Sponsor Check › Person
Related person on Form D filings · address state as listed: NC · listed Sep 1, 2011 → Aug 6, 2025
Data last updated: Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 23, 2026, 11:56 PM ET · SEC enforcement last checked: not yet
Privacy: business-related public information only. Residential addresses are never shown; only the state from the filing.
The five facts investors ask about first. Each section states what was searched and when. Items still in human review are not shown.
None found in sources searched.
Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30) — federal district + bankruptcy courts; live RECAP re-check pending. State courts: not yet searched. PACER: not searched. · Last checked Oct 23, 2026, 11:56 PM ET.
State courts: not yet searched. 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.
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. — not yet searched; State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states: not yet searched.
Not yet searched.
No SEC search has run yet for this person.
None found in sources searched.
Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Last checked Oct 23, 2026, 11:56 PM ET.
State courts: not yet searched. 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.
Comparisons are made for sponsors and sponsor groups, not individual people.
47 of 66 offerings report sales commissions totalling $9,824,541; 0 report finder's fees; 21 report proceeds to related persons totalling $1,539,829. (includes amounts the issuer reported as estimates)
| Source | Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it |
|---|---|---|---|---|---|
| EDGAR ↗ | Aug 6, 2025 D File 021-553893 | $82,139 | $0 | $0 RELATED PERSON BRUCE V. ROBERTS IS A REGISTERED REPRESENTATIVE OF THE BROKERDEALER. HE WILL NOT RECEIVE COMPENSATION AS A DIRECTOR OF THE COMPANY, BUT MAY EARN INVESTMENT BANKING FEES AND SALES COMPENSATION. | BRUCE VICTOR ROBERTS BrokerCheck CRD 1489110 ↗ via CAROLINA FINANCIAL SECURITITES, LLC (CRD 41970 ↗) |
| EDGAR ↗ | May 22, 2025 D File 021-546938 | $38,700 | $0 | $0 RELATED PERSON BRUCE V. ROBERTS IS A REGISTERED REPRESENTATIVE OF THE BROKER-DEALER. HE WILL NOT RECEIVE COMPENSATION AS A DIRECTOR OF THE COMPANY, BUT MAY EARN INVESTMENT BANKING FEES AND SALES COMPENSATION. | BRUCE VICTOR ROBERTS BrokerCheck CRD 1489110 ↗ via CAROLINA FINANCIAL SECURITITES, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Jan 6, 2025 D File 021-534231 | $80,000 (est.) | $0 | $0 Manager of the LLC is also a representative of the broker-dealer. He will not receive any compensation for serving as manager of the entity, but may earn investment banking fees and sales compensation. | Bruce V Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Kristen A Dawson BrokerCheck CRD 2154005 ↗ via Carofin, LLC (CRD 298717 ↗) |
| EDGAR ↗ | Nov 21, 2024 D File 021-530035 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Sep 25, 2024 D File 021-524977 | $180,000 (est.) | $0 | $0 Related Person Bruce V Roberts is a registered representative of the broker-dealer. He will not receive compensation as a Board of Managers member, but may earn investment banking fees and sales compensation. | Bruce Victor Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Jul 22, 2024 D File 021-519430 | $180,000 (est.) | $0 | $0 Manager of the LLC is also a representative of the broker-dealer. He will not receive any compensation for serving as manager of the entity, but may earn investment banking and sales compensation. | Bruce V Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Bruce B Smith BrokerCheck CRD 2332178 ↗ via Carofin, LLC (CRD 298717 ↗) Joshua R Greene BrokerCheck CRD 5690935 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Jul 1, 2024 D File 021-517498 | $120,000 (est.) | $0 | $0 Manager of the LLC is also a representative of the broker-dealer. He will not receive any compensation for serving as manager of the entity, but may earn investment banking and sales compensation. | Bruce V Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Garrick Ruiz BrokerCheck CRD 5584980 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Garrick Ruiz BrokerCheck CRD 5584980 ↗ via Carofin, LLC (CRD 298717 ↗) Bruce B Smith BrokerCheck CRD 2332178 ↗ via Carofin, LLC (CRD 298717 ↗) John T Gramling III BrokerCheck CRD 6728407 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Jul 1, 2024 D File 021-517461 | $120,000 (est.) | $0 | $0 Manager of the LLC is also a representative of the broker-dealer. He will not receive any compensation for serving as manager of the entity, but may earn investment banking fees and sales compensation. | Bruce V Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Bruce B Smith BrokerCheck CRD 2332178 ↗ via Carofin, LLC (CRD 298717 ↗) |
| EDGAR ↗ | Mar 26, 2024 D/A File 021-491525 | $300,000 (est.) | $0 | $0 Related Person Bruce V. Roberts is a registered representative of the broker-dealer. He will not receive compensation as a Board of Managers member, but may earn investment banking fees and sales compensation. | Bruce V Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Garrick G Ruiz BrokerCheck CRD 5584980 ↗ via Carofin, LLC (CRD 298717 ↗) Garrick G Ruiz BrokerCheck CRD 5584980 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Bruce B Smith BrokerCheck CRD 2332178 ↗ via Carofin, LLC (CRD 298717 ↗) Phillip Nash Roberts BrokerCheck CRD 6182908 ↗ via Carofin, LLC (CRD 298717 ↗) |
| EDGAR ↗ | Mar 26, 2024 D/A File 021-505001 | $2,500,000 (est.) | $0 | $0 Manager of the LLC is also a representative of the broker-dealer. He will not receive compensation for serving as manager of the entity, but may earn investment banking fees and sales compensation. | Bruce V Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Garrick G Ruiz BrokerCheck CRD 5584980 ↗ via Carofin, LLC (CRD 298717 ↗) Nathan Yue Jia BrokerCheck CRD 6840358 ↗ via Carofin, LLC (CRD 298727 ↗) Phillip Nash Roberts BrokerCheck CRD 6182908 ↗ via Carofin, LLC (CRD 298717 ↗) Bruce B Smith BrokerCheck CRD 2332178 ↗ via Carofin, LLC (CRD 298717 ↗) |
