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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:52 AM ET

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DH
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Dave Hicks

Named as an officer, director or promoter on SEC Form D filings · CA, FL · Jun 7, 2019 → Feb 18, 2026

2deals (issuers)
$76.3Mreported sold
63investors
9Form D filings
2019–2026years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:44 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Dave Hicks is listed as an executive officer, director, and promoter on 9 SEC Form D filings by 2 issuers between Jun 2019 and Feb 2026: Perast Fund LP (San Francisco, CA — pooled investment fund — 2019–2026; $75.3M reported sold to 59 investors) and Suffolk Fund LLC (San Francisco, CA — investing — 2021; $941K reported sold to 4 investors).

What this means 2 separate companies raised money with this person listed as executive officer, director, and promoter, over about 7 years. Across those companies the filings report $76.3M sold in total.

Listed alongside James Ramsey (8 shared filings) and Perast Capital Management (8 shared filings, management entity).

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

All 2 issuers belong to the sponsor group Perast (2 issuers, $76.3M reported sold, 2019–2026).

What this means A sponsor group is one team that sets up a new company for each deal. Perast has 2 companies on file and $76.3M 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) — 3 bankruptcy cases matching the name listed in Key records below.

What this means 3 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 Dave Hicks and found 5 differences, 1 worth asking the sponsor about: Investor count went down between filings; 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 Dave Hicks has not run yet — it is joining a line of 42,621 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, 2:44 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 Dave Hicks..

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

3 cases: 3 closed (disposition not in docket feed)

Dave K. Hicks closed
United States Bankruptcy Court, E.D. Michigan · No. 13-61927 · Filed Dec 5, 2013 · Closed Mar 19, 2014
Role of Dave K. Hicks: Debtor · Outcome: Case closed 2014-03-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 4 federal dockets); court in MI (not a filing state)
Dave Hicks closed
United States Bankruptcy Court, E.D. Missouri · No. 09-47419 · Filed Jul 31, 2009 · Closed Oct 10, 2012
Role of Dave Hicks: Debtor · Outcome: Case closed 2012-10-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 4 federal dockets); court in MO (not a filing state)
Dave R. Hicks and Brenda J. Hicks closed
United States Bankruptcy Court, W.D. New York · No. 1-91-12760 · Filed Jul 31, 1991 · Closed Apr 25, 1997
Role of Dave R. Hicks and Brenda J. Hicks: Debtor · Outcome: Case closed 1997-04-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 4 federal dockets); court in NY (not a filing state)
What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:44 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

5 differences found between the filings for Dave Hicks — 1 worth asking about (compared 9 filings on Oct 24, 2026)

Worth asking · Apr 16, 2024 – Mar 11, 2025

Investor count went down between filings — Perast Fund LP

The Apr 16, 2024 filing reports 58 investors; the Mar 11, 2025 Form D/A reports 57 investors.

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

Form D/A (earlier) · Apr 16, 2024 ↗Form D/A (later) · Mar 11, 2025 ↗Perast Fund LP — PartnerFacts page ↗
Sources
Note · Sep 29, 2021 – Nov 17, 2021

Form D filed 49 days after the first sale — Suffolk Fund LLC

The filing says the first sale was Sep 29, 2021. The Form D was filed Nov 17, 2021 — 49 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 34 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Form D · Nov 17, 2021 ↗Suffolk Fund LLC — PartnerFacts page ↗
Sources
Note · Mar 17, 2020 – Mar 16, 2021

Minimum investment changed between filings — Perast Fund LP

The Mar 17, 2020 filing lists a minimum of $0; the Mar 16, 2021 Form D/A lists $500,000.

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

Form D/A (earlier) · Mar 17, 2020 ↗Form D/A (later) · Mar 16, 2021 ↗Perast Fund LP — PartnerFacts page ↗
Sources
Note · Jun 7, 2019 – Mar 17, 2020

Minimum investment changed between filings — Perast Fund LP

The Jun 7, 2019 filing lists a minimum of $100,000; the Mar 17, 2020 Form D/A lists $0.

