010,000 sold of Indefinite · 2 investors · min. $750,000 · role: Executive Officer EDGAR ↗
  • Sep 23, 2010 · D/A · $10,010,000 sold of Indefinite · 2 investors · min. $750,000 · role: Executive Officer EDGAR ↗
  • Jul 6, 2009 · D/A · $10,010,000 sold of Indefinite · 2 investors · min. $750,000 · role: Executive Officer EDGAR ↗

Raised $263.1M from 10 investors as of the latest filing. Barbara is listed as executive officer on 12 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.

AS
Pooled Investment Fund · group: Allianzgi Structured Alpha

AllianzGI Structured Alpha 1000 LLC

New York, NY · Aug 25, 2011 → Jan 4, 2019 · 10 filings
  • Jan 4, 2019 · D/A · $224,693,865 sold of Indefinite · 11 investors · min. $750,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Jan 4, 2018 · D/A · $224,693,865 sold of Indefinite · 11 investors · min. $750,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Jan 4, 2017 · D/A · $224,693,865 sold of Indefinite · 11 investors · min. $750,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Jan 6, 2016 · D/A · $224,693,865 sold of Indefinite · 11 investors · min. $750,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Jan 7, 2015 · D/A · $224,693,865 sold of Indefinite · 11 investors · min. $750,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Dec 23, 2014 · D/A · $224,693,865 sold of Indefinite · 11 investors · min. $750,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Dec 31, 2013 · D/A · $224,693,865 sold of Indefinite · 11 investors · min. $750,000 · role: Executive Officer EDGAR ↗
  • Jan 2, 2013 · D/A · $196,201,056 sold of Indefinite · 4 investors · min. $750,000 · role: Director (Member of Management Board of Allianz Global Investors U.S. LLC, Managing Member) EDGAR ↗
  • Aug 1, 2012 · D/A · $196,201,056 sold of Indefinite · 4 investors · min. $750,000 · role: Director (Member of Management Board of Allianz Global Investors Capital LLC, Managing Member) EDGAR ↗
  • Aug 25, 2011 · D · $196,201,056 sold of Indefinite · 4 investors · min. $750,000 · role: Director (Member of Management Board of Allianz Global Investors Capital LLC, Managing Member) EDGAR ↗

Raised $224.7M from 11 investors as of the latest filing. Barbara is listed as executive officer, director on 10 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.

AS
Pooled Investment Fund · group: Allianzgi Structured Alpha

AllianzGI Structured Alpha U.S. Equity 250 LLC

New York, NY · Jul 6, 2009 → Jan 4, 2019 · 12 filings
  • Jan 4, 2019 · D/A · $200,779,530 sold of Indefinite · 6 investors · min. $750,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Jan 4, 2018 · D/A · $200,779,530 sold of Indefinite · 6 investors · min. $750,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Jan 4, 2017 · D/A · $200,779,530 sold of Indefinite · 6 investors · min. $750,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Jan 6, 2016 · D/A · $200,779,530 sold of Indefinite · 6 investors · min. $750,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Jan 7, 2015 · D/A · $200,779,530 sold of Indefinite · 6 investors · min. $750,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Dec 23, 2014 · D/A · $200,779,530 sold of Indefinite · 6 investors · min. $750,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Dec 31, 2013 · D/A · $200,779,530 sold of Indefinite · 6 investors · min. $750,000 · role: Executive Officer EDGAR ↗
  • Jan 2, 2013 · D/A · $9,159,965 sold of Indefinite · 3 investors · min. $750,000 · role: Executive Officer EDGAR ↗
  • Aug 7, 2012 · D/A · $9,159,965 sold of Indefinite · 3 investors · min. $750,000 · role: Executive Officer EDGAR ↗
  • Sep 7, 2011 · D/A · $9,159,965 sold of Indefinite · 3 investors · min. $750,000 · role: Executive Officer EDGAR ↗
  • Sep 23, 2010 · D/A · $9,159,965 sold of Indefinite · 3 investors · min. $750,000 · role: Executive Officer EDGAR ↗
  • Jul 6, 2009 · D/A · $9,159,965 sold of Indefinite · 3 investors · min. $750,000 · role: Executive Officer EDGAR ↗

Raised $200.8M from 6 investors as of the latest filing. Barbara is listed as executive officer on 12 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.

