PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:44 AM ET

Sponsor Check › Person

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

James Baker

Named as an officer, director or promoter on SEC Form D filings · Ireland (as filed: L2), United Kingdom (as filed: X0), Cayman Islands (as filed: E9) · Sep 21, 2009 → Jun 10, 2022

6deals (issuers)
$1.07Breported sold
194investors
29Form D filings
2009–2022years on file
Follow this personLook further ↓PDF

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

The short version

James Baker is listed as a director on 29 SEC Form D filings by 6 issuers between Sep 2009 and Aug 2022. Largest by amount reported sold: Sierra Climate LS Offshore Ltd. (Georgetown, Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2010–2017; $843.9M reported sold to 176 investors), Keynes Leveraged Quantitative Strategies Fund Ltd (Dublin, Ireland (as filed: L2) — pooled investment fund — 2009–2022; $142.2M reported sold to 10 investors), Keynes Multi Asset Value Fund Ltd (Dublin, Ireland (as filed: L2) — pooled investment fund — 2018–2019; $34M reported sold to 1 investors), PGIM Wadhwani Macro Tail Risk Fund Ltd (Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2022; $25M reported sold to 1 investors), Commodity & Macro Tail Risk Fund Ltd (George Town, Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2022; $22.5M reported sold to 4 investors) and 1 more (all listed below).

What this means A repeat sponsor — 6 separate companies raised money with this person listed as director, over about 13 years. Across those companies the filings report $1.07B sold in total.

Listed alongside Mark Shadwick (29 shared filings), Linburgh Martin (18 shared filings), Charles F. Michaels (9 shared filings), Craig J. Peretz (9 shared filings), Martin Lang (9 shared filings) and 11 others.

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

The issuers belong to 2 sponsor groups: Keynes (5 issuers, $226.7M reported sold, 2009–2024) and Sierra Climate (7 issuers, $301.1M reported sold, 2010–2023).

What this means This person is listed across more than one sponsor team; each group page shows that team's full track record.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — 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 29 public filings for James Baker and found 17 differences, 5 worth asking the sponsor about: Amount sold went down between filings; Investor count went down between filings; and more below.

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

What the community is saying

Community search for James Baker has not run yet — it is joining a line of 40,007 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, 2:19 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 James Baker..

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, 2:19 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

17 differences found between the filings for James Baker — 5 worth asking about (compared 29 filings on Oct 24, 2026)

Worth asking · Sep 24, 2012 – Sep 24, 2013

Amount sold went down between filings — Sierra Climate LS Offshore Ltd.

The Sep 24, 2012 filing says $843,855,371 sold; the Sep 24, 2013 Form D/A says $31,134,119 sold — $812,721,252 less.

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

Form D/A (earlier) · Sep 24, 2012 ↗Form D/A (later) · Sep 24, 2013 ↗Sierra Climate LS Offshore Ltd. — PartnerFacts page ↗
Sources
Worth asking · Sep 24, 2012 – Sep 24, 2013

Investor count went down between filings — Sierra Climate LS Offshore Ltd.

The Sep 24, 2012 filing reports 176 investors; the Sep 24, 2013 Form D/A reports 7 investors.

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

Form D/A (earlier) · Sep 24, 2012 ↗Form D/A (later) · Sep 24, 2013 ↗Sierra Climate LS Offshore Ltd. — PartnerFacts page ↗
Sources
Worth asking · Feb 24, 2020 – Jun 15, 2020

Form D filed 112 days after the first sale — Keynes Dynamic Beta Strategy (Offshore) Fund Ltd

The filing says the first sale was Feb 24, 2020. The Form D was filed Jun 15, 2020 — 112 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 97 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 · Jun 15, 2020 ↗Keynes Dynamic Beta Strategy (Offshore) Fund Ltd — PartnerFacts page ↗
Sources
Worth asking · Mar 1, 1997 – Aug 2, 2010

Form D filed 4,902 days after the first sale — Sierra Climate LS Offshore Ltd.

