PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 6:55 AM ET

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DR
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Dan C. Roberts

Named as an officer, director or promoter on SEC Form D filings · NY · Oct 6, 2010 → Sep 14, 2020

4deals (issuers)
$1.64Breported sold
61investors
26Form D filings
2010–2020years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:22 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Dan C. Roberts is listed as an executive officer and director on 26 SEC Form D filings by 4 issuers between Oct 2010 and Oct 2020: MacKay Shields Intermediate Bond Fund LP (New York, NY — pooled investment fund — 2017–2020; $690.4M reported sold to 4 investors), MacKay Shields Defensive Bond Arbitrage Fund Ltd. (Hamilton, Bermuda (as filed: D0) — pooled investment fund — 2010–2020; $640.9M reported sold to 41 investors), MacKay Shields Core Fixed Income Fund LP (New York, NY — pooled investment fund — 2011–2019; $297.2M reported sold to 14 investors) and MacKay Shields Core Plus Opportunities Fund Ltd. (New York, NY — pooled investment fund — 2010–2011; $15.1M reported sold to 2 investors).

What this means A repeat sponsor — 4 separate companies raised money with this person listed as executive officer and director, over about 10 years. Across those companies the filings report $1.64B sold in total.

Listed alongside Lucille P. Protas (13 shared filings), Lucille Protas (9 shared filings), Dawn Griffiths (8 shared filings), C. MacKay Shields, LLC (5 shared filings, management entity), C. MacKay Shields Core Fixed Income Fund GP LLC (4 shared filings, management entity) and 17 others.

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

All 4 issuers belong to the sponsor group Mackay Municipal (47 issuers, $25.34B reported sold, 2010–2026).

What this means A sponsor group is one team that sets up a new company for each deal. Mackay Municipal has 47 companies on file and $25.34B 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) — 5 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 26 public filings for Dan C. Roberts and found 8 differences, 5 worth asking the sponsor about: Form D filed 2,180 days after the first sale; Form D filed 1,009 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 Dan C. Roberts has not run yet — it is joining a line of 21,754 names; searches run around the clock at the hosts' allowed rate. Searched so far: 363 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, 2:22 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 Dan C. Roberts..

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

5 cases: 1 open, 4 closed (disposition not in docket feed)

Dan Roberts and Suzanne Roberts open
United States Bankruptcy Court, D. Delaware · No. 25-11356 · Filed Jul 19, 2025
Role of Dan Roberts and Suzanne Roberts: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same full name (a name found in 13 federal dockets); court in DE (not a filing state); middle initial differs
Dan L Roberts and Carol A Roberts closed
United States Bankruptcy Court, M.D. Florida · No. 6:11-bk-17286 · Filed Nov 15, 2011 · Closed Feb 28, 2012
Role of Dan L Roberts and Carol A Roberts: Debtor · Outcome: Case closed 2012-02-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 13 federal dockets); court in FL (not a filing state); middle initial differs
Dan Roberts and Cinda Roberts closed
United States Bankruptcy Court, D. Idaho · No. 02-00065 · Filed Jan 9, 2002 · Closed Oct 24, 2003
Role of Dan Roberts and Cinda Roberts: Debtor · Outcome: Case closed 2003-10-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 13 federal dockets); court in ID (not a filing state); middle initial differs
DAN K ROBERTS and MARY A ROBERTS closed
United States Bankruptcy Court, E.D. Washington · No. 96-05623 · Filed Dec 20, 1996 · Closed Jul 24, 2001
Role of DAN K ROBERTS and MARY A ROBERTS: Debtor · Outcome: Case closed 2001-07-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 13 federal dockets); court in WA (not a filing state); middle initial differs
DAN W. ROBERTS and JUDITH A. ROBERTS closed
United States Bankruptcy Court, D. Delaware · No. 96-01524 · Filed Oct 1, 1996 · Closed Jan 27, 1999
Role of DAN W. ROBERTS and JUDITH A. ROBERTS: Debtor · Outcome: Case closed 1999-01-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 13 federal dockets); court in DE (not a filing state); middle initial differs
What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:22 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

8 differences found between the filings for Dan C. Roberts — 5 worth asking about (compared 26 filings on Oct 24, 2026)

Note · Jun 28, 2002 – Oct 16, 2002

Bankruptcy case: American Express Travel Related Services Company v. Akkerman — filed Jun 28, 2002

United States Bankruptcy Court, E.D. New York docket "American Express Travel Related Services Company v. Akkerman" filed Jun 28, 2002, closed Oct 16, 2002. John Akkerman (listed on the same filings) is listed as Defendant ("Akkerman"). Our match estimate: 70%.