AS
Pooled Investment Fund · group: Allianzgi Structured Alpha

AllianzGI STRUCTURED ALPHA 500 LLC

New York, NY · Jul 2, 2009 → Jan 4, 2019 · 12 filings
  • Jan 4, 2019 · D/A · $333,307,194 sold of Indefinite · 35 investors · min. $750,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Jan 4, 2018 · D/A · $333,307,194 sold of Indefinite · 35 investors · min. $750,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Jan 4, 2017 · D/A · $333,307,194 sold of Indefinite · 35 investors · min. $750,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Jan 6, 2016 · D/A · $333,307,194 sold of Indefinite · 35 investors · min. $750,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Jan 7, 2015 · D/A · $333,307,194 sold of Indefinite · 35 investors · min. $750,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Dec 23, 2014 · D/A · $333,307,194 sold of Indefinite · 35 investors · min. $750,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Dec 31, 2013 · D/A · $333,307,194 sold of Indefinite · 35 investors · min. $750,000 · role: Executive Officer EDGAR ↗
  • Jan 2, 2013 · D/A · $204,227,551 sold of Indefinite · 29 investors · min. $750,000 · role: Executive Officer EDGAR ↗
  • Aug 7, 2012 · D/A · $204,227,551 sold of Indefinite · 29 investors · min. $750,000 · role: Executive Officer EDGAR ↗
  • Sep 7, 2011 · D/A · $204,227,551 sold of Indefinite · 29 investors · min. $750,000 · role: Executive Officer EDGAR ↗
  • Sep 23, 2010 · D/A · $204,227,551 sold of Indefinite · 29 investors · min. $750,000 · role: Executive Officer EDGAR ↗
  • Jul 2, 2009 · D/A · $204,227,551 sold of Indefinite · 29 investors · min. $750,000 · role: Executive Officer EDGAR ↗

Raised $333.3M from 35 investors as of the latest filing. Barbara is listed as executive officer on 12 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.

AG
Pooled Investment Fund · group: Allianzgi Structured Alpha

AllianzGI Global Dynamic Allocation LLC

New York, NY · Aug 4, 2015 → Aug 2, 2018 · 4 filings
  • Aug 2, 2018 · D/A · $50,500,000 sold of Indefinite · 2 investors · min. $10,000,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Aug 4, 2017 · D/A · $50,500,000 sold of Indefinite · 2 investors · min. $10,000,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Aug 4, 2016 · D/A · $50,500,000 sold of Indefinite · 2 investors · min. $10,000,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Aug 4, 2015 · D · $50,500,000 sold of Indefinite · 2 investors · min. $10,000,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗

Raised $50.5M from 2 investors as of the latest filing. Barbara is listed as executive officer 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.

AC
Pooled Investment Fund · group: Allianzgi Structured Alpha

AllianzGI Convertible LLC

New York, NY · Jul 27, 2017 → Jul 26, 2018 · 2 filings
  • Jul 26, 2018 · D/A · $525,688,382 sold of Indefinite · 3 investors · min. $100,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Jul 27, 2017 · D · $525,688,382 sold of Indefinite · 3 investors · min. $100,000,000 · role: Executive Officer (Member Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗

Raised $525.7M from 3 investors as of the latest filing. Barbara is listed as 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.

