PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:20 AM ET

Sponsor Check › Person

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

James Roche

Named as an officer, director or promoter on SEC Form D filings · NY · Dec 19, 2019 → Dec 31, 2025

2deals (issuers)
$231Mreported sold
62investors
4Form D filings
2019–2025years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 3:06 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

James Roche is listed as an executive officer, director, and promoter on 4 SEC Form D filings by 2 issuers between Dec 2019 and Dec 2025: Willow Tree Capital Corp (New York, NY — pooled investment fund — 2025; $185M reported sold to 39 investors) and Willow Tree Credit Partners SBIC, LP (New York, NY — pooled investment fund — 2019–2021; $46M reported sold to 23 investors).

What this means 2 separate companies raised money with this person listed as executive officer, director, and promoter, over about 6 years. Across those companies the filings report $231M sold in total.

Listed alongside Timothy Lower (4 shared filings), Mark Klingensmith (3 shared filings), Boris Onefater (2 shared filings), Jane Siebels (2 shared filings), Justin Lee (2 shared filings) and 6 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.

All 2 issuers belong to the sponsor group Willow Tree (17 issuers, $889.8M reported sold, 2019–2026).

What this means A sponsor group is one team that sets up a new company for each deal. Willow Tree has 17 companies on file and $889.8M 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) — 2 court cases matching the name, 34 bankruptcy cases matching the name listed in Key records below.

What this means 36 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 4 public filings for James Roche and found 5 differences: 10% of the money raised went to insiders; No amendment in the last 12 months on an offering that may still be open; 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 Roche has not run yet — it is joining a line of 30,896 names; searches run around the clock at the hosts' allowed rate. Searched so far: 638 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

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

Delores Rucker v. James G Roche closed
District Court, C.D. California · No. 5:04-cv-00603 · Filed May 21, 2004 · Closed Apr 17, 2006 · Nature of suit: 791 Employee Retirement Income Security Act
Role of James G Roche: Defendant · Outcome: Terminated 2006-04-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in CA (not a filing state)
FTC v. James L Roche judgment
District Court, C.D. California · No. 8:96-cv-00481 · Filed May 21, 1996 · Closed May 24, 1996 · Nature of suit: 890 Other statutory actions
Role of James L Roche: Defendant · Outcome: Terminated 1996-05-24 — FJC Integrated Database disposition: Judgment on consent; judgment for plaintiff Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in CA (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, 3:06 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 James Roche..

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

34 cases: 34 closed (disposition not in docket feed)

