PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:13 AM ET

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Herald Chen

Named as an officer, director or promoter on SEC Form D filings · NY · Mar 30, 2016 → Jul 18, 2019

7deals (issuers)
$566.3Mreported sold
159investors
14Form D filings
2016–2019years 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

Herald Chen is listed as an executive officer on 14 SEC Form D filings by 7 issuers between Mar 2016 and Jul 2019. Largest by amount reported sold: KKR Next Generation Technology Growth Fund L.P. (New York, NY — pooled investment fund — 2016; $461.1M reported sold to 22 investors), KKR Next Generation Technology Growth Fund (EEA), L.P. (New York, NY — pooled investment fund — 2016; $49.5M reported sold to 8 investors), KKR NGT Growth Fund ESC L.P. (New York, NY — pooled investment fund — 2016; $29M reported sold to 50 investors), KKR NGT Growth Fund SBS L.P. (New York, NY — pooled investment fund — 2016; $17.9M reported sold to 73 investors), KKR NGT Growth Fund Private Investors (Electing) L.P. (New York, NY — pooled investment fund — 2016; $4.5M reported sold to 4 investors) and 2 more (all listed below).

What this means A repeat sponsor — 7 separate companies raised money with this person listed as executive officer, over about 3 years. Across those companies the filings report $566.3M sold in total.

Listed alongside David Sorkin (14 shared filings), Jason Carss (14 shared filings), Philipp Freise (14 shared filings), Scott C. Nuttall (14 shared filings), Stephen Jordan (14 shared filings) and 21 others.

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

All 7 issuers belong to the sponsor group Kkr (486 issuers, $626.84B reported sold, 2010–2026).

What this means A sponsor group is one team that sets up a new company for each deal. Kkr has 486 companies on file and $626.84B 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) — none found.

What this means Nothing turned up where we looked (3 sources). That does not prove there is nothing — it means none was found in those sources on that date.

We compared 14 public filings for Herald Chen and found 8 differences, 1 worth asking the sponsor about: 5 paid sellers are listed without a CRD number; 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 Herald Chen has not run yet — it is joining a line of 49,541 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

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 Herald Chen..

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

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

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.

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

8 differences found between the filings for Herald Chen — 1 worth asking about (compared 14 filings on Oct 24, 2026)

Note · May 19, 2000 – Sep 28, 2000

Bankruptcy case: David A Sorkin and Jennifer Sorkin — filed May 19, 2000

United States Bankruptcy Court, E.D. New York docket "David A Sorkin and Jennifer Sorkin" filed May 19, 2000, closed Sep 28, 2000. David Sorkin (listed on the same filings) is listed as Debtor ("David A Sorkin and Jennifer Sorkin"). Our match estimate: 70%.

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Docket · United States Bankruptcy Court, E.D. New York ↗David Sorkin — PartnerFacts page ↗
Sources
Note · Mar 25, 1998 – Aug 15, 2000

Bankruptcy case: Richard C. Breeden, Esq. v. Zettel — filed Mar 25, 1998

United States Bankruptcy Court, N.D. New York docket "Richard C. Breeden, Esq. v. Zettel" filed Mar 25, 1998, closed Aug 15, 2000. Wolfgang Zettel (listed on the same filings) is listed as Defendant ("Zettel"). Our match estimate: 70%.

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Docket · United States Bankruptcy Court, N.D. New York ↗Wolfgang Zettel — PartnerFacts page ↗
Sources
Note · Dec 3, 1999 – Mar 31, 2000

Bankruptcy case: Codispoti v. New York State Higher Education Svc Corp — filed Dec 3, 1999

United States Bankruptcy Court, E.D. New York docket "Codispoti v. New York State Higher Education Svc Corp" filed Dec 3, 1999, closed Mar 31, 2000. Steven Codispoti (listed on the same filings) is listed as Plaintiff ("Codispoti"). Our match estimate: 70%.

