Sponsor Check › Person
Related person on Form D filings · address state as listed: OH · listed Mar 13, 2009 → Feb 5, 2015
Data last updated: Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 23, 2026, 11:56 PM ET · SEC enforcement last checked: not yet
Privacy: business-related public information only. Residential addresses are never shown; only the state from the filing.
The five facts investors ask about first. Each section states what was searched and when. Items still in human review are not shown.
None found in sources searched.
Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30) — federal district + bankruptcy courts; live RECAP re-check pending. State courts: not yet searched. PACER: not searched. · Last checked Oct 23, 2026, 11:56 PM ET.
State courts: not yet searched. 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.
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. — not yet searched; State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states: not yet searched.
Not yet searched.
Search queued. Results are added automatically; check back later or follow this page to be notified.
None found in sources searched.
Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Last checked Oct 23, 2026, 11:56 PM ET.
State courts: not yet searched. 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.
Comparisons are made for sponsors and sponsor groups, not individual people.
0 of 2 offerings report sales commissions; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)
| Source | Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it |
|---|---|---|---|---|---|
| EDGAR ↗ | Jun 30, 2015 D/A File 021-180593 | $0 (est.) | $0 (est.) | $0 The Manager will receive a quarterly fee in an amount equal to 0.375% (1.5% annually) of the net asset value of the shares of the Issuer. A portion of gross proceeds may be used for operating expenses. | Stifel, Nicolaus and Company, Inc. BrokerCheck CRD 793 ↗ Barbara L. Justiz BrokerCheck CRD 1451710 ↗ via Concept Capital Markets, LLC (CRD 28218 ↗) Mark D. Preston BrokerCheck CRD 1451710 ↗ via Century Securities Associates, Inc. (CRD 28218 ↗) |
| EDGAR ↗ | Feb 5, 2015 D/A File 021-81268 | $0 (est.) | $0 (est.) | $0 (est.) | STIFEL, NICOLAUS & COMPANY, INCORPORATED BrokerCheck CRD 793 ↗ BARBARA L. JUSTIZ BrokerCheck CRD 1248873 ↗ via CONCEPT CAPITAL MARKETS, LLC (CRD 153397 ↗) MARK D. PRESTON BrokerCheck CRD 1451710 ↗ via CENTURY SECURITIES ASSOCIATES, INC. (CRD 28218 ↗) |
As reported by the issuer on Form D (Items 12–15), 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).
| Source | Issuer | Role | Filed | Form | Offering | Sold | Investors | Min. investment |
|---|---|---|---|---|---|---|---|---|
| EDGAR ↗ | Elbrook Offshore Fund, Ltd. | Executive Officer, Director Director; Founder and President of Manager | Jun 30, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $59,360,000 | 11 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Financial Stocks Limited Partnership | Executive Officer President of the General Partner | Feb 5, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $118,070,146 | 200 similar: 4–27 | $250,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Elbrook Offshore Fund, Ltd. | Executive Officer Founder and President of Manager | Jun 30, 2014 | D/A | Indefinite similar: $155,000–$5,250,000 | $55,360,000 | 10 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Financial Stocks Limited Partnership | Executive Officer John Stein is an executive officer of FSI Group, LLC, the General Partner of the Issuer. | Feb 5, 2014 | D/A | Indefinite similar: $155,000–$5,250,000 | $114,420,146 | 199 similar: 4–27 | $250,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Elbrook Offshore Fund, Ltd. | Executive Officer Founder and President of Manager | Jul 1, 2013 | D/A | Indefinite | $34,300,000 | 7 | $1,000,000 |
| EDGAR ↗ | Financial Stocks Limited Partnership | Executive Officer John Stein is an executive officer of FSI Group, LLC, the General Partner of the Issuer. | Feb 6, 2013 | D/A | Indefinite | $105,370,146 | 190 | $250,000 |
| EDGAR ↗ | Elbrook Offshore Fund, Ltd. | Executive Officer Founder and Chief Exectutive Officer of Manager | Jul 2, 2012 | D | Indefinite | $0 | 0 | $1,000,000 |
| EDGAR ↗ | Financial Stocks Limited Partnership | Executive Officer John Stein is an executive officer of FSI Group, LLC, the General Partner of the Issuer. | Feb 23, 2012 | D/A | Indefinite | $97,870,146 | 183 | $250,000 |
| EDGAR ↗ | Financial Stocks Limited Partnership | Executive Officer John Stein is an executive officer of FSI Group, LLC, the General Partner of the Issuer. | Feb 23, 2011 | D/A | Indefinite | $84,120,146 | 171 | $250,000 |
| EDGAR ↗ | Financial Stocks Limited Partnership | Executive Officer John Stein is an executive officer of FSI Group, LLC, the General Partner of the Issuer. | Mar 4, 2010 | D/A | Indefinite | $80,345,146 | 164 | $250,000 |
| EDGAR ↗ | Financial Stocks Limited Partnership | Executive Officer John Stein is an executive officer of FSI Group, LLC, the General Partner of the Issuer. | Mar 13, 2009 | D/A | Indefinite | $75,545,146 | 158 | $100,000 |
Every row is a Form D or D/A on which the issuer listed this name as a related person. Related-person names are matched on first + last name and the address state on the filing; records that share a name but could not be tied together by a second identifier are listed separately below.
"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.
Separate person records under the same name, not combined with this page. Each line says whether it is listed on an issuer this record is also listed on (a second identifier); where it is not, it could be the same person or a different one.
People and management entities the issuers listed as related persons on the same Form D filings as John Stein. Source: the EDGAR rows in the table above.
None found in sources searched.
Sources 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 · Last checked Oct 23, 2026, 8:41 PM ET.
Export this report as PDF (members · included free during the launch period)
No corrections have been requested for this page.
Free. Logged with status: received → under review → fixed / confirmed with source.
If this is you or your firm, add a sourced explanation next to any fact. Reviewed before publishing.
Members get an email when John Stein appears on a new Form D, or when a court case or SEC action is matched to them. See plans →