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

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David Goldstein

Named as an officer, director or promoter on SEC Form D filings · CA · Nov 5, 2009 → Aug 21, 2026

27deals (issuers)
$5.89Breported sold
935investors
121Form D filings
2009–2026years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:20 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

David Goldstein is listed as an executive officer, director, and promoter on 121 SEC Form D filings by 27 issuers between Nov 2009 and Aug 2026. Largest by amount reported sold: Aequim Arbitrage Fund LP (Mill Valley, CA — pooled investment fund — 2017–2026; $878.5M reported sold to 59 investors), BayCity Senior Loan Fund, L.P. (San Francisco, CA — pooled investment fund — 2011–2017; $752.2M reported sold to 26 investors), BayCity Long-Short Credit Fund L.P. (San Francisco, CA — pooled investment fund — 2010–2017; $611M reported sold to 192 investors), RHAPSODY FUND L P (San Francisco, CA — pooled investment fund — 2010–2017; $564.6M reported sold to 107 investors), OVERTURE FUND LP (San Francisco, CA — pooled investment fund — 2010–2011; $508.4M reported sold to 178 investors) and 22 more (all listed below).

What this means That is a lot of deals — 27 separate companies raised money with this person listed as executive officer, director, and promoter, over about 17 years. Across those companies the filings report $5.89B sold in total.

Listed alongside Angela M. McKillen (105 shared filings), Gunther Stein (105 shared filings), Symphony Asset Management LLC (98 shared filings, management entity), Anne B. Popkin (92 shared filings), Judith MacDonald (57 shared filings) and 10 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: Symphony (33 issuers, $4.8B reported sold, 2009–2020) and Aequim Arbitrage (3 issuers, $1.26B reported sold, 2017–2026).

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 SEC release, 58 bankruptcy cases matching the name listed in Key records below.

What this means 59 records came back. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.

We compared the newest 50 of 121 public filings for David Goldstein and found 14 differences, 3 worth asking the sponsor about: 4 offerings reported less sold on a later filing than an earlier one; David Goldstein appears on 3 deals that stopped filing before reaching their target; and more below.

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

What the community is saying

Community search for David Goldstein has not run yet — it is joining a line of 53,513 names; searches run around the clock at the hosts' allowed rate. Searched so far: 641 names.

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

Key records

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

1. Lawsuits

None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026

What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:20 AM ET.

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

2. Regulatory actions

1 SEC release

Nancy Ellis Davis, Jack Weinstein, NancyWeinstein, Adobe Galleries Inc. d/b/a Tower of Jewels, LorettaDavis, Barclay Davis, William Daw, Sonya Daw, Mary Jane Hubbard, David Goldstein, Starlog Franchise Corp., Hope Associates, L.L.C., Michael Michaelson, Raymond J. Markman, Herman Rush, MarkSavel, George Holsten, J.S. Holdings, Inc., Jeffrey Szur, LyndaLou Kane, also known as Lynda Lou Kraft, and InvestorsAssociates, Inc. Litigation release
SEC · Dec 12, 1996 · Parties as named in the release: Nancy Ellis Davis, Jack Weinstein, NancyWeinstein, Adobe Galleries Inc. d/b/a Tower of Jewels, LorettaDavis, Barclay Davis, William Daw, Sonya Daw, Mary Jane Hubbard, David Goldstein, Starlog Franchise Corp., Hope Associates, L.L.C., Michael Michaelson, Raymond J. Markman, Herman Rush, MarkSavel, George Holsten, J.S. Holdings, Inc., Jeffrey Szur, LyndaLou Kane, also known as Lynda Lou Kraft, and InvestorsAssociates, Inc. Read the release ↗
same full name in the release title; 10 people with this name in Form D filings; the person's filing state is not named
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 Goldstein..

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

58 cases: 1 open, 57 closed (disposition not in docket feed)