The filing says the first sale was Mar 1, 1997. The Form D was filed Aug 2, 2010 — 4,902 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 4,887 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 · Aug 2, 2010 ↗Sierra Climate LS Offshore Ltd. — PartnerFacts page ↗
Sources
Note · May 1, 2018 – Jun 26, 2018

Form D filed 56 days after the first sale — Keynes Multi Asset Value Fund Ltd

The filing says the first sale was May 1, 2018. The Form D was filed Jun 26, 2018 — 56 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 41 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 · Jun 26, 2018 ↗Keynes Multi Asset Value Fund Ltd — PartnerFacts page ↗
Sources
Note · May 1, 2018 – Jun 26, 2019

No amendment in the last 12 months on an offering that may still be open — Keynes Multi Asset Value Fund Ltd (latest filing Jun 26, 2019)

The latest filing for this offering is dated Jun 26, 2019 (first sale May 1, 2018). It reports $34,000,000 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.

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

Form D/A · Jun 26, 2019 ↗Keynes Multi Asset Value Fund Ltd — PartnerFacts page ↗
Sources
Worth asking · Sep 12, 2017 – Aug 10, 2023

5 people are no longer listed on a later amendment

James Baker is no longer listed on the Aug 10, 2023 amendment — PGIM Wadhwani Macro Tail Risk Fund Ltd · James Baker is no longer listed on the Jun 9, 2023 amendment — Keynes Dynamic Beta Strategy (Offshore) Fund Ltd · James Baker is no longer listed on the Jun 9, 2023 amendment — Keynes Leveraged Quantitative Strategies Fund Ltd · James Baker is no longer listed on the Feb 15, 2023 amendment — Commodity & Macro Tail Risk Fund Ltd · James Baker is no longer listed on the Sep 12, 2018 amendment — Sierra Climate LS Offshore Ltd.

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

Form D · Aug 10, 2022 ↗Form D/A · Aug 10, 2023 ↗James Baker — PartnerFacts page ↗PGIM Wadhwani Macro Tail Risk Fund Ltd — PartnerFacts page ↗
Sources
Note · Feb 15, 2022 – Feb 15, 2023

Minimum investment changed between filings — Commodity & Macro Tail Risk Fund Ltd

The Feb 15, 2022 filing lists a minimum of $0; the Feb 15, 2023 Form D/A lists $100,000.

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

Form D (earlier) · Feb 15, 2022 ↗Form D/A (later) · Feb 15, 2023 ↗Commodity & Macro Tail Risk Fund Ltd — PartnerFacts page ↗
Sources
Note · Sep 22, 2014 – Sep 22, 2015

Minimum investment changed between filings — Sierra Climate LS Offshore Ltd.

The Sep 22, 2014 filing lists a minimum of $250,000; the Sep 22, 2015 Form D/A lists $50,000.

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

Form D/A (earlier) · Sep 22, 2014 ↗Form D/A (later) · Sep 22, 2015 ↗Sierra Climate LS Offshore Ltd. — PartnerFacts page ↗
Sources
Note · Mar 25, 2011 – Jun 29, 2022

Same name, different state: "James B. Baker" (TN) is a separate record

This page covers filings where the address state is L2 or X0 or E9. A separate record, "James B. Baker" with address state TN, is listed on 8 filings — most recently by River VIII, L.P. (Jun 29, 2022). Both records have filings in the same period (Mar 25, 2011 to Jun 10, 2022).

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

James B. Baker (TN) — PartnerFacts page ↗Form D · Jun 29, 2022 ↗River VIII, L.P. — PartnerFacts page ↗James Baker (L2,X0,E9) — this page ↗
Sources
Note · May 29, 2009 – Feb 15, 2017

Same name, different state: "James R. Baker, Jr." (MI) is a separate record

This page covers filings where the address state is L2 or X0 or E9. A separate record, "James R. Baker, Jr." with address state MI, is listed on 3 filings — most recently by BlueWillow Biologics, Inc. (Feb 15, 2017). Both records have filings in the same period (Sep 21, 2009 to Feb 15, 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.

