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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:40 AM ET

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Howard Guberman

Named as an officer, director or promoter on SEC Form D filings · NY · Mar 10, 2010 → Mar 14, 2018

11deals (issuers)
$2.8Breported sold
798investors
54Form D filings
2010–2018years 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

Howard Guberman is listed as an executive officer and director on 54 SEC Form D filings by 11 issuers between Mar 2010 and Mar 2018. Largest by amount reported sold: Gruss DV Fund, Ltd. (Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2010–2018; $678.2M reported sold to 430 investors), Gruss Offshore Arbitrage Fund, Ltd. (Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2010–2012; $607.6M reported sold to 13 investors), Gruss DV Fund, L.P. (New York, NY — pooled investment fund — 2010–2018; $353.5M reported sold to 173 investors), Gruss Global Investors, Ltd. (Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2010–2017; $347M reported sold to 49 investors), Gruss Global Investors, L.P. (New York, NY — pooled investment fund — 2010–2017; $346.1M reported sold to 66 investors) and 6 more (all listed below).

What this means That is a lot of deals — 11 separate companies raised money with this person listed as executive officer and director, over about 8 years. Across those companies the filings report $2.8B sold in total.

Listed alongside Gruss Capital Advisors, L.L.C. (30 shared filings, management entity), Sean Dany (27 shared filings), Peter D. Anderson (21 shared filings), Philip Dickie (20 shared filings), Gruss Capital Management, LP (14 shared filings, management entity) and 7 others.

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

All 11 issuers belong to the sponsor group Round Hill Music (23 issuers, $2.3B reported sold, 2010–2024).

What this means A sponsor group is one team that sets up a new company for each deal. Round Hill Music has 23 companies on file and $2.3B 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) — 3 court cases matching the name listed in Key records below.

What this means 3 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 54 public filings for Howard Guberman and found 12 differences, 4 worth asking the sponsor about: 3 court cases name Howard Guberman; 19 offerings reported less sold on a later filing than an earlier one; 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 Howard Guberman has not run yet — it is joining a line of 58,745 names; searches run around the clock at the hosts' allowed rate. Searched so far: 663 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

3 cases: 2 closed (disposition not in docket feed), 1 dismissed

Paris v. Guberman PMC, LLC closed
District Court, M.D. Florida · No. 8:20-cv-02176 · Filed Sep 16, 2020 · Closed Aug 14, 2023 · Nature of suit: Other Statutory Actions · Cause: 28:2201 Declaratory Judgment
Role of Guberman PMC, LLC: Defendant · Outcome: Terminated 2023-08-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (3 people in Form D filings, 6 federal dockets); surname only in the caption; court in FL (not a filing state)
Guberman v. Northfield Laboratories, Inc. closed
District Court, N.D. Illinois · No. 1:06-cv-02463 · Filed May 3, 2006 · Closed Jul 11, 2006 · Nature of suit: 850 Securities, Commodities, Exchange
Role of Guberman: Plaintiff · Outcome: Terminated 2006-07-11 — FJC Integrated Database disposition: Statistical closing Docket on CourtListener ↗
same rare surname (3 people in Form D filings, 6 federal dockets); surname only in the caption; court in IL (not a filing state)
Amisub Inc. v. Guberman dismissed
District Court, S.D. Florida · No. 1:88-cv-01284 · Filed Jul 12, 1988 · Closed Oct 18, 1988 · Nature of suit: 151 Overpayments under the medicare act
Role of Guberman: Defendant · Outcome: Terminated 1988-10-18 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
same rare surname (3 people in Form D filings, 6 federal dockets); surname only in the caption; court in FL (not a filing state)
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.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

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

2. Regulatory actions

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 Howard Guberman..

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

12 differences found between the filings for Howard Guberman — 4 worth asking about (compared the newest 50 of 54 filings on Oct 24, 2026; older filings not covered)

Note · Dec 1, 2022 – Mar 1, 2023

Bankruptcy case: Mark James and Dany Watklevicz-James — filed Dec 1, 2022

United States Bankruptcy Court, E.D. New York docket "Mark James and Dany Watklevicz-James" filed Dec 1, 2022, closed Mar 1, 2023. Sean Dany (listed on the same filings) is listed as Debtor ("Mark James and Dany Watklevicz-James"). Our match estimate: 60%.