David Goldstein open
United States Bankruptcy Court, D. North Dakota · No. 26-30280 · Filed Apr 15, 2026
Role of David Goldstein: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in ND (not a filing state)
David A. Goldstein closed
United States Bankruptcy Court, D. New Jersey · No. 20-11646 · Filed Jan 31, 2020 · Closed Jun 5, 2020
Role of David A. Goldstein: Debtor · Outcome: Case closed 2020-06-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in NJ (not a filing state)
David S. Goldstein and Lora E. Goldstein closed
United States Bankruptcy Court, E.D. Pennsylvania · No. 19-11251 · Filed Feb 28, 2019 · Closed Jul 15, 2019
Role of David S. Goldstein and Lora E. Goldstein: Debtor · Outcome: Case closed 2019-07-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in PA (not a filing state)
David S Goldstein and Marion E Goldstein closed
United States Bankruptcy Court, D. New Jersey · No. 18-23693 · Filed Jul 9, 2018 · Closed Aug 19, 2019
Role of David S Goldstein and Marion E Goldstein: Debtor · Outcome: Case closed 2019-08-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in NJ (not a filing state)
David M. Goldstein and Theresa E. Goldstein closed
United States Bankruptcy Court, D. New Jersey · No. 18-18643 · Filed Apr 30, 2018 · Closed Feb 14, 2019
Role of David M. Goldstein and Theresa E. Goldstein: Debtor · Outcome: Case closed 2019-02-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in NJ (not a filing state)
David M. Goldstein closed
United States Bankruptcy Court, N.D. Alabama · No. 17-01729 · Filed Apr 20, 2017 · Closed Aug 17, 2017
Role of David M. Goldstein: Debtor · Outcome: Case closed 2017-08-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in AL (not a filing state)
David S. Goldstein closed
United States Bankruptcy Court, D. New Jersey · No. 17-15659 · Filed Mar 22, 2017 · Closed Nov 30, 2017
Role of David S. Goldstein: Debtor · Outcome: Case closed 2017-11-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in NJ (not a filing state)
David M. Goldstein and Laura A. Goldstein closed
United States Bankruptcy Court, D. New Jersey · No. 16-31475 · Filed Nov 9, 2016 · Closed Jan 24, 2022
Role of David M. Goldstein and Laura A. Goldstein: Debtor · Outcome: Case closed 2022-01-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in NJ (not a filing state)
David M Goldstein and Sharon Renee Goldstein closed
United States Bankruptcy Court, E.D. California · No. 14-90666 · Filed May 7, 2014 · Closed Aug 22, 2014
Role of David M Goldstein and Sharon Renee Goldstein: Debtor · Outcome: Case closed 2014-08-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in the person's filing state (CA)
David Goldstein closed
United States Bankruptcy Court, S.D. New York · No. 13-13632 · Filed Nov 5, 2013 · Closed Apr 14, 2014
Role of David Goldstein: Debtor · Outcome: Case closed 2014-04-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in NY (not a filing state)
David B Goldstein closed
United States Bankruptcy Court, N.D. Illinois · No. 13-10689 · Filed Mar 18, 2013 · Closed Jun 20, 2013
Role of David B Goldstein: Debtor · Outcome: Case closed 2013-06-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in IL (not a filing state)
David J. Goldstein closed
United States Bankruptcy Court, E.D. California · No. 11-61772 · Filed Oct 27, 2011 · Closed Feb 3, 2012
Role of David J. Goldstein: Debtor · Outcome: Case closed 2012-02-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in the person's filing state (CA)
David A Goldstein and Tammy L Goldstein closed
United States Bankruptcy Court, W.D. Missouri · No. 11-43835 · Filed Aug 17, 2011 · Closed Aug 24, 2012
Role of David A Goldstein and Tammy L Goldstein: Debtor · Outcome: Case closed 2012-08-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in MO (not a filing state)
David A Goldstein, II closed
United States Bankruptcy Court, C.D. California · No. 6:11-bk-17922 · Filed Mar 10, 2011 · Closed Jul 27, 2011
Role of David A Goldstein, II: Debtor · Outcome: Case closed 2011-07-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in the person's filing state (CA)
David Goldstein closed
United States Bankruptcy Court, E.D. New York · No. 1-10-47473 · Filed Aug 5, 2010 · Closed Dec 2, 2010
Role of David Goldstein: Debtor · Outcome: Case closed 2010-12-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in NY (not a filing state)
David Goldstein and Doris Goldstein closed
United States Bankruptcy Court, D. New Jersey · No. 09-28839 · Filed Jul 20, 2009 · Closed Aug 19, 2010
Role of David Goldstein and Doris Goldstein: Debtor · Outcome: Case closed 2010-08-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in NJ (not a filing state)
David A. Goldstein closed
United States Bankruptcy Court, E.D. New York · No. 8-09-72730 · Filed Apr 20, 2009 · Closed Mar 1, 2010
Role of David A. Goldstein: Debtor · Outcome: Case closed 2010-03-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in NY (not a filing state)
David M Goldstein and Denise A Rothley closed
United States Bankruptcy Court, E.D. Michigan · No. 08-31885 · Filed May 6, 2008 · Closed Apr 14, 2011
Role of David M Goldstein and Denise A Rothley: Debtor · Outcome: Case closed 2011-04-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in MI (not a filing state)
David A. Goldstein closed
United States Bankruptcy Court, D. Massachusetts · No. 05-21593 · Filed Oct 12, 2005 · Closed Feb 9, 2006
Role of David A. Goldstein: Debtor · Outcome: Case closed 2006-02-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in MA (not a filing state)
David Goldstein closed
United States Bankruptcy Court, N.D. Georgia · No. 05-96854 · Filed Oct 3, 2005 · Closed Jan 30, 2006
Role of David Goldstein: Debtor · Outcome: Case closed 2006-01-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in GA (not a filing state)
David G. Goldstein and Regina L. Goldstein closed
United States Bankruptcy Court, E.D. Pennsylvania · No. 04-23257 · Filed Jun 17, 2004 · Closed Jan 5, 2005
Role of David G. Goldstein and Regina L. Goldstein: Debtor · Outcome: Case closed 2005-01-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in PA (not a filing state)
David M Goldstein closed
United States Bankruptcy Court, C.D. California · No. 2:04-bk-19304 · Filed Apr 22, 2004 · Closed Aug 20, 2004
Role of David M Goldstein: Debtor · Outcome: Case closed 2004-08-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in the person's filing state (CA)
David C Goldstein closed
United States Bankruptcy Court, D. New Jersey · No. 04-21010 · Filed Apr 1, 2004 · Closed Sep 7, 2004
Role of David C Goldstein: Debtor · Outcome: Case closed 2004-09-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in NJ (not a filing state)
David M. Goldstein closed
United States Bankruptcy Court, D. Rhode Island · No. 1:04-bk-10791 · Filed Mar 11, 2004 · Closed Jun 21, 2004
Role of David M. Goldstein: Debtor · Outcome: Case closed 2004-06-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in RI (not a filing state)
David Goldstein closed
United States Bankruptcy Court, S.D. Florida. · No. 04-30268 · Filed Jan 21, 2004 · Closed May 19, 2004
Role of David Goldstein: Debtor · Outcome: Case closed 2004-05-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in FL (not a filing state)
David Goldstein closed
United States Bankruptcy Court, E.D. Pennsylvania · No. 03-36734 · Filed Nov 14, 2003 · Closed Feb 27, 2004
Role of David Goldstein: Debtor · Outcome: Case closed 2004-02-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in PA (not a filing state)
David Goldstein and Peggy Goldstein closed
United States Bankruptcy Court, D. Kansas · No. 03-15701 · Filed Oct 16, 2003 · Closed Jan 27, 2006
Role of David Goldstein and Peggy Goldstein: Debtor · Outcome: Case closed 2006-01-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in KS (not a filing state)
David C Goldstein closed
United States Bankruptcy Court, D. New Jersey · No. 03-41971 · Filed Sep 29, 2003 · Closed Apr 26, 2004
Role of David C Goldstein: Debtor · Outcome: Case closed 2004-04-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in NJ (not a filing state)
David Goldstein closed
United States Bankruptcy Court, S.D. New York · No. 03-41924 · Filed Aug 6, 2003 · Closed Dec 29, 2003
Role of David Goldstein: Debtor · Outcome: Case closed 2003-12-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in NY (not a filing state)
David A. Goldstein and Cyndy J. Goldstein closed
United States Bankruptcy Court, W.D. Oklahoma · No. 03-16340 · Filed Jun 11, 2003 · Closed Dec 2, 2003
Role of David A. Goldstein and Cyndy J. Goldstein: Debtor · Outcome: Case closed 2003-12-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in OK (not a filing state)
David C Goldstein closed
United States Bankruptcy Court, D. New Jersey · No. 02-40880 · Filed Sep 18, 2002 · Closed Aug 26, 2003
Role of David C Goldstein: Debtor · Outcome: Case closed 2003-08-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in NJ (not a filing state)
David A. Goldstein closed
United States Bankruptcy Court, S.D. Florida. · No. 02-32928 · Filed May 31, 2002 · Closed May 29, 2003
Role of David A. Goldstein: Debtor · Outcome: Case closed 2003-05-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in FL (not a filing state)
DAVID GOLDSTEIN and KAREN A. GOLDSTEIN closed
United States Bankruptcy Court, D. Arizona · No. 2:02-bk-03770 · Filed Mar 15, 2002 · Closed Sep 20, 2007
Role of DAVID GOLDSTEIN and KAREN A. GOLDSTEIN: Debtor · Outcome: Case closed 2007-09-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in AR (not a filing state)
DAVID GOLDSTEIN closed
United States Bankruptcy Court, D. Nevada · No. 01-19489 · Filed Sep 12, 2001 · Closed Mar 13, 2003
Role of DAVID GOLDSTEIN: Debtor · Outcome: Case closed 2003-03-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in NV (not a filing state)
David B Goldstein closed
United States Bankruptcy Court, N.D. Illinois · No. 01-26908 · Filed Aug 1, 2001 · Closed Nov 26, 2001
Role of David B Goldstein: Debtor · Outcome: Case closed 2001-11-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in IL (not a filing state)
David Goldstein closed
United States Bankruptcy Court, D. New Jersey · No. 01-37324 · Filed Jun 21, 2001 · Closed Oct 30, 2001
Role of David Goldstein: Debtor · Outcome: Case closed 2001-10-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in NJ (not a filing state)
David J. Goldstein closed
United States Bankruptcy Court, S.D. Illinois · No. 01-60549 · Filed May 29, 2001 · Closed Sep 7, 2001
Role of David J. Goldstein: Debtor · Outcome: Case closed 2001-09-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in IL (not a filing state)
David Goldstein closed
United States Bankruptcy Court, D. New Jersey · No. 01-14447 · Filed Apr 27, 2001 · Closed Aug 9, 2001
Role of David Goldstein: Debtor · Outcome: Case closed 2001-08-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in NJ (not a filing state)
David J. Goldstein closed
United States Bankruptcy Court, D. Massachusetts · No. 01-13491 · Filed Apr 26, 2001 · Closed Sep 10, 2001
Role of David J. Goldstein: Debtor · Outcome: Case closed 2001-09-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in MA (not a filing state)
David M Goldstein closed
United States Bankruptcy Court, S.D. Texas · No. 98-37398 · Filed Jul 15, 1998 · Closed Nov 5, 1998
Role of David M Goldstein: Debtor · Outcome: Case closed 1998-11-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in TX (not a filing state)
David J Goldstein and Estelle Goldstein closed
United States Bankruptcy Court, E.D. New York · No. 8-98-84457 · Filed Apr 30, 1998 · Closed Apr 13, 1999
Role of David J Goldstein and Estelle Goldstein: Debtor · Outcome: Case closed 1999-04-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in NY (not a filing state)
David T Goldstein closed
United States Bankruptcy Court, N.D. Illinois · No. 97-12178 · Filed Apr 22, 1997 · Closed Aug 21, 1997
Role of David T Goldstein: Debtor · Outcome: Case closed 1997-08-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in IL (not a filing state)
David M Goldstein and Linda J Goldstein closed
United States Bankruptcy Court, C.D. California · No. 1:97-bk-14830 · Filed Apr 9, 1997 · Closed Jul 26, 1997
Role of David M Goldstein and Linda J Goldstein: Debtor · Outcome: Case closed 1997-07-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in the person's filing state (CA)
David Goldstein and Rochelle Goldstein closed
United States Bankruptcy Court, D. New Jersey · No. 97-31122 · Filed Feb 5, 1997 · Closed May 21, 1997
Role of David Goldstein and Rochelle Goldstein: Debtor · Outcome: Case closed 1997-05-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in NJ (not a filing state)
David Goldstein closed
United States Bankruptcy Court, C.D. California · No. 1:97-bk-11015 · Filed Jan 24, 1997 · Closed Mar 24, 1997
Role of David Goldstein: Debtor · Outcome: Case closed 1997-03-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in the person's filing state (CA)
David S. Goldstein and Marion Goldstein closed
United States Bankruptcy Court, D. New Jersey · No. 96-31899 · Filed Mar 8, 1996 · Closed Jun 18, 1996
Role of David S. Goldstein and Marion Goldstein: Debtor · Outcome: Case closed 1996-06-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in NJ (not a filing state)
David Goldstein closed
United States Bankruptcy Court, E.D. Pennsylvania · No. 95-11413 · Filed Feb 27, 1995 · Closed Jun 7, 2000
Role of David Goldstein: Debtor · Outcome: Case closed 2000-06-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in PA (not a filing state)
David L. Goldstein closed
United States Bankruptcy Court, E.D. Louisiana · No. 93-13261 · Filed Sep 9, 1993 · Closed Mar 2, 2000
Role of David L. Goldstein: Debtor · Outcome: Case closed 2000-03-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in LA (not a filing state)
David A. Goldstein closed
United States Bankruptcy Court, D. New Jersey · No. 93-25918 · Filed Jul 22, 1993 · Closed Nov 30, 1993
Role of David A. Goldstein: Debtor · Outcome: Case closed 1993-11-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in NJ (not a filing state)
David Goldstein and Paula Goldstein closed
United States Bankruptcy Court, E.D. New York · No. 8-92-81338 · Filed Mar 11, 1992 · Closed Jan 28, 1998
Role of David Goldstein and Paula Goldstein: Debtor · Outcome: Case closed 1998-01-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in NY (not a filing state)
David L. Goldstein and Doris J. Goldstein closed
United States Bankruptcy Court, D. New Jersey · No. 91-36854 · Filed Dec 3, 1991 · Closed Apr 10, 1992
Role of David L. Goldstein and Doris J. Goldstein: Debtor · Outcome: Case closed 1992-04-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in NJ (not a filing state)
DAVID GOLDSTEIN closed
United States Bankruptcy Court, N.D. Alabama · No. 91-02584 · Filed Apr 3, 1991 · Closed Jul 12, 1991
Role of DAVID GOLDSTEIN: Debtor · Outcome: Case closed 1991-07-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in AL (not a filing state)
David M. Goldstein and Theresa E. Goldstein closed
United States Bankruptcy Court, D. New Jersey · No. 91-11437 · Filed Mar 25, 1991 · Closed Sep 11, 1991
Role of David M. Goldstein and Theresa E. Goldstein: Debtor · Outcome: Case closed 1991-09-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in NJ (not a filing state)
David M. Goldstein closed
United States Bankruptcy Court, W.D. New York · No. 1-90-13562 · Filed Nov 27, 1990 · Closed Apr 9, 1992
Role of David M. Goldstein: Debtor · Outcome: Case closed 1992-04-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in NY (not a filing state)
David J. Goldstein closed
United States Bankruptcy Court, D. Massachusetts · No. 90-15911 · Filed Oct 12, 1990 · Closed Dec 31, 1991
Role of David J. Goldstein: Debtor · Outcome: Case closed 1991-12-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in MA (not a filing state)
David Goldstein closed
United States Bankruptcy Court, M.D. Florida · No. 6:90-bk-03782 · Filed Sep 27, 1990 · Closed May 16, 1991
Role of David Goldstein: Debtor · Outcome: Case closed 1991-05-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in FL (not a filing state)
David M. Goldstein closed
United States Bankruptcy Court, W.D. New York · No. 1-88-12281 · Filed Oct 28, 1988 · Closed Dec 11, 1990
Role of David M. Goldstein: Debtor · Outcome: Case closed 1990-12-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in NY (not a filing state)
David Goldstein and Laurie A. Goldstein closed
United States Bankruptcy Court, W.D. New York · No. 2-86-20486 · Filed Apr 15, 1986 · Closed Oct 8, 1986
Role of David Goldstein and Laurie A. Goldstein: Debtor · Outcome: Case closed 1986-10-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 83 federal dockets); 10 people with this name in Form D filings; court in NY (not a filing state)
What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:20 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

