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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 6:52 AM ET

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Brian K. Klein

Named as an officer, director or promoter on SEC Form D filings · WA · Mar 13, 2009 → Mar 1, 2019

7deals (issuers)
$2.47Breported sold
534investors
43Form D filings
2009–2019years on file
Follow this personLook further ↓PDF

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

The short version

Brian K. Klein is listed as an executive officer, director, and promoter on 43 SEC Form D filings by 7 issuers between Mar 2009 and Mar 2019. Largest by amount reported sold: Steelhead Pathfinder Fund L P (Seattle, WA — pooled investment fund — 2009–2019; $1.01B reported sold to 192 investors), STEELHEAD NAVIGATOR FUND, L.P. (Bellevue, WA — pooled investment fund — 2009–2018; $589.2M reported sold to 270 investors), STEELHEAD NAVIGATOR MASTER, L.P. (Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2009–2011; $589.2M reported sold to 1 investors), STEELHEAD NAVIGATOR FUND, LTD (Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2009–2011; $268.8M reported sold to 38 investors), J K ONE FUND L P (Bellevue, WA — pooled investment fund — 2009–2018; $9.03M reported sold to 24 investors) and 2 more (all listed below).

What this means A repeat sponsor — 7 separate companies raised money with this person listed as executive officer, director, and promoter, over about 10 years. Across those companies the filings report $2.47B sold in total.

Listed alongside Steelhead Partners, LLC (37 shared filings, management entity), J. Michael Johnston (36 shared filings), Brent Eugene Binge (29 shared filings), Grant W. Hulse (26 shared filings), Greg Martin Stevenson (24 shared filings) and 11 others.

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

The issuers belong to 2 sponsor groups: Steelhead Navigator (7 issuers, $4.04B reported sold, 2009–2026) and Freestone (54 issuers, $3.86B reported sold, 2009–2026).

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 (AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, LA, ME, MO, MS, MT, NASAA, NC, NH, NM, OR, RI, TX, WA) — 7 bankruptcy cases matching the name listed in Key records below.

What this means 7 records came back. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.

We compared 43 public filings for Brian K. Klein and found 16 differences, 4 worth asking the sponsor about: Investor count went down between filings; Brian K. Klein is no longer listed on the Mar 28, 2019 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 Brian K. Klein has not run yet — it is joining a line of 21,148 names; searches run around the clock at the hosts' allowed rate. Searched so far: 329 names.

Community comments are quoted as written by their authors. Sources searched: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

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

What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:17 AM ET.

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

2. Regulatory actions

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: NV (crawled Oct 23, 2026)

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 Brian K. Klein..

State securities regulators: Securities regulators searched (3,318 actions): AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002), DE DOJ Investor Protection Unit (257 actions, 1987–2026), TX State Securities Board (586 actions, 2006–2026), WA DFI (2,039 actions, 2001–2026) — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first — last crawled Oct 23, 2026, 9:57 PM ET. No machine-readable public listing today for IA, IN, KS, MI, NE, NV (see docs/state-regulators.md).

3. Bankruptcies

7 cases: 1 open, 6 closed (disposition not in docket feed)

