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

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David M Brain

Named as an officer, director or promoter on SEC Form D filings · AR · Nov 30, 2017 → Nov 30, 2017

1deal (issuers)
$7Mreported sold
2investors
1Form D filing
2017year on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:40 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

David M Brain is listed as a director on 1 SEC Form D filing by 1 issuer in Nov 2017: CapRocq Core Holdings, L.P. (Little Rock, AR — reits and finance — 2017; $7M reported sold to 2 investors).

What this means One deal on file with the SEC, filed Nov 2017. A Form D is the notice a company files after it starts selling a private investment — it is a notice, not an approval.

Listed alongside Beau Blair (1 shared filing), CapRocq Core Advisors M (1 shared filing, management entity), CapRocq Core REIT M (1 shared filing, management entity), Franklin McLarty (1 shared filing), Kevin Huchingson (1 shared filing) and 1 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 issuer belongs to the sponsor group Tempus (28 issuers, $259.6M reported sold, 2011–2022).

What this means A sponsor group is one team that sets up a new company for each deal. Tempus has 28 companies on file and $259.6M reported sold in total — the group page shows the whole track record in one place.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — 4 bankruptcy cases matching the name listed in Key records below.

What this means 4 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 1 public filing for David M Brain and found 7 differences, 3 worth asking the sponsor about: AR securities regulator consent order naming a team member (Feb 28, 2018); 714% of the money raised went to insiders; 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 M Brain has not run yet — it is joining a line of 52,969 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, 2:40 AM ET.

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

2. Regulatory actions

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: 48 regulators (FINRA, NASAA, 37 states) — crawled Oct 24, 2026, 8:48 AM ET

What was searched

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

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

4 cases: 4 closed (disposition not in docket feed)

David A Brain, Jr closed
United States Bankruptcy Court, D. Maryland · No. 11-31019 · Filed Oct 24, 2011 · Closed Feb 7, 2012
Role of David A Brain, Jr: Debtor · Outcome: Case closed 2012-02-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 7 federal dockets); 3 people with this name in Form D filings; court in MD (not a filing state); middle initial differs
David A Brain, Sr. closed
United States Bankruptcy Court, D. Maryland · No. 11-31018 · Filed Oct 24, 2011 · Closed Feb 1, 2012
Role of David A Brain, Sr.: Debtor · Outcome: Case closed 2012-02-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 7 federal dockets); 3 people with this name in Form D filings; court in MD (not a filing state); middle initial differs
David M. Brain closed
United States Bankruptcy Court, D. Massachusetts · No. 11-12785 · Filed Mar 30, 2011 · Closed Aug 12, 2011
Role of David M. Brain: Debtor · Outcome: Case closed 2011-08-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 7 federal dockets); 3 people with this name in Form D filings; court in MA (not a filing state)
David Brain closed
United States Bankruptcy Court, N.D. Ohio · No. 05-18681 · Filed Jun 16, 2005 · Closed Sep 26, 2005
Role of David Brain: Debtor · Outcome: Case closed 2005-09-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 7 federal dockets); 3 people with this name in Form D filings; court in OH (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, 2:40 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

7 differences found between the filings for David M Brain — 3 worth asking about (compared 1 filing on Oct 24, 2026)

Worth asking · Feb 28, 2018

AR securities regulator consent order naming a team member (Feb 28, 2018)

Arkansas Securities Department issued a Consent order dated Feb 28, 2018. Respondents as listed: CapRocq Core Holdings, L.P.. Outcome as listed: Consent order entered against an issuer of covered securities for a late notice filing with the Department.. Matched to CapRocq Core Holdings, L.P. (related issuer). Our match estimate: 80%.

What this means A state regulator issued an order (cease-and-desist, consent order, fine or bar). Read the order; ask the sponsor what it covered.

AR order · Consent order ↗CapRocq Core Holdings, L.P. — PartnerFacts page ↗
Sources
Worth asking · Nov 30, 2017

714% of the money raised went to insiders — CapRocq Core Holdings, L.P.

The Nov 30, 2017 Form D reports $7,000,000 sold and $50,000,000 of the proceeds used for payments to officers, directors or promoters (marked as an estimate).

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

Form D · Nov 30, 2017 ↗CapRocq Core Holdings, L.P. — PartnerFacts page ↗
Sources
Note · Nov 30, 2017

David M Brain appears on 1 deal that stopped filing before reaching its target

CapRocq Core Holdings, L.P. (last filing Nov 30, 2017; $7,000,000 sold of $50,000,000). 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.

CapRocq Core Holdings, L.P. — PartnerFacts page ↗
Sources
Worth asking · Sep 14, 2017 – Nov 30, 2017

Form D filed 77 days after the first sale — CapRocq Core Holdings, L.P.

The filing says the first sale was Sep 14, 2017. The Form D was filed Nov 30, 2017 — 77 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 62 days past that.