14 differences found between the filings for David Goldstein — 3 worth asking about (compared the newest 50 of 121 filings on Oct 24, 2026; older filings not covered)

Worth asking · Jul 14, 2016 – Sep 14, 2018

4 offerings reported less sold on a later filing than an earlier one

Amount sold went down between filings — BayCity Event Driven Opportunities Fund, L.P. · Amount sold went down between filings — BayCity Long-Short Credit Fund L.P. · Amount sold went down between filings — RHAPSODY FUND L P · Amount sold went down between filings — BRAVURA 99 FUND L P

What this means Amounts sold normally only go up. Ask the sponsor what happened on each.

Form D/A (earlier) · Sep 25, 2017 ↗Form D/A (later) · Sep 14, 2018 ↗BayCity Event Driven Opportunities Fund, L.P. — PartnerFacts page ↗Form D/A (earlier) · Sep 25, 2017 ↗
Sources
Worth asking · May 18, 2016 – Sep 13, 2019

David Goldstein appears on 3 deals that stopped filing before reaching their target

BayCity Small Cap Core Fund, L.P. (last filing Sep 13, 2019; $17,912,018 sold of $500,000,000); BayCity CLO Holdings, L.P. (last filing Sep 13, 2019; $3,360,426 sold of $500,000,000); Food With Purpose, LLC (last filing May 18, 2016; $3,000,000 sold of $10,000,000). Each has no filing in more than two years and reported under half its target sold.

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

BayCity Small Cap Core Fund, L.P. — PartnerFacts page ↗BayCity CLO Holdings, L.P. — PartnerFacts page ↗Food With Purpose, LLC — PartnerFacts page ↗
Sources
Note · Mar 15, 2011 – Jun 9, 2017

No amendment in the last 12 months on an offering that may still be open — SYMPHONY ASSET MANAGEMENT LLC (latest filing Jun 9, 2017)

The latest filing for this offering is dated Jun 9, 2017 (first sale Mar 15, 2011). It reports $0 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D/A · Jun 9, 2017 ↗SYMPHONY ASSET MANAGEMENT LLC — PartnerFacts page ↗
Sources
Note · May 4, 2016 – May 18, 2016

No amendment in the last 12 months on an offering that may still be open — Food With Purpose, LLC (latest filing May 18, 2016)

The latest filing for this offering is dated May 18, 2016 (first sale May 4, 2016). It reports $3,000,000 sold of $10,000,000 offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D · May 18, 2016 ↗Food With Purpose, LLC — PartnerFacts page ↗
Sources
Worth asking · Jul 12, 2017 – Sep 14, 2018

12 people are no longer listed on a later amendment

David Goldstein is no longer listed on the Sep 14, 2018 amendment — BayCity Corporate Arbitrage & Relative Value Fund, L.P. · David Goldstein is no longer listed on the Sep 14, 2018 amendment — BayCity Customized Solution Fund S, L.P. · David Goldstein is no longer listed on the Sep 14, 2018 amendment — BayCity Customized Solution Fund R, L.P. · David Goldstein is no longer listed on the Sep 14, 2018 amendment — BayCity High Yield Income Fund L.P. · David Goldstein is no longer listed on the Sep 14, 2018 amendment — BayCity Event Driven Opportunities Fund, L.P. · and 7 more

What this means People leave; the issuer lists only current officers, directors and promoters. Ask why and who replaced them.

