Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:41 AM ET

Sponsor Check › Person

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Joel Katz

Named as an officer, director or promoter on SEC Form D filings · TX · Feb 16, 2010 → Feb 28, 2023

12deals (issuers)

$1.1Breported sold

3,624investors

42Form D filings

2010–2023years on file

Follow this person Look 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

Joel Katz is listed as an executive officer on 42 SEC Form D filings by 12 issuers between Feb 2010 and Feb 2023. Largest by amount reported sold: Ovation Alternative Income Fund, LP (Austin, TX — pooled investment fund — 2017–2022; $655.4M reported sold to 2,514 investors), OVATION ALTERNATIVE INCOME FUND-A LP (Austin, TX — pooled investment fund — 2018–2023; $247.1M reported sold to 648 investors), Ovation Tax Lien Fund, L.P. (San Antonio, TX — pooled investment fund — 2021–2022; $102.4M reported sold to 289 investors), Derby RR OZB LLC (San Antonio, TX — pooled investment fund — 2019–2022; $40.4M reported sold to 51 investors), Derby RR OZ LP (San Antonio, TX — pooled investment fund — 2019–2022; $23.2M reported sold to 39 investors) and 7 more (all listed below).

What this means That is a lot of deals — 12 separate companies raised money with this person listed as executive officer, over about 13 years. Across those companies the filings report $1.1B sold in total.

Listed alongside Jeff Serra (38 shared filings), Michael Rovner (38 shared filings), Ovation Management LLC (38 shared filings, management entity), Ovation Partners, LP (36 shared filings, management entity), Ovation OZ Management LLC (16 shared filings, management entity) and 11 others.

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

The issuers belong to 3 sponsor groups: Ovation (12 issuers, $230.1M reported sold, 2011–2026), Culebra (3 issuers, $2.2M reported sold, 2010) and Ovation Alternative (2 issuers, $865.3M reported sold, 2013–2025).

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) — 10 bankruptcy cases matching the name listed in Key records below.

What this means 10 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 42 public filings for Joel Katz and found 14 differences, 6 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 Joel Katz has not run yet — it is joining a line of 59,149 names; searches run around the clock at the hosts' allowed rate. Searched so far: 670 names.

Community comments are quoted as written by their authors. Sources searched: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

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

What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:20 AM ET.

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

2. Regulatory actions

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

What was searched

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

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

10 cases: 10 closed (disposition not in docket feed)

Joel Katz closed

United States Bankruptcy Court, E.D. New York · No. 1-24-43651 · Filed Sep 4, 2024 · Closed Dec 11, 2024

Role of Joel Katz: Debtor · Outcome: Case closed 2024-12-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 11 federal dockets); 6 people with this name in Form D filings; court in NY (not a filing state)

Joel Katz closed

United States Bankruptcy Court, M.D. Florida · No. 8:24-bk-03007 · Filed May 28, 2024 · Closed Aug 30, 2024

Role of Joel Katz: Debtor · Outcome: Case closed 2024-08-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 11 federal dockets); 6 people with this name in Form D filings; court in FL (not a filing state)

Joel C. Katz closed

United States Bankruptcy Court, S.D. New York · No. 20-35571 · Filed May 19, 2020 · Closed Sep 29, 2020

Role of Joel C. Katz: Debtor · Outcome: Case closed 2020-09-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 11 federal dockets); 6 people with this name in Form D filings; court in NY (not a filing state)

Joel Katz and Malkie Katz closed

United States Bankruptcy Court, S.D. New York · No. 13-37070 · Filed Sep 16, 2013 · Closed Dec 23, 2013

Role of Joel Katz and Malkie Katz: Debtor · Outcome: Case closed 2013-12-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 11 federal dockets); 6 people with this name in Form D filings; court in NY (not a filing state)

Joel A. Katz closed

United States Bankruptcy Court, D. New Hampshire · No. 12-12413 · Filed Jul 30, 2012 · Closed Dec 5, 2012

Role of Joel A. Katz: Debtor · Outcome: Case closed 2012-12-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 11 federal dockets); 6 people with this name in Form D filings; court in NH (not a filing state)

Joel A. Katz closed

United States Bankruptcy Court, N.D. New York · No. 11-32296 · Filed Oct 27, 2011 · Closed Feb 17, 2012

Role of Joel A. Katz: Debtor · Outcome: Case closed 2012-02-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 11 federal dockets); 6 people with this name in Form D filings; court in NY (not a filing state)

