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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:20 AM ET

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DAVID C. BROWN

Named as an officer, director or promoter on SEC Form D filings · OH, TX · Aug 7, 2009 → Mar 10, 2017

7deals (issuers)
$806.1Mreported sold
231investors
18Form D filings
2009–2017years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:19 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

DAVID C. BROWN is listed as an executive officer and director on 18 SEC Form D filings by 7 issuers between Aug 2009 and Oct 2024. Largest by amount reported sold: THB SMALLCAP FUND, LLC (Norwalk, CT — pooled investment fund — 2021–2024; $399.9M reported sold to 19 investors), Victory Capital Holdings, Inc. (Brooklyn, OH — industry reported as "Other" — 2013–2017; $164.9M reported sold to 158 investors), CUBIC ENERGY INC (Dallas, TX — oil and gas — 2013; $66M reported sold to 10 investors), VES HOLDING COMPANY, LLC (Chicago, IL — environmental services — 2017; $59M reported sold to 15 investors), Victory Absolute Return Credit II Fund, LLC (Cleveland, OH — pooled investment fund — 2010; $56.3M reported sold to 7 investors) and 2 more (all listed below).

What this means A repeat sponsor — 7 separate companies raised money with this person listed as executive officer and director, over about 15 years. Across those companies the filings report $806.1M sold in total.

Listed alongside Michael Policarpo (16 shared filings), ALAN RAPPAPORT (8 shared filings), ALEX BINDEROW (8 shared filings), JAMES HAWKES (8 shared filings), MILTON BERLINSKI (8 shared filings) and 28 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 2 sponsor groups: Crestview (56 issuers, $58.02B reported sold, 2009–2026) and Wind Point (50 issuers, $10.17B reported sold, 2009–2026).

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) — 1 court case matching the name, 6 SEC releases, 2 state regulator orders, 57 bankruptcy cases matching the name listed in Key records below.

What this means 66 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 18 public filings for DAVID C. BROWN and found 19 differences, 4 worth asking the sponsor about: Amount sold went down between filings; Investor count went down between filings; and more below.

What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.

What the community is saying

Community search for DAVID C. BROWN has not run yet — it is joining a line of 51,911 names; searches run around the clock at the hosts' allowed rate. Searched so far: 641 names.

Community comments are quoted as written by their authors. Sources searched: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.

Key records

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

1. Lawsuits

1 case: 1 closed (disposition not in docket feed)

In re: David Brown closed
District Court, D. Connecticut · No. 3:16-gp-00018 · Filed Jun 2, 2016 · Closed Jun 2, 2016
Role of David Brown: Party · Outcome: Terminated 2016-06-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (CT)
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

6 SEC releases; 2 state regulator orders

Folger Nolan Fleming Douglas Capital Management, Inc., Neil C. Folger and David M. Brown Administrative proceeding
SEC · Jul 6, 2017 · Parties as named in the release: Folger Nolan Fleming Douglas Capital Management, Inc., Neil C. Folger and David M. Brown Read the release ↗
same full name in the release title; 42 people with this name in Form D filings; the person's filing state is not named; middle initial differs
Folger Nolan Fleming Douglas Capital Management, Inc., Neil C. Folger and David M. Brown Administrative proceeding
SEC · Aug 17, 2011 · Parties as named in the release: Folger Nolan Fleming Douglas Capital Management, Inc., Neil C. Folger and David M. Brown Read the release ↗
same full name in the release title; 42 people with this name in Form D filings; the person's filing state is not named; middle initial differs
Folger Nolan Fleming Douglas Capital Management, Inc., Neil C. Folger and David M. Brown Administrative proceeding
SEC · Apr 13, 2011 · Parties as named in the release: Folger Nolan Fleming Douglas Capital Management, Inc., Neil C. Folger and David M. Brown Read the release ↗
same full name in the release title; 42 people with this name in Form D filings; the person's filing state is not named; middle initial differs
Folger Nolan Fleming Douglas Capital Management, Inc., Neil C. Folger and David M. Brown Administrative proceeding
SEC · Mar 1, 2011 · Parties as named in the release: Folger Nolan Fleming Douglas Capital Management, Inc., Neil C. Folger and David M. Brown Read the release ↗
same full name in the release title; 42 people with this name in Form D filings; the person's filing state is not named; middle initial differs
Agreed Order KY · Kentucky Department of Financial Institutions, Division of Securities
Order date Sep 28, 2009 · Regulator: Kentucky Department of Financial Institutions, Division of Securities · 092809 · Parties (regulator's caption): David C Brown
Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗
same full name in the order; 42 people with this name in Form D filings; regulator in KY (not a filing state)
Folger Nolan Fleming Douglas, Capital Management, Inc., Neil C. Folger and David M. Brown Administrative proceeding
SEC · May 27, 2009 · Parties as named in the release: Folger Nolan Fleming Douglas, Capital Management, Inc., Neil C. Folger and David M. Brown Read the release ↗
same full name in the release title; 42 people with this name in Form D filings; the person's filing state is not named; middle initial differs
Folger Nolan Fleming Douglas Capital Management, Inc., Neil C. Folger and David M. Brown Administrative proceeding
SEC · Aug 23, 2007 · Parties as named in the release: Folger Nolan Fleming Douglas Capital Management, Inc., Neil C. Folger and David M. Brown Read the release ↗
same full name in the release title; 42 people with this name in Form D filings; the person's filing state is not named; middle initial differs
Stipulation and Consent CO · Colorado Department of Regulatory Agencies, Division of Securities
Order date Dec 15, 2006 · Regulator: Colorado Department of Regulatory Agencies, Division of Securities · Parties (regulator's caption): Southeastern Energy, Inc, dba North American Resource Group, David C. Brown, Alan Murrell, Doug Smith, and Tom Emberton, Jr.
Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗
same full name in the order; 42 people with this name in Form D filings; regulator in CO (not a filing state)
What was searched

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched DAVID C. BROWN..

