Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:34 AM ET

David Kaplan

Named as an officer, director or promoter on SEC Form D filings · CA, MA, WA, DC, NY, WY, MD, DE · Dec 7, 2010 → Oct 15, 2026

75deals (issuers)

$26.75Breported sold

2,936investors

130Form D filings

2010–2026years on file

Follow this person Look further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:19 AM ET · SEC enforcement last checked: Oct 23, 2026, 10:59 PM ET

The short version

David Kaplan is listed as an executive officer, director, and promoter on 130 SEC Form D filings by 75 issuers between Sep 2009 and Oct 2026. Largest by amount reported sold: Ares Corporate Opportunities Fund V, L.P. (Los Angeles, CA — pooled investment fund — 2015–2016; $7.6B reported sold to 114 investors), Ares Corporate Opportunities Fund IV, L.P. (Los Angeles, CA — pooled investment fund — 2012; $4.7B reported sold to 110 investors), Ares Corporate Opportunities Fund VI, L.P. (Los Angeles, CA — pooled investment fund — 2020–2021; $4.29B reported sold to 109 investors), ARES SPECIAL OPPORTUNITIES FUND, L.P. (Los Angeles, CA — pooled investment fund — 2019–2020; $3.16B reported sold to 907 investors), Ares Energy Opportunities Fund A, L.P. (Los Angeles, CA — pooled investment fund — 2018–2019; $989.6M reported sold to 56 investors) and 70 more (all listed below).

What this means That is a lot of deals — 75 separate companies raised money with this person listed as executive officer, director, and promoter, over about 17 years. Across those companies the filings report $26.75B sold in total.

Listed alongside Bennett Rosenthal (64 shared filings), Antony P Ressler (62 shared filings), Michael D. Weiner (41 shared filings), ACOF Management V GP LLC (21 shared filings, management entity), Brian Webber (21 shared filings) and 174 others.

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

The issuers belong to 4 sponsor groups: Ares (213 issuers, $113.9B reported sold, 2009–2026), Nite (3 issuers, $250K reported sold, 2012–2014), Ares (40 issuers, $16.08B reported sold, 2010–2026) and 99 Cents (2 issuers, $350.1M reported sold, 2017–2021).

What this means This person is listed across more than one sponsor team; each group page shows that team's full track record.

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) — 2 court cases matching the name, 8 SEC releases, 43 bankruptcy cases matching the name listed in Key records below.

What this means 53 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 the newest 50 of 130 public filings for David Kaplan and found 14 differences, 4 worth asking the sponsor about: 6 regulator actions name the subject or team members; David Kaplan appears on 5 deals that stopped filing before reaching their target; 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

27 comments on Reddit mentioning David Kaplan (searched Oct 24, 2026).

“Mitchell, además de dirigir y escribir el largometraje, participa como productor junto a Tom Quinn, Jake Weiner, Chris Bender, David Kaplan, Erik Rommesmo, Rebecca Green y Laura Smith.”
— CINEFILOCONMAYUSCULA, Reddit · "They Follow" pone en marcha su rodaje y amplía su reparto. · Jul 17, 2026 · link ↗ · mentions “David Kaplan”

“…- The Savage Winds to Wisdom (dissonant black metal) Christopher Rountree, played by Hocket, Nadia Sirota, and Wild Up - 3 BPM (ambient classical) David Kaplan - New Dances of the League of David (contemporary classical) Diskord & Atum - Bipolarities (technical death metal) Dominik Kisiel -…”
— ctebcm, Reddit · Album Anniversary List 2026-07-12 · Jul 12, 2026 · link ↗ · mentions “David Kaplan” and NEW YORK in the same post

“When it came time to fund expansion, David Kaplan and the team at Gin & Luck (parent company of Death & Co) made a deliberate choice. They decided to raise capital with the community that helped build the brand in the first place.”
— Beginning-Willow-801, Reddit · When Your Customers Become Your Cap Table: The Death & Co - Gin & Luck - Case Study · Apr 19, 2026 · link ↗ · mentions “David Kaplan” and SEATTLE in the same post

“David Kaplan tweeted yesterday morning that he's more convinced than ever the Bears are going to Arlington Heights and expects a bipartisan vote in the next ten days.”
— Substantial_Bag_8066, Reddit · McCaskey/Warren in Hammond Yesterday; HB910 Likely to Pass House Next Week... The Outcome Remains Hammond — Updates Coming Fast · Apr 18, 2026 · link ↗ · mentions “David Kaplan”

“In a 2005 Chronicle article written by David Kaplan, a shopper named Jim Davis bemoaned the good old days when he knew the employees and managers there.”
— tsmalcolm, Reddit · What happened to Randalls? How the Houston grocer has faded into obscurity. · Apr 12, 2026 · link ↗ · mentions “David Kaplan”

“[David Kaplan] While the Chicago Bears are again talking with Illinois politicians the city of Portage, IN has sent the Bears an offer for a rent free, state of the art domed stadium that uses no public money.”
— RyanIsKickAss, Reddit · [David Kaplan] While the Chicago Bears are again talking with Illinois politicians the city of Portage, IN has sent the Bears an offer for a rent free, state of the art domed stadium that uses no public money. We should know where the Bears are headed fairly soon. · Feb 10, 2026 · link ↗ · mentions “David Kaplan”

“…results may vary.…”
— Flaky-Debate-833, Reddit · Media Power Rankings · Jan 29, 2026 · link ↗ · mentions “David Kaplan”

“David Kaplan) (1/19/2026) An unlikely change in the theory of quantum mechanics would lead to bizarre new conclusions. Our guest talks us through non-linear quantum mechanics, and how physicists like him are testing it. submitted by /u/shatterdaymorn to r/philosophypodcasts [link] [comments]”
— shatterdaymorn, Reddit · Why This Universe?: 98 - An Improbable Quantum Ghost Story (Ft. David Kaplan) (1/19/2026) · Jan 20, 2026 · link ↗ · mentions “David Kaplan”

“…Brantley Gong, Jesse Ozeri, Vincent Peone, Kyle Stroud, Zach Verdin, Dave Guenette, Scott Aharoni, Alihan Yalcindag, Sinan Eczacibasi, Saskia Duff, David Kaplan, Oleg Nodelman, Marcin Czernik, Claude Amadeo, Randal Sandler, Michael D’Alto, Chris Triana, Adam Paulsen, Michael Fowler, Zelene…”
— chanma50, Reddit · 'The Testament Of Ann Lee' Review Thread · Dec 22, 2025 · link ↗ · mentions “David Kaplan” and NEW YORK in the same post

“Death & Co (Alex Day, Nick Fauchald, David Kaplan) 2014, page 137 ___ Conference ½ oz (15 ml) Rittenhouse 100 rye whiskey ½ oz (15 ml) Buffalo Trace bourbon ½ oz (15 ml) Calvados (apple brandy) ½ oz (15 ml) Cognac (e.g.”
— robborow, Reddit · [Advent of Cocktails 2025: December 19] Conference · Dec 19, 2025 · link ↗ · mentions “David Kaplan” and NEW YORK in the same post

“[Sports] - The rise of The REKAP, with David Kaplan and Ryan McGuffey — nearly a quarter of a million served | Chicago Sun-Times submitted by /u/AutoNewspaperAdmin to r/AutoNewspaper [link] [comments]”
— AutoNewspaperAdmin, Reddit · [Sports] - The rise of The REKAP, with David Kaplan and Ryan McGuffey — nearly a quarter of a million served | Chicago Sun-Times · Dec 4, 2025 · link ↗ · mentions “David Kaplan”

“[Sports] - The rise of The REKAP, with David Kaplan and Ryan McGuffey — nearly a quarter of a million served submitted by /u/AutoNewsAdmin to r/CHICAGOSUNauto [link] [comments]”
— AutoNewsAdmin, Reddit · [Sports] - The rise of The REKAP, with David Kaplan and Ryan McGuffey — nearly a quarter of a million served · Dec 4, 2025 · link ↗ · mentions “David Kaplan”

“David Kaplan) (11/24/2025) In the years leading up to the Large Hadron Collider turning on, the physics community was buzzing with curiosity and excitement about what they were about to discover.”
— shatterdaymorn, Reddit · Why This Universe?: 96 - The Making of Particle Fever (Ft. David Kaplan) (11/24/2025) · Nov 25, 2025 · link ↗ · mentions “David Kaplan”

“[Sports] - 'Jim Shorts' returning to Chicago sports media as NFL handicapper on David Kaplan's 'REKAP' | Chicago Sun-Times submitted by /u/AutoNewspaperAdmin to r/AutoNewspaper [link] [comments]”
— AutoNewspaperAdmin, Reddit · [Sports] - 'Jim Shorts' returning to Chicago sports media as NFL handicapper on David Kaplan's 'REKAP' | Chicago Sun-Times · Sep 2, 2025 · link ↗ · mentions “David Kaplan”

“[Sports] - 'Jim Shorts' returning to Chicago sports media as NFL handicapper on David Kaplan's 'REKAP' submitted by /u/AutoNewsAdmin to r/CHICAGOSUNauto [link] [comments]”
— AutoNewsAdmin, Reddit · [Sports] - 'Jim Shorts' returning to Chicago sports media as NFL handicapper on David Kaplan's 'REKAP' · Sep 2, 2025 · link ↗ · mentions “David Kaplan”

“David Kaplan "there’s an expectation that President’s announcement tomorrow will involve National Guard deployment." https://x.com/DKaplanFox5DC/status/1954701305324196317 submitted by /u/Routine_Complaint_79 to r/Destiny [link] [comments]”
— Routine_Complaint_79, Reddit · David Kaplan "there’s an expectation that President’s announcement tomorrow will involve National Guard deployment." · Aug 11, 2025 · link ↗ · mentions “David Kaplan”