James K. Roche, Jr. closed
United States Bankruptcy Court, D. Maryland · No. 21-12203 · Filed Apr 5, 2021 · Closed Jul 14, 2021
Role of James K. Roche, Jr.: Debtor · Outcome: Case closed 2021-07-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in MD (not a filing state)
James M. Roche, Sr. and Kathleen A. Roche closed
United States Bankruptcy Court, D. Maine · No. 13-21105 · Filed Oct 30, 2013 · Closed Jun 11, 2019
Role of James M. Roche, Sr.: Debtor · Outcome: Case closed 2019-06-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in ME (not a filing state)
James Roche closed
United States Bankruptcy Court, M.D. Alabama · No. 13-31199 · Filed May 9, 2013 · Closed Jul 9, 2018
Role of James Roche: Debtor · Outcome: Case closed 2018-07-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in AL (not a filing state)
James P. Roche and Julie A. Roche closed
United States Bankruptcy Court, D. New Hampshire · No. 12-12633 · Filed Aug 23, 2012 · Closed Feb 21, 2013
Role of James P. Roche and Julie A. Roche: Debtor · Outcome: Case closed 2013-02-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in NH (not a filing state)
James T Roche and Jeanette K Roche closed
United States Bankruptcy Court, D. Kansas · No. 09-24038 · Filed Dec 2, 2009 · Closed Aug 9, 2011
Role of James T Roche and Jeanette K Roche: Debtor · Outcome: Case closed 2011-08-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in KS (not a filing state)
James K. Roche and Lisa P. Roche closed
United States Bankruptcy Court, D. Maryland · No. 08-21934 · Filed Sep 17, 2008 · Closed Jan 7, 2009
Role of James K. Roche and Lisa P. Roche: Debtor · Outcome: Case closed 2009-01-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in MD (not a filing state)
James M. Roche closed
United States Bankruptcy Court, D. Rhode Island · No. 1:07-bk-12685 · Filed Dec 20, 2007 · Closed Mar 24, 2008
Role of James M. Roche: Debtor · Outcome: Case closed 2008-03-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in RI (not a filing state)
James E. La Roche closed
United States Bankruptcy Court, S.D. Ohio · No. 2:06-bk-53879 · Filed Jul 28, 2006 · Closed May 10, 2007
Role of James E. La Roche: Debtor · Outcome: Case closed 2007-05-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in OH (not a filing state)
James Roche closed
United States Bankruptcy Court, W.D. New York · No. 2-05-21034 · Filed Mar 12, 2005 · Closed Jul 27, 2005
Role of James Roche: Debtor · Outcome: Case closed 2005-07-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (NY)
James P Roche closed
United States Bankruptcy Court, N.D. Illinois · No. 02-43716 · Filed Nov 7, 2002 · Closed Mar 14, 2003
Role of James P Roche: Debtor · Outcome: Case closed 2003-03-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in IL (not a filing state)
James Roche and Kathleen Weeks-Roche closed
United States Bankruptcy Court, D. Maine · No. 02-20390 · Filed Mar 20, 2002 · Closed Sep 19, 2002
Role of James Roche and Kathleen Weeks-Roche: Debtor · Outcome: Case closed 2002-09-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in ME (not a filing state)
James A. Roche closed
United States Bankruptcy Court, D. Massachusetts · No. 02-11341 · Filed Feb 25, 2002 · Closed Jun 16, 2005
Role of James A. Roche: Debtor · Outcome: Case closed 2005-06-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in MA (not a filing state)
James M. Roche closed
United States Bankruptcy Court, D. Massachusetts · No. 01-11490 · Filed Mar 1, 2001 · Closed Jul 19, 2001
Role of James M. Roche: Debtor · Outcome: Case closed 2001-07-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in MA (not a filing state)
James A. Roche closed
United States Bankruptcy Court, D. Massachusetts · No. 99-19403 · Filed Nov 23, 1999 · Closed Sep 6, 2001
Role of James A. Roche: Debtor · Outcome: Case closed 2001-09-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in MA (not a filing state)
James M. Roche closed
United States Bankruptcy Court, D. Rhode Island · No. 1:99-bk-14486 · Filed Nov 23, 1999 · Closed Mar 1, 2000
Role of James M. Roche: Debtor · Outcome: Case closed 2000-03-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in RI (not a filing state)
James M Roche and Doreen Roche closed
United States Bankruptcy Court, E.D. New York · No. 1-98-15249 · Filed Apr 21, 1998 · Closed Aug 20, 1998
Role of James M Roche and Doreen Roche: Debtor · Outcome: Case closed 1998-08-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (NY)
James P. Roche closed
United States Bankruptcy Court, D. New Jersey · No. 97-36304 · Filed Jun 10, 1997 · Closed Jan 29, 1998
Role of James P. Roche: Debtor · Outcome: Case closed 1998-01-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in NJ (not a filing state)
James Roche and Trudi Roche closed
United States Bankruptcy Court, M.D. Florida · No. 2:97-bk-04882 · Filed Mar 28, 1997 · Closed Jul 31, 1997