Form D/A · Sep 25, 2017 ↗Form D/A · Sep 14, 2018 ↗David Goldstein — PartnerFacts page ↗BayCity Corporate Arbitrage & Relative Value Fund, L.P. — PartnerFacts page ↗
Sources
Note · Apr 19, 2011 – May 2, 2013

8 role changes for the same people across filings

David Goldstein's role changed at BayCity Senior Loan Fund, L.P.: executive officer, promoter → executive officer · David Goldstein's role changed at BayCity Event Driven Opportunities Fund, L.P.: executive officer, promoter → executive officer · David Goldstein's role changed at OVERTURE 7 FUND LP: executive officer, promoter → executive officer · David Goldstein's role changed at BRAVURA 99 FUND L P: executive officer, promoter → executive officer · David Goldstein's role changed at RHAPSODY FUND L P: executive officer, promoter → executive officer · and 3 more

What this means Roles on Form D are self-reported. Ask who runs the company today.

Form D · Jul 29, 2011 ↗Form D/A · May 2, 2013 ↗David Goldstein — PartnerFacts page ↗BayCity Senior Loan Fund, L.P. — PartnerFacts page ↗
Sources
Note · Jan 30, 2015 – Jan 27, 2016

Minimum investment changed between filings — BayCity Senior Loan Fund, L.P.

The Jan 30, 2015 filing lists a minimum of $100,000; the Jan 27, 2016 Form D/A lists $5,000,000.

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

Form D/A (earlier) · Jan 30, 2015 ↗Form D/A (later) · Jan 27, 2016 ↗BayCity Senior Loan Fund, L.P. — PartnerFacts page ↗
Sources
Note · Apr 7, 2010 – Jun 9, 2016

David Goldstein is written 2 different ways on the filings

listed as "David Goldstein" on 100 filings (from Apr 7, 2010), and "David C. Goldstein" on 2 filings (from Jun 9, 2016).

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/A · Apr 7, 2010 ↗Form D/A · Jun 9, 2016 ↗David Goldstein — PartnerFacts page ↗
Sources
Note · Jan 22, 2018 – Mar 21, 2018

Industry group changed between filings — Aequim Alternative Investments LP

"Pooled Investment Fund" (Jan 22, 2018); then "Investing" (Mar 21, 2018).

What this means The issuer described its business differently on different forms. Often it is just a different box ticked; sometimes the deal itself changed. Ask which business your money is in.

Form D · Jan 22, 2018 ↗Form D/A · Mar 21, 2018 ↗Aequim Alternative Investments LP — PartnerFacts page ↗
Sources
Note · Mar 31, 2021 – Apr 14, 2022

Same name, different state: "David Goldstein" (A6) is a separate record

This page covers filings where the address state is CA. A separate record, "David Goldstein" with address state A6, is listed on 2 filings — most recently by 3T (1290 Speers Road) LP (Apr 14, 2022). Both records have filings in the same period (Mar 31, 2021 to Apr 14, 2022).

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 Goldstein (A6) — PartnerFacts page ↗Form D · Apr 14, 2022 ↗3T (1290 Speers Road) LP — PartnerFacts page ↗David Goldstein (CA) — this page ↗
Sources
Note · Feb 1, 2016 – Jan 24, 2019

Same name, different state: "David B. Goldstein" (MD) is a separate record

This page covers filings where the address state is CA. A separate record, "David B. Goldstein" with address state MD, is listed on 7 filings — most recently by WhisperSom Medical Technologies, Inc (Jun 17, 2026). Both records have filings in the same period (Feb 1, 2016 to Jan 24, 2019).

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 B. Goldstein (MD) — PartnerFacts page ↗Form D · Jun 17, 2026 ↗WhisperSom Medical Technologies, Inc — PartnerFacts page ↗David Goldstein (CA) — this page ↗
Sources
Note · Nov 30, 2010 – Feb 24, 2012

Same name, different state: "David Goldstein" (NJ) is a separate record

This page covers filings where the address state is CA. A separate record, "David Goldstein" with address state NJ, is listed on 6 filings — most recently by Health Options Worldwide, Inc. (Feb 24, 2012). Both records have filings in the same period (Nov 30, 2010 to Feb 24, 2012).

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 Goldstein (NJ) — PartnerFacts page ↗Form D/A · Feb 24, 2012 ↗Health Options Worldwide, Inc. — PartnerFacts page ↗David Goldstein (CA) — this page ↗
Sources
Note · Dec 23, 2010

Same name, different state: "David Goldstein" (AZ) is a separate record

This page covers filings where the address state is CA. A separate record, "David Goldstein" with address state AZ, is listed on 1 filing — most recently by DIAMOND VENTURES OPPORTUNITY FUND I, LLC (Dec 23, 2010). Both records have filings in the same period (Dec 23, 2010).

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 Goldstein (AZ) — PartnerFacts page ↗Form D · Dec 23, 2010 ↗DIAMOND VENTURES OPPORTUNITY FUND I, LLC — PartnerFacts page ↗David Goldstein (CA) — this page ↗
Sources
Note · Sep 30, 2009

Same name, different state: "David Jonas Goldstein" (PA) is a separate record

This page covers filings where the address state is CA. A separate record, "David Jonas Goldstein" with address state PA, is listed on 1 filing — most recently by Carebox Co (Sep 30, 2009). The two records do not overlap in time: this page runs Nov 5, 2009 to Aug 21, 2026; the other has one filing dated Sep 30, 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 Jonas Goldstein (PA) — PartnerFacts page ↗Form D/A · Sep 30, 2009 ↗Carebox Co — PartnerFacts page ↗David Goldstein (CA) — this page ↗
Sources
What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. We compared the newest 50 of 121 filings (work cap); older filings are not covered here. As of Oct 24, 2026.