“…- The Savage Winds to Wisdom (dissonant black metal) Christopher Rountree, played by Hocket, Nadia Sirota, and Wild Up - 3 BPM (ambient classical) David Kaplan - New Dances of the League of David (contemporary classical) Diskord & Atum - Bipolarities (technical death metal) Dominik Kisiel -…”
— ctebcm, Reddit · Album Anniversary List 2025-07-12 · Jul 12, 2025 · link ↗ · mentions “David Kaplan” and NEW YORK in the same post

“[David Kaplan] Two-year Thuney extension to be announced in coming days. GaryRoss and SlickRickScoops also had it on X. submitted by /u/gf2020 to r/CHIBears [link] [comments]”
— gf2020, Reddit · [David Kaplan] Two-year Thuney extension to be announced in coming days. GaryRoss and SlickRickScoops also had it on X. · May 5, 2025 · link ↗ · mentions “David Kaplan”

“She was born September 28, 1883, in Babruysk, Russia (now Belarus), and married David Kaplan in Boston, Massachusetts in 1903. From that point forward, I have records - marriage, census, and her naturalization paperwork.”
— indigopony, Reddit · Looking for help tracing my great-grandmother · May 5, 2025 · link ↗ · mentions “David Kaplan” and NEW YORK in the same post

“[BleacherNation]. A Possible Kyle Tucker Extension? David Kaplan Shares a Healthy Dose of Optimism submitted by /u/stordl01 to r/CHICubs [link] [comments]”
— stordl01, Reddit · [BleacherNation]. A Possible Kyle Tucker Extension? David Kaplan Shares a Healthy Dose of Optimism · Apr 29, 2025 · link ↗ · mentions “David Kaplan”

“David Kaplan on Dan Bernstein From WDWS in Champaign. Basically said the obvious, and don’t go after someone’s family. Kaplan mentioned a story involving a troll going after his son with special needs, and how he handled it. submitted by /u/tigernike1 to r/670TheScore [link] [comments]”
— tigernike1, Reddit · David Kaplan on Dan Bernstein · Apr 14, 2025 · link ↗ · mentions “David Kaplan”

“Kap's (David Kaplan @rekapdavidkaplan @thekapman ) Michael Jordan story from earlier today 3/7/2025 I am a huge MJ fan and hearing about how the Goat reached out to Kap way back in the 80's to ask Kap to give Michael's brother a shot in the 6 foot 4 amd under league that Kap was running was so…”
— irie1972, Reddit · Kap's (David Kaplan @rekapdavidkaplan @thekapman ) Michael Jordan story from earlier today 3/7/2025 · Mar 7, 2025 · link ↗ · mentions “David Kaplan”

“[David Kaplan] Someone with knowledge of the intense bidding for Ben Johnson’s services just told me: “Damn, George McCaskey stepped up. He got to a place where he had to be uncomfortable w/the 💰 + he didn’t blink.”
— stevefarbota, Reddit · [David Kaplan] Someone with knowledge of the intense bidding for Ben Johnson’s services just told me: “Damn, George McCaskey stepped up. He got to a place where he had to be uncomfortable w/the 💰 + he didn’t blink. He approved big 💰. Many folks in the NFL are super surprised they got Ben.” · Jan 21, 2025 · link ↗ · mentions “David Kaplan”

“I'm not asking for anyone to be a homer but when guys like David Kaplan of all people is able to still be brash but a diehard fan of Chicago Cubs and Bears you know there is a problem.”
— MasterHavik, Reddit · The Chicago media coverage has to get better regarding the Sky. · Dec 27, 2024 · link ↗ · mentions “David Kaplan”

“…twitch.tv/reiderrabbit 10:25:00 Maxtortion https://www.youtube.com/@MaxtortionMTG 11:29:00 Fenruscloud https://www.youtube.com/@Fenruscloud 12:58:00 David Kaplan https://x.com/David_H_Kaplan 15:10:00 Eric Ratkowski https://www.youtube.com/watch?v=KAPN8e-GKBo 17:23:00 MTGCHICAGO…”
— Durdlemagus, Reddit · NEXT WEEK'S BNR PREDICTIONS from 30+ Legacy Players! · Dec 9, 2024 · link ↗ · mentions “David Kaplan”

“They know that money can’t save them in the end which is why we gotta keep bullying them the media has to keep bullying them and Hell Someone comment on David Kaplan post to have George Mccaskey on his podcast so that he can just rip into his nepotistic heart.”
— avidbearsfan, Reddit · I may be getting optimistic and delusional but I’ll say this here · Nov 19, 2024 · link ↗ · mentions “David Kaplan”

“Director: Jesse Eisenberg Writer: Jesse Eisenberg Cast: • Jesse Eisenberg as David Kaplan • Kieran Culkin as Benji Kaplan • Will Sharpe as James • Jennifer Grey as Marcia • Kurt Egyiawan as Eloge • Liza Sadovy as Diane • Daniel Oreskes as Mark • Ellora Torchia as Priya Studio: TSG Productions…”
— JuanRiveara, Reddit · Official Discussion Thread – A Real Pain · Nov 17, 2024 · link ↗ · mentions “David Kaplan”

Community comments are quoted as written by their authors. They are the commenters’ words, not ours; every quote links to the thread it came from. 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

2 cases: 1 closed (disposition not in docket feed), 1 dismissed

Eric L. Gold v. David Kaplan closed

District Court, C.D. California · No. 2:21-cv-03204 · Filed Apr 14, 2021 · Closed Mar 29, 2022

Role of David Kaplan: Defendant · Outcome: Terminated 2022-03-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (CA)

David Kaplan v. Porsche Financial Services dismissed

District Court, C.D. California · No. 2:17-cv-03405 · Filed May 5, 2017 · Closed Aug 10, 2018 · Nature of suit: 190 Contract: Other · Cause: 28:1332 Diversity-Contract Dispute

Role of David Kaplan: Plaintiff · Outcome: Terminated 2018-08-10 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (CA)

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, 2:19 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.

2. Regulatory actions

8 SEC releases

David B. Kaplan, Esq. Administrative proceeding

SEC · Jan 17, 2018 · Parties as named in the release: David B. Kaplan, Esq. Read the release ↗

same full name in the release title; 4 people with this name in Form D filings; the person's filing state is named in the release

David B. Kaplan, Esq. Administrative proceeding

SEC · Jan 17, 2018 · Parties as named in the release: David B. Kaplan, Esq. Read the release ↗

same full name in the release title; 4 people with this name in Form D filings; the person's filing state is named in the release

David B. Kaplan, Esq., et al. Litigation release

SEC · Jan 9, 2018 · Parties as named in the release: David B. Kaplan, Esq., et al. Read the release ↗

same full name in the release title; 4 people with this name in Form D filings; the person's filing state is not named

David B. Kaplan, Esq., et al. Litigation release

SEC · May 27, 2016 · Parties as named in the release: David B. Kaplan, Esq., et al. Read the release ↗

same full name in the release title; 4 people with this name in Form D filings; the person's filing state is not named

Gilford Securities, Incorporated, Ralph Worthington, IV, David S. Kaplan, and Richard W. Granahan Administrative proceeding

SEC · Sep 30, 2011 · Parties as named in the release: Gilford Securities, Incorporated, Ralph Worthington, IV, David S. Kaplan, and Richard W. Granahan Read the release ↗

same full name in the release title; 4 people with this name in Form D filings; the person's filing state is named in the release

David Rivard; David Kaplan Litigation release

SEC · Nov 2, 2004 · Parties as named in the release: David Rivard; David Kaplan Read the release ↗

same full name in the release title; 4 people with this name in Form D filings; the person's filing state is named in the release

David Kaplan, CPA Administrative proceeding

SEC · Oct 27, 2004 · Parties as named in the release: David Kaplan, CPA Read the release ↗

same full name in the release title; 4 people with this name in Form D filings; the person's filing state is named in the release

Ira Zar, David Rivard, and David Kaplan Litigation release

SEC · Apr 8, 2004 · Parties as named in the release: Ira Zar, David Rivard, and David Kaplan Read the release ↗

same full name in the release title; 4 people with this name in Form D filings; the person's filing state is named in the release

What was searched

SEC enforcement searched: SEC litigation releases + SEC administrative proceedings (sec.gov index, 1995-09-19 → 2026-10-23) — last checked Oct 23, 2026, 10:59 PM ET.

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

43 cases: 43 closed (disposition not in docket feed)

David L Kaplan closed

United States Bankruptcy Court, N.D. New York · No. 19-60771 · Filed May 29, 2019 · Closed Oct 1, 2019

Role of David L Kaplan: Debtor · Outcome: Case closed 2019-10-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (NY)

David E. Kaplan and Arrie E Kaplan closed

United States Bankruptcy Court, D. Connecticut · No. 18-30888 · Filed May 29, 2018 · Closed Sep 18, 2018

Role of David E. Kaplan and Arrie E Kaplan: Debtor · Outcome: Case closed 2018-09-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in CT (not a filing state)

David N Kaplan closed

United States Bankruptcy Court, C.D. California · No. 1:16-bk-13179 · Filed Nov 4, 2016 · Closed Feb 7, 2017

Role of David N Kaplan: Debtor · Outcome: Case closed 2017-02-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (CA)

David L. Kaplan closed

United States Bankruptcy Court, N.D. Georgia · No. 14-66543 · Filed Aug 25, 2014 · Closed Dec 22, 2014

Role of David L. Kaplan: Debtor · Outcome: Case closed 2014-12-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in GA (not a filing state)

David Kaplan closed

United States Bankruptcy Court, M.D. Florida · No. 8:14-bk-06926 · Filed Jun 13, 2014 · Closed Sep 16, 2015

Role of David Kaplan: Debtor · Outcome: Case closed 2015-09-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in FL (not a filing state)

David B Kaplan and Christina S Kaplan closed

United States Bankruptcy Court, C.D. California · No. 2:12-bk-25742 · Filed May 3, 2012 · Closed Aug 20, 2012

Role of David B Kaplan and Christina S Kaplan: Debtor · Outcome: Case closed 2012-08-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (CA)

