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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 3:54 AM ET

Sponsor Check › Person

DO

David Ogens

Named as an officer, director or promoter on SEC Form D filings · NY · May 10, 2011 → Aug 2, 2024

5deals (issuers)
$2.66Breported sold
91investors
13Form D filings
2011–2024years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:24 AM ET · SEC enforcement last checked: not yet

The short version

David Ogens is listed as a director on 13 SEC Form D filings by 5 issuers between May 2011 and Aug 2024: New Mountain Guardian IV BDC, L.L.C. (New York, NY — pooled investment fund — 2022–2024; $859.6M reported sold to 46 investors), NMF SLF I, Inc. (New York, NY — pooled investment fund — 2020–2022; $690M reported sold to 4 investors), New Mountain Guardian III BDC, L.L.C. (New York, NY — pooled investment fund — 2019–2021; $616.9M reported sold to 30 investors), New Mountain Guardian IV Income Fund, L.L.C. (New York, NY — pooled investment fund — 2023–2024; $490.5M reported sold to 11 investors) and New Mountain Finance Corp (New York, NY — investing — 2011).

What this means A repeat sponsor — 5 separate companies raised money with this person listed as director, over about 13 years. Across those companies the filings report $2.66B sold in total.

Listed alongside Adam Weinstein (13 shared filings), Alfred F. Hurley, Jr. (13 shared filings), John R. Kline (12 shared filings), New Mountain Finance Advisers BDC, L.L.C. (12 shared filings, management entity), Rome G. Arnold III (9 shared filings) and 13 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.

All 5 issuers belong to the sponsor group New Mountain (86 issuers, $47.75B reported sold, 2009–2026).

What this means A sponsor group is one team that sets up a new company for each deal. New Mountain has 86 companies on file and $47.75B reported sold in total — the group page shows the whole track record in one place.

Public records searched: federal courts (CourtListener / RECAP), state securities regulators (AZ, CA, DE, TX, WA) — none found. Not yet searched: SEC enforcement releases.

What this means Nothing turned up where we looked (2 sources). That does not prove there is nothing — it means none was found in those sources on that date.

What the community is saying

Nothing found on Reddit, BiggerPockets or community forums for high-net-worth investors (searched Oct 24, 2026) — search queued; this line updates when it has run.

Community comments are quoted as written by their authors. Sources searched: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

None found in sources searched

What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts; live RECAP re-check pending. State courts: not yet searched. PACER: not searched. · Last checked Oct 24, 2026, 2:24 AM ET.

State courts: not yet searched. No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

Not yet searched

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. — not yet searched.

State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states: not yet searched.

No SEC search has run yet for this person.

3. Bankruptcies

None found in sources searched

What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:24 AM ET.

State courts: not yet searched. No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

4. Differences between public sources

Not made for individual people — comparisons cover issuers and sponsor groups

5. Money to insiders

3 of 5 offerings report sales commissions totalling $5,000,000; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Aug 2, 2024 D/A
New Mountain Guardian IV Income Fund, L.L.C.
File 021-481996
$1,000,000 (est.)$0$0Acro Securities no CRD number reported
Vigilant Distributors, LLC BrokerCheck CRD 000285573 ↗
via Vigilant Distributors, LLC (CRD 000285573 ↗)
EDGAR ↗
May 3, 2024 D/A
New Mountain Guardian IV BDC, L.L.C.
File 021-444303
$3,000,000 (est.)$0$0Acro Securities no CRD number reported
Ameris Capital SA no CRD number reported
TransPacific Group LLC BrokerCheck CRD 143869 ↗
via TransPacific Group LLC (CRD 143869 ↗)

TransPacific Group (Asia) Limited no CRD number reported
Vigilant Distributors, LLC BrokerCheck CRD 285573 ↗
via Vigilant Distributors, LLC (CRD 285573 ↗)

IBK Securities Co, Ltd no CRD number reported		EDGAR ↗
Feb 9, 2022 D/A
NMF SLF I, Inc.
File 021-360333
$0$0$0
Pursuant to the Investment Management Agreement, the Issuer will pay the Investment Adviser a base management fee.
None listed on this filingEDGAR ↗
Jul 23, 2021 D/A
New Mountain Guardian III BDC, L.L.C.
File 021-344218
$1,000,000 (est.)$0$0Icelandic Investors Ltd. no CRD number reported
Ameris Capital Limitada no CRD number reported
GrovePeak SAS no CRD number reported		EDGAR ↗
May 10, 2011 D
New Mountain Finance Corp
File 021-159552
$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 5

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

NM
Pooled Investment Fund · group: New Mountain

New Mountain Guardian IV Income Fund, L.L.C.

New York, NY · May 17, 2023 → Aug 2, 2024 · 3 filings
  • Aug 2, 2024 · D/A · $490,505,000 sold of Indefinite · 11 investors · min. No minimum reported · role: Director EDGAR ↗
  • Aug 1, 2023 · D/A · $52,500,000 sold of Indefinite · 4 investors · min. No minimum reported · role: Director EDGAR ↗
  • May 17, 2023 · D · $0 sold of Indefinite · 0 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $490.5M from 11 investors as of the latest filing. David is listed as director on 3 filings for this deal.

Latest filing on EDGAR ↗
Sources

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

NM
Pooled Investment Fund · group: New Mountain

New Mountain Guardian IV BDC, L.L.C.

New York, NY · May 3, 2022 → May 3, 2024 · 3 filings
  • May 3, 2024 · D/A · $859,575,000 sold of Indefinite · 46 investors · min. No minimum reported · role: Director EDGAR ↗
  • May 3, 2023 · D/A · $282,100,000 sold of Indefinite · 24 investors · min. No minimum reported · role: Director EDGAR ↗
  • May 3, 2022 · D · $0 sold of Indefinite · 0 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $859.6M from 46 investors as of the latest filing. David is listed as director on 3 filings for this deal.