| EDGAR ↗ | Mar 12, 2024 D File 021-507332 | $105,000 (est.) | $0 | $0 Manager of the LLC is also a representative of the broker-dealer. He will not receive any compensation for serving as manager of the entity, but may earn investment banking fees and sales compensation. | Bruce V Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Garrick G Ruiz BrokerCheck CRD 5584980 ↗ via Carofin, LLC (CRD 298717 ↗) Garrick G Ruiz BrokerCheck CRD 5584980 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Bruce B Smith BrokerCheck CRD 2332178 ↗ via Carofin, LLC (CRD 298717 ↗) John T Gramling III BrokerCheck CRD 6728407 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Joshua R Greene BrokerCheck CRD 5690935 ↗ via Carofin, LLC (CRD 298717 ↗) |
| EDGAR ↗ | Jan 22, 2024 D/A File 021-496791 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Sep 28, 2023 D/A File 021-492551 | $0 | $0 | $0 Mr. Roberts does not receive additional or specific compensation for the sale of the Notes. CFG Financial Services, LLC, an entity managed by Bruce V. Roberts, will be providing administrative agent services to investors and K-Island Resources, LLC. | Bruce V Roberts BrokerCheck CRD 1489110 ↗ |
| EDGAR ↗ | Aug 2, 2023 D/A File 021-478680 | $180,000 (est.) | $0 | $0 | Bruce V Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Garrick G Ruiz BrokerCheck CRD 5584980 ↗ via Carofin, LLC (CRD 298717 ↗) Bruce B Smith BrokerCheck CRD 2332178 ↗ via Carofin, LLC (CRD 298717 ↗) Phillip Nash Roberts BrokerCheck CRD 6182908 ↗ via Carofin, LLC (CRD 298717 ↗) |
| EDGAR ↗ | Jul 18, 2023 D/A File 021-386336 | $420,000 (est.) | $0 | $0 | Bruce V Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | May 31, 2023 D File 021-483046 | $97,500 (est.) | $0 | $0 Manager of LLC is also a representative of the broker-dealer. He will not receive compensation for serving as manager of the entity, but may earn investment banking fees and sales compensation. | Bruce V Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Garrick G Ruiz BrokerCheck CRD 5584980 ↗ via Carofin, LLC (CRD 298717 ↗) Garrick G Ruiz BrokerCheck CRD 4484980 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Bruce B Smith BrokerCheck CRD 2332178 ↗ via Carofin, LLC (CRD 298717 ↗) |
| EDGAR ↗ | Apr 24, 2023 D/A File 021-436267 | $0 | $0 | $0 Mr. Roberts does not receive additional or specific compensation for the sales of the Notes. CFG Financial Services, LLC, an entity managed by Bruce V. Roberts will be providing administrative agent services to Investor and K-Island. | Bruce V Roberts BrokerCheck CRD 1489110 ↗ |
| EDGAR ↗ | Apr 14, 2023 D File 021-478899 | $210,000 (est.) | $0 | $0 | Bruce V Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Apr 6, 2023 D/A File 021-467577 | $0 | $0 | $0 | Bruce V Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Feb 13, 2023 D File 021-473303 | $125,000 (est.) | $0 | $0 | Joshua R Greene BrokerCheck CRD 5690935 ↗ via Carofin, LLC (CRD 298717 ↗) Garrick G Ruiz BrokerCheck CRD 5584980 ↗ via Carofin, LLC (CRD 298717 ↗) Garrick G Ruiz BrokerCheck CRD 5584980 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Jan 23, 2023 D File 021-471487 | $125,000 (est.) | $0 | $0 | Bruce V Roberts BrokerCheck CRD 1489110 ↗ via 41970 (CRD 41970 ↗) Garrick G Ruiz BrokerCheck CRD 5584980 ↗ via Carofin, LLC (CRD 298717 ↗) Garrick G Ruiz BrokerCheck CRD 5584980 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Joshua R Greene BrokerCheck CRD 5690935 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Jan 19, 2023 D/A File 021-431059 | $250,000 (est.) | $0 | $0 | Bruce V Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Bruce B Smith BrokerCheck CRD 2332178 ↗ via Carofin, LLC (CRD 298717 ↗) Phillip Nash Roberts BrokerCheck CRD 6182908 ↗ via Carofin, LLC (CRD 298717 ↗) Garrick G Ruiz BrokerCheck CRD 5584980 ↗ via Carofin, LLC (CRD 298717 ↗) Joshua R Greene BrokerCheck CRD 5690935 ↗ via Carofin, LLC (CRD 298717 ↗) Garrick R Ruiz BrokerCheck CRD 5584980 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Nov 28, 2022 D/A File 021-461998 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Sep 6, 2022 D File 021-457968 | $120,000 (est.) | $0 | $0 | Bruce V Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Phillip Nash Roberts BrokerCheck CRD 6182908 ↗ via Carofin, LLC (CRD 298717 ↗) |
| EDGAR ↗ | Sep 6, 2022 D File 021-457971 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jun 27, 2022 D File 021-450327 | $178,862 | $0 | $0 Manager of the LLC is also a representative of the broker-dealer. He will not receive compensation for serving as manager of the entity, but may earn investment banking fees and sales compensation. | Bruce Victor Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Garrick G Ruiz BrokerCheck CRD 5584980 ↗ via Carofin, LLC (CRD 298717 ↗) Bruce Buckley Smith BrokerCheck CRD 2332178 ↗ via Carofin,LLC (CRD 298717 ↗) Joshua Reid Greene BrokerCheck CRD 5690935 ↗ via Carofin, LLC (CRD 298717 ↗) Phillip Nash Roberts BrokerCheck CRD 6182908 ↗ via Carofin, LLC (CRD 298717 ↗) |
| EDGAR ↗ | May 19, 2022 D File 021-446242 | $0 | $0 | $0 | Bruce V Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Jan 26, 2022 D File 021-430810 | $115,000 (est.) | $0 | $0 | Bruce V Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Nirag C Shah BrokerCheck CRD 6914670 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Garrick G Ruiz BrokerCheck CRD 5584980 ↗ via Carofin, LLC (CRD 298717 ↗) Bruce B Smith BrokerCheck CRD 2332178 ↗ via Carofin, LLC (CRD 298717 ↗) Phillip Nash Roberts BrokerCheck CRD 6182908 ↗ via Carofin, LLC (CRD 298717 ↗) Joshua R Greene BrokerCheck CRD 5690935 ↗ via Carofin, LLC (CRD 298717 ↗) |