David T. Kaplan closed

United States Bankruptcy Court, D. New Hampshire · No. 12-11236 · Filed Apr 16, 2012 · Closed Jan 2, 2014

Role of David T. Kaplan: Debtor · Outcome: Case closed 2014-01-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in NH (not a filing state)

David E Kaplan closed

United States Bankruptcy Court, D. New Jersey · No. 11-36986 · Filed Sep 14, 2011 · Closed Jan 10, 2012

Role of David E Kaplan: Debtor · Outcome: Case closed 2012-01-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in NJ (not a filing state)

David Kaplan closed

United States Bankruptcy Court, W.D. Kentucky · No. 11-34189 · Filed Aug 29, 2011 · Closed Apr 26, 2012

Role of David Kaplan: Debtor · Outcome: Case closed 2012-04-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in KY (not a filing state)

David E Kaplan closed

United States Bankruptcy Court, D. New Jersey · No. 11-15477 · Filed Feb 25, 2011 · Closed Sep 13, 2011

Role of David E Kaplan: Debtor · Outcome: Case closed 2011-09-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in NJ (not a filing state)

David A. Kaplan closed

United States Bankruptcy Court, D. New Jersey · No. 10-36308 · Filed Aug 26, 2010 · Closed Apr 1, 2016

Role of David A. Kaplan: Debtor · Outcome: Case closed 2016-04-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in NJ (not a filing state)

David E. Kaplan closed

United States Bankruptcy Court, D. Connecticut · No. 10-30857 · Filed Mar 26, 2010 · Closed Sep 15, 2010

Role of David E. Kaplan: Debtor · Outcome: Case closed 2010-09-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in CT (not a filing state)

David Kaplan closed

United States Bankruptcy Court, S.D. Florida. · No. 10-16706 · Filed Mar 17, 2010 · Closed Jun 24, 2010

Role of David Kaplan: Debtor · Outcome: Case closed 2010-06-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in FL (not a filing state)

David Kaplan closed

United States Bankruptcy Court, C.D. California · No. 6:10-bk-17006 · Filed Mar 11, 2010 · Closed Jul 14, 2010

Role of David Kaplan: Debtor · Outcome: Case closed 2010-07-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (CA)

David L Kaplan and Michelle G Kaplan closed

United States Bankruptcy Court, D. New Jersey · No. 09-10291 · Filed Jan 7, 2009 · Closed May 4, 2009

Role of David L Kaplan and Michelle G Kaplan: Debtor · Outcome: Case closed 2009-05-04 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in NJ (not a filing state)

David B Kaplan closed

United States Bankruptcy Court, S.D. Florida. · No. 08-28821 · Filed Dec 10, 2008 · Closed Mar 17, 2009

Role of David B Kaplan: Debtor · Outcome: Case closed 2009-03-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in FL (not a filing state)

David W Kaplan closed

United States Bankruptcy Court, D. Maine · No. 08-11012 · Filed Sep 26, 2008 · Closed May 26, 2010

Role of David W Kaplan: Debtor · Outcome: Case closed 2010-05-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in ME (not a filing state)

David Kaplan and Wendy Gail Kaplan closed

United States Bankruptcy Court, D. Maryland · No. 08-14680 · Filed Apr 3, 2008 · Closed Jul 10, 2008

Role of David Kaplan and Wendy Gail Kaplan: Debtor · Outcome: Case closed 2008-07-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (MD)

David E. Kaplan and Hollis A. Kaplan closed

United States Bankruptcy Court, D. Oregon · No. 06-31135 · Filed May 1, 2006 · Closed Aug 7, 2006

Role of David E. Kaplan and Hollis A. Kaplan: Debtor · Outcome: Case closed 2006-08-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in OR (not a filing state)

David Kaplan closed

United States Bankruptcy Court, D. New Jersey · No. 05-42045 · Filed Sep 27, 2005 · Closed Jan 23, 2006

Role of David Kaplan: Debtor · Outcome: Case closed 2006-01-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in NJ (not a filing state)

David B. Kaplan and Marcia J. Kaplan closed

United States Bankruptcy Court, N.D. Ohio · No. 05-70079 · Filed Sep 19, 2005 · Closed Feb 6, 2006

Role of David B. Kaplan and Marcia J. Kaplan: Debtor · Outcome: Case closed 2006-02-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in OH (not a filing state)

David R Kaplan closed

United States Bankruptcy Court, C.D. California · No. 2:05-bk-26581 · Filed Jul 21, 2005 · Closed Jan 24, 2006

Role of David R Kaplan: Debtor · Outcome: Case closed 2006-01-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (CA)

David B Kaplan closed

United States Bankruptcy Court, N.D. New York · No. 05-14988 · Filed Jul 20, 2005 · Closed Jan 17, 2007

Role of David B Kaplan: Debtor · Outcome: Case closed 2007-01-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (NY)

David N Kaplan closed

United States Bankruptcy Court, C.D. California · No. 1:02-bk-13401 · Filed Apr 16, 2002 · Closed Aug 12, 2002

Role of David N Kaplan: Debtor · Outcome: Case closed 2002-08-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (CA)

David A. Kaplan closed

United States Bankruptcy Court, D. New Jersey · No. 01-62884 · Filed Nov 14, 2001 · Closed Feb 27, 2002

Role of David A. Kaplan: Debtor · Outcome: Case closed 2002-02-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in NJ (not a filing state)

David B Kaplan and Maria C Kaplan closed

United States Bankruptcy Court, C.D. California · No. 2:01-bk-36384 · Filed Aug 29, 2001 · Closed Sep 20, 2004

Role of David B Kaplan and Maria C Kaplan: Debtor · Outcome: Case closed 2004-09-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (CA)

David H. Kaplan closed

United States Bankruptcy Court, D. Massachusetts · No. 00-40051 · Filed Jan 5, 2000 · Closed May 9, 2000

Role of David H. Kaplan: Debtor · Outcome: Case closed 2000-05-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (MA)

David S. Kaplan closed

United States Bankruptcy Court, D. Maryland · No. 99-19289 · Filed Aug 4, 1999 · Closed Nov 16, 1999

Role of David S. Kaplan: Debtor · Outcome: Case closed 1999-11-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (MD)

David M. Kaplan closed

United States Bankruptcy Court, S.D. Florida. · No. 99-20958 · Filed Feb 12, 1999 · Closed Aug 11, 1999

Role of David M. Kaplan: Debtor · Outcome: Case closed 1999-08-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in FL (not a filing state)

David M. Kaplan closed

United States Bankruptcy Court, S.D. Florida. · No. 98-35350 · Filed Oct 8, 1998 · Closed Feb 9, 1999

Role of David M. Kaplan: Debtor · Outcome: Case closed 1999-02-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in FL (not a filing state)

David Kaplan closed

United States Bankruptcy Court, D. Maryland · No. 98-61974 · Filed Aug 25, 1998 · Closed Dec 8, 1998

Role of David Kaplan: Debtor · Outcome: Case closed 1998-12-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (MD)

David P. Kaplan closed

United States Bankruptcy Court, W.D. New York · No. 1-97-15920 · Filed Sep 24, 1997 · Closed Jan 16, 1998

Role of David P. Kaplan: Debtor · Outcome: Case closed 1998-01-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (NY)

Hollis Kaplan and David Kaplan closed

United States Bankruptcy Court, D. Oregon · No. 97-33974 · Filed May 15, 1997 · Closed Aug 22, 1997

Role of David Kaplan: Debtor · Outcome: Case closed 1997-08-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in OR (not a filing state)

David L Kaplan and Alicia Kaplan closed

United States Bankruptcy Court, N.D. Illinois · No. 97-01258 · Filed Jan 15, 1997 · Closed May 14, 1997

Role of David L Kaplan and Alicia Kaplan: Debtor · Outcome: Case closed 1997-05-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in IL (not a filing state)

David Kaplan and Deborah Kaplan closed

United States Bankruptcy Court, D. Rhode Island · No. 1:96-bk-13899 · Filed Dec 2, 1996 · Closed Apr 15, 1997

Role of David Kaplan and Deborah Kaplan: Debtor · Outcome: Case closed 1997-04-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in RI (not a filing state)

David R. Kaplan and Laura E. Logan closed

United States Bankruptcy Court, M.D. Pennsylvania · No. 1:96-bk-01497 · Filed Jun 5, 1996 · Closed Jul 18, 1997

Role of David R. Kaplan and Laura E. Logan: Debtor · Outcome: Case closed 1997-07-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in PA (not a filing state)

David A. Kaplan closed

United States Bankruptcy Court, D. Hawaii · No. 94-01181 · Filed Sep 30, 1994 · Closed Jan 10, 1995

Role of David A. Kaplan: Debtor · Outcome: Case closed 1995-01-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in HI (not a filing state)

David J Kaplan closed

United States Bankruptcy Court, N.D. Illinois · No. 94-15124 · Filed Jul 29, 1994 · Closed Jan 6, 1995

Role of David J Kaplan: Debtor · Outcome: Case closed 1995-01-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in IL (not a filing state)

David A. Kaplan and Stacy I. Kaplan closed

United States Bankruptcy Court, C.D. California · No. 8:94-bk-15513 · Filed May 27, 1994 · Closed Oct 12, 1994

Role of David A. Kaplan and Stacy I. Kaplan: Debtor · Outcome: Case closed 1994-10-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (CA)

David Kaplan closed

United States Bankruptcy Court, N.D. Illinois · No. 94-00145 · Filed Jan 4, 1994 · Closed Oct 14, 1994

Role of David Kaplan: Debtor · Outcome: Case closed 1994-10-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in IL (not a filing state)

David M. Kaplan closed

United States Bankruptcy Court, D. New Hampshire · No. 92-12988 · Filed Sep 29, 1992 · Closed Jun 21, 1993

Role of David M. Kaplan: Debtor · Outcome: Case closed 1993-06-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in NH (not a filing state)

David Kaplan closed

United States Bankruptcy Court, D. New Jersey · No. 92-34600 · Filed Jul 20, 1992 · Closed Dec 11, 1992

Role of David Kaplan: Debtor · Outcome: Case closed 1992-12-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in NJ (not a filing state)

David R. Kaplan closed

United States Bankruptcy Court, D. Massachusetts · No. 91-41977 · Filed Jul 31, 1991 · Closed May 17, 1996

Role of David R. Kaplan: Debtor · Outcome: Case closed 1996-05-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 67 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (MA)

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, 2:19 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.