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Docket · United States Bankruptcy Court, E.D. New York ↗Steven Codispoti — PartnerFacts page ↗
Sources
Worth asking · Mar 30, 2016 – Jul 18, 2019

5 paid sellers are listed without a CRD number

Paid seller listed without a CRD number: OCP Fund Management Inc. — KKR Next Generation Technology Growth Fund II SCSp · Paid seller listed without a CRD number: OCP Fund Management LP — KKR Next Generation Technology Growth Fund II SCSp · Paid seller listed without a CRD number: Bank of Singapore Limited — KKR Next Generation Technology Growth Fund L.P. · Paid seller listed without a CRD number: Cygnus Investment Partners LP — KKR Next Generation Technology Growth Fund L.P. · Paid seller listed without a CRD number: Bank of Singapore Limited — KKR Next Generation Technology Growth Fund (EEA), L.P.

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

Form D · Jul 18, 2019 ↗BrokerCheck search: OCP Fund Management Inc. ↗KKR Next Generation Technology Growth Fund II SCSp — PartnerFacts page ↗BrokerCheck search: OCP Fund Management LP ↗
Sources
Note · Mar 31, 2016 – Dec 30, 2016

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

No amendment in the last 12 months on an offering that may still be open — KKR Next Generation Technology Growth Fund (EEA), L.P. (latest filing Dec 30, 2016) · No amendment in the last 12 months on an offering that may still be open — KKR NGT Growth Fund SBS L.P. (latest filing Dec 30, 2016) · No amendment in the last 12 months on an offering that may still be open — KKR NGT Growth Fund ESC L.P. (latest filing Dec 30, 2016) · No amendment in the last 12 months on an offering that may still be open — KKR NGT Growth Fund Private Investors (Electing) L.P. (latest filing Dec 30, 2016) · No amendment in the last 12 months on an offering that may still be open — KKR Next Generation Technology Growth Fund L.P. (latest filing Dec 30, 2016) · and 1 more

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

Form D/A · Dec 30, 2016 ↗KKR Next Generation Technology Growth Fund (EEA), L.P. — PartnerFacts page ↗Form D/A · Dec 30, 2016 ↗KKR NGT Growth Fund SBS L.P. — PartnerFacts page ↗
Sources
Note · Jul 22, 2014 – Apr 15, 2022

Same name, different state: "Herald Chen" (CA) is a separate record

This page covers filings where the address state is NY. A separate record, "Herald Chen" with address state CA, is listed on 4 filings — most recently by AppLovin Corp (Apr 15, 2022). Both records have filings in the same period (Mar 30, 2016 to Jul 18, 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.

Herald Chen (CA) — PartnerFacts page ↗Form D/A · Apr 15, 2022 ↗AppLovin Corp — PartnerFacts page ↗Herald Chen (NY) — this page ↗
Sources
Note · Sep 19, 2014 – Nov 17, 2014

Same name, different state: "Herald Chen" (CO) is a separate record

This page covers filings where the address state is NY. A separate record, "Herald Chen" with address state CO, is listed on 2 filings — most recently by PING IDENTITY CORP (Nov 17, 2014). The two records do not overlap in time: this page runs Mar 30, 2016 to Jul 18, 2019; the other runs Sep 19, 2014 to Nov 17, 2014.

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.

Herald Chen (CO) — PartnerFacts page ↗Form D · Nov 17, 2014 ↗PING IDENTITY CORP — PartnerFacts page ↗Herald Chen (NY) — this page ↗
Sources
Note · Dec 30, 2011 – Sep 5, 2013

Same name, different state: "Herald Chen" (NY or AZ) is a separate record

This page covers filings where the address state is NY. A separate record, "Herald Chen" with address state NY or AZ, is listed on 4 filings — most recently by Desert Newco, LLC (Sep 5, 2013). The two records do not overlap in time: this page runs Mar 30, 2016 to Jul 18, 2019; the other runs Dec 30, 2011 to Sep 5, 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.