James R. Baker, Jr. (MI) — PartnerFacts page ↗Form D · Feb 15, 2017 ↗BlueWillow Biologics, Inc. — PartnerFacts page ↗James Baker (L2,X0,E9) — this page ↗
Sources
Note · Aug 10, 2016

Same name, different state: "James E. Baker" (AZ) is a separate record

This page covers filings where the address state is L2 or X0 or E9. A separate record, "James E. Baker" with address state AZ, is listed on 1 filing — most recently by State Bank Corp (Aug 10, 2016). Both records have filings in the same period (Aug 10, 2016).

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.

James E. Baker (AZ) — PartnerFacts page ↗Form D · Aug 10, 2016 ↗State Bank Corp — PartnerFacts page ↗James Baker (L2,X0,E9) — this page ↗
Sources
Note · Mar 5, 2014

Same name, different state: "James R. Baker" (KS) is a separate record

This page covers filings where the address state is L2 or X0 or E9. A separate record, "James R. Baker" with address state KS, is listed on 1 filing — most recently by MANAGEMENT NETWORK GROUP, INC. (Mar 5, 2014). Both records have filings in the same period (Mar 5, 2014).

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.

James R. Baker (KS) — PartnerFacts page ↗Form D · Mar 5, 2014 ↗MANAGEMENT NETWORK GROUP, INC. — PartnerFacts page ↗James Baker (L2,X0,E9) — this page ↗
Sources
Note · Nov 17, 2010 – Jun 6, 2011

Same name, different state: "James M. Baker" (GA) is a separate record

This page covers filings where the address state is L2 or X0 or E9. A separate record, "James M. Baker" with address state GA, is listed on 2 filings — most recently by CCB Financial Corp (Jun 6, 2011). Both records have filings in the same period (Nov 17, 2010 to Jun 6, 2011).

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

James M. Baker (GA) — PartnerFacts page ↗Form D · Jun 6, 2011 ↗CCB Financial Corp — PartnerFacts page ↗James Baker (L2,X0,E9) — this page ↗
Sources
Note · Jun 9, 2023 – Jun 7, 2024

Address moved from Dublin, Ireland (as filed: L2) to Hamilton, Bermuda (as filed: D0) — Keynes Leveraged Quantitative Strategies Fund Ltd

The people listed on the Jun 9, 2023 filing give Dublin, Ireland (as filed: L2); on the Jun 7, 2024 filing they give Hamilton, Bermuda (as filed: D0).

What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.

Form D/A · Jun 9, 2023 ↗Form D/A · Jun 7, 2024 ↗Keynes Leveraged Quantitative Strategies Fund Ltd — PartnerFacts page ↗
Sources
Note · Sep 21, 2010 – Sep 21, 2011

Address moved from Dublin 1, Ireland (as filed: L2) to Dublin, Ireland (as filed: L2) — Keynes Leveraged Quantitative Strategies Fund Ltd

The people listed on the Sep 21, 2010 filing give Dublin 1, Ireland (as filed: L2); on the Sep 21, 2011 filing they give Dublin, Ireland (as filed: L2).

What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.

Form D/A · Sep 21, 2010 ↗Form D/A · Sep 21, 2011 ↗Keynes Leveraged Quantitative Strategies Fund Ltd — PartnerFacts page ↗
Sources
Note · Sep 21, 2009 – Aug 10, 2022

James Baker is listed with 3 different address states: L2, X0, E9

Ireland (as filed: L2) on 18 filings (Sep 21, 2009 to Jun 10, 2022); United Kingdom (as filed: X0) on 9 filings (Aug 2, 2010 to Sep 12, 2017); Cayman Islands (as filed: E9) on 2 filings (Feb 15, 2022 to Aug 10, 2022).

What this means The address on a Form D is usually the company's, not the person's home, so this often just reflects different companies. It can also mean a move. Nothing wrong by itself.