Latest filing on EDGAR ↗
Sources

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

NS
Pooled Investment Fund · group: New Mountain

NMF SLF I, Inc.

New York, NY · Feb 12, 2020 → Feb 9, 2022 · 3 filings
  • Feb 9, 2022 · D/A · $690,000,000 sold of $690,000,000 · 4 investors · min. No minimum reported · role: Director EDGAR ↗
  • Feb 9, 2021 · D/A · $365,700,000 sold of $690,000,000 · 4 investors · min. No minimum reported · role: Director EDGAR ↗
  • Feb 12, 2020 · D · $0 sold of Indefinite · 0 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $690M from 4 investors (100% of the $690M target) as of the latest filing. David is listed as director on 3 filings for this deal.

Latest filing on EDGAR ↗
Sources

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

NM
Pooled Investment Fund · group: New Mountain

New Mountain Guardian III BDC, L.L.C.

New York, NY · Jul 12, 2019 → Jul 23, 2021 · 3 filings
  • Jul 23, 2021 · D/A · $616,855,970 sold of Indefinite · 30 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jul 13, 2020 · D/A · $328,600,000 sold of Indefinite · 23 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jul 12, 2019 · D · $0 sold of Indefinite · 0 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $616.9M from 30 investors as of the latest filing. David is listed as director on 3 filings for this deal.

Latest filing on EDGAR ↗
Sources

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

NM
Investing · group: New Mountain

New Mountain Finance Corp

New York, NY · May 10, 2011
  • May 10, 2011 · D · $0 sold of $29,864,998 · 0 investors · min. $1,000 · role: Director EDGAR ↗

No sales reported yet as of the latest filing. David is listed as 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.

People around David 18

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

AW
Person

Adam Weinstein

Executive Officer, Director · 13 shared filings (5 issuers) · also on 80 other issuers

Adam Weinstein is on 85 issuers in total — a repeat sponsor. Their page lists every one.

AH
Person

Alfred F. Hurley, Jr.

Director · 13 shared filings (5 issuers)

Alfred F. Hurley, Jr. is on 5 issuers in total — a repeat sponsor. Their page lists every one.

JK
Person

John R. Kline

Executive Officer, Director · 12 shared filings (4 issuers) · also on 4 other issuers

John R. Kline is on 8 issuers in total — a repeat sponsor. Their page lists every one.

RA
Person

Rome G. Arnold III

Director · 9 shared filings (3 issuers)

Listed on the same filings as David Ogens. Their page shows their other deals.

RH
Person

Robert A. Hamwee

Executive Officer, Director · 8 shared filings (4 issuers) · also on 4 other issuers

Robert A. Hamwee is on 8 issuers in total — a repeat sponsor. Their page lists every one.

LH
Person

Laura C. Holson

Executive Officer · 6 shared filings (2 issuers) · also on 1 other issuer

Listed on the same filings as David Ogens. Their page shows their other deals.

JH
Person

Joseph W. Hartswell

Executive Officer · 6 shared filings (2 issuers) · also on 1 other issuer

Listed on the same filings as David Ogens. Their page shows their other deals.

SK
Person

Shiraz Y. Kajee

Executive Officer · 6 shared filings (3 issuers)

Listed on the same filings as David Ogens. Their page shows their other deals.

KJ
Person

Karrie J. Jerry

Executive Officer · 5 shared filings (2 issuers) · also on 2 other issuers

Listed on the same filings as David Ogens. Their page shows their other deals.

JM
Person

John P. Malfettone

Director · 3 shared filings (1 issuer)

Listed on the same filings as David Ogens. Their page shows their other deals.

KC
Person

Kris Corbett

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

Listed on the same filings as David Ogens. Their page shows their other deals.

AH
Person

Alice Handy

Director · 2 shared filings (1 issuer)

Listed on the same filings as David Ogens. Their page shows their other deals.

SK
Person

Steven B. Klinsky

Director · 1 shared filing (1 issuer) · also on 51 other issuers

Steven B. Klinsky is on 52 issuers in total — a repeat sponsor. Their page lists every one.

PB
Person

Paula Bosco

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as David Ogens. Their page shows their other deals.

SK
Person

Shiraz Y. Kayee

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as David Ogens. Their page shows their other deals.

JK
Person

Jerry J. Karrie

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as David Ogens. Their page shows their other deals.

KW
Person

Kurt J. Wolfgruber

Director · 1 shared filing (1 issuer)

Listed on the same filings as David Ogens. Their page shows their other deals.

The team behind the deals

NM
Sponsor group

New Mountain

86 issuers · 222 filings · $47.75B reported sold · 2009–2026

One team, 86 deal companies. David Ogens is listed on 5 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 David Ogens.

Same business address

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

A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.

Registrations and other filings

Adviser registration (Form ADV)

Not yet searched. Sources to be searched: SEC Investment Adviser Information Reports — Form ADV data for SEC-registered advisers and exempt reporting advisers (file dated 2026-10-02); SEC Investment Adviser Public Disclosure (IAPD) firm search — registered and exempt reporting advisers · Search queued. Results are added automatically; check back later.

Other offering types (Regulation A and Regulation Crowdfunding)

None found in sources searched.

Sources searched: SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 · Last checked Oct 23, 2026, 8:41 PM ET.

Look further

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

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Courts

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Securities regulators

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

Business registries

New York Secretary of State business search ↗OpenCorporates ↗

Change history

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