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

57 cases: 4 open, 53 closed (disposition not in docket feed)

David C. Brown, II and Marissa N. Brown open
United States Bankruptcy Court, S.D. Ohio · No. 3:26-bk-30149 · Filed Jan 22, 2026
Role of David C. Brown, II: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (OH)
David R Brown closed
United States Bankruptcy Court, D. Connecticut · No. 22-20730 · Filed Oct 20, 2022 · Closed Feb 2, 2023
Role of David R Brown: Debtor · Outcome: Case closed 2023-02-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (CT); middle initial differs
David Brown open
United States Bankruptcy Court, N.D. Illinois · No. 22-07549 · Filed Jul 7, 2022
Role of David Brown: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (IL)
David E Brown open
United States Bankruptcy Court, N.D. Ohio · No. 22-40605 · Filed Jun 24, 2022
Role of David E Brown: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (OH); middle initial differs
David R Brown, Jr. and Chanda K Brown closed
United States Bankruptcy Court, S.D. Ohio · No. 1:22-bk-10688 · Filed Apr 24, 2022 · Closed Sep 22, 2022
Role of David R Brown, Jr.: Debtor · Outcome: Case closed 2022-09-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (OH); middle initial differs
David E. Brown closed
United States Bankruptcy Court, S.D. Texas · No. 22-30237 · Filed Jan 28, 2022 · Closed Nov 25, 2022
Role of David E. Brown: Debtor · Outcome: Case closed 2022-11-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (TX); middle initial differs
David Brown and Mary Brown open
United States Bankruptcy Court, S.D. Ohio · No. 2:21-bk-53462 · Filed Oct 20, 2021
Role of David Brown and Mary Brown: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (OH); middle initial differs
David C. Brown and Cory A. Brown closed
United States Bankruptcy Court, N.D. Ohio · No. 21-12240 · Filed Jun 29, 2021 · Closed Oct 12, 2021
Role of David C. Brown and Cory A. Brown: Debtor · Outcome: Case closed 2021-10-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (OH)
David T. Brown and Tabetha N. Brown closed
United States Bankruptcy Court, S.D. Ohio · No. 1:21-bk-11093 · Filed May 14, 2021 · Closed Sep 9, 2021
Role of David T. Brown and Tabetha N. Brown: Debtor · Outcome: Case closed 2021-09-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (OH); middle initial differs
David R. Brown and Lana K. Brown closed
United States Bankruptcy Court, S.D. Ohio · No. 3:21-bk-30349 · Filed Mar 8, 2021 · Closed Aug 18, 2021
Role of David R. Brown and Lana K. Brown: Debtor · Outcome: Case closed 2021-08-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (OH); middle initial differs
David R. Brown closed
United States Bankruptcy Court, N.D. Ohio · No. 21-50319 · Filed Mar 2, 2021 · Closed Sep 21, 2021
Role of David R. Brown: Debtor · Outcome: Case closed 2021-09-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (OH); middle initial differs
David S. Brown and Linda K. Brown closed
United States Bankruptcy Court, N.D. Ohio · No. 20-51185 · Filed Jun 9, 2020 · Closed Jun 11, 2024
Role of David S. Brown and Linda K. Brown: Debtor · Outcome: Case closed 2024-06-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (OH); middle initial differs
David M. Brown and Stephanie D. Brown closed
United States Bankruptcy Court, N.D. Ohio · No. 20-40077 · Filed Jan 15, 2020 · Closed May 15, 2020
Role of David M. Brown and Stephanie D. Brown: Debtor · Outcome: Case closed 2020-05-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (OH); middle initial differs
David W. Brown, III closed
United States Bankruptcy Court, N.D. Ohio · No. 19-10861 · Filed Feb 20, 2019 · Closed Jun 11, 2019
Role of David W. Brown, III: Debtor · Outcome: Case closed 2019-06-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (OH); middle initial differs
David J. Brown closed
United States Bankruptcy Court, N.D. Illinois · No. 18-82485 · Filed Nov 21, 2018 · Closed Mar 22, 2019
Role of David J. Brown: Debtor · Outcome: Case closed 2019-03-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (IL); middle initial differs
David T Brown closed
United States Bankruptcy Court, S.D. Ohio · No. 2:18-bk-55308 · Filed Aug 23, 2018 · Closed Apr 19, 2019
Role of David T Brown: Debtor · Outcome: Case closed 2019-04-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (OH); middle initial differs
David W. Brown and Sarah E. Brown closed
United States Bankruptcy Court, S.D. Illinois · No. 18-40604 · Filed Jul 2, 2018 · Closed Nov 13, 2018
Role of David W. Brown and Sarah E. Brown: Debtor · Outcome: Case closed 2018-11-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (IL); middle initial differs
David P. Brown closed
United States Bankruptcy Court, E.D. Texas · No. 18-41149 · Filed Jun 1, 2018 · Closed Aug 12, 2019
Role of David P. Brown: Debtor · Outcome: Case closed 2019-08-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (TX); middle initial differs
David L Brown closed
United States Bankruptcy Court, N.D. Illinois · No. 18-04344 · Filed Feb 19, 2018 · Closed May 25, 2018
Role of David L Brown: Debtor · Outcome: Case closed 2018-05-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (IL); middle initial differs
David W. Brown and Laura F. Brown closed
United States Bankruptcy Court, S.D. Ohio · No. 1:18-bk-10164 · Filed Jan 19, 2018 · Closed Jan 14, 2019
Role of David W. Brown and Laura F. Brown: Debtor · Outcome: Case closed 2019-01-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (OH); middle initial differs
Shanika Paterson and David Brown closed
United States Bankruptcy Court, S.D. Texas · No. 17-36407 · Filed Nov 28, 2017 · Closed Mar 13, 2018
Role of Shanika Paterson and David Brown: Debtor · Outcome: Case closed 2018-03-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (TX); middle initial differs
David M. Brown closed
United States Bankruptcy Court, N.D. Ohio · No. 17-42178 · Filed Nov 10, 2017 · Closed Jun 14, 2019
Role of David M. Brown: Debtor · Outcome: Case closed 2019-06-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (OH); middle initial differs
David W Brown and Cynthia J Bunnell Brown closed
United States Bankruptcy Court, D. Connecticut · No. 17-21627 · Filed Oct 27, 2017 · Closed Feb 21, 2018
Role of David W Brown and Cynthia J Bunnell Brown: Debtor · Outcome: Case closed 2018-02-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (CT); middle initial differs
David Brown closed
United States Bankruptcy Court, N.D. Illinois · No. 17-29731 · Filed Oct 4, 2017 · Closed Jan 8, 2018
Role of David Brown: Debtor · Outcome: Case closed 2018-01-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (IL)
David Brown v. Gill Properties, LLC closed
United States Bankruptcy Court, N.D. Illinois · No. 17-00330 · Filed Jun 14, 2017 · Closed Aug 29, 2017
Role of David Brown: Plaintiff · Outcome: Case closed 2017-08-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (IL)
David A. Brown closed
United States Bankruptcy Court, E.D. Texas · No. 17-50050 · Filed Mar 9, 2017 · Closed Jun 29, 2017
Role of David A. Brown: Debtor · Outcome: Case closed 2017-06-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (TX); middle initial differs
David W. Brown closed
United States Bankruptcy Court, N.D. Illinois · No. 17-03527 · Filed Feb 7, 2017 · Closed Jun 13, 2017
Role of David W. Brown: Debtor · Outcome: Case closed 2017-06-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (IL); middle initial differs
David A. Brown closed
United States Bankruptcy Court, S.D. Ohio · No. 1:17-bk-10162 · Filed Jan 19, 2017 · Closed May 24, 2017
Role of David A. Brown: Debtor · Outcome: Case closed 2017-05-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (OH); middle initial differs
David L Brown closed
United States Bankruptcy Court, N.D. Illinois · No. 17-01397 · Filed Jan 17, 2017 · Closed Apr 21, 2017
Role of David L Brown: Debtor · Outcome: Case closed 2017-04-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (IL); middle initial differs