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 ↗Sean Dany — PartnerFacts page ↗
Sources
Note · Nov 18, 2010 – Feb 28, 2011

Bankruptcy case: Dany Figueroa and Maria Figueroa — filed Nov 18, 2010

United States Bankruptcy Court, S.D. New York docket "Dany Figueroa and Maria Figueroa" filed Nov 18, 2010, closed Feb 28, 2011. Sean Dany (listed on the same filings) is listed as Debtor ("Dany Figueroa and Maria Figueroa"). Our match estimate: 60%.

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, S.D. New York ↗Sean Dany — PartnerFacts page ↗
Sources
Note · Jan 23, 1990 – Dec 19, 1990

Bankruptcy case: Dany R. Wilson and Rebecca S. Wilson — filed Jan 23, 1990

United States Bankruptcy Court, N.D. New York docket "Dany R. Wilson and Rebecca S. Wilson" filed Jan 23, 1990, closed Dec 19, 1990. Sean Dany (listed on the same filings) is listed as Debtor ("Dany R. Wilson and Rebecca S. Wilson"). Our match estimate: 60%.

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 ↗Sean Dany — PartnerFacts page ↗
Sources
Worth asking · Jul 12, 1988 – Sep 16, 2020

3 court cases name Howard Guberman — 2 as defendant

By role: defendant in 2, plaintiff in 1. Newest: "Paris v. Guberman PMC, LLC" (District Court, M.D. Florida, Sep 16, 2020); "Guberman v. Northfield Laboratories, Inc." (District Court, N.D. Illinois, May 3, 2006); "Amisub Inc. v. Guberman" (District Court, S.D. Florida, Jul 12, 1988). Some of these are name matches with a match estimate below 95% — check each docket.

What this means Several court cases name this subject. Some are routine business suits. Ask what each was about and how it ended.

Docket · Paris v. Guberman PMC, LLC ↗Docket · Guberman v. Northfield Laboratories, Inc. ↗Docket · Amisub Inc. v. Guberman ↗
Sources
Worth asking · Mar 10, 2010 – Mar 14, 2018

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

Amount sold went down between filings — Gruss DV Fund, Ltd. · Amount sold went down between filings — Gruss DV Fund, L.P. · Amount sold went down between filings — Gruss Global Investors, L.P. · Amount sold went down between filings — Gruss DV Fund II, L.P. · Amount sold went down between filings — Gruss DV Fund, L.P. · and 14 more

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

Form D/A (earlier) · Mar 14, 2017 ↗Form D/A (later) · Mar 14, 2018 ↗Gruss DV Fund, Ltd. — PartnerFacts page ↗Form D/A (earlier) · Mar 14, 2016 ↗
Sources
Worth asking · Mar 10, 2010 – Mar 14, 2018

18 offerings reported fewer investors on a later filing

Investor count went down between filings — Gruss DV Fund, Ltd. · Investor count went down between filings — Gruss DV Fund, L.P. · Investor count went down between filings — Gruss DV Fund, L.P. · Investor count went down between filings — Gruss Global Investors, L.P. · Investor count went down between filings — Gruss Global Investors, L.P. · and 13 more

What this means Investor counts normally only grow. Ask the sponsor what happened on each.

Form D/A (earlier) · Mar 14, 2017 ↗Form D/A (later) · Mar 14, 2018 ↗Gruss DV Fund, Ltd. — PartnerFacts page ↗Form D/A (earlier) · Mar 14, 2017 ↗
Sources
Worth asking · May 1, 2003 – Mar 12, 2014

Form D filed 3,968 days after the first sale — Gruss Global Investors, L.P.

The filing says the first sale was May 1, 2003. The Form D was filed Mar 12, 2014 — 3,968 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 3,953 days past that.

What this means The notice went in months after money was taken in. Late notices are common and carry no penalty by themselves, but it is fair to ask the sponsor why the paperwork lagged.

Form D · Mar 12, 2014 ↗Gruss Global Investors, L.P. — PartnerFacts page ↗
Sources
Note · Feb 2, 2012 – Mar 12, 2012

Form D filed 39 days after the first sale — GGI SRI, Ltd.

The filing says the first sale was Feb 2, 2012. The Form D was filed Mar 12, 2012 — 39 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 24 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 · Mar 12, 2012 ↗GGI SRI, Ltd. — PartnerFacts page ↗
Sources
Note · Aug 1, 2011 – Sep 1, 2011

Form D filed 31 days after the first sale — Gruss DV Fund II, L.P.