Joel Katz closed

United States Bankruptcy Court, N.D. California · No. 11-40445 · Filed Jan 14, 2011 · Closed Apr 20, 2011

Role of Joel Katz: Debtor · Outcome: Case closed 2011-04-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 11 federal dockets); 6 people with this name in Form D filings; court in CA (not a filing state)

Joel Katz closed

United States Bankruptcy Court, D. Maryland · No. 00-57661 · Filed Jun 15, 2000 · Closed Aug 13, 2004

Role of Joel Katz: Debtor · Outcome: Case closed 2004-08-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 11 federal dockets); 6 people with this name in Form D filings; court in MD (not a filing state)

Joel A. Katz and Diana L. Katz closed

United States Bankruptcy Court, D. New Hampshire · No. 93-12346 · Filed Aug 16, 1993 · Closed May 24, 1994

Role of Joel A. Katz and Diana L. Katz: Debtor · Outcome: Case closed 1994-05-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 11 federal dockets); 6 people with this name in Form D filings; court in NH (not a filing state)

Joel Katz closed

United States Bankruptcy Court, M.D. Florida · No. 8:85-bk-02919 · Filed Oct 11, 1985 · Closed Jul 8, 1986

Role of Joel Katz: Debtor · Outcome: Case closed 1986-07-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 11 federal dockets); 6 people with this name in Form D filings; court in FL (not a filing state)

What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:20 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.

4. Differences between public sources

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

14 differences found between the filings for Joel Katz — 6 worth asking about (compared 42 filings on Oct 24, 2026)

Worth asking · Feb 28, 2023 – Sep 15, 2023

Amount sold went down between filings — OVATION ALTERNATIVE INCOME FUND-A LP

The Feb 28, 2023 filing says $247,072,995 sold; the Sep 15, 2023 Form D/A says $244,722,995 sold — $2,350,000 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) · Feb 28, 2023 ↗Form D/A (later) · Sep 15, 2023 ↗OVATION ALTERNATIVE INCOME FUND-A LP — PartnerFacts page ↗

Sources

Form D/A (earlier) · Feb 28, 2023 ↗ (Feb 28, 2023)
Form D/A (later) · Sep 15, 2023 ↗ (Sep 15, 2023)
OVATION ALTERNATIVE INCOME FUND-A LP — PartnerFacts page ↗ (Sep 9, 2025)

Worth asking · Sep 15, 2022 – Sep 11, 2023

Amount sold went down between filings — Ovation Tax Lien Fund, L.P.

The Sep 15, 2022 filing says $102,358,966 sold; the Sep 11, 2023 Form D/A says $100,858,966 sold — $1,500,000 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 15, 2022 ↗Form D/A (later) · Sep 11, 2023 ↗Ovation Tax Lien Fund, L.P. — PartnerFacts page ↗

Sources

Form D/A (earlier) · Sep 15, 2022 ↗ (Sep 15, 2022)
Form D/A (later) · Sep 11, 2023 ↗ (Sep 11, 2023)
Ovation Tax Lien Fund, L.P. — PartnerFacts page ↗ (Sep 11, 2023)

Worth asking · May 4, 2020 – Sep 15, 2020

Amount sold went down between filings — Ovation Alternative Income Fund, LP

The May 4, 2020 filing says $655,423,156 sold; the Sep 15, 2020 Form D/A says $614,645,591 sold — $40,777,565 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) · May 4, 2020 ↗Form D/A (later) · Sep 15, 2020 ↗Ovation Alternative Income Fund, LP — PartnerFacts page ↗

Sources

Form D/A (earlier) · May 4, 2020 ↗ (May 4, 2020)
Form D/A (later) · Sep 15, 2020 ↗ (Sep 15, 2020)
Ovation Alternative Income Fund, LP — PartnerFacts page ↗ (Sep 9, 2025)

Worth asking · Nov 6, 2019 – Nov 3, 2020

Investor count went down between filings — Derby RR OZB LLC

The Nov 6, 2019 filing reports 51 investors; the Nov 3, 2020 Form D/A reports 11 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) · Nov 6, 2019 ↗Form D/A (later) · Nov 3, 2020 ↗Derby RR OZB LLC — PartnerFacts page ↗

Sources

Form D/A (earlier) · Nov 6, 2019 ↗ (Nov 6, 2019)
Form D/A (later) · Nov 3, 2020 ↗ (Nov 3, 2020)
Derby RR OZB LLC — PartnerFacts page ↗ (Sep 11, 2023)

Note · Feb 16, 2010 – Feb 22, 2010

CRD number for Ehrenberg Chesler Securites Inc. appears on one filing and not another — Culebra Shine Ltd

The Feb 22, 2010 filing lists Ehrenberg Chesler Securites Inc. with CRD 130790; the Feb 16, 2010 Form D lists the same name with no CRD number.