Brian Klein open
United States Bankruptcy Court, S.D. New York · No. 26-35967 · Filed Sep 9, 2026
Role of Brian Klein: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 2 people with this name in Form D filings; court in NY (not a filing state)
Brian Klein closed
United States Bankruptcy Court, E.D. Wisconsin · No. 20-21002 · Filed Feb 10, 2020 · Closed May 13, 2020
Role of Brian Klein: Debtor · Outcome: Case closed 2020-05-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 2 people with this name in Form D filings; court in WI (not a filing state)
Brian Klein and Alicia Klein closed
United States Bankruptcy Court, W.D. Kentucky · No. 05-60960 · Filed Oct 15, 2005 · Closed Dec 3, 2007
Role of Brian Klein and Alicia Klein: Debtor · Outcome: Case closed 2007-12-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 2 people with this name in Form D filings; court in KY (not a filing state)
Brian Klein closed
United States Bankruptcy Court, W.D. Michigan · No. 04-14362 · Filed Nov 22, 2004 · Closed Jul 13, 2005
Role of Brian Klein: Debtor · Outcome: Case closed 2005-07-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 2 people with this name in Form D filings; court in MI (not a filing state)
Brian K. Klein closed
United States Bankruptcy Court, D. South Dakota · No. 02-50422 · Filed Aug 30, 2002 · Closed Nov 26, 2002
Role of Brian K. Klein: Debtor · Outcome: Case closed 2002-11-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 2 people with this name in Form D filings; court in SD (not a filing state)
Brian Klein and Rana Klein closed
United States Bankruptcy Court, S.D. Georgia · No. 01-43507 · Filed Nov 19, 2001 · Closed Mar 22, 2002
Role of Brian Klein and Rana Klein: Debtor · Outcome: Case closed 2002-03-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 2 people with this name in Form D filings; court in GA (not a filing state)
Brian Klein closed
United States Bankruptcy Court, N.D. Illinois · No. 87-17574 · Filed Nov 27, 1987 · Closed Jul 15, 1988
Role of Brian Klein: Debtor · Outcome: Case closed 1988-07-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 2 people with this name in Form D filings; court in IL (not a filing state)
What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:17 AM ET.

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

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

4. Differences between public sources

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

16 differences found between the filings for Brian K. Klein — 4 worth asking about (compared 43 filings on Oct 24, 2026)

Worth asking · Oct 22, 2009

Investor count went down between filings — AFRICA TEN ENTERPRISES, LLC

The Oct 22, 2009 filing reports 9 investors; the Oct 22, 2009 Form D/A reports 2 investors.

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

Form D (earlier) · Oct 22, 2009 ↗Form D/A (later) · Oct 22, 2009 ↗AFRICA TEN ENTERPRISES, LLC — PartnerFacts page ↗
Sources
Note · Aug 26, 2009

Brian K. Klein appears on 1 deal that stopped filing before reaching its target

Freestone Capital Holdings, LLC (last filing Aug 26, 2009; $0 sold of $4,200,000). Each has no filing in more than two years and reported under half its target sold.

What this means An issuer whose last filing is more than two years old and reported under half its target sold. The raise may have closed early or quietly stopped. Ask what happened to each.

Freestone Capital Holdings, LLC — PartnerFacts page ↗
Sources
Note · Jan 1, 1997 – Mar 2, 2018

No amendment in the last 12 months on an offering that may still be open — STEELHEAD NAVIGATOR FUND, L.P. (latest filing Mar 2, 2018)

The latest filing for this offering is dated Mar 2, 2018 (first sale Jan 1, 1997). It reports $589,189,594 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D/A · Mar 2, 2018 ↗STEELHEAD NAVIGATOR FUND, L.P. — PartnerFacts page ↗
Sources
Note · Apr 1, 1998 – Mar 2, 2018

No amendment in the last 12 months on an offering that may still be open — J K ONE FUND L P (latest filing Mar 2, 2018)

The latest filing for this offering is dated Mar 2, 2018 (first sale Apr 1, 1998). It reports $9,028,806 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D/A · Mar 2, 2018 ↗J K ONE FUND L P — PartnerFacts page ↗
Sources
Worth asking · Mar 1, 2019 – Mar 28, 2019

Brian K. Klein is no longer listed on the Mar 28, 2019 amendment — Steelhead Pathfinder Fund L P

Brian K. Klein appears on the Mar 1, 2019 Form D/A (executive officer, promoter) but not on the Mar 28, 2019 Form D/A for the same offering.

What this means People leave, and the issuer must list only current officers, directors and promoters. It is still worth asking why this person left and who replaced them.

Form D/A · Mar 1, 2019 ↗Form D/A · Mar 28, 2019 ↗Brian K. Klein — PartnerFacts page ↗Steelhead Pathfinder Fund L P — PartnerFacts page ↗
Sources
Worth asking · Mar 4, 2011 – Jul 1, 2011

Brian K. Klein is no longer listed on the Jul 1, 2011 amendment — STEELHEAD NAVIGATOR MASTER, L.P.