| EDGAR ↗ | Jan 7, 2022 D File 021-428342 | $0 | $0 | $0 | Bruce Victor Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Sep 8, 2021 D File 021-412648 | $24,000 | $0 | $0 Issuer's Director is also the Principal of selling Broker-Dealer. | Bruce V Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Aug 25, 2021 D/A File 021-408756 | $60,000 (est.) | $0 | $0 Issuer's Director is also Principal of Selling Broker-Dealer. | Bruce V Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Aug 19, 2021 D File 021-410548 | $165,250 (est.) | $0 | $0 Manager of the LLC is also a representative of the broker-dealer. He will not receive compensation for serving as the manager of the entity, but may earn investment banking fees and sales compensation. | Bruce V Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Garrick G Ruiz BrokerCheck CRD 5584980 ↗ via Carofin, LLC (CRD 298717 ↗) Phillip Nash Robert BrokerCheck CRD 6182908 ↗ via Carofin, LLC (CRD 298717 ↗) Joshua Reid Greene BrokerCheck CRD 5690935 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Jun 17, 2021 D File 021-403201 | $50,000 (est.) | $0 | $0 The manager of the LLC is also a rep. of the BD. He will not receive compensation for serving as manager, but may receive a discretionary bonus, not formulaically tied to selling activity. The amount, if any, will be determined at a future date. | Bruce V Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Garrick Ruiz BrokerCheck CRD 298717 ↗ via Carofin (CRD 5584980 ↗) |
| EDGAR ↗ | May 25, 2021 D File 021-400581 | $138,000 (est.) | $0 | $96,600 (est.) The Manager of the LLC is also a representative of the broker-dealer. He will not receive compensation for serving as manager, but will earn investment banking fees and sales commission. The amount will be dependent on his sales activity. | Bruce V Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Joshua Greene BrokerCheck CRD 5690935 ↗ via Carofin, LLC (CRD 298717 ↗) |
| EDGAR ↗ | Jan 15, 2021 D/A File 021-311581 | $0 | $0 | $0 | Bruce Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Jul 24, 2020 D File 021-371794 | $122,250 (est.) | $0 | $13,850 (est.) Manager of the LLC is also a representative of the broker-dealer. He will not receive compensation for serving as the manager of the entity, but will earn investment banking fees and sales compensation. The amount will be dependent on his sales activity. | Bruce V Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Garrick Ruiz BrokerCheck CRD 5584980 ↗ via Carofin, LLC (CRD 298717 ↗) |
| EDGAR ↗ | May 7, 2020 D File 021-366498 | $250 (est.) | $0 | $175 (est.) Manager of the LLC is also a representative of the Broker-Dealer. He will not receive compensation for serving as the manager of the entity, but will earn investment banking fees and sales commission. The amount will be dependent on his sales activity. | Bruce V Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities,LLC (CRD 41970 ↗) |
| EDGAR ↗ | Jan 23, 2020 D/A File 021-353236 | $210,000 (est.) | $0 | $63,000 (est.) Manager of the LLC is also a representative of the broker-dealer. He will not be compensated for serving as the manager of the entity, but will earn investment banking fees and sales commission. The amount will be dependent on his sales activity. | Bruce V Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securites, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Jun 5, 2019 D File 021-341174 | $240,000 (est.) | $0 | $168,000 Manager of the LLC is also a representative of the broker-dealer. He will not receive compensation for serving as the manager of the entity, but will earn investment banking fees and sales commission. The amount will be dependent of his sales activity. | Bruce V Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Peter S Milhaupt BrokerCheck CRD 728310 ↗ via Carolina Financial Securites, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Oct 4, 2018 D/A File 021-316292 | $150,000 | $0 | $52,000 (est.) Manager Member of the LLC is also a representative of the broker-dealer. He will not receive compensation for serving as the Managing Member of the entity, but will earn sales commission based on his sales activity. | Philip Nash Roberts BrokerCheck CRD 6182908 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Sep 25, 2018 D/A File 021-320507 | $244,000 | $0 | $136,000 (est.) The Manager of the LLC is also a representative of the broker-dealer. He will not receive compensation for serving as the Manager of the entity, but will earn sales commission based on his sales activity. | Bruce V Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Feb 5, 2018 D/A File 021-295447 | $22,074 | $0 | $60,000 (est.) Manager of the LLC is also a representative of the broker-dealer. He will not receive compensation for serving as the manager of the entity, but will earn investment banking fees and sales commission. The amount will be dependent on his sales activity. | Bruce Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Phillip Nash Roberts BrokerCheck CRD 6182908 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Feb 5, 2018 D File 021-304789 | $280,000 (est.) | $0 | $60,000 (est.) Manager of the LLC is also a representative of the broker-dealer. He will not receive compensation for serving as the manager of the entity, but will earn sales commission. The amount will be dependent on his sales activity. | Bruce V Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Mar 2, 2017 D/A File 021-201807 | $427,920 (est.) | $0 | $127,607 (est.) Manager of the LLC is also a rep of the Broker-Dealer. He won't receive compensation for serving as manager of the entity, but will earn some investment banking fees and sales commissions. The amount will be dependant on his sales activity. | Bruce Roberts BrokerCheck CRD 41970 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Catherine Hicks BrokerCheck CRD 5945027 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Bruce Smith BrokerCheck CRD 2332178 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Thomas Young BrokerCheck CRD 1196494 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) John Stanier BrokerCheck CRD 4811895 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Phillip Nash Roberts