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Docket · United States Bankruptcy Court, E.D. New York ↗John Akkerman — PartnerFacts page ↗
Sources
Worth asking · Nov 1, 2004 – Oct 21, 2010

Form D filed 2,180 days after the first sale — MacKay Shields Defensive Bond Arbitrage Fund Ltd.

The filing says the first sale was Nov 1, 2004. The Form D was filed Oct 21, 2010 — 2,180 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 2,165 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.

Form D · Oct 21, 2010 ↗MacKay Shields Defensive Bond Arbitrage Fund Ltd. — PartnerFacts page ↗
Sources
Worth asking · Jan 1, 2008 – Oct 6, 2010

Form D filed 1,009 days after the first sale — MacKay Shields Core Plus Opportunities Fund Ltd.

The filing says the first sale was Jan 1, 2008. The Form D was filed Oct 6, 2010 — 1,009 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 994 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.

Form D · Oct 6, 2010 ↗MacKay Shields Core Plus Opportunities Fund Ltd. — PartnerFacts page ↗
Sources
Note · Jan 1, 2008 – Oct 6, 2011

No amendment in the last 12 months on an offering that may still be open — MacKay Shields Core Plus Opportunities Fund Ltd. (latest filing Oct 6, 2011)

The latest filing for this offering is dated Oct 6, 2011 (first sale Jan 1, 2008). It reports $15,068,900 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 · Oct 6, 2011 ↗MacKay Shields Core Plus Opportunities Fund Ltd. — PartnerFacts page ↗
Sources
Worth asking · Oct 2, 2020 – Oct 1, 2021

Dan C. Roberts is no longer listed on the Oct 1, 2021 amendment — MacKay Shields Defensive Bond Arbitrage Fund Ltd.

Dan C. Roberts appears on the Oct 2, 2020 Form D/A (director) but not on the Oct 1, 2021 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 · Oct 2, 2020 ↗Form D/A · Oct 1, 2021 ↗Dan C. Roberts — PartnerFacts page ↗MacKay Shields Defensive Bond Arbitrage Fund Ltd. — PartnerFacts page ↗
Sources
Worth asking · Sep 14, 2020 – Sep 14, 2021

Dan C. Roberts is no longer listed on the Sep 14, 2021 amendment — MacKay Shields Intermediate Bond Fund LP

Dan C. Roberts appears on the Sep 14, 2020 Form D/A (executive officer) but not on the Sep 14, 2021 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 · Sep 14, 2020 ↗Form D/A · Sep 14, 2021 ↗Dan C. Roberts — PartnerFacts page ↗MacKay Shields Intermediate Bond Fund LP — PartnerFacts page ↗
Sources
Worth asking · Mar 1, 2019 – Mar 2, 2020

Dan C. Roberts is no longer listed on the Mar 2, 2020 amendment — MacKay Shields Core Fixed Income Fund LP

Dan C. Roberts appears on the Mar 1, 2019 Form D/A (executive officer) but not on the Mar 2, 2020 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 2, 2020 ↗Dan C. Roberts — PartnerFacts page ↗MacKay Shields Core Fixed Income Fund LP — PartnerFacts page ↗
Sources
Note · Oct 6, 2010 – Sep 15, 2017

Dan C. Roberts is written 3 different ways on the filings

listed as "Dan C. Roberts" on 9 filings (from Oct 6, 2010), and "Dan Roberts" on 13 filings (from Oct 21, 2010), and "Dan Craig Roberts" on 4 filings (from Sep 15, 2017).