Brian K. Klein appears on the Mar 4, 2011 Form D/A (executive officer, promoter) but not on the Jul 1, 2011 Form D/A for the same offering.

What this means People leave, and the issuer must list only current officers, directors and promoters. It is still worth asking why this person left and who replaced them.

Form D/A · Mar 4, 2011 ↗Form D/A · Jul 1, 2011 ↗Brian K. Klein — PartnerFacts page ↗STEELHEAD NAVIGATOR MASTER, L.P. — PartnerFacts page ↗
Sources
Worth asking · Mar 3, 2011 – Apr 11, 2011

Brian K. Klein is no longer listed on the Apr 11, 2011 amendment — STEELHEAD NAVIGATOR FUND, LTD

Brian K. Klein appears on the Mar 3, 2011 Form D/A (director, promoter) but not on the Apr 11, 2011 Form D/A for the same offering.

What this means People leave, and the issuer must list only current officers, directors and promoters. It is still worth asking why this person left and who replaced them.

Form D/A · Mar 3, 2011 ↗Form D/A · Apr 11, 2011 ↗Brian K. Klein — PartnerFacts page ↗STEELHEAD NAVIGATOR FUND, LTD — PartnerFacts page ↗
Sources
Note · Feb 28, 2014 – Mar 6, 2015

Brian K. Klein's role changed at STEELHEAD NAVIGATOR FUND, L.P.: executive officer, promoter → executive officer

The Feb 28, 2014 filing lists Brian K. Klein as executive officer, promoter; the Mar 6, 2015 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 · Feb 28, 2014 ↗Form D/A · Mar 6, 2015 ↗Brian K. Klein — PartnerFacts page ↗STEELHEAD NAVIGATOR FUND, L.P. — PartnerFacts page ↗
Sources
Note · Mar 1, 2013 – Feb 28, 2014

Brian K. Klein's role changed at J K ONE FUND L P: executive officer, promoter → executive officer

The Mar 1, 2013 filing lists Brian K. Klein as executive officer, promoter; the Feb 28, 2014 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 · Mar 1, 2013 ↗Form D/A · Feb 28, 2014 ↗Brian K. Klein — PartnerFacts page ↗J K ONE FUND L P — PartnerFacts page ↗
Sources
Note · Aug 13, 2009 – Oct 22, 2009

Offering amount changed between filings — AFRICA TEN ENTERPRISES, LLC

The Aug 13, 2009 filing says $750,000 offered; the Oct 22, 2009 Form D says $900,000.

What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.

Form D (earlier) · Aug 13, 2009 ↗Form D (later) · Oct 22, 2009 ↗AFRICA TEN ENTERPRISES, LLC — PartnerFacts page ↗
Sources
Note · Oct 22, 2009

Offering amount changed between filings — AFRICA TEN ENTERPRISES, LLC

The Oct 22, 2009 filing says $900,000 offered; the Oct 22, 2009 Form D/A says $1,100,000.

What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.

Form D (earlier) · Oct 22, 2009 ↗Form D/A (later) · Oct 22, 2009 ↗AFRICA TEN ENTERPRISES, LLC — PartnerFacts page ↗
Sources
Note · Mar 3, 2011 – Mar 1, 2012

Minimum investment changed between filings — STEELHEAD NAVIGATOR FUND, L.P.

The Mar 3, 2011 filing lists a minimum of $500,000; the Mar 1, 2012 Form D/A lists $1,000,000.

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

Form D/A (earlier) · Mar 3, 2011 ↗Form D/A (later) · Mar 1, 2012 ↗STEELHEAD NAVIGATOR FUND, L.P. — PartnerFacts page ↗
Sources
Note · Mar 4, 2011 – Jul 1, 2011

Minimum investment changed between filings — STEELHEAD NAVIGATOR MASTER, L.P.

The Mar 4, 2011 filing lists a minimum of $0; the Jul 1, 2011 Form D/A lists $1,000,000.