AS
Pooled Investment Fund · group: Allianzgi Structured Alpha

AllianzGI Structured Alpha 10 Year Treasury 500 LLC

New York, NY · Jul 6, 2009 → Jan 4, 2018 · 11 filings
  • Jan 4, 2018 · D/A · $85,115,003 sold of Indefinite · 4 investors · min. $750,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Jan 6, 2016 · D/A · $85,115,003 sold of Indefinite · 4 investors · min. $750,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Jan 7, 2015 · D/A · $85,115,003 sold of Indefinite · 4 investors · min. $750,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Dec 23, 2014 · D/A · $85,115,003 sold of Indefinite · 4 investors · min. $750,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Dec 31, 2013 · D/A · $85,115,003 sold of Indefinite · 4 investors · min. $750,000 · role: Executive Officer EDGAR ↗
  • Jan 2, 2013 · D/A · $75,140,874 sold of Indefinite · 3 investors · min. $750,000 · role: Executive Officer EDGAR ↗
  • Oct 3, 2012 · D/A · $75,140,874 sold of Indefinite · 3 investors · min. $750,000 · role: Executive Officer EDGAR ↗
  • Oct 24, 2011 · D/A · $75,140,874 sold of Indefinite · 3 investors · min. $750,000 · role: Executive Officer EDGAR ↗
  • Sep 7, 2011 · D/A · $75,140,874 sold of Indefinite · 3 investors · min. $750,000 · role: Executive Officer EDGAR ↗
  • Sep 23, 2010 · D/A · $75,140,874 sold of Indefinite · 3 investors · min. $750,000 · role: Executive Officer EDGAR ↗
  • Jul 6, 2009 · D/A · $75,140,874 sold of Indefinite · 3 investors · min. $750,000 · role: Executive Officer EDGAR ↗

Raised $85.1M from 4 investors as of the latest filing. Barbara is listed as 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.

AD
Pooled Investment Fund · group: Allianzgi Structured Alpha

AllianzGI Discovery U.S. Portfolio, a separate series of AllianzGI Institutional Multi-Series Trust

New York, NY · May 11, 2016 → Jul 13, 2017 · 3 filings
  • Jul 13, 2017 · D/A · $10,000,000 sold of Indefinite · 1 investors · min. No minimum reported · role: Director (TRUSTEE OF THE PORTFOLIO) EDGAR ↗
  • Jul 13, 2016 · D/A · $10,000,000 sold of Indefinite · 1 investors · min. No minimum reported · role: Director (TRUSTEE OF THE PORTFOLIO) EDGAR ↗
  • May 11, 2016 · D · $10,000,000 sold of Indefinite · 1 investors · min. No minimum reported · role: Director (TRUSTEE OF THE PORTFOLIO) EDGAR ↗

Raised $10M from 1 investor as of the latest filing. Barbara is listed as director on 3 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(c) (8,096 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.

AA
Pooled Investment Fund · group: Allianzgi Structured Alpha

AllianzGI Advanced Core Bond Portfolio, a separate series of AllianzGI Institutional Multi-Series Trust

New York, NY · Nov 16, 2015 → Jul 13, 2017 · 3 filings
  • Jul 13, 2017 · D/A · $212,615,736 sold of Indefinite · 18 investors · min. No minimum reported · role: Director (TRUSTEE OF THE PORTFOLIO) EDGAR ↗
  • Jul 13, 2016 · D/A · $94,383,586 sold of Indefinite · 13 investors · min. No minimum reported · role: Director (TRUSTEE OF THE PORTFOLIO) EDGAR ↗
  • Nov 16, 2015 · D · $77,902,733 sold of Indefinite · 2 investors · min. No minimum reported · role: Director (TRUSTEE OF THE PORTFOLIO) EDGAR ↗

Raised $250.2M from 18 investors as of the latest filing. Barbara is listed as director on 3 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(c) (8,096 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.

AB
Pooled Investment Fund · group: Allianzgi Structured Alpha

AllianzGI Best Styles Global Managed Volatility Portfolio, a separate series of AllianzGI Institutional Multi-Series Trust

New York, NY · May 11, 2016 → Jul 13, 2017 · 3 filings
  • Jul 13, 2017 · D/A · $86,033,925 sold of Indefinite · 15 investors · min. No minimum reported · role: Director (TRUSTEE OF THE PORTFOLIO) EDGAR ↗
  • Jul 13, 2016 · D/A · $73,124,375 sold of Indefinite · 13 investors · min. No minimum reported · role: Director (TRUSTEE OF THE PORTFOLIO) EDGAR ↗
  • May 11, 2016 · D · $61,258,822 sold of Indefinite · 4 investors · min. No minimum reported · role: Director (TRUSTEE OF THE PORTFOLIO) EDGAR ↗

Raised $105.1M from 15 investors as of the latest filing. Barbara is listed as director on 3 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(c) (8,096 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.