5. Money to insiders

0 of 27 offerings report sales commissions; 0 report finder's fees; 1 reports proceeds to related persons totalling $250,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Aug 21, 2026 D/A
Aequim Arbitrage Fund LP
File 021-301253
$0 (est.)$0 (est.)$0 (est.)None listed on this filingEDGAR ↗
Aug 21, 2026 D/A
Aequim Arbitrage Fund Ltd
File 021-337274
$0$0$0None listed on this filingEDGAR ↗
Mar 21, 2018 D/A
Aequim Alternative Investments LP
File 021-303748
$0 (est.)$0 (est.)$0 (est.)None listed on this filingEDGAR ↗
Sep 25, 2017 D/A
BayCity Long-Short Credit Fund L.P.
File 021-39053
$0 (est.)$0 (est.)$0 (est.)
None, although the general partner of the issuer receives investment management fees and a special profit allocation.
None listed on this filingEDGAR ↗
Sep 25, 2017 D/A
BayCity Small Cap Core Fund, L.P.
File 021-83019
$0 (est.)$0 (est.)$0 (est.)
None, although the general partner of the issuer receives investment management fees.
None listed on this filingEDGAR ↗
Sep 25, 2017 D/A
BayCity CLO Holdings, L.P.
File 021-83413
$0 (est.)$0 (est.)$0 (est.)None listed on this filingEDGAR ↗
Sep 25, 2017 D/A
BayCity Event Driven Opportunities Fund, L.P.
File 021-168879
$0 (est.)$0 (est.)$0 (est.)
None, although the general partner of the issuer receives investment management fees and a special profit allocation.
None listed on this filingEDGAR ↗
Sep 25, 2017 D/A
BayCity High Yield Income Fund L.P.
File 021-234342
$0 (est.)$0 (est.)$0 (est.)
None, although the general partner of the issuer receives investment management fees and a special profit allocation.
None listed on this filingEDGAR ↗
Sep 25, 2017 D/A
BayCity Corporate Arbitrage & Relative Value Fund, L.P.
File 021-244510
$0 (est.)$0 (est.)$0 (est.)
None, although the general partner of the issuer receives investment management fees and a special profit allocation.
None listed on this filingEDGAR ↗
Sep 25, 2017 D/A
BayCity Customized Solution Fund S, L.P.
File 021-244693
$0 (est.)$0 (est.)$0 (est.)
None, although the general partner of the issuer receives investment management fees and a special profit allocation.
None listed on this filingEDGAR ↗
Sep 25, 2017 D/A
BayCity Customized Solution Fund R, L.P.
File 021-244694
$0 (est.)$0 (est.)$0 (est.)
None, although the general partner of the issuer receives investment management fees and a special profit allocation.
None listed on this filingEDGAR ↗
Sep 15, 2017 D/A
BayCity Senior Loan Fund, L.P.
File 021-163643
$0 (est.)$0 (est.)$0 (est.)
None, although the general partner of the issuer receives investment management fees and a special profit allocation.
None listed on this filingEDGAR ↗
Jul 12, 2017 D/A
RHAPSODY FUND L P
File 021-128614
$0 (est.)$0 (est.)$0 (est.)
None, although the general partner of the issuer receives investment management fees and a special profit allocation.
None listed on this filingEDGAR ↗
Jul 12, 2017 D/A
BRAVURA 99 FUND L P
File 021-109343
$0 (est.)$0 (est.)$0 (est.)
None, although the general partner of the issuer receives investment management fees and a special profit allocation.
None listed on this filingEDGAR ↗
Jul 12, 2017 D/A
OVERTURE 7 FUND LP
File 021-52093
$0 (est.)$0 (est.)$0 (est.)
None, although the general partner of the issuer receives investment management fees and a special profit allocation.
None listed on this filingEDGAR ↗
Jun 9, 2017 D/A
SYMPHONY ASSET MANAGEMENT LLC
File 021-156984
$0$0$0None listed on this filingEDGAR ↗
May 18, 2016 D
Food With Purpose, LLC
File 021-263401
$0$0$250,000 (est.)
The Manager of issuer, in which David Goldstein and Steven Paperno own a majority interest, may receive up to approximately $250,000 from gross proceeds for construction management, purchasing and kitchen design services for approximately 10 restaurants.
None listed on this filingEDGAR ↗
Jun 25, 2014 D/A
Symphony CLO Opportunities Fund, L.P.
File 021-175760
$0 (est.)$0 (est.)$0 (est.)
None, although the general partner of the issuer receives investment management fees and a special profit allocation.
None listed on this filingEDGAR ↗
Jan 31, 2014 D
Symphony Senior Loan Fund (Nuveen) L.P.
File 021-211073
$0 (est.)$0 (est.)$0 (est.)
None, although the general partner of the issuer receives investment management fees and a special profit allocation.
None listed on this filingEDGAR ↗
Dec 24, 2013 D/A
SYMPHONY CONVERTIBLE BOND FUND LP
File 021-128113
$0 (est.)$0 (est.)$0 (est.)
None, although the general partner of the issuer receives investment management fees.
None listed on this filingEDGAR ↗
Aug 3, 2011 D/A
Symphony Liquidating Fund, L.P.
File 021-136849
$0 (est.)$0 (est.)$0 (est.)None listed on this filingEDGAR ↗
Apr 21, 2011 D/A
OVERTURE FUND LP
File 021-92713-2L
$0 (est.)$0 (est.)$0 (est.)
None, although the general partner of the issuer receives investment management fees and a special profit allocation.
None listed on this filingEDGAR ↗
Apr 20, 2011 D/A
ENCORE FUND L P
File 021-82845
$0 (est.)$0 (est.)$0 (est.)
None, although the general partner of the issuer receives investment management fees and a special profit allocation.
None listed on this filingEDGAR ↗
Nov 17, 2010 D/A
Symphony Eureka Fund, L.P.
File 021-135891
$0 (est.)$0 (est.)$0 (est.)
None, although the general partner of the issuer receives investment management fees and a special profit allocation.
None listed on this filingEDGAR ↗
Nov 9, 2010 D
Symphony Equity & Credit Opportunities Fund, L.P.
File 021-150197
$0 (est.)$0 (est.)$0 (est.)
None, although the general partner of the issuer receives investment management fees and a special profit allocation.
None listed on this filingEDGAR ↗
Apr 9, 2010 D/A
SYMPHONY CREDIT PARTNERS FUND LP
File 021-128112
$0 (est.)$0 (est.)$0 (est.)
None, although the general partner of the issuer receives investment management fees.
None listed on this filingEDGAR ↗
Apr 8, 2010 D/A
Jazz Fund L P
File 021-72307
$0 (est.)$0 (est.)$0 (est.)
None, although the general partner of the issuer receives investment management fees and a special profit allocation.
None 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 27

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

AA
Pooled Investment Fund · group: Aequim Arbitrage

Aequim Arbitrage Fund Ltd

George Town, Grand Cayman, Cayman Islands (as filed: E9) · Apr 15, 2019 → Aug 21, 2026 · 6 filings
  • Aug 21, 2026 · D/A · $382,096,253 sold of Indefinite · 33 investors · min. $1,000,000 · role: Director EDGAR ↗
  • Aug 22, 2025 · D/A · $345,896,253 sold of Indefinite · 30 investors · min. $1,000,000 · role: Director EDGAR ↗
  • Jun 8, 2022 · D/A · $227,772,530 sold of Indefinite · 21 investors · min. $1,000,000 · role: Director EDGAR ↗
  • Jun 8, 2021 · D/A · $53,262,530 sold of Indefinite · 11 investors · min. $1,000,000 · role: Director EDGAR ↗
  • Apr 14, 2020 · D/A · $25,010,000 sold of Indefinite · 2 investors · min. $1,000,000 · role: Director EDGAR ↗
  • Apr 15, 2019 · D · $25,010,000 sold of Indefinite · 2 investors · min. $1,000,000 · role: Director EDGAR ↗

Raised $382.1M from 33 investors as of the latest filing. David is listed as director on 6 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.

AA
Pooled Investment Fund · group: Aequim Arbitrage

Aequim Arbitrage Fund LP

Mill Valley, CA · Dec 20, 2017 → Aug 21, 2026 · 7 filings
  • Aug 21, 2026 · D/A · $878,480,000 sold of Indefinite · 59 investors · min. $100,000 · role: Executive Officer (Executive Officer of Aequim Alternative Investments LLC, General Partner) EDGAR ↗
  • Aug 22, 2025 · D/A · $786,830,000 sold of Indefinite · 56 investors · min. $100,000 · role: Executive Officer (Executive Officer of Aequim Alternative Investments LLC, General Partner) EDGAR ↗
  • Jan 14, 2022 · D/A · $464,570,000 sold of Indefinite · 31 investors · min. $100,000 · role: Executive Officer (Executive Officer of Aequim Alternative Investments LLC, General Partner) EDGAR ↗
  • Jan 14, 2021 · D/A · $302,225,000 sold of Indefinite · 20 investors · min. $100,000 · role: Executive Officer (Executive Officer of Aequim Alternative Investments LLC, General Partner) EDGAR ↗
  • Dec 20, 2019 · D/A · $136,720,000 sold of Indefinite · 10 investors · min. $100,000 · role: Executive Officer (Executive Officer of Aequim Alternative Investments LLC, General Partner) EDGAR ↗
  • Dec 20, 2018 · D/A · $52,510,000 sold of Indefinite · 3 investors · min. $100,000 · role: Executive Officer (Executive Officer of Aequim Alternative Investments LLC, General Partner) EDGAR ↗
  • Dec 20, 2017 · D · $0 sold of Indefinite · 0 investors · min. $100,000 · role: Executive Officer (Executive Officer of Aequim Alternative Investments LLC, General Partner) EDGAR ↗

Raised $878.5M from 59 investors as of the latest filing. David is listed as executive officer on 7 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.

AA
Investing · group: Aequim Arbitrage

Aequim Alternative Investments LP

Mill Valley, CA · Jan 22, 2018 → Mar 21, 2018 · 2 filings
  • Mar 21, 2018 · D/A · $0 sold of Indefinite · 0 investors · min. $100,000 · role: Executive Officer (Executive Officer of Aequim Alternative Investments LLC, General Partner) EDGAR ↗
  • Jan 22, 2018 · D · $0 sold of Indefinite · 0 investors · min. $100,000 · role: Executive Officer (Executive Officer of Aequim Alternative Investments LLC, General Partner) EDGAR ↗

No sales reported yet as of the latest filing. David is listed as executive officer 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. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Investing / 506(b) (2,521 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

BC
Pooled Investment Fund · group: Symphony

BayCity Corporate Arbitrage & Relative Value Fund, L.P.

San Francisco, CA · Jul 27, 2015 → Sep 25, 2017 · 4 filings
  • Sep 25, 2017 · D/A · $265,291,175 sold of Indefinite · 3 investors · min. $5,000,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Aug 31, 2016 · D/A · $264,791,175 sold of Indefinite · 2 investors · min. $5,000,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Jul 15, 2016 · D/A · $264,791,175 sold of Indefinite · 2 investors · min. $5,000,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Jul 27, 2015 · D · $0 sold of Indefinite · 0 investors · min. $5,000,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗

Raised $302.8M from 3 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.