Form D/A · Sep 21, 2009 ↗Form D · Aug 2, 2010 ↗Form D · Feb 15, 2022 ↗
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 6 offerings report sales commissions; 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
Aug 10, 2022 D
PGIM Wadhwani Macro Tail Risk Fund Ltd
File 021-455572
$0$0$0
The fund charges a management fee that is described in the fund's offering documents.
None listed on this filingEDGAR ↗
Jun 10, 2022 D/A
Keynes Leveraged Quantitative Strategies Fund Ltd
File 021-108206
$0$0$0
The fund charges a management fee that is described in the fund's governing documents.
None listed on this filingEDGAR ↗
Jun 10, 2022 D/A
Keynes Dynamic Beta Strategy (Offshore) Fund Ltd
File 021-368933
$0$0$0
The fund charges a management fee that is described in the fund's governing documents.
None listed on this filingEDGAR ↗
Feb 15, 2022 D
Commodity & Macro Tail Risk Fund Ltd
File 021-433660
$0$0$0
The fund charges a management fee that is described in the fund's offering documents.
None listed on this filingEDGAR ↗
Jun 26, 2019 D/A
Keynes Multi Asset Value Fund Ltd
File 021-315430
$0$0$0
The fund charges a management fee that is described in the fund's governing documents.
None listed on this filingEDGAR ↗
Sep 12, 2017 D/A
Sierra Climate LS Offshore Ltd.
File 021-145804
$0 (est.)$0 (est.)$0 (est.)
The Investment Manager is paid customary management fees and non-affiliated Directors are paid customary directors' fees, as provided in the Issuer's offering documents.
None listed on this filingEDGAR ↗
How this is counted

Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Counted across every filing this person is listed on (latest filing per offering, per issuer).

Deals 6

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

PW
Pooled Investment Fund · group: Keynes

PGIM Wadhwani Macro Tail Risk Fund Ltd

Grand Cayman, Cayman Islands (as filed: E9) · Aug 10, 2022
  • Aug 10, 2022 · D · $25,000,000 sold of Indefinite · 1 investors · min. $100,000 · role: Director EDGAR ↗

Raised $25M from 1 investor as of the latest filing. James 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: 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.

KD
Pooled Investment Fund · group: Keynes

Keynes Dynamic Beta Strategy (Offshore) Fund Ltd

Dublin 2, Ireland (as filed: L2) · Jun 15, 2020 → Jun 10, 2022 · 3 filings
  • Jun 10, 2022 · D/A · $2,950,000 sold of Indefinite · 2 investors · min. $100,000 · role: Director EDGAR ↗
  • Jun 11, 2021 · D/A · $2,950,000 sold of Indefinite · 2 investors · min. $100,000 · role: Director EDGAR ↗
  • Jun 15, 2020 · D · $2,950,000 sold of Indefinite · 2 investors · min. $100,000 · role: Director EDGAR ↗

Raised $2.95M from 2 investors as of the latest filing. James 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.

KL
Pooled Investment Fund · group: Keynes

Keynes Leveraged Quantitative Strategies Fund Ltd

Dublin, Ireland (as filed: L2) · Sep 21, 2009 → Jun 10, 2022 · 13 filings
  • Jun 10, 2022 · D/A · $127,205,130 sold of Indefinite · 9 investors · min. $100,000 · role: Director EDGAR ↗
  • Jun 11, 2021 · D/A · $127,205,130 sold of Indefinite · 9 investors · min. $100,000 · role: Director EDGAR ↗
  • Jun 12, 2020 · D/A · $126,448,290 sold of Indefinite · 9 investors · min. $100,000 · role: Director EDGAR ↗
  • Jun 13, 2019 · D/A · $125,248,290 sold of Indefinite · 8 investors · min. $100,000 · role: Director EDGAR ↗
  • Jun 13, 2018 · D/A · $125,248,290 sold of Indefinite · 8 investors · min. $100,000 · role: Director EDGAR ↗
  • Jun 13, 2017 · D/A · $125,248,290 sold of Indefinite · 8 investors · min. $100,000 · role: Director EDGAR ↗
  • Jun 13, 2016 · D/A · $125,248,290 sold of Indefinite · 8 investors · min. $100,000 · role: Director EDGAR ↗
  • Sep 17, 2015 · D/A · $85,248,290 sold of Indefinite · 6 investors · min. $100,000 · role: Director EDGAR ↗
  • Sep 18, 2014 · D/A · $84,248,290 sold of Indefinite · 5 investors · min. $100,000 · role: Director EDGAR ↗
  • Sep 17, 2013 · D/A · $83,848,290 sold of Indefinite · 5 investors · min. $100,000 · role: Director EDGAR ↗
  • Sep 17, 2012 · D/A · $51,348,290 sold of Indefinite · 4 investors · min. $100,000 · role: Director EDGAR ↗
  • Sep 21, 2011 · D/A · $50,448,290 sold of Indefinite · 4 investors · min. $100,000 · role: Director EDGAR ↗
  • Sep 21, 2009 · D/A · $16,300,000 sold of Indefinite · 3 investors · min. $100,000 · role: Director EDGAR ↗