What this means A CRD number is how you look a seller up on FINRA BrokerCheck. Missing it on a later form is usually a paperwork slip — use the number from the earlier form to check them.

Form D/A · Feb 22, 2010 ↗Form D · Feb 16, 2010 ↗FINRA BrokerCheck ↗Culebra Shine Ltd — PartnerFacts page ↗

Sources

Form D/A · Feb 22, 2010 ↗ (Feb 22, 2010)
Form D · Feb 16, 2010 ↗ (Feb 16, 2010)
FINRA BrokerCheck ↗
Culebra Shine Ltd — PartnerFacts page ↗ (Feb 22, 2010)

Worth asking · Jan 27, 2010 – Nov 15, 2019

6 Form Ds were filed more than 15 days after the first sale

Form D filed 135 days after the first sale — Kress OZB LLC · Form D filed 131 days after the first sale — Kress OZ LP · Form D filed 131 days after the first sale — Derby RR OZ LP · Form D filed 1,433 days after the first sale — Ovation Alternative Income Fund, LP · Form D filed 20 days after the first sale — FM 78 SHINE, LTD · and 1 more

What this means Late notices are common and carry no penalty by themselves. A pattern of late paperwork is worth asking the sponsor about.

Form D · Nov 15, 2019 ↗Kress OZB LLC — PartnerFacts page ↗Form D · Nov 6, 2019 ↗Kress OZ LP — PartnerFacts page ↗

Sources

Form D · Nov 15, 2019 ↗ (Nov 15, 2019)
Kress OZB LLC — PartnerFacts page ↗ (Sep 11, 2023)
Form D · Nov 6, 2019 ↗ (Nov 6, 2019)
Kress OZ LP — PartnerFacts page ↗ (Sep 11, 2023)
Form D · Nov 6, 2019 ↗ (Nov 6, 2019)
Derby RR OZ LP — PartnerFacts page ↗ (Sep 12, 2023)
Form D · Dec 4, 2017 ↗ (Dec 4, 2017)
Ovation Alternative Income Fund, LP — PartnerFacts page ↗ (Sep 9, 2025)

Note · Sep 8, 2010 – Sep 15, 2022

5 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 — Ovation Income Fund V LP (latest filing Sep 15, 2022) · No amendment in the last 12 months on an offering that may still be open — Ovation Income Fund V-Corp LP (latest filing Sep 15, 2022) · No amendment in the last 12 months on an offering that may still be open — Kress OZ LP (latest filing Jul 12, 2019) · No amendment in the last 12 months on an offering that may still be open — Derby RR OZ LP (latest filing Jul 12, 2019) · No amendment in the last 12 months on an offering that may still be open — FM 78 SHINE, LTD (latest filing Sep 28, 2010)

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 · Sep 15, 2022 ↗Ovation Income Fund V LP — PartnerFacts page ↗Form D/A · Sep 15, 2022 ↗Ovation Income Fund V-Corp LP — PartnerFacts page ↗

Sources

Form D/A · Sep 15, 2022 ↗ (Sep 15, 2022)
Ovation Income Fund V LP — PartnerFacts page ↗ (Sep 15, 2022)
Form D/A · Sep 15, 2022 ↗ (Sep 15, 2022)
Ovation Income Fund V-Corp LP — PartnerFacts page ↗ (Sep 15, 2022)
Form D · Jul 12, 2019 ↗ (Jul 12, 2019)
Kress OZ LP — PartnerFacts page ↗ (Sep 11, 2023)
Form D · Jul 12, 2019 ↗ (Jul 12, 2019)
Derby RR OZ LP — PartnerFacts page ↗ (Sep 12, 2023)

Worth asking · Sep 15, 2022 – Sep 15, 2023

7 people are no longer listed on a later amendment

Joel Katz is no longer listed on the Sep 15, 2023 amendment — OVATION ALTERNATIVE INCOME FUND-A LP · Joel Katz is no longer listed on the Sep 15, 2023 amendment — Ovation Alternative Income Fund, LP · Joel Katz is no longer listed on the Sep 12, 2023 amendment — Derby RR OZ LP · Joel Katz is no longer listed on the Sep 11, 2023 amendment — Kress OZB LLC · Joel Katz is no longer listed on the Sep 11, 2023 amendment — Derby RR OZB LLC · and 2 more