Herald Chen (NY,AZ) — PartnerFacts page ↗Form D · Sep 5, 2013 ↗Desert Newco, LLC — PartnerFacts page ↗Herald Chen (NY) — 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

3 of 7 offerings report sales commissions totalling $24,520,919; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Jul 18, 2019 D
KKR Next Generation Technology Growth Fund II SCSp
File 021-344649
$19,540,000 (est.)$0$0Citi Private Advisory, LLC BrokerCheck CRD 153777 ↗
Citigroup Global Markets Inc. BrokerCheck CRD 7059 ↗
Altegris Investments, LLC BrokerCheck CRD 8258 ↗
Morgan Stanley Smith Barney LLC BrokerCheck CRD 149777 ↗
OCP Fund Management Inc. no CRD number reported
OCP Fund Management LP no CRD number reported		EDGAR ↗
Dec 30, 2016 D/A
KKR NGT Growth Fund Private Investors (Direct) L.P.
File 021-260245
$0$0$0None listed on this filingEDGAR ↗
Dec 30, 2016 D/A
KKR Next Generation Technology Growth Fund L.P.
File 021-260241
$3,980,919 (est.)$0$0Bank of Singapore Limited no CRD number reported
Merrill Lynch, Pierce, Fenner & Smith Incorporated BrokerCheck CRD 7691 ↗
Cygnus Investment Partners LP no CRD number reported		EDGAR ↗
Dec 30, 2016 D/A
KKR NGT Growth Fund Private Investors (Electing) L.P.
File 021-260248
$0$0$0None listed on this filingEDGAR ↗
Dec 30, 2016 D/A
KKR NGT Growth Fund ESC L.P.
File 021-260247
$0$0$0None listed on this filingEDGAR ↗
Dec 30, 2016 D/A
KKR NGT Growth Fund SBS L.P.
File 021-260250
$0$0$0None listed on this filingEDGAR ↗
Dec 30, 2016 D/A
KKR Next Generation Technology Growth Fund (EEA), L.P.
File 021-260242
$1,000,000 (est.)$0$0Bank of Singapore Limited 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 7

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

KN
Pooled Investment Fund · group: Kkr

KKR Next Generation Technology Growth Fund II SCSp

New York, NY · Jul 18, 2019
  • Jul 18, 2019 · D · $0 sold of Indefinite · 0 investors · min. No minimum reported · role: Executive Officer (Attorney of the General Partner of the General Partner of the Issuer) EDGAR ↗

No sales reported yet as of the latest filing. Herald 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.

KN
Pooled Investment Fund · group: Kkr

KKR NGT Growth Fund SBS L.P.

New York, NY · Mar 30, 2016 → Dec 30, 2016 · 2 filings
  • Dec 30, 2016 · D/A · $17,930,000 sold of Indefinite · 73 investors · min. No minimum reported · role: Executive Officer (Vice President of the General Partner of the Issuer) EDGAR ↗
  • Mar 30, 2016 · D · $0 sold of Indefinite · 0 investors · min. No minimum reported · role: Executive Officer (Vice President of the General Partner of the Issuer) EDGAR ↗

Raised $17.9M from 73 investors as of the latest filing. Herald 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: 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.

KN
Pooled Investment Fund · group: Kkr

KKR NGT Growth Fund ESC L.P.

New York, NY · Mar 30, 2016 → Dec 30, 2016 · 2 filings
  • Dec 30, 2016 · D/A · $28,975,000 sold of Indefinite · 50 investors · min. No minimum reported · role: Executive Officer (Vice President of the General Partner of the Issuer) EDGAR ↗
  • Mar 30, 2016 · D · $0 sold of Indefinite · 0 investors · min. No minimum reported · role: Executive Officer (Vice President of the General Partner of the Issuer) EDGAR ↗

Raised $29M from 50 investors as of the latest filing. Herald 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: 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.

KN
Pooled Investment Fund · group: Kkr

KKR NGT Growth Fund Private Investors (Electing) L.P.

New York, NY · Mar 30, 2016 → Dec 30, 2016 · 2 filings
  • Dec 30, 2016 · D/A · $4,500,000 sold of Indefinite · 4 investors · min. No minimum reported · role: Executive Officer (Vice President of the General Partner of the Issuer.) EDGAR ↗
  • Mar 30, 2016 · D · $0 sold of Indefinite · 0 investors · min. No minimum reported · role: Executive Officer (Vice President of the General Partner of the Issuer.) EDGAR ↗

Raised $4.5M from 4 investors as of the latest filing. Herald 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: 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.

KN
Pooled Investment Fund · group: Kkr

KKR NGT Growth Fund Private Investors (Direct) L.P.