BrokerCheck CRD 6182908 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Oct 11, 2016 D File 021-272198 | $3,000 | $0 | $1,125 The total to be paid depends on the amount of funds raised and the sources of those funds. | Bruce Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Sep 12, 2016 D File 021-270442 | $38,756 | $0 | $150,000 (est.) The total to be paid depends on the amount of funds raised and the sources of those funds. | Bruce V Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Phillip Nash Roberts BrokerCheck CRD 6182908 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Jan 7, 2016 D File 021-254717 | $3,200 | $0 | $2,304 | Bruce Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) John Stanier BrokerCheck CRD 4811895 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Sep 4, 2015 D File 021-247071 | $200,000 | $0 | $55,000 (est.) | Bruce Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Catherine Hicks BrokerCheck CRD 5945027 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Phillip Nash Roberts BrokerCheck CRD 6182908 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Aug 17, 2015 D/A File 021-228402 | $190,000 | $0 | $28,087 | Thomas Young BrokerCheck CRD 1196494 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) John Stanier BrokerCheck CRD 4811895 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Bruce Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Jul 9, 2015 D/A File 021-218323 | $187,740 | $0 | $55,870 | Bruce Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Nash Roberts BrokerCheck CRD 6182908 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Catherine Hicks BrokerCheck CRD 5945027 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) John Stanier BrokerCheck CRD 4811895 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Dec 1, 2014 D/A File 021-202468 | $500,400 | $0 | $0 | Carolina Financial Securities, LLC BrokerCheck CRD 41970 ↗ |
| EDGAR ↗ | Oct 24, 2014 D File 021-227113 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Feb 28, 2014 D File 021-212682 | $98,000 | $0 | $0 | Sanjay Raghavan BrokerCheck CRD 5981634 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Thomas Young BrokerCheck CRD 1196494 ↗ via Carolina Financial Securies, LLC (CRD 41970 ↗) Bruce Smith BrokerCheck CRD 2332178 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Bruce Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Catherine Hicks BrokerCheck CRD 5945027 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Oct 31, 2013 D File 021-205599 | $250,000 (est.) | $0 | $250,000 (est.) Up to $250,000 for administrative comp. | Bruce Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities LLC (CRD 41970 ↗) |
| EDGAR ↗ | Aug 29, 2013 D File 021-202070 | $0 | $0 | $0 100% of the funds raised by this entity are aggregated and used to make an investment in Catalyst Resources, LLC. | Bruce Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities LLC (CRD 41970 ↗) Catherine Hicks BrokerCheck CRD 5945027 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Thomas Young BrokerCheck CRD 1196494 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Jul 31, 2013 D File 021-200508 | $0 | $0 | $0 No proceeds from this transaction were paid to any party. | Peter Milhaupt BrokerCheck CRD 728310 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | May 3, 2013 D File 021-195974 | $0 | $0 | $0 | Bruce Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities LLC (CRD 41970 ↗) |
| EDGAR ↗ | Feb 25, 2013 D File 021-192300 | $120,000 | $0 | $60,000 (est.) I estimate that Bruce Roberts, as a registered representative, will be responsible for the sale of half of the securities sold. | Bruce Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Bruce Smith BrokerCheck CRD 2332178 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Peter Milhaupt BrokerCheck CRD 728310 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Catherine Hicks BrokerCheck CRD 5945027 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Sep 25, 2012 D File 021-184556 | $0 | $0 | $0 This is a pass through entity. There are no management or sales fees being paid to anybody. | John Stanier BrokerCheck CRD 4811895 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Bruce Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Sep 11, 2012 D File 021-183963 | $0 | $0 | $0 | Bruce Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Aug 17, 2012 D File 021-182880 | $0 | $0 | $0 | Bruce Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Jun 29, 2012 D File 021-180520 | $360,000 (est.) | $0 | $80,000 (est.) The named person is also a registered representative of the broker/dealer. Any payments to him will be a function of the amount of funds he raises. | Bruce Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Catherine Hicks BrokerCheck CRD 5945027 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Apr 25, 2012 D File 021-177228 | $150,000 | $0 | $55,000 (est.) Of the total $150,000 of sales commission expected to be paid, it is estimated the $55,000 will be paid by Carolina Financial Securities, the broker-dealer, to Bruce Roberts, a registered representative who is also manager of the LLC. | Bruce Roberts BrokerCheck CRD 1489110 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) James Christian BrokerCheck CRD 4643884 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) Catherine Hicks BrokerCheck CRD 5945027 ↗ via Carolina Financial Securities, LLC (CRD 41970 ↗) |
| EDGAR ↗ | Mar 19, 2012 D File 021-175132 | $62,500 | $0 | $25,211 This represents his portion of the Broker/Dealer commission. | Carolina Financial Securities, LLC BrokerCheck CRD 41970 ↗ via Bruce Roberts (CRD 1489110 ↗) |
| EDGAR ↗ | Sep 1, 2011 D File 021-165282 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jun 24, 2009 D File 021-132223 | $0 | $0 | $0 | Carolina Financial Securities LLC BrokerCheck CRD 41970 ↗ |
As reported by the issuer on Form D (Items 12–15), 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).