The filing says the first sale was Aug 1, 2011. The Form D was filed Sep 1, 2011 — 31 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 16 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 · Sep 1, 2011 ↗Gruss DV Fund II, L.P. — PartnerFacts page ↗
Sources
Note · Jan 1, 2000 – Mar 14, 2018

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

No amendment in the last 12 months on an offering that may still be open — Gruss DV Fund, Ltd. (latest filing Mar 14, 2018) · No amendment in the last 12 months on an offering that may still be open — Gruss DV Fund II, L.P. (latest filing Mar 14, 2018) · No amendment in the last 12 months on an offering that may still be open — Gruss DV Fund, L.P. (latest filing Mar 14, 2018) · No amendment in the last 12 months on an offering that may still be open — Gruss Global Investors, L.P. (latest filing Mar 14, 2017) · No amendment in the last 12 months on an offering that may still be open — Gruss Global Investors, Ltd. (latest filing Mar 14, 2017) · and 6 more

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

Form D/A · Mar 14, 2018 ↗Gruss DV Fund, Ltd. — PartnerFacts page ↗Form D/A · Mar 14, 2018 ↗Gruss DV Fund II, L.P. — PartnerFacts page ↗
Sources
Note · Mar 10, 2011 – Mar 12, 2012

Offering amount changed between filings — Gruss DV Fund, L.P.

The Mar 10, 2011 filing says $0 offered; the Mar 12, 2012 Form D/A says an indefinite amount.

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

Form D/A (earlier) · Mar 10, 2011 ↗Form D/A (later) · Mar 12, 2012 ↗Gruss DV Fund, L.P. — PartnerFacts page ↗
Sources
Note · Mar 10, 2010 – Mar 10, 2011

Offering amount changed between filings — Gruss DV Fund, L.P.

The Mar 10, 2010 filing says an indefinite amount offered; the Mar 10, 2011 Form D/A says $0.

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

Form D/A (earlier) · Mar 10, 2010 ↗Form D/A (later) · Mar 10, 2011 ↗Gruss DV Fund, L.P. — PartnerFacts 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 54 filings (work cap); older filings are not covered here. As of Oct 24, 2026.

5. Money to insiders

None reported on 12 offerings — no sales commissions, finder's fees or proceeds to insiders

Per-offering detail
Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Mar 14, 2018 D/A
Gruss DV Fund, L.P.
File 021-129058
$0$0$0
The fund charges a management fee that is described in the fund's governing documents.
None listed on this filingEDGAR ↗
Mar 14, 2018 D/A
Gruss DV Fund, Ltd.
File 021-129057
$0$0$0
The fund charges a management fee that is described in the fund's governing documents.
None listed on this filingEDGAR ↗
Mar 14, 2018 D/A
Gruss DV Fund II, L.P.
File 021-165257
$0$0$0
The fund charges a management fee that is described in the fund's governing documents.
None listed on this filingEDGAR ↗
Mar 14, 2017 D/A
Gruss Global Investors, L.P.
File 021-62422
$0$0$0
The fund charges a management fee that is described in the fund's governing documents.
None listed on this filingEDGAR ↗
Mar 14, 2017 D/A
Gruss Global Investors, Ltd.
File 021-62423
$0$0$0
The fund charges a management fee that is described in the fund's governing documents.
None listed on this filingEDGAR ↗
Mar 12, 2014 D/A
GGI SRI, Ltd.
File 021-174706
$0$0$0
The fund charges a management fee that is described in the funds governing documents.
None listed on this filingEDGAR ↗
Mar 12, 2014 D/A
GGI SRI, L.P.
File 021-194276
$0$0$0
The fund charges a management fee that is described in the fund's governing documents.
None listed on this filingEDGAR ↗
Mar 12, 2014 D
Gruss Global Investors, L.P.
File 021-213400
$0$0$0
The fund charges a management fee that is described in the fund's governing documents.
None listed on this filingEDGAR ↗
Mar 12, 2012 D/A
Gruss Arbitrage Partners, L.P.
File 021-128776
$0$0$0
The fund charges a management fee that is described in the fund's governing documents.
None listed on this filingEDGAR ↗
Mar 12, 2012 D/A
Gruss Offshore Arbitrage Fund, Ltd.
File 021-75791
$0$0$0
The fund charges a management fee that is described in the fund's governing documents.
None listed on this filingEDGAR ↗
Mar 10, 2010 D/A
Gruss Arbitrage Partners (Enhanced), L.P.
File 021-102588
$0$0$0
The fund charges a management fee that is described in the fund's governing documents.
None listed on this filingEDGAR ↗
Mar 10, 2010 D/A
Gruss Offshore Arbitrage Fund (Enhanced), Ltd.
File 021-102587
$0$0$0
The fund charges a management fee that is described in the funds governing documents.
None listed on this filingEDGAR ↗