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

Form D/A · Feb 28, 2023 ↗Form D/A · Sep 15, 2023 ↗Joel Katz — PartnerFacts page ↗OVATION ALTERNATIVE INCOME FUND-A LP — PartnerFacts page ↗

Sources

Form D/A · Feb 28, 2023 ↗ (Feb 28, 2023)
Form D/A · Sep 15, 2023 ↗ (Sep 15, 2023)
Joel Katz — PartnerFacts page ↗
OVATION ALTERNATIVE INCOME FUND-A LP — PartnerFacts page ↗ (Sep 9, 2025)
Form D/A · Sep 15, 2022 ↗ (Sep 15, 2022)
Form D/A · Sep 15, 2023 ↗ (Sep 15, 2023)
Ovation Alternative Income Fund, LP — PartnerFacts page ↗ (Sep 9, 2025)
Form D/A · Sep 15, 2022 ↗ (Sep 15, 2022)

Note · May 26, 2020

Same name, different state: "Joel A Katz" (GA) is a separate record

This page covers filings where the address state is TX. A separate record, "Joel A Katz" with address state GA, is listed on 1 filing — most recently by Base Holograms, LLC (May 26, 2020). Both records have filings in the same period (May 26, 2020).

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.

Joel A Katz (GA) — PartnerFacts page ↗Form D · May 26, 2020 ↗Base Holograms, LLC — PartnerFacts page ↗Joel Katz (TX) — this page ↗

Sources

Joel A Katz (GA) — PartnerFacts page ↗ (May 26, 2020)
Form D · May 26, 2020 ↗ (May 26, 2020)
Base Holograms, LLC — PartnerFacts page ↗ (May 26, 2020)
Joel Katz (TX) — this page ↗ (Feb 28, 2023)

Note · Nov 1, 2019

Same name, different state: "Joel Katz" (PA) is a separate record

This page covers filings where the address state is TX. A separate record, "Joel Katz" with address state PA, is listed on 1 filing — most recently by WCC Lending Partners LLC (Nov 1, 2019). Both records have filings in the same period (Nov 1, 2019).

Joel Katz (PA) — PartnerFacts page ↗Form D · Nov 1, 2019 ↗WCC Lending Partners LLC — PartnerFacts page ↗Joel Katz (TX) — this page ↗

Sources

Joel Katz (PA) — PartnerFacts page ↗ (Nov 1, 2019)
Form D · Nov 1, 2019 ↗ (Nov 1, 2019)
WCC Lending Partners LLC — PartnerFacts page ↗ (Nov 1, 2019)
Joel Katz (TX) — this page ↗ (Feb 28, 2023)

Note · Dec 19, 2014

Same name, different state: "Joel G. Katz" (CA) is a separate record

This page covers filings where the address state is TX. A separate record, "Joel G. Katz" with address state CA, is listed on 1 filing — most recently by REVIONICS INC (Dec 19, 2014). Both records have filings in the same period (Dec 19, 2014).

Joel G. Katz (CA) — PartnerFacts page ↗Form D · Dec 19, 2014 ↗REVIONICS INC — PartnerFacts page ↗Joel Katz (TX) — this page ↗

Sources

Joel G. Katz (CA) — PartnerFacts page ↗ (Dec 19, 2014)
Form D · Dec 19, 2014 ↗ (Dec 19, 2014)
REVIONICS INC — PartnerFacts page ↗ (Dec 19, 2014)
Joel Katz (TX) — this page ↗ (Feb 28, 2023)

Note · Dec 20, 2013

Same name, different state: "JOEL REID KATZ" (NY) is a separate record

This page covers filings where the address state is TX. A separate record, "JOEL REID KATZ" with address state NY, is listed on 1 filing — most recently by Real Estate Mortgage Network, Inc. (Dec 20, 2013). Both records have filings in the same period (Dec 20, 2013).

JOEL REID KATZ (NY) — PartnerFacts page ↗Form D · Dec 20, 2013 ↗Real Estate Mortgage Network, Inc. — PartnerFacts page ↗Joel Katz (TX) — this page ↗

Sources

JOEL REID KATZ (NY) — PartnerFacts page ↗ (Dec 20, 2013)
Form D · Dec 20, 2013 ↗ (Dec 20, 2013)
Real Estate Mortgage Network, Inc. — PartnerFacts page ↗ (Dec 20, 2013)
Joel Katz (TX) — this page ↗ (Feb 28, 2023)

Note · Jan 5, 2011

Same name, different state: "Joel A. Katz" (MA) is a separate record

This page covers filings where the address state is TX. A separate record, "Joel A. Katz" with address state MA, is listed on 2 filings — most recently by Charity Partners Inc. (Feb 22, 2013). Both records have filings in the same period (Jan 5, 2011).

