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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:39 AM ET

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Brodie Barnes

Named as an officer, director or promoter on SEC Form D filings · UT · Apr 14, 2011 → Feb 21, 2012

3deals (issuers)
$71.8Mreported sold
114investors
5Form D filings
2011–2012years on file

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

The short version

Brodie Barnes is listed as an executive officer on 5 SEC Form D filings by 3 issuers between Apr 2011 and Feb 2012: Knox Prime Fund, LLC. (Draper, UT — pooled investment fund — 2011–2012; $46.7M reported sold to 87 investors), Hercules Fund, LLC. (Draper, UT — pooled investment fund — 2011; $16M reported sold to 4 investors) and Knox Opportunity Fund, LP. (Draper, UT — pooled investment fund — 2011–2012; $9.14M reported sold to 23 investors).

What this means A repeat sponsor — 3 separate companies raised money with this person listed as executive officer. Across those companies the filings report $71.8M sold in total.

Listed alongside Stan Kimball (3 shared filings), Stanley Kimball (2 shared filings), Ryan Day (1 shared filing) and Trent D'Ambrosio (1 shared filing).

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

All 3 issuers belong to the sponsor group Knox (3 issuers, $71.8M reported sold, 2011–2012).

What this means A sponsor group is one team that sets up a new company for each deal. Knox has 3 companies on file and $71.8M reported sold in total — the group page shows the whole track record in one place.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — none found.

What this means Nothing turned up where we looked (3 sources). That does not prove there is nothing — it means none was found in those sources on that date.

We compared 5 public filings for Brodie Barnes and found 11 differences, 3 worth asking the sponsor about: Form D filed 618 days after the first sale; Form D filed 412 days after the first sale; and more below.

What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.

What the community is saying

Community search for Brodie Barnes has not run yet — it is joining a line of 37,915 names; searches run around the clock at the hosts' allowed rate. Searched so far: 641 names.

Community comments are quoted as written by their authors. Sources searched: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.

Key records

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

1. Lawsuits

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

What was searched

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

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

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

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, 2:24 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.

4. Differences between public sources

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

11 differences found between the filings for Brodie Barnes — 3 worth asking about (compared 5 filings on Oct 24, 2026)

Note · Apr 14, 2011 – Apr 20, 2011

6 paid sellers are also listed insiders

Brodie Barnes is both a listed executive officer and a paid seller — Knox Opportunity Fund, LP. · Brodie Barnes is both a listed executive officer and a paid seller — Hercules Fund, LLC. · Stan Kimball is both a listed executive officer and a paid seller — Hercules Fund, LLC. · Brodie Barnes is both a listed executive officer and a paid seller — Knox Prime Fund, LLC. · Stan Kimball is both a listed executive officer and a paid seller — Knox Prime Fund, LLC. · and 1 more

What this means The same person is listed as running the company and as being paid to sell its securities. Ask how much and on what terms.

Sources
Note · Feb 15, 2012

Brodie Barnes appears on 1 deal that stopped filing before reaching its target

Knox Opportunity Fund, LP. (last filing Feb 15, 2012; $9,140,000 sold of $50,000,000). 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.

Sources
Worth asking · Aug 10, 2009 – Apr 20, 2011

Form D filed 618 days after the first sale — Knox Opportunity Fund, LP.

The filing says the first sale was Aug 10, 2009. The Form D was filed Apr 20, 2011 — 618 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 603 days past that.

What this means The notice went in months after money was taken in. Late notices are common and carry no penalty by themselves, but it is fair to ask the sponsor why the paperwork lagged.

Sources
Worth asking · Mar 3, 2010 – Apr 19, 2011

Form D filed 412 days after the first sale — Hercules Fund, LLC.

The filing says the first sale was Mar 3, 2010. The Form D was filed Apr 19, 2011 — 412 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 397 days past that.

What this means The notice went in months after money was taken in. Late notices are common and carry no penalty by themselves, but it is fair to ask the sponsor why the paperwork lagged.

Sources
Worth asking · Jul 20, 2009 – Apr 14, 2011

Form D filed 633 days after the first sale — Knox Prime Fund, LLC.

The filing says the first sale was Jul 20, 2009. The Form D was filed Apr 14, 2011 — 633 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 618 days past that.

What this means The notice went in months after money was taken in. Late notices are common and carry no penalty by themselves, but it is fair to ask the sponsor why the paperwork lagged.

Sources
Note · Jul 20, 2009 – Feb 21, 2012

No amendment in the last 12 months on an offering that may still be open — Knox Prime Fund, LLC. (latest filing Feb 21, 2012)

The latest filing for this offering is dated Feb 21, 2012 (first sale Jul 20, 2009). It reports $46,662,164 sold of $50,000,000 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.

Sources
Note · Aug 10, 2009 – Feb 15, 2012

No amendment in the last 12 months on an offering that may still be open — Knox Opportunity Fund, LP. (latest filing Feb 15, 2012)

The latest filing for this offering is dated Feb 15, 2012 (first sale Aug 10, 2009). It reports $9,140,000 sold of $25,000,000 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.