AG
Pooled Investment Fund · group: Allianzgi Structured Alpha

AllianzGI Global Small-Cap Opportunities Portfolio, a separate series of AllianzGI Institutional Multi-Series Trust

New York, NY · Jul 11, 2016 → Jul 11, 2017 · 2 filings
  • Jul 11, 2017 · D/A · $5,000,000 sold of Indefinite · 1 investors · min. No minimum reported · role: Director (TRUSTEE OF THE PORTFOLIO) EDGAR ↗
  • Jul 11, 2016 · D/A · $5,000,000 sold of Indefinite · 1 investors · min. No minimum reported · role: Director (TRUSTEE OF THE PORTFOLIO) EDGAR ↗

Raised $11M from 9 investors as of the latest filing. Barbara is listed as director 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(c) (8,096 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.

NI
Pooled Investment Fund · group: Allianzgi Structured Alpha

NFJ International Value Trust

New York, NY · Feb 26, 2010 → Dec 21, 2016 · 8 filings
  • Dec 21, 2016 · D/A · $276,325,010 sold of Indefinite · 14 investors · min. $1,000,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Dec 21, 2015 · D/A · $276,325,010 sold of Indefinite · 14 investors · min. $1,000,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Dec 23, 2014 · D/A · $276,325,010 sold of Indefinite · 14 investors · min. $1,000,000 · role: Executive Officer (Member, Executive Committee, Allianz Global Investors U.S. Holdings LLC) EDGAR ↗
  • Dec 31, 2013 · D/A · $276,325,010 sold of Indefinite · 14 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jan 2, 2013 · D/A · $124,325,010 sold of Indefinite · 12 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jan 27, 2012 · D/A · $124,325,010 sold of Indefinite · 12 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Feb 23, 2011 · D/A · $124,325,010 sold of Indefinite · 12 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Feb 26, 2010 · D/A · $124,325,010 sold of Indefinite · 12 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗

Raised $276.3M from 14 investors as of the latest filing. Barbara is listed as 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.

AG
Pooled Investment Fund · group: Allianzgi Structured Alpha

Allianz Global Investors Total Return Trust

New York, NY · Feb 26, 2010 → Dec 31, 2013 · 5 filings
  • Dec 31, 2013 · D/A · $173,747,596 sold of Indefinite · 15 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jan 2, 2013 · D/A · $173,747,596 sold of Indefinite · 15 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jan 27, 2012 · D/A · $173,747,596 sold of Indefinite · 15 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Feb 23, 2011 · D/A · $173,747,596 sold of Indefinite · 15 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Feb 26, 2010 · D/A · $173,747,596 sold of Indefinite · 15 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗

Raised $173.7M from 15 investors as of the latest filing. Barbara is listed as executive officer 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.

LC
Pooled Investment Fund · group: Allianzgi Structured Alpha

LARGE CAP VALUE TRUST

New York, NY · Feb 26, 2010 → Feb 23, 2011 · 2 filings
  • Feb 23, 2011 · D/A · $9,149,677 sold of Indefinite · 6 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Feb 26, 2010 · D/A · $9,149,677 sold of Indefinite · 6 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗

Raised $9.15M from 6 investors as of the latest filing. Barbara is listed as 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.

AC
Pooled Investment Fund · group: Allianzgi Structured Alpha

All Cap Equity Trust

New York, NY · Feb 26, 2010 → Feb 23, 2011 · 2 filings
  • Feb 23, 2011 · D/A · $7,818,977 sold of Indefinite · 3 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Feb 26, 2010 · D/A · $7,818,977 sold of Indefinite · 3 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗

Raised $7.82M from 3 investors as of the latest filing. Barbara is listed as 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.

OC
Pooled Investment Fund · group: Allianzgi Structured Alpha

Oppenheimer Capital Core Fixed Income Trust

New York, NY · Dec 3, 2009
  • Dec 3, 2009 · D/A · $71,377,533 sold of Indefinite · 6 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗

Raised $71.4M from 6 investors as of the latest filing. Barbara 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 Barbara 40

Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET. Showing the 40 with the most shared filings.