Joel A. Katz (MA) — PartnerFacts page ↗Form D · Feb 22, 2013 ↗Charity Partners Inc. — PartnerFacts page ↗Joel Katz (TX) — this page ↗

Sources

Joel A. Katz (MA) — PartnerFacts page ↗ (Jan 5, 2011)
Form D · Feb 22, 2013 ↗ (Feb 22, 2013)
Charity Partners Inc. — PartnerFacts page ↗ (Feb 22, 2013)
Joel Katz (TX) — this page ↗ (Feb 28, 2023)

Note · Sep 15, 2022 – Sep 12, 2023

5 address changes between filings

Address moved from Austin, TX to San Antonio, TX — Derby RR OZ LP · Address moved from Austin, TX to San Antonio, TX — Kress OZB LLC · Address moved from Austin, TX to San Antonio, TX — Derby RR OZB LLC · Address moved from Austin, TX to San Antonio, TX — Kress OZ LP · Address moved from Austin, TX to San Antonio, TX — Ovation Tax Lien Fund, L.P.

What this means Businesses move. If you were told one city and the forms say another, ask which is current.

Form D/A · Sep 15, 2022 ↗Form D/A · Sep 12, 2023 ↗Derby RR OZ LP — PartnerFacts page ↗Form D/A · Feb 28, 2023 ↗

Sources

Form D/A · Sep 15, 2022 ↗ (Sep 15, 2022)
Form D/A · Sep 12, 2023 ↗ (Sep 12, 2023)
Derby RR OZ LP — PartnerFacts page ↗ (Sep 12, 2023)
Form D/A · Feb 28, 2023 ↗ (Feb 28, 2023)
Form D/A · Sep 11, 2023 ↗ (Sep 11, 2023)
Kress OZB LLC — PartnerFacts page ↗ (Sep 11, 2023)
Form D/A · Sep 15, 2022 ↗ (Sep 15, 2022)
Form D/A · Sep 11, 2023 ↗ (Sep 11, 2023)

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

8 of 14 offerings report sales commissions totalling $1,327,407; 0 report finder's fees; 3 report proceeds to related persons totalling $140,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)	Sales commissions	Finder's fees	To insiders	Paid to sell it	Source
Feb 28, 2023 D/A OVATION ALTERNATIVE INCOME FUND-A LP File 021-328803	$46,500	$0	$0 (est.)	SPEARHEAD CAPITAL LLC BrokerCheck CRD 145560 ↗ ARETE WEALTH MANAGEMENT, LLC BrokerCheck CRD 44856 ↗ Preston Patton BrokerCheck CRD 4896946 ↗ via Britehorn Securities (CRD 36402 ↗)	EDGAR ↗
Feb 28, 2023 D/A Kress OZB LLC File 021-353511	$0	$0	$0	None listed on this filing	EDGAR ↗
Sep 15, 2022 D/A Ovation Alternative Income Fund, LP File 021-299952	$1,041,299 (est.)	$0	$0 (est.)	Spearhead Capital LLC BrokerCheck CRD 145560 ↗ Arete Wealth Management, LLC BrokerCheck CRD 44856 ↗ Preston Patton BrokerCheck CRD 4896946 ↗ via Britehorn Securities (CRD 36402 ↗)	EDGAR ↗
Sep 15, 2022 D/A Derby RR OZB LLC File 021-344139	$0	$0	$0	None listed on this filing	EDGAR ↗
Sep 15, 2022 D/A Derby RR OZ LP File 021-352697	$25,000	$0	$0	W.G. Nielsen & Co. BrokerCheck CRD 41093 ↗	EDGAR ↗
Sep 15, 2022 D/A Kress OZ LP File 021-352694	$0	$0	$0 (est.)	None listed on this filing	EDGAR ↗
Sep 15, 2022 D/A Ovation Tax Lien Fund, L.P. File 021-274336	$102,733 (est.)	$0	$0	Preston Patton BrokerCheck CRD 4896946 ↗ via Britehorn Securities (CRD 36402 ↗)	EDGAR ↗
Sep 15, 2022 D/A Ovation Income Fund V-Corp LP File 021-416491	$0	$0	$0 (est.)	Preston Patton BrokerCheck CRD 4896946 ↗ via Britehorn Securities (CRD 36402 ↗)	EDGAR ↗
Sep 15, 2022 D/A Ovation Income Fund V LP File 021-417437	$4,125	$0	$0 (est.)	Preston Patton BrokerCheck CRD 4896946 ↗ via Britehorn Securities (CRD 36402 ↗)	EDGAR ↗
Jul 12, 2019 D Derby RR OZ LP File 021-344138	$0	$0	$0	None listed on this filing	EDGAR ↗
Jul 12, 2019 D Kress OZ LP File 021-344142	$0	$0	$0 (est.)	None listed on this filing	EDGAR ↗
Sep 28, 2010 D FM 78 SHINE, LTD File 021-148231	$22,750	$0	$40,000	EHRENBERG CHESLER SECURITES, INC. BrokerCheck CRD 130790 ↗	EDGAR ↗
Jun 15, 2010 D Seguin Wash Ltd File 021-143547	$35,000	$0	$50,000	Ehrenberg Chesler Securities, Inc. BrokerCheck CRD 130790 ↗	EDGAR ↗
Feb 22, 2010 D/A Culebra Shine Ltd File 021-138762	$50,000	$0	$50,000	Ehrenberg Chesler Securites Inc. BrokerCheck CRD 130790 ↗	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 12