Sources
Note · Mar 3, 2010 – Apr 19, 2011

No amendment in the last 12 months on an offering that may still be open — Hercules Fund, LLC. (latest filing Apr 19, 2011)

The latest filing for this offering is dated Apr 19, 2011 (first sale Mar 3, 2010). It reports $16,000,000 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.

Sources
Note · Apr 14, 2011 – Feb 21, 2012

Offering amount changed between filings — Knox Prime Fund, LLC.

The Apr 14, 2011 filing says an indefinite amount offered; the Feb 21, 2012 Form D/A says $50,000,000.

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.

Sources
Note · Apr 20, 2011 – Feb 15, 2012

Offering amount lowered between filings — Knox Opportunity Fund, LP.

The Apr 20, 2011 filing says $50,000,000 offered; the Feb 15, 2012 Form D/A says $25,000,000.

What this means The target raise got smaller. That can mean the plan shrank or the sponsor stopped early. Ask what changed in the deal.

Sources
Note · Apr 20, 2011 – Feb 15, 2012

Reported revenue range changed between filings — Knox Opportunity Fund, LP.

"$5,000,001 - $25,000,000" (Apr 20, 2011); then "Decline to Disclose" (Feb 15, 2012).

What this means This is the size band the issuer picks for itself on the form. A change can mean the business grew or shrank — or that it chose not to say. Ask for current numbers.

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

0 of 3 offerings report sales commissions; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Feb 21, 2012 D/A
Knox Prime Fund, LLC.
File 021-158455
$0$0$0 (est.)None listed on this filingEDGAR ↗
Feb 15, 2012 D/A
Knox Opportunity Fund, LP.
File 021-158647
$0$0$0None listed on this filingEDGAR ↗
Apr 19, 2011 D
Hercules Fund, LLC.
File 021-158609
$0$0$0Brodie Barnes BrokerCheck CRD 2368626 ↗
via KCG Securities LLC (CRD 151300 ↗)

Stan Kimball BrokerCheck CRD 4138612 ↗
via KCG Securities LLC (CRD 151300 ↗)
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 3

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

Pooled Investment Fund · group: Knox

Knox Prime Fund, LLC.

Draper, UT · Apr 14, 2011 → Feb 21, 2012 · 2 filings
  • Feb 21, 2012 · D/A · $46,662,164 sold of $50,000,000 · 87 investors · min. $100,000 · role: Executive Officer EDGAR ↗
  • Apr 14, 2011 · D · $46,000,000 sold of Indefinite · 82 investors · min. $100,000 · role: Executive Officer EDGAR ↗

Raised $46.7M from 87 investors (93% of the $50M target) as of the latest filing. Brodie is listed as executive officer on 2 filings for this deal.

Sources

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

Pooled Investment Fund · group: Knox

Knox Opportunity Fund, LP.

Draper, UT · Apr 20, 2011 → Feb 15, 2012 · 2 filings
  • Feb 15, 2012 · D/A · $9,140,000 sold of $25,000,000 · 23 investors · min. $100,000 · role: Executive Officer EDGAR ↗
  • Apr 20, 2011 · D · $9,140,000 sold of $50,000,000 · 23 investors · min. $100,000 · role: Executive Officer EDGAR ↗

Raised $9.14M from 23 investors (37% of the $25M target) as of the latest filing. Brodie is listed as executive officer on 2 filings for this deal.

Sources

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

Pooled Investment Fund · group: Knox

Hercules Fund, LLC.

Draper, UT · Apr 19, 2011
  • Apr 19, 2011 · D · $16,000,000 sold of Indefinite · 4 investors · min. $100,000 · role: Executive Officer EDGAR ↗

Raised $16M from 4 investors as of the latest filing. Brodie is listed as executive officer.

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 Brodie 4

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

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

Stan Kimball

Executive Officer · 3 shared filings (2 issuers)

Listed on the same filings as Brodie Barnes. Their page shows their other deals.

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

Stanley Kimball

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Brodie Barnes. Their page shows their other deals.

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

Trent D'Ambrosio

Executive Officer · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as Brodie Barnes. Their page shows their other deals.

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

Ryan Day

Promoter · 1 shared filing (1 issuer)

Listed on the same filings as Brodie Barnes. Their page shows their other deals.

The team behind the deals

Sponsor group

Knox

3 issuers · 5 filings · $71.8M reported sold · 2011–2012

One team, 3 deal companies. Brodie Barnes is listed on 3 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 Brodie Barnes.

Registrations and other filings

Business registration (state registry / Secretary of State)

Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file).

Adviser registration (Form ADV)

None of the 3 issuers this person is listed on appears in Form ADV (searched 24,962 advisers as of Oct 2, 2026). A person is never an adviser firm; Form ADV is checked for the issuers and the management companies they are listed with.

Other offering types (Regulation A and Regulation Crowdfunding)

Searched SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.

Property records none — individuals are not matched

Property records are matched to companies only, never to individuals, so none are matched to Brodie Barnes 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 3 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Brodie Barnes is listed on: none on file. No website or social profile named in Knox Prime Fund, LLC.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #343,744 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 (Draper, UT). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Change history

No corrections have been requested for this page.

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Members get an email when Brodie Barnes appears on a new Form D, or when a court case or SEC action is matched to them. See plans →