| Source | Issuer | Role | Filed | Form | Offering | Sold | Investors | Min. investment |
|---|---|---|---|---|---|---|---|---|
| EDGAR ↗ | SnippetSentry, Inc. | Director | Aug 6, 2025 | D | $1,564,997 similar: $1,000,000–$10,000,000 | $1,368,986 | 15 similar: 1–11 | No minimum reported similar: $5,000–$50,000 |
| EDGAR ↗ | SnippetSentry, Inc. | Director | May 22, 2025 | D | $2,500,000 similar: $1,000,000–$10,000,000 | $774,000 | 15 similar: 1–11 | No minimum reported similar: $5,000–$50,000 |
| EDGAR ↗ | Empower Feeder Holdco, LLC | Executive Officer LLC Manager | Jan 6, 2025 | D | $2,000,000 similar: $1,100,015–$10,001,163 | $146,490 | 3 similar: 2–14 | $25,000 similar: $5,000–$50,000 |
| EDGAR ↗ | CFG Financial Services, LLC | Executive Officer | Nov 21, 2024 | D | $100,000 similar: $2,144,500–$20,220,000 | $75,000 | 3 similar: 2–24 | No minimum reported similar: $10,000–$100,000 |
| EDGAR ↗ | SnippetSentry, Inc. | Director Board of Managers member | Sep 25, 2024 | D | $3,000,000 similar: $1,000,000–$10,000,000 | $500,000 | 1 similar: 1–11 | No minimum reported similar: $5,000–$50,000 |
| EDGAR ↗ | DNP Leasing Company, LLC | Executive Officer LLC Manager | Jul 22, 2024 | D | $3,000,000 similar: $375,000–$18,000,000 | $115,000 | 2 similar: 2–7 | $30,000 similar: $5,000–$50,000 |
| EDGAR ↗ | Drop Zone Canopy Company, LLC | Executive Officer LLC Manager | Jul 1, 2024 | D | $2,000,000 similar: $2,000,000–$35,000,000 | $620,000 | 6 similar: 1–8 | $15,000 similar: $10,000–$100,000 |
| EDGAR ↗ | Empower Feeder Holdco, LLC | Executive Officer LLC Manager | Jul 1, 2024 | D | $3,000,000 similar: $1,100,015–$10,001,163 | $30,000 | 2 similar: 2–14 | $25,000 similar: $5,000–$50,000 |
| EDGAR ↗ | SnippetSentry, Inc. | Director Board of Managers member | Mar 26, 2024 | D/A | $5,000,000 similar: $1,000,000–$10,000,000 | $1,165,700 | 19 similar: 1–11 | No minimum reported similar: $5,000–$50,000 |
| EDGAR ↗ | Fairmont Breakers Investco, LLC | Executive Officer Manager | Mar 26, 2024 | D/A | $50,000,000 similar: $3,000,000–$20,000,000 | $1,225,000 | 9 similar: 4–26 | No minimum reported similar: $25,000–$100,000 |
| EDGAR ↗ | Drop Zone Canopy Company, LLC | Executive Officer LLC Manager | Mar 12, 2024 | D | $1,750,000 similar: $2,000,000–$35,000,000 | $925,000 | 12 similar: 1–8 | $15,000 similar: $10,000–$100,000 |
| EDGAR ↗ | Fairmont Breakers Investco, LLC | Executive Officer Manager | Feb 12, 2024 | D | $50,000,000 similar: $3,000,000–$20,000,000 | $350,000 | 2 similar: 4–26 | No minimum reported similar: $25,000–$100,000 |
| EDGAR ↗ | K-Island Resources, LLC | Director LLC Manager | Jan 22, 2024 | D/A | $6,500,000 | $6,500,000 | 1 | No minimum reported |
| EDGAR ↗ | K-Island Resources, LLC | Director LLC Manager | Dec 18, 2023 | D/A | $4,500,000 | $4,500,000 | 1 | No minimum reported |
| EDGAR ↗ | K-Island Resources, LLC | Director LLC Manager | Nov 8, 2023 | D | $2,500,000 | $2,500,000 | 1 | No minimum reported |
| EDGAR ↗ | K-Island Resources, LLC | Director LLC Manager | Sep 28, 2023 | D/A | $2,000,000 | $1,500,000 | 3 | No minimum reported |
| EDGAR ↗ | K-Island Resources, LLC | Director LLC Manager | Sep 20, 2023 | D | $1,000,000 | $1,000,000 | 3 | No minimum reported |
| EDGAR ↗ | SnippetSentry, Inc. | Director | Sep 7, 2023 | D | $527,500 similar: $1,000,000–$10,000,000 | $0 | 0 similar: 1–11 | No minimum reported similar: $5,000–$50,000 |
| EDGAR ↗ | SnippetSentry, Inc. | Director | Aug 2, 2023 | D/A | $3,000,000 similar: $1,100,015–$10,001,163 | $1,045,000 | 15 similar: 2–14 | No minimum reported similar: $5,000–$50,000 |
| EDGAR ↗ | Catalyst Resources LLC | Executive Officer | Jul 18, 2023 | D/A | $18,000,000 | $15,938,372 | 20 | No minimum reported |
| EDGAR ↗ | Teardown Funding #2,LLC | Executive Officer, Director LLC Manager | May 31, 2023 | D | $1,950,000 | $1,575,000 | 28 | $10,000 |