David R Brown and Mary L Brown closed
United States Bankruptcy Court, S.D. Ohio · No. 2:16-bk-56631 · Filed Oct 13, 2016 · Closed Mar 1, 2017
Role of David R Brown and Mary L Brown: Debtor · Outcome: Case closed 2017-03-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (OH); middle initial differs
David R. Brown closed
United States Bankruptcy Court, S.D. Ohio · No. 1:16-bk-12312 · Filed Jun 17, 2016 · Closed Oct 26, 2016
Role of David R. Brown: Debtor · Outcome: Case closed 2016-10-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (OH); middle initial differs
David Brown closed
United States Bankruptcy Court, E.D. Texas · No. 16-40734 · Filed Apr 20, 2016 · Closed Jul 26, 2016
Role of David Brown: Debtor · Outcome: Case closed 2016-07-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (TX)
David C Brown, Jr and Shamecia Mills closed
United States Bankruptcy Court, S.D. Texas · No. 16-31700 · Filed Apr 4, 2016 · Closed Aug 2, 2016
Role of David C Brown, Jr: Debtor · Outcome: Case closed 2016-08-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (TX)
David W. Brown closed
United States Bankruptcy Court, S.D. Ohio · No. 3:16-bk-30967 · Filed Mar 31, 2016 · Closed Aug 17, 2016
Role of David W. Brown: Debtor · Outcome: Case closed 2016-08-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (OH); middle initial differs
David Brown closed
United States Bankruptcy Court, N.D. Illinois · No. 16-05475 · Filed Feb 19, 2016 · Closed Aug 5, 2016
Role of David Brown: Debtor · Outcome: Case closed 2016-08-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (IL)
David L Brown closed
United States Bankruptcy Court, N.D. Ohio · No. 16-60220 · Filed Feb 12, 2016 · Closed Jun 17, 2016
Role of David L Brown: Debtor · Outcome: Case closed 2016-06-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (OH); middle initial differs
David A. Brown and Joey R. Brown closed
United States Bankruptcy Court, S.D. Ohio · No. 3:15-bk-33931 · Filed Nov 30, 2015 · Closed Nov 29, 2016
Role of David A. Brown and Joey R. Brown: Debtor · Outcome: Case closed 2016-11-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (OH); middle initial differs
David R. Brown, Jr. closed
United States Bankruptcy Court, N.D. Ohio · No. 15-52689 · Filed Nov 11, 2015 · Closed Mar 15, 2016
Role of David R. Brown, Jr.: Debtor · Outcome: Case closed 2016-03-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (OH); middle initial differs
David L. Brown and Rachel Q. Brown closed
United States Bankruptcy Court, N.D. Texas · No. 15-34410 · Filed Nov 2, 2015 · Closed Mar 31, 2016
Role of David L. Brown and Rachel Q. Brown: Debtor · Outcome: Case closed 2016-03-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (TX); middle initial differs
David M Brown closed
United States Bankruptcy Court, N.D. Illinois · No. 15-27801 · Filed Aug 14, 2015 · Closed Dec 15, 2015
Role of David M Brown: Debtor · Outcome: Case closed 2015-12-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (IL); middle initial differs
David E. Brown closed
United States Bankruptcy Court, S.D. Ohio · No. 1:15-bk-12711 · Filed Jul 10, 2015 · Closed Nov 18, 2015
Role of David E. Brown: Debtor · Outcome: Case closed 2015-11-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (OH); middle initial differs
David M Brown closed
United States Bankruptcy Court, N.D. Illinois · No. 15-18833 · Filed May 29, 2015 · Closed Sep 4, 2015
Role of David M Brown: Debtor · Outcome: Case closed 2015-09-04 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (IL); middle initial differs
David E Brown closed
United States Bankruptcy Court, S.D. Ohio · No. 3:15-bk-30827 · Filed Mar 20, 2015 · Closed Jul 29, 2015
Role of David E Brown: Debtor · Outcome: Case closed 2015-07-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (OH); middle initial differs
David R. Brown v. TapeCase Limited a/k/a TapeCase Ltd. closed
United States Bankruptcy Court, N.D. Illinois · No. 15-00164 · Filed Mar 16, 2015 · Closed Jul 2, 2015
Role of David R. Brown: Plaintiff · Outcome: Case closed 2015-07-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (IL); middle initial differs
David L Brown and Barbara L Brown closed
United States Bankruptcy Court, N.D. Illinois · No. 15-08070 · Filed Mar 6, 2015 · Closed Sep 3, 2020
Role of David L Brown and Barbara L Brown: Debtor · Outcome: Case closed 2020-09-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (IL); middle initial differs
David Brown closed
United States Bankruptcy Court, N.D. Illinois · No. 15-07238 · Filed Mar 2, 2015 · Closed Apr 15, 2015
Role of David Brown: Debtor · Outcome: Case closed 2015-04-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (IL)
David M. Brown and Lisa A. Brown closed
United States Bankruptcy Court, S.D. Ohio · No. 1:15-bk-10378 · Filed Feb 5, 2015 · Closed Jun 3, 2015
Role of David M. Brown and Lisa A. Brown: Debtor · Outcome: Case closed 2015-06-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (OH); middle initial differs
David R. Brown v. Aargus Plastics, Inc. closed
United States Bankruptcy Court, N.D. Illinois · No. 15-00064 · Filed Jan 29, 2015 · Closed Apr 22, 2015
Role of David R. Brown: Plaintiff · Outcome: Case closed 2015-04-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (IL); middle initial differs
David R. Brown v. Chase Bank closed
United States Bankruptcy Court, N.D. Illinois · No. 15-00067 · Filed Jan 29, 2015 · Closed Oct 7, 2015
Role of David R. Brown: Plaintiff · Outcome: Case closed 2015-10-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (IL); middle initial differs
David R. Brown v. American Express closed
United States Bankruptcy Court, N.D. Illinois · No. 15-00065 · Filed Jan 29, 2015 · Closed Jul 23, 2015
Role of David R. Brown: Plaintiff · Outcome: Case closed 2015-07-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (IL); middle initial differs
David R. Brown v. 3M Company closed
United States Bankruptcy Court, N.D. Illinois · No. 15-00063 · Filed Jan 29, 2015 · Closed Jul 2, 2015
Role of David R. Brown: Plaintiff · Outcome: Case closed 2015-07-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (IL); middle initial differs
David R. Brown v. Batavia Container, Inc. dba BCI closed
United States Bankruptcy Court, N.D. Illinois · No. 15-00066 · Filed Jan 29, 2015 · Closed Apr 8, 2015
Role of David R. Brown: Plaintiff · Outcome: Case closed 2015-04-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (IL); middle initial differs
David R Brown closed
United States Bankruptcy Court, N.D. Illinois · No. 14-83612 · Filed Dec 3, 2014 · Closed Apr 27, 2015
Role of David R Brown: Debtor · Outcome: Case closed 2015-04-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (IL); middle initial differs
David Brown closed
United States Bankruptcy Court, N.D. Illinois · No. 14-35867 · Filed Oct 2, 2014 · Closed Mar 3, 2016
Role of David Brown: Debtor · Outcome: Case closed 2016-03-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (IL)
David S. Brown closed
United States Bankruptcy Court, N.D. Ohio · No. 14-16038 · Filed Sep 21, 2014 · Closed Jan 6, 2015
Role of David S. Brown: Debtor · Outcome: Case closed 2015-01-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (OH); middle initial differs
David A. Brown closed
United States Bankruptcy Court, E.D. Texas · No. 14-50156 · Filed Sep 10, 2014 · Closed Jan 23, 2015
Role of David A. Brown: Debtor · Outcome: Case closed 2015-01-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (TX); middle initial differs
David J Brown and Jennifer L Brown closed
United States Bankruptcy Court, D. Connecticut · No. 14-21541 · Filed Jul 31, 2014 · Closed Feb 11, 2015
Role of David J Brown and Jennifer L Brown: Debtor · Outcome: Case closed 2015-02-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 3257 federal dockets); 42 people with this name in Form D filings; court in the person's filing state (CT); middle initial differs
What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:19 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.