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 11

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

GD
Pooled Investment Fund · group: Round Hill Music

Gruss DV Fund, Ltd.

Grand Cayman, Cayman Islands (as filed: E9) · Mar 10, 2010 → Mar 14, 2018 · 9 filings
  • Mar 14, 2018 · D/A · $522,167,000 sold of Indefinite · 301 investors · min. $100,000 · role: Director EDGAR ↗
  • Mar 14, 2017 · D/A · $678,239,000 sold of Indefinite · 430 investors · min. $100,000 · role: Director EDGAR ↗
  • Mar 14, 2016 · D/A · $487,421,631 sold of Indefinite · 84 investors · min. $100,000 · role: Director EDGAR ↗
  • Mar 12, 2015 · D/A · $472,251,997 sold of Indefinite · 51 investors · min. $100,000 · role: Director EDGAR ↗
  • Mar 12, 2014 · D/A · $324,152,238 sold of Indefinite · 42 investors · min. $100,000 · role: Director EDGAR ↗
  • Mar 12, 2013 · D/A · $205,939,945 sold of Indefinite · 45 investors · min. $100,000 · role: Director EDGAR ↗
  • Mar 12, 2012 · D/A · $208,722,271 sold of Indefinite · 46 investors · min. $100,000 · role: Director EDGAR ↗
  • Mar 10, 2011 · D/A · $142,394,520 sold of Indefinite · 31 investors · min. $100,000 · role: Director EDGAR ↗
  • Mar 10, 2010 · D/A · $76,429,920 sold of Indefinite · 15 investors · min. $100,000 · role: Director EDGAR ↗

Raised $678.2M from 430 investors as of the latest filing. Howard is listed as director 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.

GD
Pooled Investment Fund · group: Round Hill Music

Gruss DV Fund II, L.P.

New York, NY · Sep 1, 2011 → Mar 14, 2018 · 7 filings
  • Mar 14, 2018 · D/A · $239,313,000 sold of Indefinite · 5 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Mar 14, 2017 · D/A · $229,192,000 sold of Indefinite · 2 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Mar 14, 2016 · D/A · $216,071,174 sold of Indefinite · 2 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Mar 12, 2015 · D/A · $223,584,706 sold of Indefinite · 2 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Mar 12, 2014 · D/A · $172,782,749 sold of Indefinite · 2 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Mar 12, 2013 · D/A · $156,778,665 sold of Indefinite · 2 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Sep 1, 2011 · D · $150,000,000 sold of Indefinite · 1 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗

Raised $239.3M from 5 investors as of the latest filing. Howard 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.

GD
Pooled Investment Fund · group: Round Hill Music

Gruss DV Fund, L.P.

New York, NY · Mar 10, 2010 → Mar 14, 2018 · 9 filings
  • Mar 14, 2018 · D/A · $337,679,000 sold of Indefinite · 118 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Mar 14, 2017 · D/A · $313,431,000 sold of Indefinite · 150 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Mar 14, 2016 · D/A · $347,886,023 sold of Indefinite · 173 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Mar 12, 2015 · D/A · $353,475,970 sold of Indefinite · 57 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Mar 12, 2014 · D/A · $259,379,785 sold of Indefinite · 50 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Mar 12, 2013 · D/A · $200,754,162 sold of Indefinite · 48 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Mar 12, 2012 · D/A · $193,288,887 sold of Indefinite · 41 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Mar 10, 2011 · D/A · $194,957,138 sold of $0 · 37 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Mar 10, 2010 · D/A · $125,663,512 sold of Indefinite · 20 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗

Raised $353.5M from 173 investors as of the latest filing. Howard is listed as executive officer 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.