4. Differences between public sources

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

14 differences found between the filings for David Kaplan — 4 worth asking about (compared the newest 50 of 130 filings on Oct 24, 2026; older filings not covered)

Worth asking · Apr 8, 2004 – Jan 17, 2018

6 regulator actions name the subject or team members

Regulator action: David B. Kaplan, Esq. (Jan 17, 2018) · Regulator action: David B. Kaplan, Esq. (Jan 17, 2018) · Regulator action: Gilford Securities, Incorporated, Ralph Worthington, IV, David S. Kaplan, and Richard W. Granahan (Sep 30, 2011) · Regulator action: David Rivard; David Kaplan (Nov 2, 2004) · Regulator action: David Kaplan, CPA (Oct 27, 2004) · and 1 more

What this means A regulator filed or announced an action naming this person or company (or someone on the same filings). Read the release; ask the sponsor what it was and how it ended.

David B. Kaplan, Esq. ↗David B. Kaplan, Esq. ↗Gilford Securities, Incorporated, Ralph Worthington, IV, David S. Kaplan, and Richard W. Granahan ↗David Rivard; David Kaplan ↗

Sources

David B. Kaplan, Esq. ↗ (Jan 17, 2018)
David B. Kaplan, Esq. ↗ (Jan 17, 2018)
Gilford Securities, Incorporated, Ralph Worthington, IV, David S. Kaplan, and Richard W. Granahan ↗ (Sep 30, 2011)
David Rivard; David Kaplan ↗ (Nov 2, 2004)
David Kaplan, CPA ↗ (Oct 27, 2004)
Ira Zar, David Rivard, and David Kaplan ↗ (Apr 8, 2004)

Note · Jul 1, 1996 – Aug 12, 2011

6 bankruptcy cases name the subject or team members

Bankruptcy case: Jarrod Phillips and Kimberly Phillips — filed Jun 30, 2011 · Bankruptcy case: Jarrod D Phillips — filed Aug 5, 2010 · Bankruptcy case: BPM Wealth Management, LLC v. Belinsky — filed Jan 28, 2008 · Bankruptcy case: Gottlieb v. Guitar Center Stores Inc — filed Oct 15, 2002 · Bankruptcy case: Karl N Bracken and Corinne L Bracken — filed May 14, 1998 · and 1 more

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, C.D. California ↗Jarrod Phillips — PartnerFacts page ↗Docket · United States Bankruptcy Court, C.D. California ↗Docket · United States Bankruptcy Court, N.D. California ↗

Sources

Docket · United States Bankruptcy Court, C.D. California ↗ (Jun 30, 2011)
Jarrod Phillips — PartnerFacts page ↗
Docket · United States Bankruptcy Court, C.D. California ↗ (Aug 5, 2010)
Docket · United States Bankruptcy Court, N.D. California ↗ (Jan 28, 2008)
Russell Belinsky — PartnerFacts page ↗
Docket · United States Bankruptcy Court, C.D. California ↗ (Oct 15, 2002)
GUITAR CENTER, INC. — PartnerFacts page ↗ (Jun 8, 2020)
Docket · United States Bankruptcy Court, C.D. California ↗ (May 14, 1998)

Worth asking · Feb 25, 2019 – Oct 30, 2020

David Kaplan appears on 5 deals that stopped filing before reaching their target

ARES SCM CO-INVEST III, L.P. (last filing Oct 30, 2020; $0 sold of $15,000,000); ARES SCM CO-INVEST III HOLDINGS, LLC (last filing Oct 30, 2020; $0 sold of $15,000,000); ARES EPIC CO-INVEST II, L.P. (last filing Jul 23, 2020; $0 sold of $135,000,000); ARES PG CO-INVEST, L.P. (last filing Jul 18, 2019; $0 sold of $120,000,000); Ares EPIC Co-Invest Cayman Feeder A1, L.P. (last filing Feb 25, 2019; $0 sold of $350,000,000). Each has no filing in more than two years and reported under half its target sold.

What this means An issuer whose last filing is more than two years old and reported under half its target sold. The raise may have closed early or quietly stopped. Ask what happened to each.

ARES SCM CO-INVEST III, L.P. — PartnerFacts page ↗ARES SCM CO-INVEST III HOLDINGS, LLC — PartnerFacts page ↗ARES EPIC CO-INVEST II, L.P. — PartnerFacts page ↗ARES PG CO-INVEST, L.P. — PartnerFacts page ↗

Sources

ARES SCM CO-INVEST III, L.P. — PartnerFacts page ↗ (Oct 30, 2020)
ARES SCM CO-INVEST III HOLDINGS, LLC — PartnerFacts page ↗ (Oct 30, 2020)
ARES EPIC CO-INVEST II, L.P. — PartnerFacts page ↗ (Jul 23, 2020)
ARES PG CO-INVEST, L.P. — PartnerFacts page ↗ (Jul 18, 2019)
Ares EPIC Co-Invest Cayman Feeder A1, L.P. — PartnerFacts page ↗ (Feb 25, 2019)

Worth asking · May 26, 2020 – Jun 21, 2021

4 paid sellers are listed without a CRD number

Paid seller listed without a CRD number: Korea Investment & Securities Co., Ltd. — Ares Corporate Opportunities Fund VI, L.P. · Paid seller listed without a CRD number: Mirae Asset Daewoo Co., Ltd. — Ares Corporate Opportunities Fund VI, L.P. · Paid seller listed without a CRD number: Pitcon S.A. — Ares Corporate Opportunities Fund VI, L.P. · Paid seller listed without a CRD number: Korea Investment and Securities Co., Ltd. — ARES SPECIAL OPPORTUNITIES FUND, L.P.

What this means Without a CRD number we cannot look a seller up on BrokerCheck. Ask who they are and whether they are registered.

Form D/A · Jun 21, 2021 ↗BrokerCheck search: Korea Investment & Securities Co., Ltd. ↗Ares Corporate Opportunities Fund VI, L.P. — PartnerFacts page ↗BrokerCheck search: Mirae Asset Daewoo Co., Ltd. ↗

Sources

Worth asking · Jan 31, 2020 – Oct 15, 2026

8 Form Ds were filed more than 15 days after the first sale

Form D filed 260 days after the first sale — Gin & Luck Inc. · Form D filed 53 days after the first sale — Gin & Luck Inc. · Form D filed 31 days after the first sale — Berkeley Research Group Holdings, LLC · Form D filed 24 days after the first sale — GUITAR CENTER, INC. · Form D filed 24 days after the first sale — GUITAR CENTER, INC. · and 3 more

What this means Late notices are common and carry no penalty by themselves. A pattern of late paperwork is worth asking the sponsor about.

Form D · Oct 15, 2026 ↗Gin & Luck Inc. — PartnerFacts page ↗Form D · Jun 11, 2024 ↗Form D · Jul 2, 2020 ↗

Sources

Form D · Oct 15, 2026 ↗ (Oct 15, 2026)
Gin & Luck Inc. — PartnerFacts page ↗ (Oct 20, 2026)
Form D · Jun 11, 2024 ↗ (Jun 11, 2024)
Form D · Jul 2, 2020 ↗ (Jul 2, 2020)
Berkeley Research Group Holdings, LLC — PartnerFacts page ↗ (Jul 2, 2020)
Form D · Jun 8, 2020 ↗ (Jun 8, 2020)
GUITAR CENTER, INC. — PartnerFacts page ↗ (Jun 8, 2020)
Form D · Jun 8, 2020 ↗ (Jun 8, 2020)

Note · Aug 31, 2018 – Sep 24, 2025

16 offerings have no amendment in the last 12 months and may still be open

No amendment in the last 12 months on an offering that may still be open — Kodiak AI, Inc. (latest filing Sep 24, 2025) · No amendment in the last 12 months on an offering that may still be open — X-Energy Management, LLC (latest filing Jul 1, 2025) · No amendment in the last 12 months on an offering that may still be open — Kodiak AI, Inc. (latest filing Apr 29, 2025) · No amendment in the last 12 months on an offering that may still be open — Gin & Luck Inc. (latest filing Jun 11, 2024) · No amendment in the last 12 months on an offering that may still be open — Gin & Luck Inc. (latest filing Aug 2, 2022) · and 11 more

What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.

Form D · Sep 24, 2025 ↗Kodiak AI, Inc. — PartnerFacts page ↗Form D · Jul 1, 2025 ↗X-Energy Management, LLC — PartnerFacts page ↗

Sources

Form D · Sep 24, 2025 ↗ (Sep 24, 2025)
Kodiak AI, Inc. — PartnerFacts page ↗ (Jan 5, 2026)
Form D · Jul 1, 2025 ↗ (Jul 1, 2025)
X-Energy Management, LLC — PartnerFacts page ↗ (Jul 1, 2025)
Form D · Apr 29, 2025 ↗ (Apr 29, 2025)
Form D · Jun 11, 2024 ↗ (Jun 11, 2024)
Gin & Luck Inc. — PartnerFacts page ↗ (Oct 20, 2026)
Form D · Aug 2, 2022 ↗ (Aug 2, 2022)

Note · Aug 2, 2022 – Jun 11, 2024

David Kaplan's role changed at Gin & Luck Inc.: executive officer, director, promoter → executive officer, director

The Aug 2, 2022 filing lists David Kaplan as executive officer, director, promoter; the Jun 11, 2024 Form D lists executive officer, director.

What this means Roles on Form D are self-reported by the issuer. A change can mean a real change in who runs the company, or just a different box ticked. Ask who makes decisions today.