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 · Oct 6, 2010 ↗Form D · Oct 21, 2010 ↗Form D · Sep 15, 2017 ↗Dan C. Roberts — PartnerFacts page ↗
Sources
What is compared

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

5. Money to insiders

3 of 4 offerings report sales commissions totalling $2,075,000; 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
Oct 2, 2020 D/A
MacKay Shields Defensive Bond Arbitrage Fund Ltd.
File 021-149370
$0$0$0None listed on this filingEDGAR ↗
Sep 14, 2020 D/A
MacKay Shields Intermediate Bond Fund LP
File 021-294836
$850,000 (est.)$0$0NYLIFE Distributors LLC BrokerCheck CRD 35350 ↗
Therese Hernandez BrokerCheck CRD 3180255 ↗
via NYLIFE Distributors LLC (CRD 35350 ↗)

Kirk Kashevaroff BrokerCheck CRD 2304202 ↗
via NYLIFE Distributors LLC (CRD 35350 ↗)
EDGAR ↗
Mar 1, 2019 D/A
MacKay Shields Core Fixed Income Fund LP
File 021-165661
$225,000 (est.)$0$0N/A no CRD number reported
via NYLIFE Distributors LLC (CRD 35350 ↗)

John W. Akkerman BrokerCheck CRD 2780712 ↗
via NYLIFE Distributors LLC (CRD 35350 ↗)

N/A no CRD number reported
via McMorgan & Company LLC (CRD 115060 ↗)

Kirk C. Kashevaroff BrokerCheck CRD 2304202 ↗
via NYLIFE Distributors LLC (CRD 35350 ↗)

Therese M. Hernandez BrokerCheck CRD 3180225 ↗
via NYLIFE Distributors LLC (CRD 35350 ↗)
EDGAR ↗
Oct 6, 2011 D/A
MacKay Shields Core Plus Opportunities Fund Ltd.
File 021-148648
$1,000,000 (est.)$0$0Not Applicable no CRD number reported
via New York Life Distributors LLC (CRD 35350 ↗)
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 4

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

MS
Pooled Investment Fund · group: Mackay Municipal

MacKay Shields Defensive Bond Arbitrage Fund Ltd.

Hamilton, Bermuda (as filed: D0) · Oct 21, 2010 → Oct 2, 2020 · 11 filings
  • Oct 2, 2020 · D/A · $570,458,155 sold of Indefinite · 34 investors · min. $1,000,000 · role: Director EDGAR ↗
  • Oct 4, 2019 · D/A · $521,697,485 sold of Indefinite · 33 investors · min. $1,000,000 · role: Director EDGAR ↗
  • Oct 5, 2018 · D/A · $457,169,235 sold of Indefinite · 32 investors · min. $1,000,000 · role: Director EDGAR ↗
  • Oct 5, 2017 · D/A · $435,175,135 sold of Indefinite · 31 investors · min. $1,000,000 · role: Director EDGAR ↗
  • Oct 7, 2016 · D/A · $426,287,635 sold of Indefinite · 30 investors · min. $1,000,000 · role: Director EDGAR ↗
  • Oct 9, 2015 · D/A · $400,960,202 sold of Indefinite · 26 investors · min. $1,000,000 · role: Director EDGAR ↗
  • Oct 9, 2014 · D/A · $368,909,952 sold of Indefinite · 23 investors · min. $1,000,000 · role: Director EDGAR ↗
  • Oct 9, 2013 · D/A · $295,708,252 sold of Indefinite · 17 investors · min. $1,000,000 · role: Director EDGAR ↗
  • Oct 9, 2012 · D/A · $277,158,252 sold of Indefinite · 17 investors · min. $1,000,000 · role: Director EDGAR ↗
  • Oct 17, 2011 · D/A · $225,358,252 sold of Indefinite · 14 investors · min. $1,000,000 · role: Director EDGAR ↗
  • Oct 21, 2010 · D · $174,358,252 sold of Indefinite · 14 investors · min. $1,000,000 · role: Director EDGAR ↗

Raised $640.9M from 41 investors as of the latest filing. Dan is listed as director 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.