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

Form D/A (earlier) · Mar 4, 2011 ↗Form D/A (later) · Jul 1, 2011 ↗STEELHEAD NAVIGATOR MASTER, L.P. — PartnerFacts page ↗
Sources
Note · Mar 13, 2009 – Mar 16, 2009

Brian K. Klein is written 2 different ways on the filings

listed as "Brian K. Klein" on 34 filings (from Mar 13, 2009), and "Brian Klein" on 9 filings (from Mar 16, 2009).

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 · Mar 13, 2009 ↗Form D/A · Mar 16, 2009 ↗Brian K. Klein — PartnerFacts page ↗
Sources
Note · Oct 26, 2011

Same name, different state: "Brian Klein" (CA) is a separate record

This page covers filings where the address state is WA. A separate record, "Brian Klein" with address state CA, is listed on 1 filing — most recently by Rushmore Superfoods, LLC (Oct 26, 2011). Both records have filings in the same period (Oct 26, 2011).

What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.

Brian Klein (CA) — PartnerFacts page ↗Form D · Oct 26, 2011 ↗Rushmore Superfoods, LLC — PartnerFacts page ↗Brian K. Klein (WA) — this page ↗
Sources
Note · Mar 4, 2010 – Dec 19, 2019

9 address changes between filings

Address moved from Bellevue, WA to Seattle, WA — Steelhead Pathfinder Fund L P · Address moved from Smiths, Bermuda (as filed: D0) to Hamilton, Bermuda (as filed: D0) — STEELHEAD NAVIGATOR MASTER, L.P. · Address moved from Bellevue, WA to Grand Cayman, Cayman Islands (as filed: E9) — STEELHEAD NAVIGATOR FUND, LTD · Address moved from Bellevue, WA to Smiths, Bermuda (as filed: D0) — STEELHEAD NAVIGATOR MASTER, L.P. · Address moved from Seattle, WA to Bellevue, WA — STEELHEAD NAVIGATOR MASTER, L.P. · and 4 more

What this means Businesses move. If you were told one city and the forms say another, ask which is current.

Form D/A · Mar 28, 2019 ↗Form D/A · Dec 19, 2019 ↗Steelhead Pathfinder Fund L P — PartnerFacts page ↗Form D/A · Mar 3, 2017 ↗
Sources
What is compared

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

5. Money to insiders

None reported on 7 offerings — no sales commissions, finder's fees or proceeds to insiders

Per-offering detail
Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Mar 1, 2019 D/A
Steelhead Pathfinder Fund L P
File 021-84246
$0$0$0None listed on this filingEDGAR ↗
Mar 2, 2018 D/A
STEELHEAD NAVIGATOR FUND, L.P.
File 021-112814
$0$0$0None listed on this filingEDGAR ↗
Mar 2, 2018 D/A
J K ONE FUND L P
File 021-60788
$0$0$0None listed on this filingEDGAR ↗
Mar 4, 2011 D/A
STEELHEAD NAVIGATOR MASTER, L.P.
File 021-98355
$0$0$0None listed on this filingEDGAR ↗
Mar 3, 2011 D/A
STEELHEAD NAVIGATOR FUND, LTD
File 021-99196
$0$0$0None listed on this filingEDGAR ↗
Oct 22, 2009 D/A
AFRICA TEN ENTERPRISES, LLC
File 021-133614
$0$0$0None listed on this filingEDGAR ↗
Aug 26, 2009 D
Freestone Capital Holdings, LLC
File 021-133949
$0$0$0None listed on this filingEDGAR ↗