4. Differences between public sources

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

19 differences found between the filings for DAVID C. BROWN — 4 worth asking about (compared 18 filings on Oct 24, 2026)

Worth asking · Oct 12, 2021 – Oct 11, 2022

Amount sold went down between filings — THB SMALLCAP FUND, LLC

The Oct 12, 2021 filing says $62,289,874 sold; the Oct 11, 2022 Form D/A says $48,999,482 sold — $13,290,392 less.

What this means Amounts sold normally only go up as a raise continues. A drop can mean investors were refunded, a figure was corrected, or an earlier number was wrong. Ask the sponsor which it was.

Form D/A (earlier) · Oct 12, 2021 ↗Form D/A (later) · Oct 11, 2022 ↗THB SMALLCAP FUND, LLC — PartnerFacts page ↗
Sources
Worth asking · Apr 22, 2020 – Oct 12, 2021

Amount sold went down between filings — THB SMALLCAP FUND, LLC

The Apr 22, 2020 filing says $162,943,227 sold; the Oct 12, 2021 Form D/A says $62,289,874 sold — $100,653,353 less.

What this means Amounts sold normally only go up as a raise continues. A drop can mean investors were refunded, a figure was corrected, or an earlier number was wrong. Ask the sponsor which it was.

Form D/A (earlier) · Apr 22, 2020 ↗Form D/A (later) · Oct 12, 2021 ↗THB SMALLCAP FUND, LLC — PartnerFacts page ↗
Sources
Worth asking · Oct 12, 2021 – Oct 11, 2022

Investor count went down between filings — THB SMALLCAP FUND, LLC

The Oct 12, 2021 filing reports 19 investors; the Oct 11, 2022 Form D/A reports 3 investors.

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

Form D/A (earlier) · Oct 12, 2021 ↗Form D/A (later) · Oct 11, 2022 ↗THB SMALLCAP FUND, LLC — PartnerFacts page ↗
Sources
Note · Oct 16, 2013

14% of the money raised went to insiders — CUBIC ENERGY INC

The Oct 16, 2013 Form D reports $66,000,000 sold and $9,300,000 of the proceeds used for payments to officers, directors or promoters (marked as an estimate). Issuer's note: "Tauren Exploration, Inc., an entity controlled by Mr. Wallen was paid $4 million of cash in connection with the purchase of certain oil and gas properties. Mr. Wallen was also repaid short-term advan".

What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.