Raised $142.2M from 10 investors as of the latest filing. James is listed as director on 13 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.

CM
Pooled Investment Fund · group: Keynes

Commodity & Macro Tail Risk Fund Ltd

George Town, Grand Cayman, Cayman Islands (as filed: E9) · Feb 15, 2022
  • Feb 15, 2022 · D · $7,000,000 sold of Indefinite · 1 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $22.5M from 4 investors as of the latest filing. James 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: 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.

KM
Pooled Investment Fund · group: Keynes

Keynes Multi Asset Value Fund Ltd

Dublin, Ireland (as filed: L2) · Jun 26, 2018 → Jun 26, 2019 · 2 filings
  • Jun 26, 2019 · D/A · $34,000,000 sold of Indefinite · 1 investors · min. $100,000 · role: Director EDGAR ↗
  • Jun 26, 2018 · D · $34,000,000 sold of Indefinite · 1 investors · min. $100,000 · role: Director EDGAR ↗

Raised $34M from 1 investor as of the latest filing. James is listed as director on 2 filings for this deal.

Latest filing on EDGAR ↗
Sources

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

SC
Pooled Investment Fund · group: Sierra Climate

Sierra Climate LS Offshore Ltd.

Georgetown, Grand Cayman, Cayman Islands (as filed: E9) · Aug 2, 2010 → Sep 12, 2017 · 9 filings
  • Sep 12, 2017 · D/A · $31,134,119 sold of Indefinite · 7 investors · min. $50,000 · role: Director EDGAR ↗
  • Sep 14, 2016 · D/A · $31,134,119 sold of Indefinite · 7 investors · min. $50,000 · role: Director EDGAR ↗
  • Sep 22, 2015 · D/A · $31,134,119 sold of Indefinite · 7 investors · min. $50,000 · role: Director EDGAR ↗
  • Sep 22, 2014 · D/A · $31,134,119 sold of Indefinite · 7 investors · min. $250,000 · role: Director EDGAR ↗
  • Sep 24, 2013 · D/A · $31,134,119 sold of Indefinite · 7 investors · min. $250,000 · role: Director EDGAR ↗
  • Sep 24, 2012 · D/A · $843,855,371 sold of Indefinite · 176 investors · min. $250,000 · role: Director EDGAR ↗
  • Aug 1, 2012 · D/A · $841,155,371 sold of Indefinite · 174 investors · min. $250,000 · role: Director EDGAR ↗
  • Aug 1, 2011 · D/A · $819,407,706 sold of Indefinite · 164 investors · min. $250,000 · role: Director EDGAR ↗
  • Aug 2, 2010 · D · $806,969,410 sold of Indefinite · 163 investors · min. $250,000 · role: Director EDGAR ↗

Raised $843.9M from 176 investors as of the latest filing. James 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.

Other pages with the same name (14)