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

Pooled Investment Fund · group: Ovation

Kress OZB LLC

San Antonio, TX · Nov 15, 2019 → Feb 28, 2023 · 4 filings

Feb 28, 2023 · D/A · $18,593,876 sold of Indefinite · 14 investors · min. No minimum reported · role: Executive Officer (Chief Operating Officer of Ovation Partners LP) EDGAR ↗
Sep 15, 2021 · D/A · $18,593,876 sold of Indefinite · 14 investors · min. No minimum reported · role: Executive Officer (CFO of Ovation Partners LP) EDGAR ↗
Nov 3, 2020 · D/A · $18,593,876 sold of Indefinite · 14 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
Nov 15, 2019 · D · $17,485,444 sold of Indefinite · 12 investors · min. No minimum reported · role: Executive Officer EDGAR ↗

Raised $18.6M from 14 investors as of the latest filing. Joel is listed as executive officer on 4 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.

Pooled Investment Fund · group: Ovation Alternative

OVATION ALTERNATIVE INCOME FUND-A LP

Austin, TX · Dec 21, 2018 → Feb 28, 2023 · 5 filings

Feb 28, 2023 · D/A · $247,072,995 sold of Indefinite · 596 investors · min. $250,000 · role: Executive Officer (Chief Operating Officer of the Investment Manager to the Issuer) EDGAR ↗
Sep 15, 2021 · D/A · $244,722,995 sold of Indefinite · 584 investors · min. $250,000 · role: Executive Officer (CFO) EDGAR ↗
Feb 3, 2021 · D/A · $244,562,995 sold of Indefinite · 565 investors · min. $250,000 · role: Executive Officer (CFO) EDGAR ↗
Dec 12, 2019 · D/A · $242,812,995 sold of Indefinite · 538 investors · min. $250,000 · role: Executive Officer (CFO) EDGAR ↗
Dec 21, 2018 · D · $0 sold of Indefinite · 0 investors · min. $250,000 · role: Executive Officer (CFO) EDGAR ↗

Raised $247.1M from 648 investors as of the latest filing. Joel is listed as executive officer on 5 filings for this deal.

Latest filing on EDGAR ↗

Sources

Pooled Investment Fund · group: Ovation

Ovation Income Fund V LP

Austin, TX · Oct 18, 2021 → Sep 15, 2022 · 2 filings

Sep 15, 2022 · D/A · $750,000 sold of Indefinite · 3 investors · min. $250,000 · role: Executive Officer (Chief Operating Officer of the Investment Manager to the Issuer) EDGAR ↗
Oct 18, 2021 · D · $450,000 sold of Indefinite · 2 investors · min. $250,000 · role: Executive Officer (CFO of the Investment Manager to the Issuer) EDGAR ↗

Raised $750K from 3 investors as of the latest filing. Joel is listed as executive officer on 2 filings for this deal.