Role of James Roche and Trudi Roche: Debtor · Outcome: Case closed 1997-07-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in FL (not a filing state)
James R. Roche closed
United States Bankruptcy Court, D. Maryland · No. 96-62515 · Filed Dec 12, 1996 · Closed Mar 25, 1997
Role of James R. Roche: Debtor · Outcome: Case closed 1997-03-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in MD (not a filing state)
James H. Roche closed
United States Bankruptcy Court, D. Connecticut · No. 96-23408 · Filed Oct 3, 1996 · Closed Feb 12, 1997
Role of James H. Roche: Debtor · Outcome: Case closed 1997-02-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in CT (not a filing state)
James F. Roche and Martha P. Roche closed
United States Bankruptcy Court, E.D. Virginia · No. 95-15517 · Filed Dec 12, 1995 · Closed Sep 23, 1997
Role of James F. Roche and Martha P. Roche: Debtor · Outcome: Case closed 1997-09-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in VA (not a filing state)
James S. Roche closed
United States Bankruptcy Court, D. New Jersey · No. 95-23714 · Filed May 15, 1995 · Closed Sep 29, 1995
Role of James S. Roche: Debtor · Outcome: Case closed 1995-09-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in NJ (not a filing state)
James Roche and Sharon Marie Roche closed
United States Bankruptcy Court, D. New Jersey · No. 95-31823 · Filed Mar 20, 1995 · Closed Jul 21, 1995
Role of James Roche and Sharon Marie Roche: Debtor · Outcome: Case closed 1995-07-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in NJ (not a filing state)
James L. Roche and Phyllis J. Sleight-roche closed
United States Bankruptcy Court, M.D. Florida · No. 2:93-bk-05006 · Filed May 5, 1993 · Closed Aug 25, 1993
Role of James L. Roche and Phyllis J. Sleight-roche: Debtor · Outcome: Case closed 1993-08-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in FL (not a filing state)
James R Roche closed
United States Bankruptcy Court, N.D. Illinois · No. 92-18041 · Filed Aug 12, 1992 · Closed Nov 15, 1993
Role of James R Roche: Debtor · Outcome: Case closed 1993-11-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in IL (not a filing state)
James C Roche and Elizabeth A Roche closed
United States Bankruptcy Court, S.D. Florida. · No. 92-32512 · Filed Jul 23, 1992 · Closed Jan 12, 1995
Role of James C Roche and Elizabeth A Roche: Debtor · Outcome: Case closed 1995-01-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in FL (not a filing state)
James Roche closed
United States Bankruptcy Court, D. New Jersey · No. 92-34566 · Filed Jul 16, 1992 · Closed Feb 23, 1993
Role of James Roche: Debtor · Outcome: Case closed 1993-02-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in NJ (not a filing state)
James P. Roche and Gloria H. Roche closed
United States Bankruptcy Court, E.D. Pennsylvania · No. 91-21880 · Filed May 21, 1991 · Closed Jan 9, 1992
Role of James P. Roche and Gloria H. Roche: Debtor · Outcome: Case closed 1992-01-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in PA (not a filing state)
James M Roche and Rita L Roche closed
United States Bankruptcy Court, N.D. Illinois · No. 91-04258 · Filed Feb 27, 1991 · Closed Sep 13, 1991
Role of James M Roche and Rita L Roche: Debtor · Outcome: Case closed 1991-09-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in IL (not a filing state)
James H. Roche and Joanne Roche closed
United States Bankruptcy Court, D. Connecticut · No. 87-21133 · Filed Nov 5, 1987 · Closed Mar 23, 1988
Role of James H. Roche and Joanne Roche: Debtor · Outcome: Case closed 1988-03-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in CT (not a filing state)
James W. Roche and Barbara F. Roche closed
United States Bankruptcy Court, D. Rhode Island · No. 1:87-bk-00522 · Filed Jul 29, 1987 · Closed Nov 25, 1987
Role of James W. Roche and Barbara F. Roche: Debtor · Outcome: Case closed 1987-11-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in RI (not a filing state)
James A. Roche and Carol A. Roche closed
United States Bankruptcy Court, D. Maryland · No. 87-51289 · Filed Jun 9, 1987 · Closed Oct 21, 1987
Role of James A. Roche and Carol A. Roche: Debtor · Outcome: Case closed 1987-10-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in MD (not a filing state)
James M. Roche and Allyson J. Roche closed
United States Bankruptcy Court, D. Rhode Island · No. 1:86-bk-00777 · Filed Nov 14, 1986 · Closed Feb 25, 1987
Role of James M. Roche and Allyson J. Roche: Debtor · Outcome: Case closed 1987-02-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in RI (not a filing state)
James L. Roche closed
United States Bankruptcy Court, W.D. Michigan · No. 82-01029 · Filed Mar 26, 1982 · Closed Nov 29, 1982
Role of James L. Roche: Debtor · Outcome: Case closed 1982-11-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 55 federal dockets); 4 people with this name in Form D filings; court in MI (not a filing state)
What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 3:06 AM ET.

