Christopher Guptill is listed as an executive officer and director on 9 SEC Form D filings by 3 issuers between Jul 2009 and Jan 2015: BROADMARK VALUE HEDGED FUND L P (New York, NY — pooled investment fund — 2009; $70M reported sold to 120 investors), Broadmark Dynamic Enhanced Equity Alpha Fund, LP (New York, NY — pooled investment fund — 2009–2015; $44.3M reported sold to 63 investors) and Broadmark Asset Management, LLC (New York, NY — other banking and financial services — 2009; $2.35M reported sold to 1 investors).
What this means A repeat sponsor — 3 separate companies raised money with this person listed as executive officer and director, over about 6 years. Across those companies the filings report $116.6M sold in total.
Listed alongside Daniel Barnett (9 shared filings), Jerome Crown (9 shared filings), J. Broadmark Capital Management LLC (1 shared filing, management entity) and John Kinder (1 shared filing).
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Christopher. Each name links to their own page.
2 of the issuers belong to the sponsor group Broadmark (6 issuers, $127.1M reported sold, 2009–2023).
What this means A sponsor group is one team that sets up a new company for each deal. Broadmark has 6 companies on file and $127.1M 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 (AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, LA, ME, MO, MS, MT, NASAA, NC, NH, NM, OR, RI, TX, WA) — 2 court cases matching the name, 3 bankruptcy cases matching the name listed in Key records below.
What this means 5 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 9 public filings for Christopher Guptill and found 6 differences, 1 worth asking the sponsor about: Christopher Guptill is no longer listed on the Jan 15, 2016 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.