| EDGAR ↗ | K-Island Resources, LLC | Director LLC Manager | Apr 24, 2023 | D/A | $5,700,000 | $5,700,000 | 2 | No minimum reported |
| EDGAR ↗ | Drop Zone Canopy Company, LLC | Executive Officer LLC Manager | Apr 14, 2023 | D | $3,500,000 similar: $2,000,000–$35,000,000 | $676,559 | 1 similar: 1–8 | $15,000 similar: $10,000–$100,000 |
| EDGAR ↗ | SnippetSentry, Inc. | Director | Apr 13, 2023 | D | $3,000,000 similar: $1,100,015–$10,001,163 | $250,000 | 4 similar: 2–14 | No minimum reported similar: $5,000–$50,000 |
| EDGAR ↗ | Quinwood Coal Company, LLC | Director | Apr 6, 2023 | D/A | $7,750,000 | $7,750,000 | 2 | No minimum reported |
| EDGAR ↗ | Berry Capital Management, LLC | Director | Feb 13, 2023 | D | $2,500,000 similar: $1,500,000–$10,000,000 | $345,000 | 6 similar: 1–21 | $30,000 similar: $13,894–$100,000 |
| EDGAR ↗ | Quinwood Coal Company, LLC | Director | Feb 13, 2023 | D/A | $5,250,000 | $4,250,000 | 1 | No minimum reported |
| EDGAR ↗ | Berry Capital Management II, LLC | Director LLC Manager | Jan 23, 2023 | D | $2,500,000 similar: $1,500,000–$10,000,000 | $1,285,000 | 15 similar: 1–21 | $30,000 similar: $13,894–$100,000 |
| EDGAR ↗ | Catalyst Resources LLC | Executive Officer | Jan 19, 2023 | D/A | $5,000,000 | $3,032,000 | 30 | $20,000 |
| EDGAR ↗ | Quinwood Coal Company, LLC | Director | Jan 17, 2023 | D/A | $3,250,000 | $3,250,000 | 1 | No minimum reported |
| EDGAR ↗ | Quinwood Coal Company, LLC | Director | Dec 15, 2022 | D | $2,000,000 | $2,000,000 | 1 | No minimum reported |
| EDGAR ↗ | Quinwood Coal Company, LLC | Director | Nov 28, 2022 | D/A | $3,000,000 | $3,000,000 | 1 | No minimum reported |
| EDGAR ↗ | Quinwood Coal Company, LLC | Director | Oct 17, 2022 | D | $2,000,000 | $0 | 1 | No minimum reported |
| EDGAR ↗ | Quinwood Coal Company, LLC | Director | Sep 6, 2022 | D | $5,000,000 | $5,000,000 | 1 | No minimum reported |
| EDGAR ↗ | SnippetSentry, Inc. | Director | Sep 6, 2022 | D | $2,000,000 similar: $1,100,015–$10,001,163 | $800,000 | 3 similar: 2–14 | No minimum reported similar: $5,000–$50,000 |
| EDGAR ↗ | Teardown Funding #1, LLC | Executive Officer LLC Manager | Jun 27, 2022 | D | $3,577,245 similar: $1,100,000–$15,000,000 | $3,577,245 | 33 similar: 2–17 | $10,000 similar: $14,962–$100,000 |
| EDGAR ↗ | Catalyst Resources LLC | Executive Officer | May 19, 2022 | D | $250,000 | $250,000 | 1 | No minimum reported |
| EDGAR ↗ | K-Island Resources, LLC | Executive Officer Chairman | Mar 8, 2022 | D | $4,000,000 | $3,000,000 | 1 | No minimum reported |
| EDGAR ↗ | Catalyst Resources LLC | Executive Officer | Jan 27, 2022 | D | $5,000,000 | $100,000 | 1 | $20,000 |
| EDGAR ↗ | Berry Capital Management, LLC | Executive Officer LLC Manager | Jan 26, 2022 | D | $2,300,000 similar: $1,500,000–$10,000,000 | $2,090,000 | 28 similar: 1–21 | $30,000 similar: $13,894–$100,000 |
| EDGAR ↗ | Catalyst Resources LLC | Executive Officer | Jan 7, 2022 | D | $1,000,000 | $1,000,000 | 1 | $25,000 |
| EDGAR ↗ | Catalyst Resources LLC | Executive Officer | Sep 8, 2021 | D | $800,000 | $800,000 | 2 | $100,000 |
| EDGAR ↗ | Catalyst Resources LLC | Director | Aug 25, 2021 | D/A | $2,000,000 | $2,000,000 | 1 | $100,000 |
| EDGAR ↗ | ABP Funding, LLC | Executive Officer LLC Manager | Aug 19, 2021 | D | $3,305,000 similar: $1,100,000–$15,000,000 | $1,625,000 | 15 similar: 2–17 | $10,000 similar: $14,962–$100,000 |
| EDGAR ↗ | Catalyst Resources LLC | Director | Aug 4, 2021 | D | $1,500,000 | $500,000 | 1 | $100,000 |
| EDGAR ↗ | Dash 3 Funding, LLC | Executive Officer LLC Manager | Jun 17, 2021 | D | $1,000,000 similar: $370,089–$10,000,000 | $400,000 | 1 similar: 3–28 | $10,000 similar: $5,000–$25,000 |
| EDGAR ↗ | Azzly Funding, LLC | Executive Officer LLC Manager | May 25, 2021 | D | $2,300,000 similar: $370,089–$10,000,000 | $50,000 | 1 similar: 3–28 | $10,000 similar: $5,000–$25,000 |