MS
Pooled Investment Fund · group: Mackay Municipal

MacKay Shields Intermediate Bond Fund LP

New York, NY · Sep 15, 2017 → Sep 14, 2020 · 4 filings
  • Sep 14, 2020 · D/A · $409,410,000 sold of Indefinite · 4 investors · min. $1,000,000 · role: Executive Officer (Executive Managing Director of MacKay Shields, LLC) EDGAR ↗
  • Sep 13, 2019 · D/A · $373,510,000 sold of Indefinite · 4 investors · min. $1,000,000 · role: Executive Officer (Executive Managing Director of MacKay Shields, LLC) EDGAR ↗
  • Sep 14, 2018 · D/A · $335,010,000 sold of Indefinite · 4 investors · min. $1,000,000 · role: Executive Officer (Executive Managing Director of MacKay Shields, LLC) EDGAR ↗
  • Sep 15, 2017 · D · $307,010,000 sold of Indefinite · 4 investors · min. $1,000,000 · role: Executive Officer (Executive Managing Director of MacKay Shields, LLC) EDGAR ↗

Raised $690.4M from 4 investors as of the latest filing. Dan is listed as executive officer on 4 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

MS
Pooled Investment Fund · group: Mackay Municipal

MacKay Shields Core Fixed Income Fund LP

New York, NY · Sep 12, 2011 → Mar 1, 2019 · 9 filings
  • Mar 1, 2019 · D/A · $215,280,743 sold of Indefinite · 14 investors · min. $5,000,000 · role: Executive Officer (Executive Managing Director of the Issuer) EDGAR ↗
  • Mar 2, 2018 · D/A · $213,280,743 sold of Indefinite · 14 investors · min. $5,000,000 · role: Executive Officer (Executive Managing Director of the Issuer) EDGAR ↗
  • Mar 3, 2017 · D/A · $131,967,053 sold of Indefinite · 12 investors · min. $5,000,000 · role: Executive Officer (Executive Managing Director of the Issuer) EDGAR ↗
  • Mar 4, 2016 · D/A · $131,967,053 sold of Indefinite · 12 investors · min. $5,000,000 · role: Executive Officer (Executive Managing Director of the Issuer) EDGAR ↗
  • Mar 9, 2015 · D/A · $128,967,053 sold of Indefinite · 12 investors · min. $5,000,000 · role: Executive Officer (Executive Managing Director) EDGAR ↗
  • Mar 7, 2014 · D/A · $97,484,973 sold of Indefinite · 10 investors · min. $5,000,000 · role: Executive Officer (Executive Managing Director) EDGAR ↗
  • Mar 8, 2013 · D/A · $84,392,357 sold of Indefinite · 9 investors · min. $5,000,000 · role: Executive Officer (Senior Managing Director) EDGAR ↗
  • Sep 12, 2012 · D/A · $59,919,018 sold of Indefinite · 8 investors · min. $5,000,000 · role: Executive Officer (Senior Managing Director) EDGAR ↗
  • Sep 12, 2011 · D · $10,001 sold of Indefinite · 2 investors · min. $5,000,000 · role: Executive Officer (Senior Managing Director) EDGAR ↗

Raised $297.2M from 14 investors as of the latest filing. Dan is listed as executive officer on 9 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

MS
Pooled Investment Fund · group: Mackay Municipal

MacKay Shields Core Plus Opportunities Fund Ltd.

New York, NY · Oct 6, 2010 → Oct 6, 2011 · 2 filings
  • Oct 6, 2011 · D/A · $15,068,900 sold of Indefinite · 2 investors · min. $1,000,000 · role: Director EDGAR ↗
  • Oct 6, 2010 · D · $15,068,900 sold of Indefinite · 2 investors · min. $1,000,000 · role: Director EDGAR ↗

Raised $15.1M from 2 investors as of the latest filing. Dan is listed as director on 2 filings for this deal.

Latest filing on EDGAR ↗
Sources

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

People around Dan 22

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

CM
Management entity

C. MacKay Shields, LLC

Promoter · 5 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Dan C. Roberts. Their page shows their other deals.

MS
Management entity

MacKay Shields, LLC

Promoter · 2 shared filings (1 issuer) · also on 44 other issuers

MacKay Shields, LLC is on 45 issuers in total — a repeat sponsor. Their page lists every one.