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

Douglas Gorman Forsyth

Executive Officer · 114 shared filings (29 issuers) · also on 1 other issuer

Douglas Gorman Forsyth is on 30 issuers in total — a repeat sponsor. Their page lists every one.

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

Erin Bengtson-Olivieri

Executive Officer · 100 shared filings (27 issuers) · also on 1 other issuer

Erin Bengtson-Olivieri is on 28 issuers in total — a repeat sponsor. Their page lists every one.

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

Satyajit Siddharth Kumar

Executive Officer · 90 shared filings (28 issuers)

Satyajit Siddharth Kumar is on 28 issuers in total — a repeat sponsor. Their page lists every one.

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

Giorgio Carlino

Executive Officer · 86 shared filings (27 issuers)

Giorgio Carlino is on 27 issuers in total — a repeat sponsor. Their page lists every one.

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

Douglas Eu

Executive Officer, Director · 76 shared filings (26 issuers)

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

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

Peter Bonanno

Executive Officer · 72 shared filings (25 issuers)

Peter Bonanno is on 25 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

Jeffrey Parker

Executive Officer · 71 shared filings (26 issuers) · also on 6 other issuers

Jeffrey Parker is on 32 issuers in total — a repeat sponsor. Their page lists every one.

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

Benno John Fischer

Executive Officer, Director · 69 shared filings (19 issuers)

Benno John Fischer is on 19 issuers in total — a repeat sponsor. Their page lists every one.

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

Greg Tournant

Executive Officer · 63 shared filings (27 issuers)

Greg Tournant is on 27 issuers in total — a repeat sponsor. Their page lists every one.

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

Jill Ellen Lohrfink

Executive Officer · 61 shared filings (22 issuers)

Jill Ellen Lohrfink is on 22 issuers in total — a repeat sponsor. Their page lists every one.

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

Heiko Mildner

Executive Officer · 60 shared filings (26 issuers)

Heiko Mildner is on 26 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 Charles Carroll

Executive Officer · 43 shared filings (18 issuers)

John Charles Carroll is on 18 issuers in total — a repeat sponsor. Their page lists every one.

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

Julian Fernand Sluyters

Executive Officer, Director · 41 shared filings (17 issuers) · also on 2 other issuers

Julian Fernand Sluyters is on 19 issuers in total — a repeat sponsor. Their page lists every one.

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

Scott T. Migliori

Executive Officer · 40 shared filings (16 issuers)

Scott T. Migliori is on 16 issuers in total — a repeat sponsor. Their page lists every one.

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

David Boyd Jobson

Executive Officer · 33 shared filings (16 issuers)

David Boyd Jobson is on 16 issuers in total — a repeat sponsor. Their page lists every one.

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

Brian Joseph Gaffney

Executive Officer · 26 shared filings (11 issuers)

Brian Joseph Gaffney is on 11 issuers in total — a repeat sponsor. Their page lists every one.

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

Charles Field

Executive Officer · 25 shared filings (6 issuers)

Charles Field is on 6 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

Maxence Mormede

Executive Officer · 25 shared filings (24 issuers)

Maxence Mormede is on 24 issuers in total — a repeat sponsor. Their page lists every one.

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

Aiden Redmond

Executive Officer · 24 shared filings (24 issuers)

Aiden Redmond is on 24 issuers in total — a repeat sponsor. Their page lists every one.

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

Marna Whittington

Executive Officer, Director · 23 shared filings (10 issuers) · also on 1 other issuer

Marna Whittington is on 11 issuers in total — a repeat sponsor. Their page lists every one.

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

Herold Clemens Rohweder

Executive Officer · 23 shared filings (10 issuers)

Herold Clemens Rohweder is on 10 issuers in total — a repeat sponsor. Their page lists every one.

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

Andrew Douglas Eu

Executive Officer · 22 shared filings (6 issuers) · also on 1 other issuer

Andrew Douglas Eu is on 7 issuers in total — a repeat sponsor. Their page lists every one.

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

Mary Ann Schreiber

Executive Officer, Director · 19 shared filings (7 issuers) · also on 5 other issuers

Mary Ann Schreiber is on 12 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

Carl Pappo

Executive Officer · 18 shared filings (18 issuers) · also on 6 other issuers

Carl Pappo is on 24 issuers in total — a repeat sponsor. Their page lists every one.