BC
Pooled Investment Fund · group: Symphony

BayCity Customized Solution Fund S, L.P.

San Francisco, CA · Jul 29, 2015 → Sep 25, 2017 · 4 filings
  • Sep 25, 2017 · D/A · $319,600,000 sold of Indefinite · 1 investors · min. $100,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Aug 31, 2016 · D/A · $319,600,000 sold of Indefinite · 1 investors · min. $100,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Jul 19, 2016 · D/A · $319,600,000 sold of Indefinite · 1 investors · min. $100,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Jul 29, 2015 · D · $0 sold of Indefinite · 0 investors · min. $100,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗

Raised $349.6M from 1 investor 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.

BC
Pooled Investment Fund · group: Symphony

BayCity Customized Solution Fund R, L.P.

San Francisco, CA · Jul 29, 2015 → Sep 25, 2017 · 4 filings
  • Sep 25, 2017 · D/A · $58,400,000 sold of Indefinite · 1 investors · min. $100,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Aug 31, 2016 · D/A · $58,400,000 sold of Indefinite · 1 investors · min. $100,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Jul 19, 2016 · D/A · $58,400,000 sold of Indefinite · 1 investors · min. $100,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Jul 29, 2015 · D · $0 sold of Indefinite · 0 investors · min. $100,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗

Raised $67.2M from 1 investor 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.

BH
Pooled Investment Fund · group: Symphony

BayCity High Yield Income Fund L.P.

San Francisco, CA · Feb 19, 2015 → Sep 25, 2017 · 4 filings
  • Sep 25, 2017 · D/A · $51,250,000 sold of Indefinite · 5 investors · min. $5,000,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Aug 31, 2016 · D/A · $25,000,000 sold of Indefinite · 1 investors · min. $5,000,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Jan 27, 2016 · D/A · $25,000,000 sold of Indefinite · 1 investors · min. $5,000,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Feb 19, 2015 · D · $25,000,000 sold of Indefinite · 1 investors · min. $5,000,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗

Raised $51.3M from 5 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.

BE
Pooled Investment Fund · group: Symphony

BayCity Event Driven Opportunities Fund, L.P.

San Francisco, CA · Nov 17, 2011 → Sep 25, 2017 · 7 filings
  • Sep 25, 2017 · D/A · $81,321,408 sold of Indefinite · 31 investors · min. $1,000,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Aug 31, 2016 · D/A · $80,321,408 sold of Indefinite · 31 investors · min. $1,000,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • May 17, 2016 · D/A · $80,321,408 sold of Indefinite · 31 investors · min. $1,000,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • May 19, 2015 · D/A · $79,821,408 sold of Indefinite · 31 investors · min. $1,000,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Feb 19, 2014 · D/A · $77,571,408 sold of Indefinite · 28 investors · min. $1,000,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Jan 10, 2013 · D/A · $58,457,555 sold of Indefinite · 20 investors · min. $1,000,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Nov 17, 2011 · D · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer, Promoter (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗

Raised $81.3M from 31 investors as of the latest filing. David is listed as executive officer, promoter on 7 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.

BC
Pooled Investment Fund · group: Symphony

BayCity CLO Holdings, L.P.

San Francisco, CA · Apr 9, 2010 → Sep 25, 2017 · 7 filings
  • Sep 25, 2017 · D/A · $3,360,426 sold of $500,000,000 · 17 investors · min. $100,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Aug 31, 2016 · D/A · $3,360,426 sold of $500,000,000 · 17 investors · min. $100,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Jun 25, 2014 · D/A · $3,360,426 sold of $500,000,000 · 17 investors · min. $100,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Apr 30, 2013 · D/A · $3,360,426 sold of $500,000,000 · 17 investors · min. $100,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • May 2, 2012 · D/A · $3,360,426 sold of $500,000,000 · 17 investors · min. $100,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Apr 21, 2011 · D/A · $3,360,426 sold of $500,000,000 · 17 investors · min. $100,000 · role: Executive Officer, Promoter (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Apr 9, 2010 · D/A · $3,360,426 sold of $500,000,000 · 17 investors · min. $100,000 · role: Executive Officer, Promoter (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗

Raised $3.36M from 17 investors (1% of the $500M target) as of the latest filing. David is listed as executive officer, promoter on 7 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.

BS
Pooled Investment Fund · group: Symphony

BayCity Small Cap Core Fund, L.P.

San Francisco, CA · Apr 8, 2010 → Sep 25, 2017 · 9 filings
  • Sep 25, 2017 · D/A · $17,912,018 sold of $500,000,000 · 12 investors · min. $500,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Aug 31, 2016 · D/A · $17,912,018 sold of $500,000,000 · 12 investors · min. $500,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Jul 15, 2016 · D/A · $17,912,018 sold of $500,000,000 · 12 investors · min. $500,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Jul 14, 2015 · D/A · $17,912,018 sold of $500,000,000 · 12 investors · min. $500,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Jun 24, 2014 · D/A · $15,412,018 sold of $500,000,000 · 11 investors · min. $500,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Jun 17, 2013 · D/A · $15,412,018 sold of $500,000,000 · 11 investors · min. $500,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • May 2, 2012 · D/A · $15,412,018 sold of $500,000,000 · 11 investors · min. $500,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Apr 22, 2011 · D/A · $15,412,018 sold of $500,000,000 · 11 investors · min. $500,000 · role: Executive Officer, Promoter (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Apr 8, 2010 · D/A · $15,412,018 sold of $500,000,000 · 11 investors · min. $500,000 · role: Executive Officer, Promoter (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗

Raised $17.9M from 12 investors (4% of the $500M target) as of the latest filing. David is listed as executive officer, promoter on 9 filings for this deal.

Latest filing on EDGAR ↗
Sources

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

BL
Pooled Investment Fund · group: Symphony

BayCity Long-Short Credit Fund L.P.

San Francisco, CA · Apr 7, 2010 → Sep 25, 2017 · 9 filings
  • Sep 25, 2017 · D/A · $594,902,604 sold of Indefinite · 190 investors · min. $5,000,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Aug 31, 2016 · D/A · $584,877,604 sold of Indefinite · 185 investors · min. $5,000,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Dec 16, 2015 · D/A · $584,877,604 sold of Indefinite · 185 investors · min. $5,000,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Nov 25, 2014 · D/A · $560,453,668 sold of Indefinite · 179 investors · min. $5,000,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Nov 21, 2013 · D/A · $476,905,507 sold of Indefinite · 167 investors · min. $5,000,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • May 3, 2013 · D/A · $475,955,509 sold of Indefinite · 159 investors · min. $500,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • May 1, 2012 · D/A · $442,176,593 sold of $500,000,000 · 113 investors · min. $500,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Apr 19, 2011 · D/A · $418,392,525 sold of $500,000,000 · 91 investors · min. $500,000 · role: Executive Officer, Promoter (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Apr 7, 2010 · D/A · $416,492,525 sold of $500,000,000 · 93 investors · min. $500,000 · role: Executive Officer, Promoter (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗

Raised $611M from 192 investors as of the latest filing. David is listed as executive officer, promoter on 9 filings for this deal.

Latest filing on EDGAR ↗
Sources

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

BS
Pooled Investment Fund · group: Symphony

BayCity Senior Loan Fund, L.P.

San Francisco, CA · Jul 29, 2011 → Sep 15, 2017 · 7 filings
  • Sep 15, 2017 · D/A · $700,534,434 sold of Indefinite · 24 investors · min. $5,000,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Aug 31, 2016 · D/A · $450,940,000 sold of Indefinite · 12 investors · min. $5,000,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Jan 27, 2016 · D/A · $450,940,000 sold of Indefinite · 12 investors · min. $5,000,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Jan 30, 2015 · D/A · $305,440,000 sold of Indefinite · 12 investors · min. $100,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Jun 25, 2014 · D/A · $185,440,000 sold of Indefinite · 10 investors · min. $100,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • May 2, 2013 · D/A · $112,000,000 sold of Indefinite · 4 investors · min. $100,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Jul 29, 2011 · D · $0 sold of Indefinite · 0 investors · min. $100,000 · role: Executive Officer, Promoter (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗

Raised $752.2M from 26 investors as of the latest filing. David is listed as executive officer, promoter on 7 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.