Latest filing on EDGAR ↗

Sources

Pooled Investment Fund · group: Ovation

Ovation Income Fund V-Corp LP

Austin, TX · Oct 12, 2021 → Sep 15, 2022 · 2 filings

Sep 15, 2022 · D/A · $2,000,000 sold of Indefinite · 5 investors · min. $250,000 · role: Executive Officer (Chief Operating Officer of the Investment Manager to the Issuer) EDGAR ↗
Oct 12, 2021 · D · $350,000 sold of Indefinite · 2 investors · min. $250,000 · role: Executive Officer (CFO of the Investment Manager to the Issuer) EDGAR ↗

Raised $2M from 5 investors as of the latest filing. Joel is listed as executive officer on 2 filings for this deal.

Latest filing on EDGAR ↗

Sources

Pooled Investment Fund · group: Ovation

Derby RR OZB LLC

San Antonio, TX · Jul 12, 2019 → Sep 15, 2022 · 6 filings

Sep 15, 2022 · D/A · $40,400,000 sold of Indefinite · 11 investors · min. No minimum reported · role: Executive Officer (Chief Operating Officer of Ovation Partners) EDGAR ↗
Sep 15, 2021 · D/A · $40,400,000 sold of Indefinite · 11 investors · min. No minimum reported · role: Executive Officer (CFO of Ovation Partners) EDGAR ↗
Nov 3, 2020 · D/A · $40,400,000 sold of Indefinite · 11 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
Nov 6, 2019 · D/A · $40,400,000 sold of Indefinite · 51 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
Aug 20, 2019 · D/A · $14,977,000 sold of Indefinite · 3 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
Jul 12, 2019 · D · $14,977,000 sold of Indefinite · 3 investors · min. No minimum reported · role: Executive Officer EDGAR ↗

Raised $40.4M from 51 investors as of the latest filing. Joel is listed as executive officer on 6 filings for this deal.

Latest filing on EDGAR ↗

Sources

Pooled Investment Fund · group: Ovation

Derby RR OZ LP

San Antonio, TX · Jul 12, 2019 → Sep 15, 2022 · 5 filings

Sep 15, 2022 · D/A · $23,206,000 sold of Indefinite · 39 investors · min. $250,000 · role: Executive Officer (Chief Operating Officer of the Investment Manager to the Issuer) EDGAR ↗
Sep 15, 2021 · D/A · $23,206,000 sold of Indefinite · 39 investors · min. $250,000 · role: Executive Officer (CFO) EDGAR ↗
Nov 3, 2020 · D/A · $23,206,000 sold of Indefinite · 39 investors · min. $250,000 · role: Executive Officer EDGAR ↗
Nov 6, 2019 · D · $23,206,000 sold of Indefinite · 39 investors · min. $250,000 · role: Executive Officer EDGAR ↗
Jul 12, 2019 · D · $14,977,000 sold of Indefinite · 30 investors · min. $250,000 · role: Executive Officer EDGAR ↗

Raised $23.2M from 39 investors as of the latest filing. Joel is listed as executive officer on 5 filings for this deal.

Latest filing on EDGAR ↗

Sources

Pooled Investment Fund · group: Ovation

Kress OZ LP

San Antonio, TX · Jul 12, 2019 → Sep 15, 2022 · 5 filings

Sep 15, 2022 · D/A · $7,106,514 sold of Indefinite · 21 investors · min. $250,000 · role: Executive Officer (Chief Operating Officer of the Investment Manager to the Issuer) EDGAR ↗
Sep 15, 2021 · D/A · $7,106,514 sold of Indefinite · 21 investors · min. $250,000 · role: Executive Officer (CFO) EDGAR ↗
Nov 3, 2020 · D/A · $7,106,514 sold of Indefinite · 21 investors · min. $250,000 · role: Executive Officer EDGAR ↗
Nov 6, 2019 · D · $6,006,514 sold of Indefinite · 19 investors · min. $250,000 · role: Executive Officer EDGAR ↗
Jul 12, 2019 · D · $2,050,000 sold of Indefinite · 8 investors · min. $250,000 · role: Executive Officer EDGAR ↗

Raised $7.11M from 21 investors as of the latest filing. Joel is listed as executive officer on 5 filings for this deal.

Latest filing on EDGAR ↗

Sources

Pooled Investment Fund · group: Ovation

Ovation Tax Lien Fund, L.P.