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

Geoffrey Mullen

Executive Officer · 17 shared filings (9 issuers)

Geoffrey Mullen is on 9 issuers in total — a repeat sponsor. Their page lists every one.

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

William Grau

Executive Officer · 17 shared filings (16 issuers)

William Grau is on 16 issuers in total — a repeat sponsor. Their page lists every one.

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

Susan Matteson King

Executive Officer · 14 shared filings (8 issuers) · also on 2 other issuers

Susan Matteson King is on 10 issuers in total — a repeat sponsor. Their page lists every one.

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

Horacio Valeiras

Executive Officer, Director · 12 shared filings (6 issuers) · also on 7 other issuers

Horacio Valeiras is on 13 issuers in total — a repeat sponsor. Their page lists every one.

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

ALAN RAPPAPORT

Director · 11 shared filings (4 issuers) · also on 2 other issuers

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

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

LAWRENCE G. ALTADONNA

Executive Officer · 11 shared filings (4 issuers) · also on 1 other issuer

LAWRENCE G. ALTADONNA is on 5 issuers in total — a repeat sponsor. Their page lists every one.

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

ORHAN DZEMAILI

Executive Officer · 11 shared filings (4 issuers) · also on 2 other issuers

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

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

JAMES A. JACOBSON

Director · 11 shared filings (4 issuers) · also on 2 other issuers

JAMES A. JACOBSON is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

WILLIAM B. OGDEN, IV

Director · 11 shared filings (4 issuers) · also on 2 other issuers

WILLIAM B. OGDEN, IV is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

RICHARD J. COCHRAN

Executive Officer · 11 shared filings (4 issuers) · also on 2 other issuers

RICHARD J. COCHRAN is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

PAUL KOO

Executive Officer · 11 shared filings (4 issuers) · also on 10 other issuers

PAUL KOO is on 14 issuers in total — a repeat sponsor. Their page lists every one.

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

THOMAS L. HARTER

Executive Officer · 11 shared filings (4 issuers) · also on 2 other issuers

THOMAS L. HARTER is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

THOMAS J. FUCCILLO

Executive Officer · 11 shared filings (4 issuers) · also on 2 other issuers

THOMAS J. FUCCILLO is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

DEBORAH A. DECOTIS

Director · 11 shared filings (4 issuers) · also on 2 other issuers

DEBORAH A. DECOTIS is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

BRADFORD K. GALLAGHER

Director · 11 shared filings (4 issuers) · also on 2 other issuers

BRADFORD K. GALLAGHER is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

HANS W. KERTESS

Director · 11 shared filings (4 issuers) · also on 2 other issuers

HANS W. KERTESS is on 6 issuers in total — a repeat sponsor. Their page lists every one.

The team behind the deals

AS
Sponsor group

Allianzgi Structured Alpha

39 issuers · 217 filings · $5.89B reported sold · 2009–2021

One team, 39 deal companies. Barbara Ruth Claussen is listed on 34 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 Barbara Ruth Claussen.

V
Sponsor group

Virtus

2 issuers · 17 filings · $0 reported sold · 2017–2026

One team, 2 deal companies. Barbara Ruth Claussen is listed on 2 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 Barbara Ruth Claussen.

Same business address

51 other issuers file from the same address (first 50 shown)

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); KY (Kentucky Secretary of State — Business Entity Search (sosbes.sos.ky.gov), searched by issuer name, data as of Oct 24, 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)

A person is never an adviser firm. 2 of the 36 issuers this person is listed on match a Form ADV adviser (searched 24,962 advisers as of Oct 2, 2026): Virtus Emerging Markets Consumer LLC, Virtus International Small-Cap Opportunities LLC.

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 Barbara Ruth Claussen 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 36 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Barbara Ruth Claussen is listed on: none on file. No website or social profile named in AllianzGI Convertible LLC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #250,269 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 (New York, NY). 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) ↗New York WebCivil Supreme ↗Connecticut Judicial Branch case look-up ↗

Securities regulators

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

Business registries

New York Secretary of State business search ↗Connecticut Secretary of State business search ↗OpenCorporates ↗

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