Form D · Aug 2, 2022 ↗Form D · Jun 11, 2024 ↗David Kaplan — PartnerFacts page ↗Gin & Luck Inc. — PartnerFacts page ↗

Sources

Form D · Aug 2, 2022 ↗ (Aug 2, 2022)
Form D · Jun 11, 2024 ↗ (Jun 11, 2024)
David Kaplan — PartnerFacts page ↗
Gin & Luck Inc. — PartnerFacts page ↗ (Oct 20, 2026)

Note · Aug 30, 2018 – May 26, 2020

5 offerings changed their target amount between filings

Offering amount changed between filings — ARES SPECIAL OPPORTUNITIES FUND, L.P. · Offering amount changed between filings — Ares SCM Co-Invest Delaware Feeder, L.P. · Offering amount changed between filings — Ares SCM Co-Invest, L.P. · Offering amount changed between filings — AEOF C2 DELAWARE FEEDER, L.P. · Offering amount changed between filings — Ares Energy Opportunities Fund A, L.P.

What this means Targets change as deals grow or shrink. Ask whether later money has the same terms.

Form D (earlier) · Jun 18, 2019 ↗Form D/A (later) · May 26, 2020 ↗ARES SPECIAL OPPORTUNITIES FUND, L.P. — PartnerFacts page ↗Form D (earlier) · Aug 30, 2018 ↗

Sources

Form D (earlier) · Jun 18, 2019 ↗ (Jun 18, 2019)
Form D/A (later) · May 26, 2020 ↗ (May 26, 2020)
ARES SPECIAL OPPORTUNITIES FUND, L.P. — PartnerFacts page ↗ (May 26, 2020)
Form D (earlier) · Aug 30, 2018 ↗ (Aug 30, 2018)
Form D/A (later) · Aug 28, 2019 ↗ (Aug 28, 2019)
Ares SCM Co-Invest Delaware Feeder, L.P. — PartnerFacts page ↗ (Aug 28, 2019)
Form D (earlier) · Aug 30, 2018 ↗ (Aug 30, 2018)
Form D/A (later) · Aug 28, 2019 ↗ (Aug 28, 2019)

Note · Aug 30, 2018 – Apr 29, 2025

David Kaplan is written 2 different ways on the filings

listed as "David Kaplan" on 53 filings (from Aug 30, 2018), and "David B. Kaplan" on 2 filings (from Apr 29, 2025).

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 · Aug 30, 2018 ↗Form D · Apr 29, 2025 ↗David Kaplan — PartnerFacts page ↗

Sources

Note · Dec 14, 2021 – Apr 23, 2025

Same name, different state: "David Kaplan" (MA) is a separate record

This page covers filings where the address state is CA or MA or WA or DC or NY or WY or MD or DE. A separate record, "David Kaplan" with address state MA, is listed on 7 filings — most recently by SKK-Global Partners Property Fund II, L.P. (Apr 23, 2025). Both records have filings in the same period (Dec 14, 2021 to Apr 23, 2025).

What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.

David Kaplan (MA) — PartnerFacts page ↗Form D · Apr 23, 2025 ↗SKK-Global Partners Property Fund II, L.P. — PartnerFacts page ↗David Kaplan (CA,MA,WA,DC,NY,WY,MD,DE) — this page ↗

Sources

David Kaplan (MA) — PartnerFacts page ↗ (Apr 23, 2025)
Form D · Apr 23, 2025 ↗ (Apr 23, 2025)
SKK-Global Partners Property Fund II, L.P. — PartnerFacts page ↗ (Apr 23, 2025)
David Kaplan (CA,MA,WA,DC,NY,WY,MD,DE) — this page ↗ (Oct 15, 2026)

Note · Nov 8, 2012

Same name, different state: "David Kaplan" (A1) is a separate record

This page covers filings where the address state is CA or MA or WA or DC or NY or WY or MD or DE. A separate record, "David Kaplan" with address state A1, is listed on 1 filing — most recently by Coronet Metals Inc. (Nov 8, 2012). Both records have filings in the same period (Nov 8, 2012).

David Kaplan (A1) — PartnerFacts page ↗Form D · Nov 8, 2012 ↗Coronet Metals Inc. — PartnerFacts page ↗David Kaplan (CA,MA,WA,DC,NY,WY,MD,DE) — this page ↗

Sources

David Kaplan (A1) — PartnerFacts page ↗ (Nov 8, 2012)
Form D · Nov 8, 2012 ↗ (Nov 8, 2012)
Coronet Metals Inc. — PartnerFacts page ↗ (Nov 8, 2012)
David Kaplan (CA,MA,WA,DC,NY,WY,MD,DE) — this page ↗ (Oct 15, 2026)

Note · Aug 17, 2010 – May 6, 2011

Same name, different state: "DAVID BRIAN KAPLAN" (A1) is a separate record

This page covers filings where the address state is CA or MA or WA or DC or NY or WY or MD or DE. A separate record, "DAVID BRIAN KAPLAN" with address state A1, is listed on 6 filings — most recently by IBERIAN RESOURCES CORP (May 6, 2011). Both records have filings in the same period (Dec 7, 2010 to May 6, 2011).

DAVID BRIAN KAPLAN (A1) — PartnerFacts page ↗Form D/A · May 6, 2011 ↗IBERIAN RESOURCES CORP — PartnerFacts page ↗David Kaplan (CA,MA,WA,DC,NY,WY,MD,DE) — this page ↗

Sources

DAVID BRIAN KAPLAN (A1) — PartnerFacts page ↗ (May 6, 2011)
Form D/A · May 6, 2011 ↗ (May 6, 2011)
IBERIAN RESOURCES CORP — PartnerFacts page ↗ (May 6, 2011)
David Kaplan (CA,MA,WA,DC,NY,WY,MD,DE) — this page ↗ (Oct 15, 2026)

Note · Oct 15, 2026 – Oct 20, 2026

Address moved from Los Angeles, CA to Wilmington, DE — Gin & Luck Inc.

The people listed on the Oct 15, 2026 filing give Los Angeles, CA; on the Oct 20, 2026 filing they give Wilmington, DE.

What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.

Form D · Oct 15, 2026 ↗Form D/A · Oct 20, 2026 ↗Gin & Luck Inc. — PartnerFacts page ↗

Sources

Form D · Oct 15, 2026 ↗ (Oct 15, 2026)
Form D/A · Oct 20, 2026 ↗ (Oct 20, 2026)
Gin & Luck Inc. — PartnerFacts page ↗ (Oct 20, 2026)

Note · Aug 30, 2018 – Oct 20, 2026

David Kaplan is listed with 4 different address states: CA, NY, MD, DE

CA on 46 filings (Aug 30, 2018 to Oct 15, 2026); NY on 7 filings (Feb 19, 2019 to Sep 24, 2025); MD on 1 filing (Jul 1, 2025); DE on 1 filing (Oct 20, 2026).

What this means The address on a Form D is usually the company's, not the person's home, so this often just reflects different companies. It can also mean a move. Nothing wrong by itself.

Form D · Aug 30, 2018 ↗Form D · Feb 19, 2019 ↗Form D · Jul 1, 2025 ↗Form D/A · Oct 20, 2026 ↗

Sources

Form D · Aug 30, 2018 ↗ (Aug 30, 2018)
Form D · Feb 19, 2019 ↗ (Feb 19, 2019)
Form D · Jul 1, 2025 ↗ (Jul 1, 2025)
Form D/A · Oct 20, 2026 ↗ (Oct 20, 2026)

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. We compared the newest 50 of 130 filings (work cap); older filings are not covered here. As of Oct 24, 2026.

5. Money to insiders

11 of 107 offerings report sales commissions totalling $23,646,709; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)