RF
Pooled Investment Fund · group: Symphony

RHAPSODY FUND L P

San Francisco, CA · Apr 7, 2010 → Jul 12, 2017 · 8 filings
  • Jul 12, 2017 · D/A · $556,957,679 sold of Indefinite · 107 investors · min. $500,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Jul 14, 2016 · D/A · $564,585,489 sold of Indefinite · 107 investors · min. $500,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Jul 14, 2015 · D/A · $532,718,156 sold of Indefinite · 106 investors · min. $500,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Jun 25, 2014 · D/A · $532,618,156 sold of Indefinite · 106 investors · min. $500,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • May 2, 2013 · D/A · $532,468,156 sold of Indefinite · 106 investors · min. $500,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • May 2, 2012 · D/A · $528,040,258 sold of Indefinite · 104 investors · min. $500,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Apr 21, 2011 · D/A · $525,539,363 sold of Indefinite · 93 investors · min. $500,000 · role: Executive Officer, Promoter (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Apr 7, 2010 · D/A · $525,339,363 sold of Indefinite · 96 investors · min. $500,000 · role: Executive Officer, Promoter (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗

Raised $564.6M from 107 investors as of the latest filing. David is listed as executive officer, promoter on 8 filings for this deal.

Latest filing on EDGAR ↗
Sources

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

O7
Pooled Investment Fund · group: Symphony

OVERTURE 7 FUND LP

San Francisco, CA · Apr 7, 2010 → Jul 12, 2017 · 8 filings
  • Jul 12, 2017 · D/A · $143,078,689 sold of $200,000,000 · 23 investors · min. $500,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Jul 14, 2016 · D/A · $138,593,802 sold of $200,000,000 · 23 investors · min. $500,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Jul 14, 2015 · D/A · $78,070,105 sold of $200,000,000 · 21 investors · min. $500,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Jun 25, 2014 · D/A · $78,070,105 sold of $200,000,000 · 21 investors · min. $500,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • May 1, 2013 · D/A · $78,070,105 sold of $200,000,000 · 21 investors · min. $500,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • May 2, 2012 · D/A · $77,970,105 sold of $200,000,000 · 20 investors · min. $500,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Apr 21, 2011 · D/A · $77,689,511 sold of $200,000,000 · 17 investors · min. $500,000 · role: Executive Officer, Promoter (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Apr 7, 2010 · D/A · $76,754,054 sold of $200,000,000 · 16 investors · min. $500,000 · role: Executive Officer, Promoter (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗

Raised $149.7M from 23 investors (75% of the $200M target) as of the latest filing. David is listed as executive officer, promoter on 8 filings for this deal.

Latest filing on EDGAR ↗
Sources

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

B9
Pooled Investment Fund · group: Symphony

BRAVURA 99 FUND L P

San Francisco, CA · Apr 7, 2010 → Jul 12, 2017 · 8 filings
  • Jul 12, 2017 · D/A · $431,229,701 sold of $500,000,000 · 86 investors · min. $500,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Jul 15, 2016 · D/A · $432,613,264 sold of $500,000,000 · 86 investors · min. $500,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Jul 14, 2015 · D/A · $379,505,029 sold of $500,000,000 · 84 investors · min. $500,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Jun 24, 2014 · D/A · $379,505,029 sold of $500,000,000 · 84 investors · min. $500,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • May 1, 2013 · D/A · $379,455,029 sold of $500,000,000 · 83 investors · min. $500,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • May 2, 2012 · D/A · $379,355,029 sold of $500,000,000 · 82 investors · min. $500,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Apr 20, 2011 · D/A · $379,355,029 sold of $500,000,000 · 82 investors · min. $500,000 · role: Executive Officer, Promoter (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Apr 7, 2010 · D/A · $378,216,080 sold of $500,000,000 · 83 investors · min. $500,000 · role: Executive Officer, Promoter (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗

Raised $432.6M from 86 investors (87% of the $500M target) as of the latest filing. David is listed as executive officer, promoter on 8 filings for this deal.

Latest filing on EDGAR ↗
Sources

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

SA
Other Banking and Financial Services · group: Symphony

SYMPHONY ASSET MANAGEMENT LLC

San Francisco, CA · Mar 18, 2011 → Jun 9, 2017 · 7 filings
  • Jun 9, 2017 · D/A · $0 sold of Indefinite · 19 investors · min. No minimum reported · role: Executive Officer (Chief Operating Officer) EDGAR ↗
  • Jun 9, 2016 · D/A · $0 sold of Indefinite · 19 investors · min. No minimum reported · role: Executive Officer (Chief Operating Officer) EDGAR ↗
  • Mar 11, 2015 · D/A · $0 sold of Indefinite · 19 investors · min. No minimum reported · role: Executive Officer (Chief Operating Officer) EDGAR ↗
  • Mar 11, 2014 · D/A · $0 sold of Indefinite · 18 investors · min. No minimum reported · role: Executive Officer (Chief Operating Officer) EDGAR ↗
  • Mar 13, 2013 · D/A · $0 sold of Indefinite · 17 investors · min. No minimum reported · role: Executive Officer (Vice President and Chief Operating Officer) EDGAR ↗
  • Mar 16, 2012 · D/A · $0 sold of Indefinite · 11 investors · min. No minimum reported · role: Executive Officer (Vice President and Chief Operating Officer) EDGAR ↗
  • Mar 18, 2011 · D · $0 sold of Indefinite · 11 investors · min. No minimum reported · role: Executive Officer (Vice President and Chief Operating Officer) EDGAR ↗

19 investors reported; no amount sold yet as of the latest filing. David is listed as executive officer on 7 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 Banking and Financial Services / 506(b) (1,630 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.

FW
Restaurants

Food With Purpose, LLC

Westlake Village, CA · May 18, 2016
  • May 18, 2016 · D · $3,000,000 sold of $10,000,000 · 3 investors · min. $500,000 · role: Executive Officer, Promoter (David Goldstein is the Vice President and Chief Operating Officer of the manager of the issuer.) EDGAR ↗

Raised $3M from 3 investors (30% of the $10M target) as of the latest filing. David is listed as executive officer, promoter.

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: Restaurants / 506(b) (639 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.

SC
Pooled Investment Fund · group: Symphony

Symphony CLO Opportunities Fund, L.P.

San Francisco, CA · Mar 28, 2012 → Jun 25, 2014 · 4 filings
  • Jun 25, 2014 · D/A · $14,477,000 sold of Indefinite · 36 investors · min. $3,000,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • May 2, 2013 · D/A · $12,877,000 sold of Indefinite · 31 investors · min. $3,000,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Apr 26, 2012 · D/A · $0 sold of Indefinite · 0 investors · min. $3,000,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Mar 28, 2012 · D · $0 sold of Indefinite · 0 investors · min. $3,000,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗

Raised $14.5M from 36 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.

SS
Pooled Investment Fund · group: Symphony

Symphony Senior Loan Fund (Nuveen) L.P.

San Francisco, CA · Jan 31, 2014
  • Jan 31, 2014 · D · $0 sold of Indefinite · 0 investors · min. $3,000,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗

No sales reported yet 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. "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.

SC
Pooled Investment Fund · group: Symphony

SYMPHONY CONVERTIBLE BOND FUND LP

San Francisco, CA · Apr 9, 2010 → Dec 24, 2013 · 3 filings
  • Dec 24, 2013 · D/A · $7,189,291 sold of $500,000,000 · 1 investors · min. $500,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Apr 21, 2011 · D/A · $5,189,291 sold of $500,000,000 · 1 investors · min. $500,000 · role: Executive Officer, Promoter (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Apr 9, 2010 · D/A · $5,183,494 sold of $500,000,000 · 1 investors · min. $500,000 · role: Executive Officer, Promoter (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗

Raised $7.19M from 1 investor (1% of the $500M target) as of the latest filing. David is listed as executive officer, promoter 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.