New York, NY · Mar 30, 2016 → Dec 30, 2016 · 2 filings
  • Dec 30, 2016 · D/A · $4,250,000 sold of Indefinite · 2 investors · min. No minimum reported · role: Executive Officer (Vice President of the General Partner of the Issuer) EDGAR ↗
  • Mar 30, 2016 · D · $0 sold of Indefinite · 0 investors · min. No minimum reported · role: Executive Officer (Vice President of the General Partner of the Issuer) EDGAR ↗

Raised $4.25M from 2 investors as of the latest filing. Herald 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: 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.

KN
Pooled Investment Fund · group: Kkr

KKR Next Generation Technology Growth Fund (EEA), L.P.

New York, NY · Mar 30, 2016 → Dec 30, 2016 · 2 filings
  • Dec 30, 2016 · D/A · $49,500,000 sold of Indefinite · 8 investors · min. No minimum reported · role: Executive Officer (Vice President of the General Partner of the sole shareholder of the General Partner of the Issuer) EDGAR ↗
  • Mar 30, 2016 · D · $0 sold of Indefinite · 0 investors · min. No minimum reported · role: Executive Officer (Vice President of the General Partner of the sole shareholder of the General Partner of the Issuer) EDGAR ↗

Raised $49.5M from 8 investors as of the latest filing. Herald 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: 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.

KN
Pooled Investment Fund · group: Kkr

KKR Next Generation Technology Growth Fund L.P.

New York, NY · Mar 30, 2016 → Dec 30, 2016 · 3 filings
  • Dec 30, 2016 · D/A · $461,125,950 sold of Indefinite · 22 investors · min. No minimum reported · role: Executive Officer (Vice President of the General Partner of the General Partner of the Issuer) EDGAR ↗
  • Nov 14, 2016 · D/A · $449,125,950 sold of Indefinite · 22 investors · min. No minimum reported · role: Executive Officer (Vice President of the General Partner of the General Partner of the Issuer) EDGAR ↗
  • Mar 30, 2016 · D · $0 sold of Indefinite · 0 investors · min. No minimum reported · role: Executive Officer (Vice President of the General Partner of the General Partner of the Issuer) EDGAR ↗

Raised $461.1M from 22 investors as of the latest filing. Herald is listed as executive officer 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.

Other pages with the same name (3)

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

  • Herald Chen — NY, AZ, 3 issuers, Dec 30, 2011 → Sep 5, 2013 · no shared issuer
  • Herald Chen — CA, 2 issuers, Jul 22, 2014 → Apr 15, 2022 · no shared issuer
  • Herald Chen — CO, 1 issuer, Sep 19, 2014 → Nov 17, 2014 · no shared issuer

People around Herald 26

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

KN
Management entity

KKR Next Gen Tech Growth Limited

Promoter · 13 shared filings (6 issuers)

KKR Next Gen Tech Growth Limited is on 6 issuers in total — a repeat sponsor. Their page lists every one.

KA
Management entity

KKR Associates NGT L.P.

Promoter · 5 shared filings (2 issuers)

Listed on the same filings as Herald Chen. Their page shows their other deals.

KN
Management entity

KKR NGT EEA Limited

Promoter · 2 shared filings (1 issuer)

Listed on the same filings as Herald Chen. Their page shows their other deals.

KN
Management entity

KKR NGT II S.? r.l.

Promoter · 1 shared filing (1 issuer) · also on 3 other issuers

Listed on the same filings as Herald Chen. Their page shows their other deals.

KA
Management entity

KKR Associates NGT II SCSp

Promoter · 1 shared filing (1 issuer) · also on 3 other issuers

Listed on the same filings as Herald Chen. Their page shows their other deals.

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

Jason Carss

Executive Officer, Director · 14 shared filings (7 issuers) · also on 256 other issuers

Jason Carss is on 263 issuers in total — a repeat sponsor. Their page lists every one.

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

Suzanne O. Donohoe

Executive Officer · 14 shared filings (7 issuers) · also on 88 other issuers

Suzanne O. Donohoe is on 95 issuers in total — a repeat sponsor. Their page lists every one.

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

William J. Janetschek

Director · 14 shared filings (7 issuers) · also on 100 other issuers

William J. Janetschek is on 107 issuers in total — a repeat sponsor. Their page lists every one.