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

  • James B. Baker — TN, 7 issuers, Mar 25, 2011 → Jun 29, 2022 · no shared issuer
  • James G. Baker III — TN, 2 issuers, Sep 4, 2009 → Dec 2, 2014 · no shared issuer
  • James R. Baker, Jr. — MI, 1 issuer, May 29, 2009 → Feb 15, 2017 · no shared issuer
  • James M. Baker — GA, 1 issuer, Nov 17, 2010 → Jun 6, 2011 · no shared issuer
  • James R. Baker — KS, 1 issuer, Mar 5, 2014 → Mar 5, 2014 · no shared issuer
  • James E. Baker — AZ, 1 issuer, Aug 10, 2016 → Aug 10, 2016 · no shared issuer
  • James Baker — CA, 1 issuer, May 24, 2019 → Apr 30, 2020 · no shared issuer
  • James M Baker — LA, 1 issuer, Nov 20, 2019 → Apr 19, 2022 · no shared issuer
  • James Baker — MN, 1 issuer, Oct 15, 2019 → Oct 15, 2019 · no shared issuer
  • James Baker — MA, 1 issuer, Feb 5, 2020 → Feb 5, 2020 · no shared issuer
  • JAMES C. BAKER — TX, 1 issuer, Feb 22, 2021 → Feb 28, 2022 · no shared issuer
  • James P. Baker — Alberta, Canada (as filed: A0), 1 issuer, Jun 24, 2025 → Sep 9, 2025 · no shared issuer
  • James M Baker — WA, 1 issuer, Jan 15, 2026 → Jan 15, 2026 · no shared issuer
  • James Baker — MI, 1 issuer, Apr 8, 2026 → Apr 8, 2026 · no shared issuer

People around James 16

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

PW
Management entity

PGIM Wadhwani LLP

Promoter · 2 shared filings (2 issuers)

Listed on the same filings as James Baker. Their page shows their other deals.

SG
Management entity

Sierra Global Managment, L.L.C.

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as James Baker. Their page shows their other deals.

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

Mark Shadwick

Director · 29 shared filings (6 issuers)

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

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

Linburgh Martin

Director · 18 shared filings (5 issuers) · also on 201 other issuers

Linburgh Martin is on 206 issuers in total — a repeat sponsor. Their page lists every one.

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

Martin Lang

Director · 9 shared filings (1 issuer) · also on 155 other issuers

Martin Lang is on 156 issuers in total — a repeat sponsor. Their page lists every one.

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

Craig J. Peretz

Director · 9 shared filings (1 issuer) · also on 4 other issuers

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

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

Charles F. Michaels

Director, Executive Officer · 9 shared filings (1 issuer) · also on 5 other issuers

Charles F. Michaels is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

Michael H. Sherman

Director · 7 shared filings (1 issuer)

Listed on the same filings as James Baker. Their page shows their other deals.

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

Kellie McElhaney

Director · 5 shared filings (1 issuer)

Listed on the same filings as James Baker. Their page shows their other deals.

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

Juerg Scheppi

Director · 5 shared filings (1 issuer)

Listed on the same filings as James Baker. Their page shows their other deals.

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

Scott Bernstein

Director · 5 shared filings (1 issuer)

Listed on the same filings as James Baker. Their page shows their other deals.

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

James Pittendrigh

Director · 4 shared filings (1 issuer)

Listed on the same filings as James Baker. Their page shows their other deals.

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

Russell Stern

Director · 4 shared filings (1 issuer)

Listed on the same filings as James Baker. Their page shows their other deals.

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

Limburgh Martin

Director · 2 shared filings (1 issuer)

Listed on the same filings as James Baker. Their page shows their other deals.

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

Francois Langlade-Demoyen

Director · 2 shared filings (1 issuer)

Listed on the same filings as James Baker. Their page shows their other deals.

The team behind the deals

K
Sponsor group

Keynes

5 issuers · 28 filings · $226.7M reported sold · 2009–2024

One team, 5 deal companies. James Baker is listed on 5 of them.

Sources

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

SC
Sponsor group

Sierra Climate

7 issuers · 45 filings · $301.1M reported sold · 2010–2023

One team, 7 deal companies. James Baker 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 James Baker.

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 6 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 James Baker 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 6 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers James Baker is listed on: none on file. No website or social profile named in Sierra Climate LS Offshore Ltd.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #117,637 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 (Georgetown, Grand Cayman, E9). 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) ↗

Securities regulators

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

Business registries

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

Request a correction

Free. Logged with status: received → under review → fixed / confirmed with source.

Add a response

If this is you or your firm, add a sourced explanation next to any fact. Reviewed before publishing.

Monitor this person

Members get an email when James Baker appears on a new Form D, or when a court case or SEC action is matched to them. See plans →