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 7

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

SP
Pooled Investment Fund · group: Steelhead Navigator

Steelhead Pathfinder Fund L P

Seattle, WA · Mar 13, 2009 → Mar 1, 2019 · 12 filings
  • Mar 1, 2019 · D/A · $632,192,022 sold of Indefinite · 153 investors · min. $1,000,000 · role: Executive Officer, Promoter (Managing Member of Steelhead Partners, LLC, General Partner of the issuer.) EDGAR ↗
  • Mar 2, 2018 · D/A · $607,629,164 sold of Indefinite · 148 investors · min. $1,000,000 · role: Executive Officer, Promoter (Member of Steelhead Partners, LLC, General Partner of the issuer.) EDGAR ↗
  • Mar 3, 2017 · D/A · $590,056,543 sold of Indefinite · 142 investors · min. $1,000,000 · role: Executive Officer, Promoter (Member of Steelhead Partners, LLC, General Partner of the issuer.) EDGAR ↗
  • Mar 4, 2016 · D/A · $526,158,098 sold of Indefinite · 136 investors · min. $1,000,000 · role: Executive Officer, Promoter (Member of Steelhead Partners, LLC, General Partner of the issuer.) EDGAR ↗
  • Mar 6, 2015 · D/A · $519,148,098 sold of Indefinite · 134 investors · min. $1,000,000 · role: Executive Officer, Promoter (Member of Steelhead Partners, LLC, General Partner of the issuer.) EDGAR ↗
  • Feb 28, 2014 · D/A · $357,618,098 sold of Indefinite · 127 investors · min. $1,000,000 · role: Executive Officer, Promoter (Member of Steelhead Partners, LLC, General Partner of the issuer.) EDGAR ↗
  • Mar 1, 2013 · D/A · $339,143,098 sold of Indefinite · 109 investors · min. $1,000,000 · role: Executive Officer, Promoter (of Steelhead Partners, LLC, the general partner of the issuer.) EDGAR ↗
  • Mar 1, 2012 · D/A · $211,268,098 sold of Indefinite · 90 investors · min. $1,000,000 · role: Executive Officer, Promoter (of Steelhead Partners, LLC, the general partner of the issuer.) EDGAR ↗
  • Mar 4, 2011 · D/A · $177,293,098 sold of Indefinite · 74 investors · min. $1,000,000 · role: Executive Officer, Promoter (of Steelhead Partners, LLC, the general partner of the issuer.) EDGAR ↗
  • Jul 22, 2010 · D/A · $160,351,598 sold of Indefinite · 63 investors · min. $1,000,000 · role: Executive Officer, Promoter (Member-Manager of Steelhead Partners, LLC, the general partner of the issuer.) EDGAR ↗
  • Mar 4, 2010 · D/A · $101,626,598 sold of Indefinite · 55 investors · min. $1,000,000 · role: Executive Officer, Promoter (Member-Manager of Steelhead Partners, LLC, the general partner of the issuer.) EDGAR ↗
  • Mar 13, 2009 · D/A · $75,416,598 sold of Indefinite · 44 investors · min. $1,000,000 · role: Executive Officer, Promoter (Member-Manager of Steelhead Partners, LLC, the general partner of the issuer.) EDGAR ↗

Raised $1.01B from 192 investors as of the latest filing. Brian is listed as executive officer, promoter 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.

SN
Pooled Investment Fund · group: Steelhead Navigator

STEELHEAD NAVIGATOR FUND, L.P.