Form D · Oct 16, 2013 ↗CUBIC ENERGY INC — PartnerFacts page ↗
Sources
Worth asking · Jun 2, 2008 – Oct 2, 2024

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

Form D filed 5,151 days after the first sale — THB SMALLCAP FUND, LLC · Form D filed 431 days after the first sale — Absolute Return Credit Portfolio, Victory Capital Series LLC · Form D filed 16 days after the first sale — Victory Capital Holdings, Inc. · Form D filed 17 days after the first sale — Victory Capital Holdings, Inc. · Form D filed 60 days after the first sale — Victory Absolute Return Credit II Fund, LTD

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 2, 2024 ↗THB SMALLCAP FUND, LLC — PartnerFacts page ↗Form D · Aug 7, 2009 ↗Absolute Return Credit Portfolio, Victory Capital Series LLC — PartnerFacts page ↗
Sources
Note · Jun 2, 2008 – Oct 2, 2024

11 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 — THB SMALLCAP FUND, LLC (latest filing Oct 2, 2024) · No amendment in the last 12 months on an offering that may still be open — THB SMALLCAP FUND, LLC (latest filing Oct 11, 2023) · No amendment in the last 12 months on an offering that may still be open — VES HOLDING COMPANY, LLC (latest filing Jun 15, 2017) · No amendment in the last 12 months on an offering that may still be open — Victory Capital Holdings, Inc. (latest filing Mar 10, 2017) · No amendment in the last 12 months on an offering that may still be open — Victory Capital Holdings, Inc. (latest filing Aug 12, 2016) · and 6 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 · Oct 2, 2024 ↗THB SMALLCAP FUND, LLC — PartnerFacts page ↗Form D/A · Oct 11, 2023 ↗Form D · Jun 15, 2017 ↗
Sources
Note · Aug 1, 2013 – Mar 2, 2015

Offering amount changed between filings — Victory Capital Holdings, Inc.

The Aug 1, 2013 filing says $58,718,421 offered; the Mar 2, 2015 Form D/A says an indefinite amount.

What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.

Form D/A (earlier) · Aug 1, 2013 ↗Form D/A (later) · Mar 2, 2015 ↗Victory Capital Holdings, Inc. — PartnerFacts page ↗
Sources
Note · Jul 19, 2013 – Aug 1, 2013

Offering amount changed between filings — Victory Capital Holdings, Inc.

The Jul 19, 2013 filing says $23,547,114 offered; the Aug 1, 2013 Form D/A says $58,718,421.

What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.

Form D/A (earlier) · Jul 19, 2013 ↗Form D/A (later) · Aug 1, 2013 ↗Victory Capital Holdings, Inc. — PartnerFacts page ↗
Sources
Note · Aug 7, 2009 – Feb 3, 2010

DAVID C. BROWN is written 2 different ways on the filings

listed as "David C. Brown" on 9 filings (from Aug 7, 2009), and "David Brown" on 9 filings (from Feb 3, 2010).

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 7, 2009 ↗Form D · Feb 3, 2010 ↗DAVID C. BROWN — PartnerFacts page ↗
Sources
Note · Aug 7, 2009 – Aug 6, 2010

Reported net asset value range changed between filings — Absolute Return Credit Portfolio, Victory Capital Series LLC

"Decline to Disclose" (Aug 7, 2009); then "Not Applicable" (Aug 6, 2010).

What this means This is the size band the issuer picks for itself on the form. A change can mean the business grew or shrank — or that it chose not to say. Ask for current numbers.

Form D · Aug 7, 2009 ↗Form D/A · Aug 6, 2010 ↗Absolute Return Credit Portfolio, Victory Capital Series LLC — PartnerFacts page ↗
Sources
Note · Mar 2, 2017 – Dec 16, 2025

Same name, different state: "David Brown" (UT) is a separate record

This page covers filings where the address state is OH or TX. A separate record, "David Brown" with address state UT, is listed on 13 filings — most recently by Activz Global, LLC (Dec 16, 2025). Both records have filings in the same period (Mar 2, 2017 to Mar 10, 2017).

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 Brown (UT) — PartnerFacts page ↗Form D · Dec 16, 2025 ↗Activz Global, LLC — PartnerFacts page ↗DAVID C. BROWN (OH,TX) — this page ↗
Sources
Note · Apr 8, 2009 – Dec 3, 2025

Same name, different state: "David Brown" (CA) is a separate record

This page covers filings where the address state is OH or TX. A separate record, "David Brown" with address state CA, is listed on 75 filings — most recently by Hawk Ridge Partners LP (Dec 3, 2025). Both records have filings in the same period (Aug 7, 2009 to Mar 10, 2017).

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 Brown (CA) — PartnerFacts page ↗Form D/A · Dec 3, 2025 ↗Hawk Ridge Partners LP — PartnerFacts page ↗DAVID C. BROWN (OH,TX) — this page ↗
Sources
Note · Feb 19, 2009 – Oct 4, 2022

Same name, different state: "DAVID C BROWN" (GA) is a separate record

This page covers filings where the address state is OH or TX. A separate record, "DAVID C BROWN" with address state GA, is listed on 18 filings — most recently by PB U/X Partners, LLC (Oct 4, 2022). Both records have filings in the same period (Aug 7, 2009 to Mar 10, 2017).

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 C BROWN (GA) — PartnerFacts page ↗Form D/A · Oct 4, 2022 ↗PB U/X Partners, LLC — PartnerFacts page ↗DAVID C. BROWN (OH,TX) — this page ↗
Sources
Note · Sep 23, 2009 – Mar 30, 2011

Same name, different state: "David Brown" (CT) is a separate record

This page covers filings where the address state is OH or TX. A separate record, "David Brown" with address state CT, is listed on 3 filings — most recently by Validus DC Systems, LLC (Mar 30, 2011). Both records have filings in the same period (Sep 23, 2009 to Mar 30, 2011).