| EDGAR ↗ | Carofin, LLC | Executive Officer | Jan 15, 2021 | D/A | $2,690,000 similar: $2,144,500–$20,220,000 | $2,190,000 | 10 similar: 2–24 | $5,000 similar: $10,000–$100,000 |
| EDGAR ↗ | CAP-EX, LLC | Director LLC Manager | Jul 24, 2020 | D | $2,445,000 similar: $1,100,000–$15,000,000 | $1,000,000 | 11 similar: 2–17 | $10,000 similar: $14,962–$100,000 |
| EDGAR ↗ | MainStreet Funding, LLC | Executive Officer Manager | May 7, 2020 | D | Indefinite similar: $370,089–$10,000,000 | $25,000 | 1 similar: 3–28 | $5,000 similar: $5,000–$25,000 |
| EDGAR ↗ | Blue Gem Restart, LLC | Director LLC Manager | Jan 23, 2020 | D/A | $7,000,000 | $0 | 0 | $5,000 |
| EDGAR ↗ | Carofin, LLC | Executive Officer | Jan 22, 2020 | D/A | $2,000,000 similar: $2,144,500–$20,220,000 | $1,500,000 | 7 similar: 2–24 | $5,000 similar: $10,000–$100,000 |
| EDGAR ↗ | Blue Gem Restart, LLC | Director LLC Manager | Nov 13, 2019 | D | $2,300,000 | $0 | 0 | $5,000 |
| EDGAR ↗ | Carofin, LLC | Executive Officer | Oct 24, 2019 | D/A | $1,500,000 similar: $2,144,500–$20,220,000 | $1,400,000 | 7 similar: 2–24 | $25,000 similar: $10,000–$100,000 |
| EDGAR ↗ | TOB Funding, LLC | Executive Officer LLC Manager | Jun 5, 2019 | D | $4,000,000 similar: $2,144,500–$20,220,000 | $0 | 0 similar: 2–24 | $25,000 similar: $10,000–$100,000 |
| EDGAR ↗ | Carofin, LLC | Executive Officer | Oct 18, 2018 | D/A | $1,500,000 similar: $2,144,500–$20,220,000 | $850,000 | 3 similar: 2–24 | $25,000 similar: $10,000–$100,000 |
| EDGAR ↗ | Thunder Investment Partners, LLC | Executive Officer LLC Managing Member | Oct 4, 2018 | D/A | $2,500,000 | $25,000 | 1 | $25,000 |
| EDGAR ↗ | CM Funding, LLC | Executive Officer Manager | Sep 25, 2018 | D/A | $6,100,000 | $2,000,000 | 1 | $25,000 |
| EDGAR ↗ | CM Funding, LLC | Executive Officer Manager | Aug 31, 2018 | D | $6,100,000 | $0 | 0 | $25,000 |
| EDGAR ↗ | Thunder Investment Partners, LLC | Executive Officer LLC Managing Member | Jul 9, 2018 | D | $6,000,000 | $0 | 0 | $25,000 |
| EDGAR ↗ | Carofin, LLC | Executive Officer | May 3, 2018 | D | $1,500,000 similar: $2,144,500–$20,220,000 | $0 | 0 similar: 2–24 | $25,000 similar: $10,000–$100,000 |
| EDGAR ↗ | Brasstown Funding II LLC | Executive Officer LLC Manager | Feb 5, 2018 | D/A | Indefinite | $2,757,750 | 19 | $15,000 |
| EDGAR ↗ | Chatel Funding, LLC | Executive Officer LLC Manager | Feb 5, 2018 | D | $7,000,000 | $0 | 0 | $25,000 |
| EDGAR ↗ | Brasstown Funding II LLC | Executive Officer LLC Manager | Sep 26, 2017 | D | $5,500,000 | $411,083 | 3 | $15,000 |
| EDGAR ↗ | Brasstown Funding II LLC | Executive Officer LLC Manager | Mar 2, 2017 | D/A | Indefinite | $10,698,000 | 36 | $25,000 |
| EDGAR ↗ | SP Funding, LLC | Executive Officer | Oct 11, 2016 | D | $3,000,000 | $100,000 | 1 | $25,000 |
| EDGAR ↗ | BF Funding, LLC | Executive Officer | Sep 12, 2016 | D | $27,000,000 | $1,325,000 | 7 | $25,000 |
| EDGAR ↗ | Brasstown Funding II LLC | Executive Officer LLC Manager | Mar 4, 2016 | D/A | Indefinite | $7,863,000 | 29 | $25,000 |
| EDGAR ↗ | Brasstown Beef & Cattle Co., LLC | Executive Officer | Jan 7, 2016 | D | $500,000 | $160,000 | 1 | $25,000 |
| EDGAR ↗ | Miami NDT Delta Leasing I, LLC | Executive Officer | Sep 4, 2015 | D | $5,000,000 | $1,000,000 | 6 | $25,000 |
| EDGAR ↗ | Brasstown Beef & Cattle Co., LLC | Executive Officer | Aug 17, 2015 | D/A | $3,800,000 | $2,500,000 | 6 | $25,000 |
| EDGAR ↗ | C&G Engines Funding, LLC | Executive Officer | Jul 9, 2015 | D/A | $6,000,000 | $4,693,500 | 7 | $25,000 |
| EDGAR ↗ | Brasstown Funding II LLC | Executive Officer LLC Manager | Mar 5, 2015 | D/A | $7,000,000 | $4,278,000 | 19 | $25,000 |
| EDGAR ↗ | TRG Residential Land Venture I, LLC group: Simple Life | Director | Dec 1, 2014 | D/A | $15,000,000 | $13,192,000 | 35 | $50,000 |
| EDGAR ↗ | Brasstown Beef & Cattle Co., LLC | Executive Officer | Nov 14, 2014 | D | $2,500,000 | $1,750,000 | 3 | $25,000 |