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

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

4. Differences between public sources

Comparisons cover issuers and sponsor groups — see the issuer pages under Deals

5 differences found between the filings for James Roche (compared 4 filings on Oct 24, 2026)

Note · Jun 9, 2021

10% of the money raised went to insiders — Willow Tree Credit Partners SBIC, LP

The Jun 9, 2021 Form D/A reports $45,962,000 sold and $4,800,000 of the proceeds used for payments to officers, directors or promoters (marked as an estimate). Issuer's note: "Estimate of the compensation of the investment manager (an affiliate of the general partner) to be paid over the life of the fund out of the gross proceeds of the offering.".

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

Form D/A · Jun 9, 2021 ↗Willow Tree Credit Partners SBIC, LP — PartnerFacts page ↗
Sources
Note · Dec 9, 2019 – Jun 9, 2021

No amendment in the last 12 months on an offering that may still be open — Willow Tree Credit Partners SBIC, LP (latest filing Jun 9, 2021)

The latest filing for this offering is dated Jun 9, 2021 (first sale Dec 9, 2019). It reports $45,962,000 sold of $87,500,000 offered. No later amendment is in our index as of Oct 24, 2026.

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

Form D/A · Jun 9, 2021 ↗Willow Tree Credit Partners SBIC, LP — PartnerFacts page ↗
Sources
Note · Jan 28, 2022 – Jun 27, 2024

Same name, different state: "James Roche" (MA) is a separate record

This page covers filings where the address state is NY. A separate record, "James Roche" with address state MA, is listed on 2 filings — most recently by VANTA DEVELOPMENT GROUP INC (Jun 27, 2024). Both records have filings in the same period (Jan 28, 2022 to Jun 27, 2024).

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 Roche (MA) — PartnerFacts page ↗Form D · Jun 27, 2024 ↗VANTA DEVELOPMENT GROUP INC — PartnerFacts page ↗James Roche (NY) — this page ↗
Sources
Note · May 8, 2023

Same name, different state: "James Norman Roche" (A6) is a separate record

This page covers filings where the address state is NY. A separate record, "James Norman Roche" with address state A6, is listed on 1 filing — most recently by Purefacts Financial Solutions Inc. (May 8, 2023). Both records have filings in the same period (May 8, 2023).

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 Norman Roche (A6) — PartnerFacts page ↗Form D · May 8, 2023 ↗Purefacts Financial Solutions Inc. — PartnerFacts page ↗James Roche (NY) — this page ↗
Sources
Note · Sep 23, 2009

Same name, different state: "James K Roche" (CA) is a separate record

This page covers filings where the address state is NY. A separate record, "James K Roche" with address state CA, is listed on 1 filing — most recently by AUTO POINT INC (Sep 23, 2009). The two records do not overlap in time: this page runs Dec 19, 2019 to Dec 31, 2025; the other has one filing dated Sep 23, 2009.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

James K Roche (CA) — PartnerFacts page ↗Form D · Sep 23, 2009 ↗AUTO POINT INC — PartnerFacts page ↗James Roche (NY) — this page ↗
Sources
What is compared

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

5. Money to insiders

0 of 2 offerings report sales commissions; 0 report finder's fees; 1 reports proceeds to related persons totalling $4,800,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Dec 31, 2025 D/A
Willow Tree Capital Corp
File 021-534356
$0$0$0None no CRD number reported
via Aqueduct Capital Group, LLC (CRD 131452 ↗)

None no CRD number reported
via Revere Securities LLC (CRD 14178 ↗)

None no CRD number reported
via FPCG, LLC (CRD 122341 ↗)
EDGAR ↗
Jun 9, 2021 D/A
Willow Tree Credit Partners SBIC, LP
File 021-356040
$0$0$4,800,000 (est.)
Estimate of the compensation of the investment manager (an affiliate of the general partner) to be paid over the life of the fund out of the gross proceeds of the offering.
Las Olas Capital Partners BrokerCheck CRD 297905 ↗EDGAR ↗
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 2

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

WT
Pooled Investment Fund · group: Willow Tree

Willow Tree Capital Corp

New York, NY · Jan 6, 2025 → Dec 31, 2025 · 2 filings
  • Dec 31, 2025 · D/A · $185,000,000 sold of Indefinite · 39 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jan 6, 2025 · D · $50,000,000 sold of Indefinite · 39 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $185M from 39 investors 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.