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 Brown (CT) — PartnerFacts page ↗Form D/A · Mar 30, 2011 ↗Validus DC Systems, LLC — PartnerFacts page ↗DAVID C. BROWN (OH,TX) — this page ↗
Sources
Note · Mar 16, 2009

Same name, different state: "David Brown" (NH) is a separate record

This page covers filings where the address state is OH or TX. A separate record, "David Brown" with address state NH, is listed on 1 filing — most recently by SALIENT SURGICAL TECHNOLOGIES, INC. (Mar 16, 2009). The two records do not overlap in time: this page runs Aug 7, 2009 to Mar 10, 2017; the other has one filing dated Mar 16, 2009.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

David Brown (NH) — PartnerFacts page ↗Form D · Mar 16, 2009 ↗SALIENT SURGICAL TECHNOLOGIES, INC. — PartnerFacts page ↗DAVID C. BROWN (OH,TX) — this page ↗
Sources
Note · Apr 22, 2020 – Oct 12, 2021

Address moved from Norwalk, CT to San Antonio, TX — THB SMALLCAP FUND, LLC

The people listed on the Apr 22, 2020 filing give Norwalk, CT; on the Oct 12, 2021 filing they give San Antonio, TX.

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/A · Apr 22, 2020 ↗Form D/A · Oct 12, 2021 ↗THB SMALLCAP FUND, LLC — PartnerFacts page ↗
Sources
Note · Jul 19, 2013 – Aug 1, 2013

Address moved from New York, NY to Brooklyn, OH — Victory Capital Holdings, Inc.

The people listed on the Jul 19, 2013 filing give New York, NY; on the Aug 1, 2013 filing they give Brooklyn, OH.

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/A · Jul 19, 2013 ↗Form D/A · Aug 1, 2013 ↗Victory Capital Holdings, Inc. — PartnerFacts page ↗
Sources
Note · Sep 10, 2010 – Oct 26, 2010

Address moved from Saddle Brook, NJ to Norwalk, CT — THB SMALLCAP FUND, LLC

The people listed on the Sep 10, 2010 filing give Saddle Brook, NJ; on the Oct 26, 2010 filing they give Norwalk, CT.

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 · Sep 10, 2010 ↗Form D/A · Oct 26, 2010 ↗THB SMALLCAP FUND, LLC — PartnerFacts page ↗
Sources
Note · Aug 7, 2009 – Oct 2, 2024

DAVID C. BROWN is listed with 2 different address states: OH, TX

OH on 13 filings (Aug 7, 2009 to Jun 15, 2017); TX on 5 filings (Oct 16, 2013 to Oct 2, 2024).

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 7, 2009 ↗Form D · Oct 16, 2013 ↗
Sources
What is compared

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

5. Money to insiders

2 of 12 offerings report sales commissions totalling $1,272,456; 0 report finder's fees; 1 reports proceeds to related persons totalling $9,300,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Oct 2, 2024 D
THB SMALLCAP FUND, LLC
File 021-525612
$0$0$0Victory Capital Services, Inc. BrokerCheck CRD 37059 ↗EDGAR ↗
Oct 11, 2023 D/A
THB SMALLCAP FUND, LLC
File 021-147565
$0$0$0Victory Capital Services, Inc. BrokerCheck CRD 37059 ↗EDGAR ↗
Jun 15, 2017 D
VES HOLDING COMPANY, LLC
File 021-288782
$0$0$0None listed on this filingEDGAR ↗
Mar 10, 2017 D/A
Victory Capital Holdings, Inc.
File 021-192805
$0$0$0None listed on this filingEDGAR ↗
Aug 12, 2016 D
Victory Capital Holdings, Inc.
File 021-268846
$0$0$0None listed on this filingEDGAR ↗
May 13, 2015 D
Victory Capital Holdings, Inc.
File 021-239786
$0$0$0None listed on this filingEDGAR ↗
May 13, 2015 D
Victory Capital Holdings, Inc.
File 021-239793
$0$0$0None listed on this filingEDGAR ↗
Nov 17, 2014 D
Victory Capital Holdings, Inc.
File 021-228509
$0$0$0None listed on this filingEDGAR ↗
Oct 16, 2013 D
CUBIC ENERGY INC
File 021-204711
$1,250,000$0$9,300,000 (est.)
Tauren Exploration, Inc., an entity controlled by Mr. Wallen was paid $4 million of cash in connection with the purchase of certain oil and gas properties. Mr. Wallen was also repaid short-term advances in the amount of approximately $5.3 million.
Imperial Capital, LLC BrokerCheck CRD 43744 ↗EDGAR ↗
Aug 6, 2010 D/A
Absolute Return Credit Portfolio, Victory Capital Series LLC
File 021-133441
$22,456$0$0Victory Capital Advisers, Inc. BrokerCheck CRD 37059 ↗EDGAR ↗
Apr 9, 2010 D
Victory Absolute Return Credit II Fund, LTD
File 021-140336
$0 (est.)$0 (est.)$0Victory Capital Advisers, Inc. BrokerCheck CRD 37059 ↗EDGAR ↗
Feb 3, 2010 D
Victory Absolute Return Credit II Fund, LLC
File 021-138425
$0$0$0Victory Capital Advisers, Inc. BrokerCheck CRD 37059 ↗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 7

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

TS
Pooled Investment Fund · group: Crestview

THB SMALLCAP FUND, LLC

Norwalk, CT · Oct 12, 2021 → Oct 2, 2024 · 4 filings
  • Oct 2, 2024 · D · $72,562,075 sold of Indefinite · 3 investors · min. $2,500 · role: Executive Officer (Officer of the Manager) EDGAR ↗
  • Oct 11, 2023 · D/A · $57,984,765 sold of Indefinite · 3 investors · min. $2,500 · role: Executive Officer (Officer of the Manager) EDGAR ↗
  • Oct 11, 2022 · D/A · $48,999,482 sold of Indefinite · 3 investors · min. $2,500 · role: Executive Officer (Officer of the Manager) EDGAR ↗
  • Oct 12, 2021 · D/A · $62,289,874 sold of Indefinite · 19 investors · min. $2,500 · role: Executive Officer (Officer of the Manager) EDGAR ↗

Raised $399.9M from 19 investors as of the latest filing. David is listed as executive officer on 4 filings for this deal.

Latest filing on EDGAR ↗
Sources

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

VH
Environmental Services · group: Wind Point

VES HOLDING COMPANY, LLC

Chicago, IL · Jun 15, 2017
  • Jun 15, 2017 · D · $58,954,914 sold of Indefinite · 15 investors · min. No minimum reported · role: Executive Officer EDGAR ↗

Raised $59M from 15 investors as of the latest filing. David is listed as executive officer.