| EDGAR ↗ | SP Funding, LLC | Executive Officer | Oct 24, 2014 | D | $5,000,000 | $0 | 0 | $25,000 |
| EDGAR ↗ | C&G Engines Funding, LLC | Executive Officer | May 30, 2014 | D | $6,000,000 | $250,000 | 1 | $25,000 |
| EDGAR ↗ | IMG Funding LLC | Executive Officer Manager | Feb 28, 2014 | D | $5,000,000 | $2,450,000 | 18 | $25,000 |
| EDGAR ↗ | Utopia Funding LLC | Executive Officer Manager of Managing Member | Oct 31, 2013 | D | $5,000,000 | $1,535,000 | 13 | $25,000 |
| EDGAR ↗ | TRG Residential Land Venture I, LLC group: Simple Life | Director | Sep 6, 2013 | D | $15,000,000 | $1,500,000 | 12 | $50,000 |
| EDGAR ↗ | Catalyst Funding, LLC | Executive Officer Manager | Aug 29, 2013 | D | $14,000,000 | $400,000 | 3 | $25,000 |
| EDGAR ↗ | Brasstown Funding II LLC | Executive Officer LLC Manager | Aug 23, 2013 | D | $4,000,000 | $250,000 | 1 | $25,000 |
| EDGAR ↗ | Carolina Financial Securities, LLC | Executive Officer LLC Manager | Jul 31, 2013 | D | $20,000 | $20,000 | 1 | $20,000 |
| EDGAR ↗ | Agrifact Funding LLC | Executive Officer Managing Member | May 3, 2013 | D | $2,000,000 | $250,000 | 1 | $25,000 |
| EDGAR ↗ | GR Funding LLC | Executive Officer Managing Member of the Managing Member | Feb 25, 2013 | D | $3,000,000 | $525,000 | 4 | $15,000 |
| EDGAR ↗ | GLAV III Funding LLC | Executive Officer Manager | Sep 25, 2012 | D | $1,000,000 | $265,000 | 4 | $25,000 |
| EDGAR ↗ | Brasstown Funding LLC | Executive Officer Manager | Sep 11, 2012 | D | $1,000,000 | $425,000 | 2 | $100,000 |
| EDGAR ↗ | 6064 Deep Branch LLC | Executive Officer Manager | Aug 17, 2012 | D | $600,000 | $590,000 | 3 | $100,000 |
| EDGAR ↗ | Global Scent Funding, LLC | Executive Officer Manager of Managing Member | Jun 29, 2012 | D | $12,000,000 | $615,000 | 6 | $25,000 |
| EDGAR ↗ | AgLease, LLC | Executive Officer LLC Manager | Apr 25, 2012 | D | $3,000,000 | $1,270,000 | 11 | $10,000 |
| EDGAR ↗ | 737 Funding LLC | Executive Officer Manager of Managing Member (Carolina Financial Group, LLC) | Mar 19, 2012 | D | $1,250,000 | $1,250,000 | 11 | $1 |
| EDGAR ↗ | Carolina Financial Securities, LLC | Executive Officer | Sep 1, 2011 | D | $20,000 | $20,000 | 1 | $20,000 |
| EDGAR ↗ | Rehabilitation Support Services, LLC | Executive Officer Roberts is the Manager of Carolina Financial Group, LLC which is the Manager of the Issuer. | Jun 24, 2009 | D | $1,745,000 | $1,745,000 | 32 | $15,000 |
Every row is a Form D or D/A on which the issuer listed this name as a related person. Related-person names are matched on first + last name and the address state on the filing; records that share a name but could not be tied together by a second identifier are listed separately below.
"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years (9 industry/exemption sets on this page); 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.
Separate person records under the same name, not combined with this page. Each line says whether it is listed on an issuer this record is also listed on (a second identifier); where it is not, it could be the same person or a different one.
People and management entities the issuers listed as related persons on the same Form D filings as Bruce Victor Roberts. Source: the EDGAR rows in the table above.
None found in sources searched.
Sources 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 · Last checked Oct 23, 2026, 8:41 PM ET.
Export this report as PDF (members · included free during the launch period)
No corrections have been requested for this page.
Free. Logged with status: received → under review → fixed / confirmed with source.
If this is you or your firm, add a sourced explanation next to any fact. Reviewed before publishing.
Members get an email when Bruce Victor Roberts appears on a new Form D, or when a court case or SEC action is matched to them. See plans →