GG
Pooled Investment Fund · group: Round Hill Music

Gruss Global Investors, L.P.

New York, NY · Mar 10, 2010 → Mar 14, 2017 · 8 filings
  • Mar 14, 2017 · D/A · $178,680,000 sold of Indefinite · 16 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Mar 14, 2016 · D/A · $215,101,296 sold of Indefinite · 31 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Mar 12, 2015 · D/A · $247,802,178 sold of Indefinite · 46 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Mar 12, 2014 · D · $282,541,326 sold of Indefinite · 46 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Mar 12, 2013 · D/A · $311,753,802 sold of Indefinite · 55 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Mar 12, 2012 · D/A · $288,717,722 sold of Indefinite · 54 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Mar 10, 2011 · D/A · $346,069,420 sold of Indefinite · 66 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Mar 10, 2010 · D/A · $343,987,869 sold of Indefinite · 55 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗

Raised $346.1M from 66 investors as of the latest filing. Howard is listed as executive officer 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.

GG
Pooled Investment Fund · group: Round Hill Music

Gruss Global Investors, Ltd.

Grand Cayman, Cayman Islands (as filed: E9) · Mar 10, 2010 → Mar 14, 2017 · 8 filings
  • Mar 14, 2017 · D/A · $346,963,000 sold of Indefinite · 32 investors · min. $50,000 · role: Director EDGAR ↗
  • Mar 14, 2016 · D/A · $106,103,088 sold of Indefinite · 23 investors · min. $50,000 · role: Director EDGAR ↗
  • Mar 12, 2015 · D/A · $160,747,917 sold of Indefinite · 32 investors · min. $50,000 · role: Director EDGAR ↗
  • Mar 12, 2014 · D/A · $203,644,379 sold of Indefinite · 32 investors · min. $50,000 · role: Director EDGAR ↗
  • Mar 12, 2013 · D/A · $227,939,252 sold of Indefinite · 43 investors · min. $50,000 · role: Director EDGAR ↗
  • Mar 12, 2012 · D/A · $245,306,600 sold of Indefinite · 47 investors · min. $50,000 · role: Director EDGAR ↗
  • Mar 10, 2011 · D/A · $303,969,745 sold of Indefinite · 49 investors · min. $50,000 · role: Director EDGAR ↗
  • Mar 10, 2010 · D/A · $239,964,020 sold of Indefinite · 36 investors · min. $50,000 · role: Director EDGAR ↗

Raised $347M from 49 investors as of the latest filing. Howard is listed as director on 8 filings for this deal.

Latest filing on EDGAR ↗
Sources

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

GS
Pooled Investment Fund · group: Round Hill Music

GGI SRI, L.P.

New York, NY · Apr 1, 2013 → Mar 12, 2014 · 2 filings
  • Mar 12, 2014 · D/A · $4,703,239 sold of Indefinite · 1 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Apr 1, 2013 · D · $3,600,000 sold of Indefinite · 1 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗

Raised $4.7M from 1 investor as of the latest filing. Howard 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.

GS
Pooled Investment Fund · group: Round Hill Music

GGI SRI, Ltd.

Grand Cayman, Cayman Islands (as filed: E9) · Mar 12, 2012 → Mar 12, 2014 · 3 filings
  • Mar 12, 2014 · D/A · $45,500,918 sold of Indefinite · 5 investors · min. $100,000 · role: Director EDGAR ↗
  • Mar 12, 2013 · D/A · $65,397,997 sold of Indefinite · 8 investors · min. $100,000 · role: Director EDGAR ↗
  • Mar 12, 2012 · D · $41,600,000 sold of Indefinite · 4 investors · min. $100,000 · role: Director EDGAR ↗

Raised $65.4M from 8 investors as of the latest filing. Howard is listed as director on 3 filings for this deal.

Latest filing on EDGAR ↗
Sources

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

GA
Pooled Investment Fund · group: Round Hill Music

Gruss Arbitrage Partners, L.P.

New York, NY · Mar 10, 2010 → Mar 12, 2012 · 3 filings
  • Mar 12, 2012 · D/A · $42,094,002 sold of Indefinite · 18 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Mar 10, 2011 · D/A · $68,684,545 sold of Indefinite · 26 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Mar 10, 2010 · D/A · $79,126,314 sold of Indefinite · 29 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗

Raised $79.1M from 29 investors as of the latest filing. Howard 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.