Offering (latest filing)	Sales commissions	Finder's fees	To insiders	Paid to sell it	Source
Oct 20, 2026 D/A Gin & Luck Inc. File 021-601305	$0	$0	$0	None listed on this filing	EDGAR ↗
Sep 24, 2025 D Kodiak AI, Inc. File 021-558459	$5,800,000 (est.)	$0	$0	J.P. Morgan Securities LLC BrokerCheck CRD 79 ↗ Citigroup Global Markets Inc. BrokerCheck CRD 7059 ↗	EDGAR ↗
Jul 1, 2025 D X-Energy Management, LLC File 021-550462	$0	$0	$0	None listed on this filing	EDGAR ↗
Apr 29, 2025 D Kodiak AI, Inc. File 021-544770	$4,000,000 (est.)	$0	$0	J.P. Morgan Securities LLC BrokerCheck CRD 79 ↗ Citigroup Global Markets Inc. BrokerCheck CRD 7059 ↗	EDGAR ↗
Jun 11, 2024 D Gin & Luck Inc. File 021-515713	$0	$0	$0	None listed on this filing	EDGAR ↗
Aug 2, 2022 D Gin & Luck Inc. File 021-454501	$22,146 (est.)	$0	$0	SI Securities, LLC BrokerCheck CRD 170937 ↗ via 135 Madison Avenue (CRD 5 ↗)	EDGAR ↗
Apr 4, 2022 D/A Ares CLO Funding III LP File 021-381955	$0 (est.)	$0 (est.)	$0	Ares Management Capital Markets LLC BrokerCheck CRD 166219 ↗ Goldman Sachs & Co. LLC BrokerCheck CRD 361 ↗	EDGAR ↗
Aug 5, 2021 D Ares RLG Co-Invest Holdings, L.P. File 021-409016	$0	$0	$0	ARES INVESTOR SERVICES LLC BrokerCheck CRD 166219 ↗	EDGAR ↗
Jun 21, 2021 D/A Ares Corporate Opportunities Fund VI, L.P. File 021-367987	$0 (est.)	$0 (est.)	$0 (est.) The General Partner, the Manager, or an affiliate of the Manager will receive a fee for management services.	Ares Investor Services LLC BrokerCheck CRD 166219 ↗ iCapital Advisors, LLC BrokerCheck CRD 177513 ↗ Raymond James & Associates, Inc. BrokerCheck CRD 705 ↗ via Raymond James Financial Services, Inc. (CRD 6694 ↗) Korea Investment & Securities Co., Ltd. no CRD number reported Mirae Asset Daewoo Co., Ltd. no CRD number reported Pitcon S.A. no CRD number reported via Pitcon Administradora General de Fondos S.A. J.P. Morgan Securities LLC BrokerCheck CRD 79 ↗ Citi Private Advisory, LLC BrokerCheck CRD 153777 ↗	EDGAR ↗
Apr 16, 2021 D Ares EHP Co-Invest Holdings, L.P. File 021-396177	$0	$0	$0	Ares Investor Services LLC BrokerCheck CRD 166219 ↗	EDGAR ↗
Mar 29, 2021 D Ares VAL Co-Invest Holdings I, L.P. File 021-393871	$0	$0	$0	Ares Investor Services LLC BrokerCheck CRD 166219 ↗	EDGAR ↗
Jan 5, 2021 D NUMBER HOLDINGS, INC. File 021-385308	$2,129,440	$0	$0	Jefferies LLC BrokerCheck CRD 2347 ↗	EDGAR ↗
Dec 18, 2020 D ACOF VI (Ind) Feeder, L.P. File 021-383753	$0 (est.)	$0 (est.)	$0 (est.) The General Partner, the Manager, or an affiliate of the Manager will receive a fee for management services.	ARES INVESTOR SERVICES LLC BrokerCheck CRD 166219 ↗ CITI PRIVATE ADVISORY, LLC BrokerCheck CRD 153777 ↗ J.P. MORGAN SECURITIES LLC BrokerCheck CRD 79 ↗	EDGAR ↗
Oct 30, 2020 D ARES SCM CO-INVEST III, L.P. File 021-379396	$0 (est.)	$0 (est.)	$0 (est.)	ARES INVESTOR SERVICES LLC BrokerCheck CRD 166219 ↗	EDGAR ↗
Oct 30, 2020 D ARES SCM CO-INVEST III HOLDINGS, LLC File 021-379395	$0 (est.)	$0 (est.)	$0 (est.)	ARES INVESTOR SERVICES LLC BrokerCheck CRD 166219 ↗	EDGAR ↗
Oct 13, 2020 D ARES RF CO-INVEST, L.P. File 021-377685	$0	$0	$0	ARES INVESTOR SERVICES LLC BrokerCheck CRD 166219 ↗	EDGAR ↗
Jul 23, 2020 D ARES EPIC CO-INVEST II, L.P. File 021-371715	$0	$0	$0	ARES INVESTOR SERVICES LLC BrokerCheck CRD 166219 ↗	EDGAR ↗
Jul 2, 2020 D Berkeley Research Group Holdings, LLC File 021-370150	$0	$0	$0 (est.)	None listed on this filing	EDGAR ↗
Jun 16, 2020 D NUMBER HOLDINGS, INC. File 021-369022	$0	$0	$0	None listed on this filing	EDGAR ↗
Jun 8, 2020 D GUITAR CENTER, INC. File 021-368451	$0	$0	$0	None listed on this filing	EDGAR ↗
Jun 8, 2020 D GUITAR CENTER, INC. File 021-368453	$0	$0	$0	None listed on this filing	EDGAR ↗
Jun 8, 2020 D Ares Private Opportunities 2020 (C), LP File 021-368446	$0	$0	$0 (est.) The General Partner, the Manager, or an affiliate of the Manager will receive a fee for management services.	None listed on this filing	EDGAR ↗
Jun 4, 2020 D GUITAR CENTER, INC. File 021-368434	$0	$0	$0	None listed on this filing	EDGAR ↗
May 26, 2020 D/A ARES SPECIAL OPPORTUNITIES FUND, L.P. File 021-342245	$0 (est.)	$0 (est.)	$0 (est.) The General Partner, the Manager, or an affiliate of the Manager will receive a fee for management services.	Ares Investor Services LLC BrokerCheck CRD 166219 ↗ Goldman Sachs & Co. LLC BrokerCheck CRD 361 ↗ Morgan Stanley Smith Barney LLC BrokerCheck CRD 149777 ↗ Korea Investment and Securities Co., Ltd. no CRD number reported Deutsche Bank Securities Inc. BrokerCheck CRD 2525 ↗	EDGAR ↗
May 4, 2020 D Berkeley Research Group Holdings, LLC File 021-366198	$0	$0	$0	None listed on this filing	EDGAR ↗
Feb 28, 2020 D Chimney Tops Loan Fund, LLC File 021-361608	$0	$0	$0 The Issuer's Manager or an affiliate will receive a management fee payable by the Issuer generally equal to a percentage of invested capital.	None listed on this filing	EDGAR ↗
Feb 20, 2020 D Berkeley Research Group Holdings, LLC File 021-361051	$0	$0	$0	None listed on this filing	EDGAR ↗
Jan 2, 2020 D NUMBER HOLDINGS, INC. File 021-356985	$0	$0	$0	None listed on this filing	EDGAR ↗
Dec 3, 2019 D Ares PA Opportunities Fund, L.P. File 021-354659	$0	$0	$0	None listed on this filing	EDGAR ↗
Oct 18, 2019 D ARES SCM CO-INVEST II, L.P. File 021-351409	$0	$0	$0	ARES INVESTOR SERVICES LLC BrokerCheck CRD 166219 ↗	EDGAR ↗
Oct 18, 2019 D ARES SCM CO-INVEST HOLDINGS (F), LLC File 021-351408	$0	$0	$0	ARES INVESTOR SERVICES LLC BrokerCheck CRD 166219 ↗	EDGAR ↗
Aug 28, 2019 D/A Ares SCM Co-Invest Cayman Feeder (G), L.P. File 021-320440	$0	$0	$0	Ares Investor Services LLC BrokerCheck CRD 166219 ↗	EDGAR ↗
Aug 28, 2019 D/A Ares SCM Co-Invest Cayman Feeder (J), L.P. File 021-320436	$0	$0	$0	Ares Investor Services LLC BrokerCheck CRD 166219 ↗	EDGAR ↗
Aug 28, 2019 D/A Ares SCM Co-Invest, L.P. File 021-320434	$0	$0	$0	Ares Investor Services LLC BrokerCheck CRD 166219 ↗	EDGAR ↗
Aug 28, 2019 D/A Ares SCM Co-Invest Delaware Feeder, L.P. File 021-320430	$0	$0	$0	Ares Investor Services LLC BrokerCheck CRD 166219 ↗	EDGAR ↗
Aug 23, 2019 D ARES PE EXTENDED VALUE FUND LP File 021-347273	$0 (est.)	$0 (est.)	$0 (est.) The General Partner, the Manager, or an affiliate of the Manager will receive a fee for management services.	LAZARD FRERES & CO. LLC BrokerCheck CRD 2528 ↗ PARK HILL GROUP LLC BrokerCheck CRD 135898 ↗	EDGAR ↗
Aug 13, 2019 D/A Ares Energy Opportunities Fund A, L.P. File 021-325790	$0 (est.)	$0 (est.)	$0 (est.) The Issuers' Manager or an affiliate will receive a management fee payable by the Issuers generally equal to a percentage of committed capital.	Ares Investor Services LLC BrokerCheck CRD 166219 ↗ Morgan Stanley Smith Barney, LLC BrokerCheck CRD 149777 ↗	EDGAR ↗
Aug 13, 2019 D/A AEOF C2 DELAWARE FEEDER, L.P. File 021-344743	$0 (est.)	$0 (est.)	$0 (est.) The Issuer's Manager or an affiliate will receive a management fee payable by the Issuer generally equal to a percentage of committed capital.	ARES INVESTOR SERVICES LLC BrokerCheck CRD 166219 ↗ Morgan Stanley Smith Barney, LLC BrokerCheck CRD 149777 ↗	EDGAR ↗
Jul 30, 2019 D NUMBER HOLDINGS, INC. File 021-345419	$1,500,000 (est.)	$0	$0	RBC Capital Markets, LLC BrokerCheck CRD 31194 ↗	EDGAR ↗
Jul 18, 2019 D ARES PG CO-INVEST, L.P. File 021-344644	$0	$0	$0	ARES INVESTOR SERVICES LLC BrokerCheck CRD 166219 ↗	EDGAR ↗
Apr 30, 2019 D Apollo Program II, Inc. File 021-338480	$0	$0	$0	None listed on this filing	EDGAR ↗
Apr 2, 2019 D Apollo Program II, Inc. File 021-336213	$0	$0	$0	None listed on this filing	EDGAR ↗
Feb 25, 2019 D Ares EPIC Co-Invest Cayman Feeder A1, L.P. File 021-333506	$0	$0	$0	ARES INVESTOR SERVICES LLC BrokerCheck CRD 166219 ↗	EDGAR ↗
Feb 19, 2019 D Apollo Program II, Inc. File 021-333109	$0	$0	$0	None listed on this filing	EDGAR ↗
Dec 13, 2018 D Ares EPIC Co-Invest Delaware Feeder, L.P. File 021-327922	$0	$0	$0	Ares Investor Services LLC BrokerCheck CRD 166219 ↗	EDGAR ↗
Dec 13, 2018 D Ares EPIC Co-Invest, L.P. File 021-327921	$0	$0	$0	Ares Investor Services LLC BrokerCheck CRD 166219 ↗	EDGAR ↗
Dec 7, 2018 D Brandcast, Inc. File 021-327406	$0	$0	$0	None listed on this filing	EDGAR ↗
Dec 7, 2018 D Brandcast, Inc. File 021-327407	$0	$0	$0	None listed on this filing	EDGAR ↗
Dec 7, 2018 D Brandcast, Inc. File 021-327408	$0	$0	$0	None listed on this filing	EDGAR ↗
Dec 7, 2018 D Brandcast, Inc. File 021-327409	$0	$0	$0	None listed on this filing	EDGAR ↗
Nov 14, 2018 D AEOF Co-Invest, L.P. File 021-325792	$0	$0	$0 (est.)	Ares Investor Services LLC BrokerCheck CRD 166219 ↗	EDGAR ↗
Nov 13, 2018 D Gin & Luck Inc. File 021-325538	$77,848	$0	$0	SI Securities, LLC BrokerCheck CRD 170937 ↗	EDGAR ↗
Oct 19, 2018 D/A Berkeley Research Group Holdings, LLC File 021-323573	$0	$0	$0 (est.)	None listed on this filing	EDGAR ↗
Sep 21, 2018 D/A AF V APR Co-Invest, L.P. File 021-310216	$0	$0	$0	Ares Investor Services LLC BrokerCheck CRD 166219 ↗	EDGAR ↗