San Antonio, TX · Sep 15, 2021 → Sep 15, 2022 · 2 filings

Sep 15, 2022 · D/A · $102,358,966 sold of Indefinite · 282 investors · min. $100,000 · role: Executive Officer (Chief Operating Officer of the Investment Manager to the Issuer) EDGAR ↗
Sep 15, 2021 · D/A · $95,804,021 sold of Indefinite · 249 investors · min. $100,000 · role: Executive Officer (CFO) EDGAR ↗

Raised $102.4M from 289 investors as of the latest filing. Joel is listed as executive officer on 2 filings for this deal.

Latest filing on EDGAR ↗

Sources

Pooled Investment Fund · group: Ovation Alternative

Ovation Alternative Income Fund, LP

Austin, TX · Dec 4, 2017 → Sep 15, 2022 · 7 filings

Sep 15, 2022 · D/A · $620,478,624 sold of Indefinite · 2,413 investors · min. $100,000 · role: Executive Officer (Chief Operating Officer of the Investment Manager to the Issuer) EDGAR ↗
Sep 15, 2021 · D/A · $617,472,485 sold of Indefinite · 2,383 investors · min. $100,000 · role: Executive Officer (CFO) EDGAR ↗
Sep 15, 2020 · D/A · $614,645,591 sold of Indefinite · 2,353 investors · min. $100,000 · role: Executive Officer (CFO) EDGAR ↗
May 4, 2020 · D/A · $655,423,156 sold of Indefinite · 2,269 investors · min. $100,000 · role: Executive Officer (CFO) EDGAR ↗
Oct 1, 2019 · D/A · $655,423,156 sold of Indefinite · 2,269 investors · min. $100,000 · role: Executive Officer (CFO) EDGAR ↗
Sep 18, 2018 · D/A · $564,120,255 sold of Indefinite · 1,792 investors · min. $100,000 · role: Executive Officer (CFO) EDGAR ↗
Dec 4, 2017 · D · $564,120,255 sold of Indefinite · 1,792 investors · min. $100,000 · role: Executive Officer (CFO) EDGAR ↗

Raised $655.4M from 2,514 investors as of the latest filing. Joel is listed as executive officer on 7 filings for this deal.

Latest filing on EDGAR ↗

Sources

Commercial · group: Culebra

FM 78 SHINE, LTD

San Antonio, TX · Sep 28, 2010

Sep 28, 2010 · D · $500,250 sold of $552,750 · 13 investors · min. $5,000 · role: Executive Officer EDGAR ↗

Raised $500K from 13 investors (91% of the $553K target) as of the latest filing. Joel 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.

Commercial · group: Culebra

Seguin Wash Ltd

San Antonio, TX · Jun 15, 2010

Jun 15, 2010 · D · $700,000 sold of $700,000 · 14 investors · min. $25,000 · role: Executive Officer (President of Continental Concepts) EDGAR ↗

Raised $700K from 14 investors (100% of the $700K target) as of the latest filing. Joel 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.

Commercial · group: Culebra

Culebra Shine Ltd

San Antonio, TX · Feb 16, 2010 → Feb 22, 2010 · 2 filings

Feb 22, 2010 · D/A · $1,000,000 sold of $1,000,000 · 13 investors · min. $50,000 · role: Executive Officer (President of Continental Concepts Corporation, its General Partner) EDGAR ↗
Feb 16, 2010 · D · $1,000,000 sold of $1,000,000 · 13 investors · min. $50,000 · role: Executive Officer (President of Continental Concepts Corporation, its General Partner) EDGAR ↗

Raised $1M from 13 investors (100% of the $1M target) as of the latest filing. Joel 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.

Other pages with the same name (5)

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

Joel A. Katz — MA, 1 issuer, Jan 5, 2011 → Jan 5, 2011 · no shared issuer
JOEL REID KATZ — NY, 1 issuer, Dec 20, 2013 → Dec 20, 2013 · no shared issuer
Joel G. Katz — CA, 1 issuer, Dec 19, 2014 → Dec 19, 2014 · no shared issuer
Joel Katz — PA, 1 issuer, Nov 1, 2019 → Nov 1, 2019 · no shared issuer
Joel A Katz — GA, 1 issuer, May 26, 2020 → May 26, 2020 · no shared issuer

People around Joel 16

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

Management entity

Ovation Management LLC

Executive Officer, Director · 38 shared filings (9 issuers)

Ovation Management LLC is on 9 issuers in total — a repeat sponsor. Their page lists every one.

Management entity

Ovation Partners, LP

Promoter, Executive Officer · 36 shared filings (9 issuers)

Ovation Partners, LP is on 9 issuers in total — a repeat sponsor. Their page lists every one.

Management entity