WT
Pooled Investment Fund · group: Willow Tree

Willow Tree Credit Partners SBIC, LP

New York, NY · Dec 19, 2019 → Jun 9, 2021 · 2 filings
  • Jun 9, 2021 · D/A · $45,962,000 sold of $87,500,000 · 23 investors · min. No minimum reported · role: Executive Officer, Director, Promoter (Managing Member of the General Partner of the Issuer) EDGAR ↗
  • Dec 19, 2019 · D · $32,156,700 sold of $87,500,000 · 18 investors · min. No minimum reported · role: Executive Officer, Director, Promoter (Managing Member of the General Partner of the Issuer) EDGAR ↗

Raised $46M from 23 investors (53% of the $87.5M target) as of the latest filing. James is listed as executive officer, director, promoter on 2 filings for this deal.

Latest filing on EDGAR ↗
Sources

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

Other pages with the same name (3)

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

  • James K Roche — CA, 1 issuer, Sep 23, 2009 → Sep 23, 2009 · no shared issuer
  • James Norman Roche — Ontario, Canada (as filed: A6), 1 issuer, May 8, 2023 → May 8, 2023 · no shared issuer
  • James Roche — MA, 1 issuer, Jan 28, 2022 → Jun 27, 2024 · no shared issuer

People around James 11

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

WT
Management entity

Willow Tree SBIC GP, LLC

Executive Officer · 1 shared filing (1 issuer)

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

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

Timothy Lower

Executive Officer, Director, Promoter · 4 shared filings (2 issuers) · also on 15 other issuers

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

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

Mark Klingensmith

Executive Officer · 3 shared filings (2 issuers) · also on 3 other issuers

Mark Klingensmith is on 5 issuers in total — a repeat sponsor. Their page lists every one.

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

Todd Centurino

Director · 2 shared filings (1 issuer)

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

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

Justin Lee

Executive Officer · 2 shared filings (1 issuer) · also on 4 other issuers

Justin Lee is on 5 issuers in total — a repeat sponsor. Their page lists every one.

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

Jane Siebels

Director · 2 shared filings (1 issuer)

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

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

Boris Onefater

Director · 2 shared filings (1 issuer) · also on 40 other issuers

Boris Onefater is on 41 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

Megan Gaul

Executive Officer · 1 shared filing (1 issuer) · also on 25 other issuers

Megan Gaul is on 26 issuers in total — a repeat sponsor. Their page lists every one.

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

SBIC Management LP Willow Tree Credit Partners

Promoter · 1 shared filing (1 issuer)

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

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

SBIC GP, LLC Willow Tree

Executive Officer · 1 shared filing (1 issuer)

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

The team behind the deals

WT
Sponsor group

Willow Tree

17 issuers · 29 filings · $889.8M reported sold · 2019–2026

One team, 17 deal companies. James Roche is listed on 2 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 Roche.

Same business address

13 other issuers file from the same address

A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.

Registrations and other filings

Business registration (state registry / Secretary of State)

Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file).

Adviser registration (Form ADV)

A person is never an adviser firm. 1 of the 2 issuers this person is listed on matches a Form ADV adviser (searched 24,962 advisers as of Oct 2, 2026): Willow Tree Credit Partners SBIC, LP.

Other offering types (Regulation A and Regulation Crowdfunding)

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

Property records none — individuals are not matched

Property records are matched to companies only, never to individuals, so none are matched to James Roche 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 2 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers James Roche is listed on: none on file. No website or social profile named in Willow Tree Capital Corp's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #47,470 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓

Look further

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

Social and web

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

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗New York WebCivil Supreme ↗

Securities regulators

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

Business registries

New York Secretary of State business search ↗OpenCorporates ↗

Change history

No corrections have been requested for this page.

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 Roche appears on a new Form D, or when a court case or SEC action is matched to them. See plans →