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.

VC
Other · group: Crestview

Victory Capital Holdings, Inc.

Brooklyn, OH · Aug 1, 2013 → Mar 10, 2017 · 8 filings
  • Mar 10, 2017 · D/A · $126,055,023 sold of Indefinite · 158 investors · min. No minimum reported · role: Executive Officer, Director (CHAIRMAN AND CHIEF EXECUTIVE OFFICER) EDGAR ↗
  • Aug 12, 2016 · D · $93,355,130 sold of Indefinite · 122 investors · min. No minimum reported · role: Executive Officer, Director (CHAIRMAN AND CHIEF EXECUTIVE OFFICER) EDGAR ↗
  • Mar 2, 2016 · D/A · $79,239,623 sold of Indefinite · 106 investors · min. No minimum reported · role: Executive Officer, Director (CHAIRMAN AND CHIEF EXECUTIVE OFFICER) EDGAR ↗
  • May 13, 2015 · D · $225,000 sold of Indefinite · 1 investors · min. No minimum reported · role: Executive Officer, Director (CHAIRMAN AND CHIEF EXECUTIVE OFFICER) EDGAR ↗
  • May 13, 2015 · D · $1,100,000 sold of Indefinite · 2 investors · min. No minimum reported · role: Executive Officer, Director (CHAIRMAN AND CHIEF EXECUTIVE OFFICER) EDGAR ↗
  • Mar 2, 2015 · D/A · $77,633,760 sold of Indefinite · 100 investors · min. No minimum reported · role: Executive Officer, Director (CHAIRMAN AND CHIEF EXECUTIVE OFFICER) EDGAR ↗
  • Nov 17, 2014 · D · $164,897,972 sold of Indefinite · 57 investors · min. No minimum reported · role: Executive Officer, Director (CHAIRMAN AND CHIEF EXECUTIVE OFFICER) EDGAR ↗
  • Aug 1, 2013 · D/A · $23,547,114 sold of $58,718,421 · 68 investors · min. No minimum reported · role: Executive Officer, Director (CHIEF EXECUTIVE OFFICER) EDGAR ↗

Raised $164.9M from 158 investors as of the latest filing. David is listed as executive officer, director on 8 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Other / 506(b) (18,678 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.

CE
Oil and Gas

CUBIC ENERGY INC

Dallas, TX · Oct 16, 2013
  • Oct 16, 2013 · D · $66,000,000 sold of $66,000,000 · 6 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $66M from 10 investors (100% of the $66M target) 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. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Oil and Gas / 506(b) (1,000 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.

AR
Pooled Investment Fund · group: Crestview

Absolute Return Credit Portfolio, Victory Capital Series LLC

Cleveland, OH · Aug 7, 2009 → Aug 6, 2010 · 2 filings
  • Aug 6, 2010 · D/A · $49,905,950 sold of Indefinite · 20 investors · min. $1,000,000 · role: Executive Officer, Director (COO, Sr. Managing Director of its Manager, Victory Capital Management Inc.) EDGAR ↗
  • Aug 7, 2009 · D · $39,905,950 sold of Indefinite · 19 investors · min. $1,000,000 · role: Executive Officer, Director (COO, Sr. Managing Director of its Manager, Victory Capital Management Inc.) EDGAR ↗

Raised $49.9M from 20 investors as of the latest filing. David is listed as executive officer, director on 2 filings for this deal.

Latest filing on EDGAR ↗
Sources

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

VA
Pooled Investment Fund · group: Crestview

Victory Absolute Return Credit II Fund, LTD

Cleveland, OH · Apr 9, 2010
  • Apr 9, 2010 · D · $10,185,423 sold of Indefinite · 2 investors · min. $5,000,000 · role: Executive Officer, Director (COO, Sr. Managing Director of its Manager, Victory Capital Management Inc.) EDGAR ↗

Raised $10.2M from 2 investors as of the latest filing. David is listed as executive officer, director.

Latest filing on EDGAR ↗
Sources

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

VA
Pooled Investment Fund · group: Crestview

Victory Absolute Return Credit II Fund, LLC

Cleveland, OH · Feb 3, 2010
  • Feb 3, 2010 · D · $56,250,000 sold of Indefinite · 7 investors · min. $5,000,000 · role: Executive Officer, Director (COO, Sr. Managing Director of Its Manager, Victory Capital Management, Inc.) EDGAR ↗

Raised $56.3M from 7 investors as of the latest filing. David is listed as executive officer, director.

Latest filing on EDGAR ↗
Sources

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

Other pages with the same name (20)

Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.

  • David A. Brown — CA, 19 issuers, Oct 17, 2018 → Jul 16, 2026 · no shared issuer
  • David Brown — CA, 14 issuers, Apr 8, 2009 → Dec 3, 2025 · no shared issuer
  • David Brown — NY, 11 issuers, Jul 23, 2009 → May 26, 2026 · no shared issuer
  • David Brown — CO, 11 issuers, Jan 29, 2016 → May 19, 2021 · no shared issuer
  • DAVID C BROWN — GA, 4 issuers, Feb 19, 2009 → Oct 4, 2022 · no shared issuer
  • David W. Brown — VA, 4 issuers, Jun 2, 2016 → Jan 24, 2025 · no shared issuer
  • DAVID BROWN — MN, 3 issuers, Aug 12, 2010 → Sep 14, 2016 · no shared issuer
  • David Brown — Bermuda (as filed: D0), 3 issuers, Oct 22, 2020 → Jun 22, 2023 · no shared issuer
  • David Brown — South Africa (as filed: T3), 3 issuers, Nov 5, 2015 → Feb 14, 2017 · no shared issuer
  • David Brown — UT, 2 issuers, Mar 2, 2017 → Dec 16, 2025 · no shared issuer
  • David G Brown — Manitoba, Canada (as filed: A2), 2 issuers, Jun 3, 2009 → Jun 4, 2009 · no shared issuer
  • David Brown — Ontario, Canada (as filed: A6), 2 issuers, Dec 21, 2009 → Dec 6, 2017 · no shared issuer
  • David Brown — NJ, 2 issuers, Dec 2, 2009 → Oct 12, 2011 · no shared issuer
  • David Andrew Brown — IA, 2 issuers, Apr 22, 2011 → Feb 14, 2012 · no shared issuer
  • David Brown — AL, 2 issuers, Dec 5, 2013 → Dec 4, 2024 · no shared issuer
  • David W. Brown — CA, 2 issuers, Apr 16, 2009 → Dec 23, 2021 · no shared issuer
  • David G. Brown — CA, 2 issuers, Aug 7, 2009 → Mar 11, 2026 · no shared issuer
  • David A.B. Brown — CO, 2 issuers, Jan 18, 2013 → Apr 25, 2019 · no shared issuer
  • David Brown — NC, United Kingdom (as filed: X0), 2 issuers, Sep 13, 2019 → Oct 25, 2021 · no shared issuer
  • David Brown — NH, 1 issuer, Mar 16, 2009 → Mar 16, 2009 · no shared issuer