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

David Sorkin

Director, Executive Officer · 14 shared filings (7 issuers) · also on 79 other issuers

David Sorkin is on 86 issuers in total — a repeat sponsor. Their page lists every one.

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

Scott C. Nuttall

Executive Officer · 14 shared filings (7 issuers) · also on 66 other issuers

Scott C. Nuttall is on 73 issuers in total — a repeat sponsor. Their page lists every one.

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

Stephen Jordan

Executive Officer · 14 shared filings (7 issuers) · also on 109 other issuers

Stephen Jordan is on 116 issuers in total — a repeat sponsor. Their page lists every one.

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

Terence Gallagher

Executive Officer · 14 shared filings (7 issuers) · also on 75 other issuers

Terence Gallagher is on 82 issuers in total — a repeat sponsor. Their page lists every one.

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

Steven Codispoti

Executive Officer · 14 shared filings (7 issuers) · also on 147 other issuers

Steven Codispoti is on 154 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

Richard Sarnoff

Executive Officer · 13 shared filings (6 issuers) · also on 5 other issuers

Richard Sarnoff is on 11 issuers in total — a repeat sponsor. Their page lists every one.

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

Christopher Lee

Executive Officer · 13 shared filings (6 issuers) · also on 146 other issuers

Christopher Lee is on 152 issuers in total — a repeat sponsor. Their page lists every one.

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

Alexander Navab

Executive Officer · 13 shared filings (6 issuers) · also on 21 other issuers

Alexander Navab is on 27 issuers in total — a repeat sponsor. Their page lists every one.

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

Todd A. Fisher

Director · 13 shared filings (6 issuers) · also on 53 other issuers

Todd A. Fisher is on 59 issuers in total — a repeat sponsor. Their page lists every one.

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

Brian Bull

Executive Officer · 13 shared filings (6 issuers) · also on 28 other issuers

Brian Bull is on 34 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

Jennifer McGroarty

Executive Officer · 1 shared filing (1 issuer) · also on 111 other issuers

Jennifer McGroarty is on 112 issuers in total — a repeat sponsor. Their page lists every one.

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

Stefan Lambert

Director · 1 shared filing (1 issuer) · also on 110 other issuers

Stefan Lambert is on 111 issuers in total — a repeat sponsor. Their page lists every one.

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

Joseph Y. Bae

Executive Officer · 1 shared filing (1 issuer) · also on 26 other issuers

Joseph Y. Bae is on 27 issuers in total — a repeat sponsor. Their page lists every one.

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

Wolfgang Zettel

Director · 1 shared filing (1 issuer) · also on 60 other issuers

Wolfgang Zettel is on 61 issuers in total — a repeat sponsor. Their page lists every one.

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

Adam Nowak

Executive Officer · 1 shared filing (1 issuer) · also on 49 other issuers

Adam Nowak is on 50 issuers in total — a repeat sponsor. Their page lists every one.

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

Lucian Sch?nefelder

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

Listed on the same filings as Herald Chen. Their page shows their other deals.

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

David Welsh

Executive Officer · 1 shared filing (1 issuer) · also on 3 other issuers

Listed on the same filings as Herald Chen. Their page shows their other deals.

The team behind the deals

K
Sponsor group

Kkr

486 issuers · 904 filings · $626.84B reported sold · 2010–2026

One team, 486 deal companies. Herald Chen is listed on 7 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 Herald Chen.

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)

None of the 7 issuers 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 Herald Chen by design. Searched property records in Hillsborough County FL (Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026 + FL DOR 2026 ownership roll), Miami-Dade County FL (FL DOR 2026 ownership roll), Harris County TX (HCAD 2026 ownership roll), Dallas County TX (DCAD 2026 ownership roll), New York City ACRIS documents and PLUTO ownership rows already retrieved for other issuers, Cook County IL sale and ownership rows already retrieved for other issuers (814,874 records as of Oct 23, 2026, 8:59 PM ET) for the 7 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Herald Chen is listed on: none on file. No website or social profile named in KKR Next Generation Technology Growth Fund II SCSp's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #910 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 (New York, NY). 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) ↗New York WebCivil Supreme ↗

Securities regulators

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

Business registries

New York Secretary of State business search ↗OpenCorporates ↗

Change history

No corrections have been requested for this page.

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