Bellevue, WA · Mar 16, 2009 → Mar 2, 2018 · 11 filings
  • Mar 2, 2018 · D/A · $589,189,594 sold of Indefinite · 270 investors · min. $1,000,000 · role: Executive Officer (Member of Steelhead Partners, LLC, General Partner of the issuer) EDGAR ↗
  • Mar 3, 2017 · D/A · $588,939,594 sold of Indefinite · 269 investors · min. $1,000,000 · role: Executive Officer (Member of Steelhead Partners, LLC, General Partner of the issuer) EDGAR ↗
  • Mar 4, 2016 · D/A · $588,939,594 sold of Indefinite · 268 investors · min. $1,000,000 · role: Executive Officer (Member of Steelhead Partners, LLC, General Partner of the issuer) EDGAR ↗
  • Mar 6, 2015 · D/A · $587,089,594 sold of Indefinite · 265 investors · min. $1,000,000 · role: Executive Officer (Member of Steelhead Partners, LLC, General Partner of the issuer) EDGAR ↗
  • Feb 28, 2014 · D/A · $548,569,594 sold of Indefinite · 263 investors · min. $1,000,000 · role: Executive Officer, Promoter (Member of Steelhead Partners, LLC, General Partner of the issuer.) EDGAR ↗
  • Mar 1, 2013 · D/A · $455,797,594 sold of Indefinite · 253 investors · min. $1,000,000 · role: Executive Officer, Promoter (of Steelhead Partners, LLC, the general partner of Steelhead Navigator Fund, L.P.) EDGAR ↗
  • Mar 1, 2012 · D/A · $446,079,594 sold of Indefinite · 245 investors · min. $1,000,000 · role: Executive Officer, Promoter (of Steelhead Partners, LLC, the general partner of Steelhead Navigator Fund, L.P.) EDGAR ↗
  • Mar 3, 2011 · D/A · $383,069,594 sold of Indefinite · 215 investors · min. $500,000 · role: Executive Officer, Promoter (of Steelhead Partners, LLC, the general partner of Steelhead Navigator Fund, L.P.) EDGAR ↗
  • Jul 22, 2010 · D/A · $365,194,139 sold of Indefinite · 205 investors · min. $500,000 · role: Executive Officer, Promoter (Member-Manager of Steelhead Partners, LLC, the GP of Steelhead Navigator Fund, L.P.) EDGAR ↗
  • Mar 4, 2010 · D/A · $346,319,139 sold of Indefinite · 202 investors · min. $500,000 · role: Executive Officer, Promoter (Member-Manager of Steelhead Partners, LLC, the GP of Steelhead Navigator Fund, L.P.) EDGAR ↗
  • Mar 16, 2009 · D/A · $308,685,139 sold of Indefinite · 191 investors · min. $500,000 · role: Executive Officer, Promoter (Member-Manager of Steelhead Partners, LLC, the GP of Steelhead Navigator Fund, L.P.) EDGAR ↗

Raised $589.2M from 270 investors as of the latest filing. Brian is listed as executive officer, promoter 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.

JK
Pooled Investment Fund · group: Steelhead Navigator

J K ONE FUND L P

Bellevue, WA · Mar 16, 2009 → Mar 2, 2018 · 11 filings
  • Mar 2, 2018 · D/A · $9,028,806 sold of Indefinite · 24 investors · min. $500,000 · role: Executive Officer (Member of Steelhead Partners, LLC, the General Partner of the issuer.) EDGAR ↗
  • Mar 3, 2017 · D/A · $9,028,806 sold of Indefinite · 24 investors · min. $500,000 · role: Executive Officer (Member of Steelhead Partners, LLC, the General Partner of the issuer.) EDGAR ↗
  • Mar 4, 2016 · D/A · $8,818,806 sold of Indefinite · 22 investors · min. $500,000 · role: Executive Officer (Member of Steelhead Partners, LLC, the General Partner of the issuer.) EDGAR ↗
  • Mar 6, 2015 · D/A · $8,733,806 sold of Indefinite · 22 investors · min. $500,000 · role: Executive Officer (Member of Steelhead Partners, LLC, the General Partner of the issuer.) EDGAR ↗
  • Feb 28, 2014 · D/A · $8,618,806 sold of Indefinite · 22 investors · min. $500,000 · role: Executive Officer (Member of Steelhead Partners, LLC, the General Partner of the issuer.) EDGAR ↗
  • Mar 1, 2013 · D/A · $8,618,806 sold of Indefinite · 22 investors · min. $500,000 · role: Executive Officer, Promoter (of Steelhead Partners, LLC, the General Partner of the issuer.) EDGAR ↗
  • Mar 1, 2012 · D/A · $8,543,806 sold of Indefinite · 22 investors · min. $500,000 · role: Executive Officer, Promoter (of Steelhead Partners, LLC, the General Partner of the issuer.) EDGAR ↗
  • Mar 4, 2011 · D/A · $8,543,806 sold of Indefinite · 22 investors · min. $500,000 · role: Executive Officer, Promoter (of Steelhead Partners, LLC, the General Partner of the issuer.) EDGAR ↗
  • Jul 22, 2010 · D/A · $8,543,806 sold of Indefinite · 22 investors · min. $500,000 · role: Executive Officer, Promoter (Member-Manager of Steelhead Partners, LLC, the General Partner of the issuer.) EDGAR ↗
  • Mar 4, 2010 · D/A · $8,543,806 sold of Indefinite · 22 investors · min. $500,000 · role: Executive Officer, Promoter (Member-Manager of Steelhead Partners, LLC, the General Partner of the issuer.) EDGAR ↗
  • Mar 16, 2009 · D/A · $5,993,806 sold of Indefinite · 22 investors · min. $500,000 · role: Executive Officer, Promoter (Member-Manager of Steelhead Partners, LLC, the General Partner of the issuer.) EDGAR ↗