GO
Pooled Investment Fund · group: Round Hill Music

Gruss Offshore Arbitrage Fund, Ltd.

Grand Cayman, Cayman Islands (as filed: E9) · Mar 10, 2010 → Mar 12, 2012 · 3 filings
  • Mar 12, 2012 · D/A · $50,126,419 sold of Indefinite · 8 investors · min. $50,000 · role: Director EDGAR ↗
  • Mar 10, 2011 · D/A · $47,105,169 sold of Indefinite · 11 investors · min. $50,000 · role: Director EDGAR ↗
  • Mar 10, 2010 · D/A · $607,603,846 sold of Indefinite · 13 investors · min. $50,000 · role: Director EDGAR ↗

Raised $607.6M from 13 investors as of the latest filing. Howard is listed as director on 3 filings for this deal.

Latest filing on EDGAR ↗
Sources

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

GO
Pooled Investment Fund · group: Round Hill Music

Gruss Offshore Arbitrage Fund (Enhanced), Ltd.

Grand Cayman, Cayman Islands (as filed: E9) · Mar 10, 2010
  • Mar 10, 2010 · D/A · $33,732,219 sold of Indefinite · 6 investors · min. $50,000 · role: Director EDGAR ↗

Raised $33.7M from 6 investors as of the latest filing. Howard 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.

GA
Pooled Investment Fund · group: Round Hill Music

Gruss Arbitrage Partners (Enhanced), L.P.

New York, NY · Mar 10, 2010
  • Mar 10, 2010 · D/A · $50,151,025 sold of Indefinite · 18 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗

Raised $50.2M from 18 investors as of the latest filing. Howard 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.

People around Howard 12

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

GC
Management entity

Gruss Capital Advisors, L.L.C.

Executive Officer · 30 shared filings (6 issuers)

Gruss Capital Advisors, L.L.C. is on 6 issuers in total — a repeat sponsor. Their page lists every one.

GC
Management entity

Gruss Capital Management, LP

Promoter · 14 shared filings (5 issuers)

Gruss Capital Management, LP is on 5 issuers in total — a repeat sponsor. Their page lists every one.

DG
Management entity

D. Gruss Capital Management LP

Promoter · 4 shared filings (2 issuers)

Listed on the same filings as Howard Guberman. Their page shows their other deals.

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

Sean Dany

Executive Officer, Director · 27 shared filings (6 issuers)

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

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

Peter D. Anderson

Director · 21 shared filings (5 issuers) · also on 28 other issuers

Peter D. Anderson is on 33 issuers in total — a repeat sponsor. Their page lists every one.

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

Philip Dickie

Director · 20 shared filings (4 issuers) · also on 109 other issuers

Philip Dickie is on 113 issuers in total — a repeat sponsor. Their page lists every one.

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

Joshua Gruss

Executive Officer · 11 shared filings (5 issuers) · also on 12 other issuers

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

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

William E.J. Walmsley

Director · 4 shared filings (4 issuers) · also on 111 other issuers

William E.J. Walmsley is on 115 issuers in total — a repeat sponsor. Their page lists every one.

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

Martin Gruss

Executive Officer · 4 shared filings (4 issuers)

Listed on the same filings as Howard Guberman. Their page shows their other deals.

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

John Ackerley

Director · 3 shared filings (2 issuers) · also on 156 other issuers

John Ackerley is on 158 issuers in total — a repeat sponsor. Their page lists every one.

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

Novick Richard

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Howard Guberman. Their page shows their other deals.

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

Richard Novick

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Howard Guberman. Their page shows their other deals.

The team behind the deals

RH
Sponsor group

Round Hill Music

23 issuers · 74 filings · $2.3B reported sold · 2010–2024

One team, 23 deal companies. Howard Guberman is listed on 11 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 Howard Guberman.

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); KY (Kentucky Secretary of State — Business Entity Search (sosbes.sos.ky.gov), searched by issuer name, data as of Oct 24, 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 11 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 Howard Guberman 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 11 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Howard Guberman is listed on: none on file. No website or social profile named in Gruss Offshore Arbitrage Fund, Ltd.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #343,002 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 (Grand Cayman, E9). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

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Courts

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Securities regulators

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

Business registries

New York Secretary of State business search ↗OpenCorporates ↗

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