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

Form D · Nov 30, 2017 ↗CapRocq Core Holdings, L.P. — PartnerFacts page ↗
Sources
Note · Sep 14, 2017 – Nov 30, 2017

No amendment in the last 12 months on an offering that may still be open — CapRocq Core Holdings, L.P. (latest filing Nov 30, 2017)

The latest filing for this offering is dated Nov 30, 2017 (first sale Sep 14, 2017). It reports $7,000,000 sold of $50,000,000 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 · Nov 30, 2017 ↗CapRocq Core Holdings, L.P. — PartnerFacts page ↗
Sources
Note · Mar 18, 2010 – Oct 24, 2018

Same name, different state: "DAVID BRAIN" (MO) is a separate record

This page covers filings where the address state is AR. A separate record, "DAVID BRAIN" with address state MO, is listed on 2 filings — most recently by Ikhaya Wines LLC (Oct 24, 2018). Both records have filings in the same period (Nov 30, 2017).

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

DAVID BRAIN (MO) — PartnerFacts page ↗Form D · Oct 24, 2018 ↗Ikhaya Wines LLC — PartnerFacts page ↗David M Brain (AR) — this page ↗
Sources
Note · May 11, 2012 – Jan 31, 2013

Same name, different state: "David M. Brain" (AZ) is a separate record

This page covers filings where the address state is AR. A separate record, "David M. Brain" with address state AZ, is listed on 3 filings — most recently by American Residential Properties, Inc. (Jan 31, 2013). The two records do not overlap in time: this page has one filing dated Nov 30, 2017; the other runs May 11, 2012 to Jan 31, 2013.

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 M. Brain (AZ) — PartnerFacts page ↗Form D · Jan 31, 2013 ↗American Residential Properties, Inc. — PartnerFacts page ↗David M Brain (AR) — 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. As of Oct 24, 2026.

5. Money to insiders

0 of 1 offering report sales commissions; 0 report finder's fees; 1 reports proceeds to related persons totalling $50,000,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Nov 30, 2017 D
CapRocq Core Holdings, L.P.
File 021-299770
$0$0$50,000,000 (est.)N/A no CRD number reportedEDGAR ↗
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 1

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

CC
REITS and Finance · group: Tempus

CapRocq Core Holdings, L.P.

Little Rock, AR · Nov 30, 2017
  • Nov 30, 2017 · D · $7,000,000 sold of $50,000,000 · 2 investors · min. $10 · role: Director (Independent Director of the General Partner of the Company.) EDGAR ↗

Raised $7M from 2 investors (14% of the $50M target) as of the latest filing. David is listed as director.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: REITS and Finance / 506(c) (253 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.

Other pages with the same name (2)

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

  • DAVID BRAIN — MO, 2 issuers, Mar 18, 2010 → Oct 24, 2018 · no shared issuer
  • David M. Brain — AZ, 1 issuer, May 11, 2012 → Jan 31, 2013 · no shared issuer

People around David 6

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

CC
Management entity

CapRocq Core REIT M

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

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

CC
Management entity

CapRocq Core Advisors M

Promoter · 1 shared filing (1 issuer)

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

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

Kevin Huchingson

Executive Officer, Director · 1 shared filing (1 issuer) · also on 11 other issuers

Kevin Huchingson is on 12 issuers in total — a repeat sponsor. Their page lists every one.

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

Franklin McLarty

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

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

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

Beau Blair

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

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

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

Michael A Ross

Director · 1 shared filing (1 issuer)

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

The team behind the deals

T
Sponsor group

Tempus

28 issuers · 29 filings · $259.6M reported sold · 2011–2022

One team, 28 deal companies. David M Brain is listed on 1 of them.

Sources

Issuers are grouped when their Form D filings share related persons, a management entity or a business address (automatic match from the filings). "Listed" marks the issuers that name David M Brain.

Same business address

49 other issuers file from the same address

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)

None of the 1 issuer this person is listed on appears in Form ADV (searched 24,962 advisers as of Oct 2, 2026). A person is never an adviser firm; Form ADV is checked for the issuers and the management companies they are listed with.

Other offering types (Regulation A and Regulation Crowdfunding)

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

Property records none — individuals are not matched

Property records are matched to companies only, never to individuals, so none are matched to David M Brain 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 1 issuer this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers David M Brain is listed on: none on file. No website or social profile named in CapRocq Core Holdings, L.P.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #262,649 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 (Little Rock, AR). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

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

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗Arkansas state courts — find the court ↗

Securities regulators

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

Business registries

Arkansas Secretary of State business search ↗OpenCorporates ↗

Change history

No corrections have been requested for this page.

Every fact links to its public-record source. Plain-English notes next to a fact are our reading of that fact, not a rating. Request a correction · Facts policy

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