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

Form D (earlier) · Jun 7, 2019 ↗Form D/A (later) · Mar 17, 2020 ↗Perast Fund LP — 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

0 of 2 offerings report sales commissions; 1 reports finder's fees totalling $88,000; 1 reports proceeds to related persons totalling $35,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Feb 18, 2026 D/A
Perast Fund LP
File 021-341424
$0 (est.)$88,000 (est.)$35,000 (est.)
The company charges an expense reimbursement fee that is described in its offering documents
Laurie Stern BrokerCheck CRD 2009773 ↗
via Perkins Fund Marketing (CRD 45642 ↗)
EDGAR ↗
Nov 17, 2021 D
Suffolk Fund LLC
File 021-421488
$0$0$0None listed on this filingEDGAR ↗
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 2

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

PF
Pooled Investment Fund · group: Perast

Perast Fund LP

San Francisco, CA · Jun 7, 2019 → Feb 18, 2026 · 8 filings
  • Feb 18, 2026 · D/A · $75,337,748 sold of Indefinite · 59 investors · min. $500,000 · role: Executive Officer, Promoter (Manager of Perast Capital Management, the General Partner of Issuer) EDGAR ↗
  • Mar 11, 2025 · D/A · $62,334,310 sold of Indefinite · 57 investors · min. $500,000 · role: Executive Officer, Promoter (Manager of Perast Capital Management, the General Partner of Issuer) EDGAR ↗
  • Apr 16, 2024 · D/A · $46,576,310 sold of Indefinite · 58 investors · min. $500,000 · role: Executive Officer, Promoter (Manager of Perast Capital Management, the General Partner of Issuer) EDGAR ↗
  • Mar 30, 2023 · D/A · $11,379,195 sold of Indefinite · 40 investors · min. $500,000 · role: Executive Officer, Promoter (Manager of Perast Capital Management, the General Partner of Issuer) EDGAR ↗
  • Mar 16, 2022 · D/A · $5,660,436 sold of Indefinite · 26 investors · min. $500,000 · role: Executive Officer, Promoter (Manager of Perast Capital Management, the General Partner of Issuer) EDGAR ↗
  • Mar 16, 2021 · D/A · $4,231,212 sold of Indefinite · 24 investors · min. $500,000 · role: Executive Officer, Promoter (Manager of Perast Capital Management, the General Partner of Issuer) EDGAR ↗
  • Mar 17, 2020 · D/A · $2,675,000 sold of Indefinite · 17 investors · min. No minimum reported · role: Executive Officer, Promoter (Manager of Perast Capital Management, the General Partner of Issuer) EDGAR ↗
  • Jun 7, 2019 · D · $650,000 sold of Indefinite · 7 investors · min. $100,000 · role: Executive Officer, Promoter (Manager of Perast Capital Management, the General Partner of Issuer) EDGAR ↗

Raised $75.3M from 59 investors as of the latest filing. Dave is listed as executive officer, promoter on 8 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(c) (8,096 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.

SF
Investing · group: Perast

Suffolk Fund LLC

San Francisco, CA · Nov 17, 2021
  • Nov 17, 2021 · D · $940,665 sold of $940,665 · 4 investors · min. $78,388 · role: Executive Officer, Director (Sole Manager of the LLC and Chief Investment Officer) EDGAR ↗

Raised $941K from 4 investors (100% of the $941K target) as of the latest filing. Dave is listed as executive officer, director.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Investing / 506(b) (2,521 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.

People around Dave 2

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

PC
Management entity

Perast Capital Management

Promoter · 8 shared filings (1 issuer)

Listed on the same filings as Dave Hicks. Their page shows their other deals.

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

James Ramsey

Executive Officer, Promoter · 8 shared filings (1 issuer) · also on 2 other issuers

Listed on the same filings as Dave Hicks. Their page shows their other deals.

The team behind the deals

P
Sponsor group

Perast

2 issuers · 9 filings · $76.3M reported sold · 2019–2026

One team, 2 deal companies. Dave Hicks is listed on 2 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 Dave Hicks.

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 2 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 Dave Hicks 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 2 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Dave Hicks is listed on: none on file. No website or social profile named in Suffolk Fund LLC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #174,618 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 (San Francisco, CA). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

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

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗California — find the county court ↗Los Angeles Superior Court case search ↗Hillsborough County FL Clerk (HOVER) ↗Miami-Dade Clerk online case search ↗

Securities regulators

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

Business registries

California Secretary of State business search ↗Florida Secretary of State business search ↗OpenCorporates ↗

Change history

No corrections have been requested for this page.

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