Sep 19, 2018 D AF V APR Co-Invest Cayman Feeder (J), L.P. File 021-321772	$0	$0	$0	Ares Investor Services LLC BrokerCheck CRD 166219 ↗	EDGAR ↗
Jul 12, 2018 D Berkeley Research Group Holdings, LLC File 021-316704	$0	$0	$0 (est.)	None listed on this filing	EDGAR ↗
Apr 17, 2018 D Berkeley Research Group Holdings, LLC File 021-310301	$0	$0	$0 (est.)	None listed on this filing	EDGAR ↗
Apr 16, 2018 D AF V (A), L.P. File 021-310215	$0	$0	$0	Ares Investor Services LLC BrokerCheck CRD 166219 ↗	EDGAR ↗
Apr 5, 2018 D Patent Research Foundation, Inc. File 021-309380	$0	$0	$0	None listed on this filing	EDGAR ↗
Dec 14, 2017 D 99 CENTS ONLY STORES LLC File 021-300801	$2,101,650 (est.)	$0	$0 N/A - no proceeds will be received	Deutsche Bank Securities Inc. BrokerCheck CRD 2525 ↗ Guggenheim Securities, LLC BrokerCheck CRD 40638 ↗	EDGAR ↗
Oct 30, 2017 D/A Berkeley Research Group Holdings, LLC File 021-286519	$0	$0	$0	None listed on this filing	EDGAR ↗
Oct 3, 2017 D ACOF V Master Co-Invest, L.P. File 021-295895	$0	$0	$0	Ares Investor Services LLC BrokerCheck CRD 166219 ↗	EDGAR ↗
Oct 3, 2017 D ACOF V Master Co-Invest (Offshore), L.P. File 021-295903	$0	$0	$0	Ares Investor Services LLC BrokerCheck CRD 166219 ↗	EDGAR ↗
Apr 18, 2017 D Berkeley Research Group Holdings, LLC File 021-284989	$0	$0	$0 (est.)	None listed on this filing	EDGAR ↗
Feb 22, 2017 D Berkeley Research Group Holdings, LLC File 021-281126	$0	$0	$0 (est.)	None listed on this filing	EDGAR ↗
Jan 13, 2017 D Berkeley Research Group Holdings, LLC File 021-278420	$0	$0	$0 (est.)	None listed on this filing	EDGAR ↗
Jan 11, 2017 D Berkeley Research Group Holdings, LLC File 021-278152	$0	$0	$0	None listed on this filing	EDGAR ↗
Dec 7, 2016 D Berkeley Research Group LLC File 021-275817	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Nov 22, 2016 D/A ARES ENERGY INVESTORS FEEDER FUND V, L.P. File 021-250606	$9,375 (est.)	$0	$0 (est.) Certain persons named in Item 3 or affiliate(s)thereof may receive payments deemed to be made from the proceeds of the offering, including management fees. The amounts of such payments cannot be estimated at this time.	None no CRD number reported via Ares Investor Services LLC (CRD 166219 ↗) None no CRD number reported via GI Capital Management Limited None no CRD number reported via Eugene Investment & Securities Co., Ltd None no CRD number reported via Global Alternative Investment Services, Inc. (CRD 487 ↗) None no CRD number reported via Wells Fargo Advisors, LLC (CRD 19616 ↗) None no CRD number reported via ISP Financial Services Ltd. None no CRD number reported via JB Asset Management None no CRD number reported via Atlantic-Pacific Capital, Inc. (CRD 38356 ↗)	EDGAR ↗
Nov 22, 2016 D/A ARES ENERGY INVESTORS FUND V, L.P. File 021-250608	$0 (est.)	$0	$0 (est.) Certain persons named in Item 3 or affiliate(s)thereof may receive payments deemed to be made from the proceeds of the offering, including management fees. The amounts of such payments cannot be estimated at this time.	None no CRD number reported via Ares Investor Services LLC (CRD 166219 ↗) None no CRD number reported via Atlantic-Pacific Capital, Inc. (CRD 38356 ↗) None no CRD number reported via Global Alternative Investment Services, Inc. (CRD 487 ↗) None no CRD number reported via Wells Fargo Advisors, LLC (CRD 19616 ↗)	EDGAR ↗
Oct 11, 2016 D Berkeley Research Group LLC File 021-272185	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Jul 12, 2016 D Berkeley Research Group LLC File 021-266789	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Apr 25, 2016 D/A Ares Corporate Opportunities Fund V, L.P. File 021-253672	$0 (est.)	$0 (est.)	$0 (est.) The Issuer's manager or one of its affiliates will receive a management fee payable by the Issuer generally equal to a percentage of the aggregate subscriptions of the limited partners of the Issuer.	Ares Investor Services LLC BrokerCheck CRD 166219 ↗ Korea Investment & Securities Co., Ltd no CRD number reported Eugene Investment & Securities Co., Ltd no CRD number reported	EDGAR ↗
Apr 14, 2016 D Berkeley Research Group LLC File 021-261351	$0	$0	$0 (est.)	None listed on this filing	EDGAR ↗
Dec 23, 2015 D All the Little Owls LLC File 021-253771	$0	$0	$0	None listed on this filing	EDGAR ↗
Jun 2, 2015 D Berkeley Research Group LLC File 021-240911	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Apr 2, 2015 D Berkeley Research Group LLC File 021-237157	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Feb 2, 2015 D Ares Real Estate Holdings LLC File 021-233312	$6,250	$0	$0	Iroquois Capital Advisors, LLC BrokerCheck CRD 145235 ↗	EDGAR ↗
Jan 9, 2015 D Berkeley Research Group LLC File 021-231862	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Jul 10, 2014 D Nextility, Inc. File 021-220766	$0	$0	$0	None listed on this filing	EDGAR ↗
Jun 3, 2014 D 151 Proprietors LLC File 021-218455	$0	$0	$0	None listed on this filing	EDGAR ↗
Mar 3, 2014 D Nite Kap, LLC File 021-212775	$0	$0	$0	None listed on this filing	EDGAR ↗
Dec 4, 2013 D Lascaux Resource Capital Offshore Fund I, L.P. File 021-207385	$2,000,000 (est.)	$0	$0 (est.) Certain persons named in Item 3 or affiliate(s) thereof may receive payments deemed to be made from the proceeds of the offering, including management fees. The amount of such payments cannot be estimated at this time.	N/A no CRD number reported via North Creek Butler (CRD 114242 ↗)	EDGAR ↗
Aug 29, 2013 D/A Lascaux Resource Capital Fund I L.P. File 021-196396	$6,000,000 (est.)	$0	$0 (est.) Certain persons named in Item 3 or affiliate(s) thereof may receive payments deemed to be made from the proceeds of the offering, including management fees. The amount of such payments cannot be estimated at this time.	N/A no CRD number reported via North Creek Butler (CRD 114242 ↗)	EDGAR ↗
Jul 10, 2013 D Ares Employee Participation VII, LLC File 021-199332	$0	$0	$0	None listed on this filing	EDGAR ↗
Jul 10, 2013 D Ares Employee Participation VIII, LLC File 021-199337	$0	$0	$0	None listed on this filing	EDGAR ↗
Jul 10, 2013 D Ares Employee Particiation VII (UK), L.P. File 021-199339	$0	$0	$0	None listed on this filing	EDGAR ↗
Apr 22, 2013 D 1Energy Systems, Inc. File 021-195355	$0	$0	$0	None listed on this filing	EDGAR ↗
Apr 11, 2013 D ACOF Asia Co-Invest, L.P. File 021-194846	$0	$0	$0	None listed on this filing	EDGAR ↗
Apr 11, 2013 D ACOF Asia Co-Invest (HK), L.P. File 021-194847	$0	$0	$0	None listed on this filing	EDGAR ↗
Jan 3, 2013 D ACOF IV Master Co-Invest Program (EU), L.P. File 021-189383	$0	$0	$0	None listed on this filing	EDGAR ↗
Jan 3, 2013 D ACOF IV Master Co-Invest Program, LLC File 021-189379	$0	$0	$0	None listed on this filing	EDGAR ↗
Jan 2, 2013 D HC 819 LLC File 021-189228	$0	$0	$0	None listed on this filing	EDGAR ↗
Dec 28, 2012 D Nite Kap, LLC File 021-189070	$0	$0	$0	None listed on this filing	EDGAR ↗
Nov 30, 2012 D SF CC Holdings, Inc. File 021-187711	$0	$0	$0	None listed on this filing	EDGAR ↗
Sep 14, 2012 D Ares Employee Participation V, LLC File 021-184173	$0	$0	$0	None listed on this filing	EDGAR ↗
Sep 14, 2012 D Ares Employee Participation IV, LLC File 021-184187	$0	$0	$0	None listed on this filing	EDGAR ↗
Sep 14, 2012 D Ares Employee Participation III, LLC File 021-184169	$0	$0	$0	None listed on this filing	EDGAR ↗
Aug 24, 2012 D/A Ares Corporate Opportunities Fund IV, L.P. File 021-177503	$0 (est.)	$0	$0 (est.) The Issuer's manager or one of its affiliates will receive a management fee payable by the Issuer generally equal to a percentage of the aggregate subscriptions of the limited partners of the Issuer.	AE Holding Group, Ltd. no CRD number reported	EDGAR ↗
Jul 2, 2012 D Nextility, Inc. File 021-180584	$0	$0	$0	None listed on this filing	EDGAR ↗
Jun 26, 2012 D/A Ares Corporate Opportunities Fund Asia, L.P. File 021-144135	$0	$0	$0 (est.) The Issuer's fund manager will receive a fee for management services payable quarterly in advance as specified in the Issuer's partnership agreement.	None listed on this filing	EDGAR ↗
Jan 6, 2011 D Swarmology, Inc. File 021-153158	$0	$0	$0	None listed on this filing	EDGAR ↗
Dec 7, 2010 D FDO Holdings, Inc. File 021-151493	$0	$0	$0	None listed on this filing	EDGAR ↗
Jun 18, 2010 D IncFlow Corp File 021-143737	$0	$0	$0	None listed on this filing	EDGAR ↗
Oct 6, 2009 D Stream Global Services, Inc. File 021-121643	$0	$0	$0	None listed on this filing	EDGAR ↗
Sep 22, 2009 D AOS 2009 Co-Invest, LLC File 021-134605	$0	$0	$0 (est.) The Issuer will pay or will reimburse the Manager for all costs and expenses arising in connection with the organization and operations of the Issuer.	None listed on this filing	EDGAR ↗
Sep 22, 2009 D ACOF III Master Co-Invest Program, LLC File 021-134606	$0	$0	$0 (est.) The Issuer will pay or will reimburse the Manager for all costs and expenses arising in connection with the organization and operations of the Issuer.	None listed on this filing	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 75