Raised $9.03M from 24 investors as of the latest filing. Brian is listed as executive officer, promoter 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.

SN
Pooled Investment Fund · group: Steelhead Navigator

STEELHEAD NAVIGATOR MASTER, L.P.

Grand Cayman, Cayman Islands (as filed: E9) · Mar 13, 2009 → Mar 4, 2011 · 3 filings
  • Mar 4, 2011 · D/A · $383,069,594 sold of Indefinite · 1 investors · min. No minimum reported · role: Executive Officer, Promoter (of Steelhead Partners, LLC, the Managing Member of Steelhead Offshore Partners, LLC, the General Partner of the Issuer) EDGAR ↗
  • Mar 4, 2010 · D/A · $346,319,139 sold of Indefinite · 1 investors · min. No minimum reported · role: Executive Officer, Promoter (Member-Manager of Steelhead Parnters, LLC, the Managing Member of Steelhead Offshore Partners, LLC, the General Partner of the Issuer) EDGAR ↗
  • Mar 13, 2009 · D/A · $308,685,139 sold of Indefinite · 1 investors · min. No minimum reported · role: Executive Officer, Promoter (Member-Manager of Steelhead Parnters, LLC, the Managing Member of Steelhead Offshore Partners, LLC, the General Partner of the Issuer) EDGAR ↗

Raised $589.2M from 1 investor as of the latest filing. Brian is listed as executive officer, promoter 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.

SN
Pooled Investment Fund · group: Steelhead Navigator

STEELHEAD NAVIGATOR FUND, LTD

Grand Cayman, Cayman Islands (as filed: E9) · Mar 13, 2009 → Mar 3, 2011 · 3 filings
  • Mar 3, 2011 · D/A · $175,600,306 sold of Indefinite · 25 investors · min. $1,000,000 · role: Director, Promoter (Director of the Issuer) EDGAR ↗
  • Mar 4, 2010 · D/A · $138,300,306 sold of Indefinite · 24 investors · min. $1,000,000 · role: Director, Promoter (Director of the Issuer) EDGAR ↗
  • Mar 13, 2009 · D/A · $114,713,362 sold of Indefinite · 21 investors · min. $1,000,000 · role: Director, Promoter (Director of the Issuer) EDGAR ↗

Raised $268.8M from 38 investors as of the latest filing. Brian is listed as director, promoter 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.

AT
Other

AFRICA TEN ENTERPRISES, LLC

Seattle, WA · Oct 22, 2009 → Oct 22, 2009 · 2 filings
  • Oct 22, 2009 · D/A · $1,100,000 sold of $1,100,000 · 2 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Oct 22, 2009 · D · $900,000 sold of $900,000 · 9 investors · min. No minimum reported · role: Executive Officer EDGAR ↗

Raised $1.1M from 9 investors (100% of the $1.1M target) as of the latest filing. Brian 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.

FC
Investing · group: Freestone

Freestone Capital Holdings, LLC

Seattle, WA · Aug 26, 2009
  • Aug 26, 2009 · D · $0 sold of $4,200,000 · 0 investors · min. $3,000 · role: Director EDGAR ↗

No sales reported yet as of the latest filing. Brian is listed as director.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

Other pages with the same name (1)

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

  • Brian Klein — CA, 1 issuer, Oct 26, 2011 → Oct 26, 2011 · no shared issuer

People around Brian 16

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

SP
Management entity

Steelhead Partners, LLC

Executive Officer, Promoter · 37 shared filings (4 issuers) · also on 1 other issuer

Steelhead Partners, LLC is on 5 issuers in total — a repeat sponsor. Their page lists every one.