People around David 33

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

VC
Management entity

Victory Capital Management, Inc.

Promoter · 4 shared filings (1 issuer) · also on 6 other issuers

Victory Capital Management, Inc. is on 7 issuers in total — a repeat sponsor. Their page lists every one.

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

Michael Policarpo

Director, Executive Officer · 16 shared filings (5 issuers) · also on 1 other issuer

Michael Policarpo is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

Richard M. DeMartini

Director · 8 shared filings (1 issuer) · also on 37 other issuers

Richard M. DeMartini is on 38 issuers in total — a repeat sponsor. Their page lists every one.

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

ALEX BINDEROW

Director · 8 shared filings (1 issuer) · also on 2 other issuers

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

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

JAMES HAWKES

Director · 8 shared filings (1 issuer)

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

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

MILTON BERLINSKI

Director · 8 shared filings (1 issuer)

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

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

ALAN RAPPAPORT

Director · 8 shared filings (1 issuer)

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

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

GUY MINETTI

Director · 7 shared filings (1 issuer)

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

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

LAWRENCE DAVANZO

Director · 7 shared filings (1 issuer)

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

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

KARIN HIRTLER-GARVEY

Director · 7 shared filings (1 issuer)

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

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

GREGORY J. EWALD

Executive Officer · 6 shared filings (1 issuer)

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

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

CAROLINE BLISS

Director · 6 shared filings (1 issuer) · also on 1 other issuer

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

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

KELLY CLIFF

Executive Officer, Director · 6 shared filings (2 issuers)

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

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

Nina Gupta

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

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

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

CHRISTOPHER A. OHMACHT

Executive Officer, Director · 5 shared filings (1 issuer)

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

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

Craig E. Ruch

Executive Officer, Director · 4 shared filings (3 issuers) · also on 2 other issuers

Craig E. Ruch is on 5 issuers in total — a repeat sponsor. Their page lists every one.

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

Robert Wagner

Executive Officer · 4 shared filings (3 issuers)

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

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

Gregory N. River

Director · 2 shared filings (1 issuer)

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

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

Calvin Andrew Wallen, III

Executive Officer, Director · 1 shared filing (1 issuer) · also on 1 other issuer

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

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

Larry George Badgley

Executive Officer · 1 shared filing (1 issuer)

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

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

Jon Stuart Ross

Executive Officer, Director · 1 shared filing (1 issuer) · also on 2 other issuers

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

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

Robert Lee Clements

Director · 1 shared filing (1 issuer)

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

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

Gene Claude Howard

Director · 1 shared filing (1 issuer)

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

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

Paul Ferretti

Director · 1 shared filing (1 issuer)

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

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

ROBERT HURST

Director · 1 shared filing (1 issuer)

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

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

SCOTT BERGMANN

Executive Officer · 1 shared filing (1 issuer)

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

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

WILLIAM HINTON

Executive Officer · 1 shared filing (1 issuer)

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

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

ROBERT DIXON

Director · 1 shared filing (1 issuer)

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

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

MARK SALESKI

Director · 1 shared filing (1 issuer)

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

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

JAMES GREGORY MULDOON

Director · 1 shared filing (1 issuer)

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

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

JAMES DEVLIN

Executive Officer, Director · 1 shared filing (1 issuer)

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

The team behind the deals

C
Sponsor group

Crestview

56 issuers · 128 filings · $58.02B reported sold · 2009–2026

One team, 56 deal companies. David C. Brown 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 C. BROWN.

WP
Sponsor group

Wind Point

50 issuers · 84 filings · $10.17B reported sold · 2009–2026

One team, 50 deal companies. David C. Brown is listed on 1 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 C. BROWN.

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

Business registration (state registry / Secretary of State)

Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file).

Adviser registration (Form ADV)

A person is never an adviser firm. 1 of the 7 issuers this person is listed on matches a Form ADV adviser (searched 24,962 advisers as of Oct 2, 2026): THB SMALLCAP FUND, LLC.

Other offering types (Regulation A and Regulation Crowdfunding)

Searched SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.

Property records none — individuals are not matched

Property records are matched to companies only, never to individuals, so none are matched to DAVID C. BROWN by design. Searched property records in Hillsborough County FL (Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026 + FL DOR 2026 ownership roll), Miami-Dade County FL (FL DOR 2026 ownership roll), Harris County TX (HCAD 2026 ownership roll), Dallas County TX (DCAD 2026 ownership roll), New York City ACRIS documents and PLUTO ownership rows already retrieved for other issuers, Cook County IL sale and ownership rows already retrieved for other issuers (814,874 records as of Oct 23, 2026, 8:59 PM ET) for the 7 issuers this person is listed on — nothing matched.

Public profiles and social

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

Look further

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

Found on the sponsor's own site

wind.com ↗ found on VES HOLDING COMPANY, LLC (wind.com — same registered sponsor family (group "Wind Point"); known from issuer CIK 2161195 (probe))

Social and web

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

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗Franklin County OH Clerk of Courts ↗Texas re:SearchTX court records ↗Connecticut Judicial Branch case look-up ↗Cook County Clerk of Court case search ↗

Securities regulators

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

Business registries

Ohio Secretary of State business search ↗Texas Secretary of State business search ↗Connecticut Secretary of State business search ↗Illinois Secretary of State business search ↗OpenCorporates ↗

Change history

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