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

Lucille P. Protas

Director · 13 shared filings (2 issuers) · also on 2 other issuers

Listed on the same filings as Dan C. Roberts. Their page shows their other deals.

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

Lucille Protas

Executive Officer, Director · 9 shared filings (1 issuer) · also on 8 other issuers

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

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

Dawn Griffiths

Director · 8 shared filings (1 issuer) · also on 64 other issuers

Dawn Griffiths is on 65 issuers in total — a repeat sponsor. Their page lists every one.

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

John M. Loffredo

Executive Officer · 4 shared filings (1 issuer) · also on 23 other issuers

John M. Loffredo is on 24 issuers in total — a repeat sponsor. Their page lists every one.

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

Robert A. DiMella

Executive Officer · 4 shared filings (1 issuer) · also on 22 other issuers

Robert A. DiMella is on 23 issuers in total — a repeat sponsor. Their page lists every one.

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

Lucille M. Protas

Executive Officer · 4 shared filings (1 issuer) · also on 2 other issuers

Listed on the same filings as Dan C. Roberts. Their page shows their other deals.

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

Jeffrey Phlegar

Executive Officer · 3 shared filings (1 issuer) · also on 13 other issuers

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

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

Edward Silverstein

Executive Officer · 3 shared filings (1 issuer)

Listed on the same filings as Dan C. Roberts. Their page shows their other deals.

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

Virginia Rose

Executive Officer · 3 shared filings (1 issuer)

Listed on the same filings as Dan C. Roberts. Their page shows their other deals.

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

John Akkerman

Executive Officer · 3 shared filings (1 issuer)

Listed on the same filings as Dan C. Roberts. Their page shows their other deals.

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

John C.R. Collis

Director · 3 shared filings (1 issuer) · also on 18 other issuers

John C.R. Collis is on 19 issuers in total — a repeat sponsor. Their page lists every one.

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

Abali Hoilett

Director · 2 shared filings (1 issuer) · also on 99 other issuers

Abali Hoilett is on 100 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

Ellen Metzger

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Dan C. Roberts. Their page shows their other deals.

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

Matthew Philo

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Dan C. Roberts. Their page shows their other deals.

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

Young Lee

Director · 1 shared filing (1 issuer) · also on 42 other issuers

Young Lee is on 43 issuers in total — a repeat sponsor. Their page lists every one.

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

Gary Goodenough

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Dan C. Roberts. Their page shows their other deals.

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

J. Matthew Philo

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Dan C. Roberts. Their page shows their other deals.

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

J. Philo

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Dan C. Roberts. Their page shows their other deals.

The team behind the deals

MM
Sponsor group

Mackay Municipal

47 issuers · 340 filings · $25.34B reported sold · 2010–2026

One team, 47 deal companies. Dan C. Roberts is listed on 4 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 Dan C. Roberts.

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 4 issuers this person is listed on match a Form ADV adviser (searched 24,962 advisers as of Oct 2, 2026): MacKay Shields Defensive Bond Arbitrage Fund Ltd., MacKay Shields Intermediate Bond Fund LP, MacKay Shields Core Fixed Income Fund LP, MacKay Shields Core Plus Opportunities Fund Ltd..

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 Dan C. Roberts 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 4 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Dan C. Roberts is listed on, as found in their SEC filings (Form C, Reg A, Form ADV, EDGAR profile) or on the sponsor's own site; none belongs to the person unless the sponsor's site says so. Checked Oct 24, 2026.

Look further

One-tap searches on sites we do not index ourselves, with the name pre-filled (New York, NY). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Found on the sponsor's own site

nylim.com ↗ found on MacKay Shields Defensive Bond Arbitrage Fund Ltd. (nylim.com — same registered sponsor family (group "Mackay Municipal", confidence 0.81); known from issuer CIK 1769478 (adv))

Social and web

LinkedIn people search ↗Instagram ↗X (Twitter) ↗Facebook ↗YouTube ↗Google ↗Google Images ↗Google News ↗Meta Ad Library ↗

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗New York WebCivil Supreme ↗

Securities regulators

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

Business registries

New York Secretary of State business search ↗OpenCorporates ↗

Change history

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