SO
Management entity

Steelhead Offshore Partners, LLC

Executive Officer, Promoter · 3 shared filings (1 issuer)

Listed on the same filings as Brian K. Klein. Their page shows their other deals.

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

J. Michael Johnston

Executive Officer, Promoter, Director · 36 shared filings (5 issuers) · also on 2 other issuers

J. Michael Johnston is on 7 issuers in total — a repeat sponsor. Their page lists every one.

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

Brent Eugene Binge

Executive Officer, Promoter · 29 shared filings (4 issuers) · also on 1 other issuer

Brent Eugene Binge is on 5 issuers in total — a repeat sponsor. Their page lists every one.

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

Grant W. Hulse

Executive Officer · 26 shared filings (4 issuers) · also on 1 other issuer

Grant W. Hulse is on 5 issuers in total — a repeat sponsor. Their page lists every one.

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

Greg Martin Stevenson

Executive Officer, Promoter · 24 shared filings (3 issuers) · also on 2 other issuers

Greg Martin Stevenson is on 5 issuers in total — a repeat sponsor. Their page lists every one.

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

Carol R. Lokey

Executive Officer, Promoter · 8 shared filings (4 issuers)

Listed on the same filings as Brian K. Klein. Their page shows their other deals.

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

Gregory Martin Stevenson

Executive Officer · 5 shared filings (3 issuers)

Listed on the same filings as Brian K. Klein. Their page shows their other deals.

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

James Michael Johnston

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

James Michael Johnston is on 5 issuers in total — a repeat sponsor. Their page lists every one.

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

Paul Stevenson

Director · 3 shared filings (1 issuer) · also on 104 other issuers

Paul Stevenson is on 105 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

Michael Mortier

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Brian K. Klein. Their page shows their other deals.

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

Doug Durst

Executive Officer · 2 shared filings (1 issuer) · also on 2 other issuers

Listed on the same filings as Brian K. Klein. Their page shows their other deals.

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

Gary Furukawa

Director · 1 shared filing (1 issuer) · also on 37 other issuers

Gary Furukawa is on 38 issuers in total — a repeat sponsor. Their page lists every one.

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

Erik Morgan

Executive Officer, Director · 1 shared filing (1 issuer) · also on 31 other issuers

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

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

Scott Svenson

Executive Officer, Director · 1 shared filing (1 issuer) · also on 20 other issuers

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

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

Carl Chang

Director · 1 shared filing (1 issuer)

Listed on the same filings as Brian K. Klein. Their page shows their other deals.

The team behind the deals

SN
Sponsor group

Steelhead Navigator

7 issuers · 105 filings · $4.04B reported sold · 2009–2026

One team, 7 deal companies. Brian K. Klein is listed on 5 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 Brian K. Klein.

F
Sponsor group

Freestone

54 issuers · 146 filings · $3.86B reported sold · 2009–2026

One team, 54 deal companies. Brian K. Klein is listed on 1 of them.

Sources

Issuers are grouped when their Form D filings share related persons, a management entity or a business address (automatic match from the filings). "Listed" marks the issuers that name Brian K. Klein.

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

Adviser registration (Form ADV)

A person is never an adviser firm. 4 of the 7 issuers this person is listed on match a Form ADV adviser (searched 24,962 advisers as of Oct 2, 2026): Steelhead Pathfinder Fund L P, J K ONE FUND L P, STEELHEAD NAVIGATOR FUND, L.P., STEELHEAD NAVIGATOR MASTER, L.P..

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 Brian K. Klein 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 7 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Brian K. Klein is listed on: none on file. No website or social profile named in STEELHEAD NAVIGATOR FUND, L.P.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #258,302 of 374,652 in line (528 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 (Bellevue, WA). 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) ↗Washington Courts case search (dw.courts.wa.gov) ↗

Securities regulators

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

Business registries

Washington Secretary of State business search ↗OpenCorporates ↗

Change history

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