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

Restaurants

Gin & Luck Inc.

Wilmington, DE · Nov 13, 2018 → Oct 20, 2026 · 5 filings

Oct 20, 2026 · D/A · $1,987,547 sold of $4,000,000 · 40 investors · min. $15,000 · role: Executive Officer, Director EDGAR ↗
Oct 15, 2026 · D · $1,987,547 sold of $4,000,000 · 40 investors · min. $15,000 · role: Executive Officer, Director EDGAR ↗
Jun 11, 2024 · D · $229,225 sold of $2,000,000 · 24 investors · min. $1,002 · role: Executive Officer, Director EDGAR ↗
Aug 2, 2022 · D · $151,722 sold of $1,000,000 · 2 investors · min. $200 · role: Executive Officer, Director, Promoter EDGAR ↗
Nov 13, 2018 · D · $2,195,500 sold of $3,000,000 · 458 investors · min. $199 · role: Executive Officer, Director, Promoter EDGAR ↗

Raised $2.2M from 458 investors (55% of the $4M target) as of the latest filing. David is listed as executive officer, director, promoter on 5 filings for this deal.

Source	Filed	Form	Issuer	Amount offered (as reported)	Amount sold (as reported)	Matched on
EDGAR ↗	Apr 30, 2026 File 020-24525	Regulation Crowdfunding annual report (Form C-AR) Annual report filed	Gin & Luck Inc. WILMINGTON, DE	Not reported	Not reported on this form	signer name on this filing (David Kaplan) + listed as a related person on Form D filings of the same issuer (CIK 1748169) · 85%
EDGAR ↗	Apr 30, 2025 File 020-24525	Regulation Crowdfunding annual report (Form C-AR) Annual report filed	Gin & Luck Inc. LOS ANGELES, CA	Not reported	Not reported on this form	signer name on this filing (David Kaplan) + listed as a related person on Form D filings of the same issuer (CIK 1748169) · 85%
EDGAR ↗	Oct 22, 2024 File 020-34468	Regulation Crowdfunding progress update (Form C-U) Progress update filed · deadline Oct 16, 2024	Gin & Luck Inc. LOS ANGELES, CA	$10,001 target · $858,359 maximum via DEALMAKER SECURITIES LLC (CRD 315324 · FINRA funding portals ↗)	Not reported on this form	signer name on this filing (David Kaplan) + listed as a related person on Form D filings of the same issuer (CIK 1748169) · 85%
EDGAR ↗	Jul 18, 2024 File 020-34468	Regulation Crowdfunding offering (Form C) Offering filed · deadline Oct 16, 2024	Gin & Luck Inc. LOS ANGELES, CA	$10,001 target · $858,359 maximum via DEALMAKER SECURITIES LLC (CRD 315324 · FINRA funding portals ↗)	Not reported on this form	signer name on this filing (David Kaplan) + listed as a related person on Form D filings of the same issuer (CIK 1748169) · 85%
EDGAR ↗	Jun 6, 2024 File 020-33941	Regulation Crowdfunding progress update (Form C-U) Progress update filed · deadline Aug 5, 2024	Gin & Luck Inc. LOS ANGELES, CA	$10,001 target · $2,069,998 maximum via DEALMAKER SECURITIES LLC (CRD 315324 · FINRA funding portals ↗)	Not reported on this form	signer name on this filing (David Kaplan) + listed as a related person on Form D filings of the same issuer (CIK 1748169) · 85%
EDGAR ↗	Apr 11, 2024 File 020-33941	Regulation Crowdfunding offering — amendment (Form C/A) Amendment filed · deadline Aug 5, 2024	Gin & Luck Inc. LOS ANGELES, CA	$10,001 target · $2,069,998 maximum via DEALMAKER SECURITIES LLC (CRD 315324 · FINRA funding portals ↗)	Not reported on this form	signer name on this filing (David Kaplan) + listed as a related person on Form D filings of the same issuer (CIK 1748169) · 85%
EDGAR ↗	Apr 5, 2024 File 020-33941	Regulation Crowdfunding offering (Form C) Offering filed · deadline Aug 5, 2024	Gin & Luck Inc. LOS ANGELES, CA	$10,001 target · $2,069,998 maximum via DEALMAKER SECURITIES LLC (CRD 315324 · FINRA funding portals ↗)	Not reported on this form	signer name on this filing (David Kaplan) + listed as a related person on Form D filings of the same issuer (CIK 1748169) · 85%
EDGAR ↗	Apr 28, 2023 File 24R-00547	Regulation A exit report (Form 1-Z) Exit report filed	Gin & Luck Inc LOS ANGELES, CA	Not reported	$5,999,276	signer name on this filing (David Kaplan) + listed as a related person on Form D filings of the same issuer (CIK 1748169) · 85%
EDGAR ↗	Apr 27, 2023 File 020-24525	Regulation Crowdfunding termination of reporting (Form C-TR) Reporting terminated	Gin & Luck Inc. LOS ANGELES, CA	Not reported	Not reported on this form	signer name on this filing (David Kaplan) + listed as a related person on Form D filings of the same issuer (CIK 1748169) · 85%
EDGAR ↗	Apr 27, 2023 File 020-24525	Regulation Crowdfunding annual report (Form C-AR) Annual report filed	Gin & Luck Inc. LOS ANGELES, CA	Not reported	Not reported on this form	signer name on this filing (David Kaplan) + listed as a related person on Form D filings of the same issuer (CIK 1748169) · 85%
EDGAR ↗	Apr 27, 2023 File 020-24525	Regulation Crowdfunding annual report (Form C-AR) Annual report filed	Gin & Luck Inc. LOS ANGELES, CA	Not reported	Not reported on this form	signer name on this filing (David Kaplan) + listed as a related person on Form D filings of the same issuer (CIK 1748169) · 85%
EDGAR ↗	Jul 6, 2020 File 020-24525	Regulation Crowdfunding annual report (Form C-AR) Annual report filed	Gin & Luck LLC LOS ANGELES, CA	Not reported	Not reported on this form	signer name on this filing (David J Kaplan) + listed as a related person on Form D filings of the same issuer (CIK 1748169) · 85%
EDGAR ↗	Sep 17, 2018 File 020-24525	Regulation Crowdfunding progress update (Form C-U) Progress update filed · deadline Sep 14, 2018	Gin & Luck LLC LOS ANGELES, CA	$25,000 target · $1,070,000 maximum via SI SECURITIES, LLC (CRD 170937 · FINRA funding portals ↗)	Not reported on this form	signer name on this filing (David Kaplan) + listed as a related person on Form D filings of the same issuer (CIK 1748169) · 85%
EDGAR ↗	Jul 27, 2018 File 020-24525	Regulation Crowdfunding offering (Form C) Offering filed · deadline Sep 14, 2018	Gin & Luck LLC LOS ANGELES, CA	$25,000 target · $1,070,000 maximum via SI SECURITIES, LLC (CRD 170937 · FINRA funding portals ↗)	Not reported on this form	signer name on this filing (David J Kaplan) + listed as a related person on Form D filings of the same issuer (CIK 1748169) · 85%

David Kaplan

The short version

What the community is saying

Key records

1. Lawsuits

2. Regulatory actions

3. Bankruptcies

4. Differences between public sources

6 regulator actions name the subject or team members

6 bankruptcy cases name the subject or team members

David Kaplan appears on 5 deals that stopped filing before reaching their target

4 paid sellers are listed without a CRD number

8 Form Ds were filed more than 15 days after the first sale

16 offerings have no amendment in the last 12 months and may still be open

David Kaplan's role changed at Gin & Luck Inc.: executive officer, director, promoter → executive officer, director

5 offerings changed their target amount between filings

David Kaplan is written 2 different ways on the filings

Same name, different state: "David Kaplan" (MA) is a separate record

Same name, different state: "David Kaplan" (A1) is a separate record

Same name, different state: "DAVID BRIAN KAPLAN" (A1) is a separate record

Address moved from Los Angeles, CA to Wilmington, DE — Gin & Luck Inc.

David Kaplan is listed with 4 different address states: CA, NY, MD, DE

5. Money to insiders

Deals 75

People around David 40

The team behind the deals

51 other issuers file from the same address (first 50 shown)

Registrations and other filings

Business registration (state registry / Secretary of State)

Adviser registration (Form ADV)