SL
Pooled Investment Fund · group: Symphony

Symphony Liquidating Fund, L.P.

San Francisco, CA · Dec 11, 2009 → Aug 3, 2011 · 2 filings
  • Aug 3, 2011 · D/A · $0 sold of Indefinite · 0 investors · min. $100,000 · role: Executive Officer, Promoter (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Dec 11, 2009 · D · $0 sold of Indefinite · 0 investors · min. $100,000 · role: Executive Officer, Promoter (Executive Officer of Symphony Asset Management LLC) EDGAR ↗

No sales reported yet as of the latest filing. David is listed as executive officer, promoter 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.

OF
Pooled Investment Fund · group: Symphony

OVERTURE FUND LP

San Francisco, CA · Apr 8, 2010 → Apr 21, 2011 · 2 filings
  • Apr 21, 2011 · D/A · $508,396,914 sold of $750,000,000 · 178 investors · min. $500,000 · role: Executive Officer, Promoter (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Apr 8, 2010 · D/A · $508,196,915 sold of $750,000,000 · 178 investors · min. $500,000 · role: Executive Officer, Promoter (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗

Raised $508.4M from 178 investors (68% of the $750M target) as of the latest filing. David is listed as executive officer, promoter 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.

EF
Pooled Investment Fund · group: Symphony

ENCORE FUND L P

San Francisco, CA · Apr 8, 2010 → Apr 20, 2011 · 2 filings
  • Apr 20, 2011 · D/A · $301,793,740 sold of $500,000,000 · 65 investors · min. $500,000 · role: Executive Officer, Promoter (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗
  • Apr 8, 2010 · D/A · $301,668,740 sold of $500,000,000 · 67 investors · min. $500,000 · role: Executive Officer, Promoter (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗

Raised $301.8M from 67 investors (60% of the $500M target) as of the latest filing. David is listed as executive officer, promoter 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.

SE
Pooled Investment Fund · group: Symphony

Symphony Eureka Fund, L.P.

San Francisco, CA · Nov 5, 2009 → Nov 17, 2010 · 2 filings
  • Nov 17, 2010 · D/A · $247,551,998 sold of Indefinite · 1 investors · min. $100,000 · role: Executive Officer (Executive Officer of Symphony Asset Management LLC) EDGAR ↗
  • Nov 5, 2009 · D · $0 sold of Indefinite · 0 investors · min. $100,000 · role: Executive Officer, Promoter (Executive Officer of Symphony Asset Management LLC) EDGAR ↗

Raised $247.6M from 1 investor as of the latest filing. David is listed as executive officer, promoter 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.

SE
Pooled Investment Fund · group: Symphony

Symphony Equity & Credit Opportunities Fund, L.P.

San Francisco, CA · Nov 9, 2010
  • Nov 9, 2010 · D · $0 sold of Indefinite · 0 investors · min. $100,000 · role: Executive Officer, Promoter (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗

No sales reported yet as of the latest filing. David is listed as executive officer, promoter.

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.

SC
Pooled Investment Fund · group: Symphony

SYMPHONY CREDIT PARTNERS FUND LP

San Francisco, CA · Apr 9, 2010
  • Apr 9, 2010 · D/A · $10,000,000 sold of $500,000,000 · 1 investors · min. $500,000 · role: Executive Officer, Promoter (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗

Raised $10M from 1 investor (2% of the $500M target) as of the latest filing. David is listed as executive officer, promoter.

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.

JF
Pooled Investment Fund · group: Symphony

Jazz Fund L P

San Francisco, CA · Apr 8, 2010
  • Apr 8, 2010 · D/A · $149,512,954 sold of $500,000,000 · 33 investors · min. $500,000 · role: Executive Officer, Promoter (Executive Officer of Symphony Asset Management LLC, General Partner) EDGAR ↗

Raised $149.5M from 33 investors (30% of the $500M target) as of the latest filing. David is listed as executive officer, promoter.

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 (9)

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

  • David Goldstein — Ontario, Canada (as filed: A6), 2 issuers, Mar 31, 2021 → Apr 14, 2022 · no shared issuer
  • David Jonas Goldstein — PA, 1 issuer, Sep 30, 2009 → Sep 30, 2009 · no shared issuer
  • David Goldstein — AZ, 1 issuer, Dec 23, 2010 → Dec 23, 2010 · no shared issuer
  • David Goldstein — NJ, 1 issuer, Nov 30, 2010 → Feb 24, 2012 · no shared issuer
  • David B. Goldstein — MD, 1 issuer, Feb 1, 2016 → Jan 24, 2019 · no shared issuer
  • David W Goldstein — TX, 1 issuer, Jun 17, 2021 → Jun 17, 2021 · no shared issuer
  • David Samuel Goldstein — RI, 1 issuer, Sep 15, 2026 → Sep 15, 2026 · no shared issuer
  • David I Goldstein — PA, 1 issuer, Jul 2, 2009 → Jul 2, 2009 · no shared issuer
  • David M. Goldstein — CA, 1 issuer, Jul 24, 2024 → Jul 24, 2024 · no shared issuer

People around David 15

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

SA
Management entity

Symphony Asset Management LLC

Executive Officer, Promoter · 98 shared filings (22 issuers) · also on 9 other issuers

Symphony Asset Management LLC is on 31 issuers in total — a repeat sponsor. Their page lists every one.

AA
Management entity

Aequim Alternative Investments LLC

Executive Officer · 9 shared filings (2 issuers)

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

NI
Management entity

Nuveen Investments Holdings, Inc.

Promoter · 7 shared filings (1 issuer) · also on 1 other issuer

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

SG
Management entity

Symphony GP LLC

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

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

SF
Management entity

Symphony Funds LLC

Executive Officer · 1 shared filing (1 issuer)

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

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

Gunther Stein

Executive Officer, Promoter · 105 shared filings (23 issuers) · also on 8 other issuers

Gunther Stein is on 31 issuers in total — a repeat sponsor. Their page lists every one.

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

Angela M. McKillen

Executive Officer, Promoter · 105 shared filings (23 issuers) · also on 1 other issuer

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

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

Anne B. Popkin

Executive Officer, Promoter · 92 shared filings (21 issuers) · also on 1 other issuer

Anne B. Popkin is on 22 issuers in total — a repeat sponsor. Their page lists every one.

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

Judith MacDonald

Executive Officer · 57 shared filings (16 issuers) · also on 1 other issuer

Judith MacDonald is on 17 issuers in total — a repeat sponsor. Their page lists every one.

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

Amy Chen

Executive Officer · 12 shared filings (12 issuers) · also on 1 other issuer

Amy Chen is on 13 issuers in total — a repeat sponsor. Their page lists every one.

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

Franklin Parlamis

Executive Officer · 9 shared filings (2 issuers)

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

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

Jonathan Morgan

Director · 6 shared filings (1 issuer) · also on 29 other issuers

Jonathan Morgan is on 30 issuers in total — a repeat sponsor. Their page lists every one.

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

Philip Cater

Director · 6 shared filings (1 issuer) · also on 97 other issuers

Philip Cater is on 98 issuers in total — a repeat sponsor. Their page lists every one.

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

Ross S. Sakamoto

Executive Officer · 3 shared filings (1 issuer)

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

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

Steven Paperno

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

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

The team behind the deals

S
Sponsor group

Symphony

33 issuers · 144 filings · $4.8B reported sold · 2009–2020

One team, 33 deal companies. David Goldstein is listed on 23 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 Goldstein.

AA
Sponsor group

Aequim Arbitrage

3 issuers · 15 filings · $1.26B reported sold · 2017–2026

One team, 3 deal companies. David Goldstein is listed on 3 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 Goldstein.

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. 2 of the 27 issuers this person is listed on match a Form ADV adviser (searched 24,962 advisers as of Oct 2, 2026): Aequim Arbitrage Fund LP, Aequim Alternative Investments LP.

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 Goldstein 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 27 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers David Goldstein is listed on: none on file. No website or social profile named in RHAPSODY FUND L P's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #251,058 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓

Look further

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

Social and web

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Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗California — find the county court ↗Los Angeles Superior Court case search ↗

Securities regulators

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

Business registries

California Secretary of State business search ↗OpenCorporates ↗

Change history

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