Sponsor Check › Person
Named as an officer, director or promoter on SEC Form D filings · CA · Oct 16, 2009 → Nov 30, 2009
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
Joseph Galligon is listed as an executive officer on 5 SEC Form D filings by 3 issuers between Oct 2009 and Nov 2009: UST/TCW Senior Mortgage Securities Fund, L.P. (Los Angeles, CA — investing — 2009; $1.25B reported sold to 2 investors), TCW Special Mortgage Credits Fund III, L.P. (Los Angeles, CA — investing — 2009; $1.01B reported sold to 154 investors) and TCW Special Mortgage Credits Fund III (Cayman), L.P. (Los Angeles, CA — investing — 2009; $461.6M reported sold to 38 investors).
What this means A repeat sponsor — 3 separate companies raised money with this person listed as executive officer. Across those companies the filings report $2.73B sold in total.
Listed alongside Jeffrey E. Gundlach (5 shared filings), Joel Damaini (5 shared filings), Louis C Lucido (5 shared filings), Philip Barach (5 shared filings), Vincent Fiorillo (5 shared filings) and 3 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Joseph. Each name links to their own page.
All 3 issuers belong to the sponsor group Tcw (64 issuers, $17.38B reported sold, 2009–2026).
What this means A sponsor group is one team that sets up a new company for each deal. Tcw has 64 companies on file and $17.38B 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, CT, DE, FINRA, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, OK, OR, PA, RI, SC, SD, TN, TX, VT, WA, WI, WV, WY) — none found.
What this means Nothing turned up where we looked (3 sources). That does not prove there is nothing — it means none was found in those sources on that date.
We compared 5 public filings for Joseph Galligon and found 7 differences: Joseph Galligon appears on 1 deal that stopped filing before reaching its target; Form D filed 16 days after the first sale; 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.
Community search for Joseph Galligon has not run yet — it is joining a line of 26,089 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: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).
Five things investors ask first. Items still in human review are counted, not shown.
None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026
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.
None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: VA (crawled Oct 23, 2026)
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 Joseph Galligon..
State securities regulators: Securities regulators searched (3,318 actions): 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), DE DOJ Investor Protection Unit (257 actions, 1987–2026), TX State Securities Board (586 actions, 2006–2026), WA DFI (2,039 actions, 2001–2026) — last crawled Oct 23, 2026, 9:57 PM ET. No machine-readable public listing today for CO, FL, IA, IN, MN, NE, NJ, NY, OH, UT, VA (see docs/state-regulators.md).
None found in sources searched — federal bankruptcy courts (CourtListener / RECAP), checked Oct 24, 2026
Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:20 AM ET.
State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.
Comparisons cover issuers and sponsor groups — see the issuer pages under Deals
7 differences found between the filings for Joseph Galligon (compared 5 filings on Oct 24, 2026)
TCW Special Mortgage Credits Fund III (Cayman), L.P. (last filing Nov 30, 2009; $461,600,000 sold of $1,111,111,111). Each has no filing in more than two years and reported under half its target sold.
What this means An issuer whose last filing is more than two years old and reported under half its target sold. The raise may have closed early or quietly stopped. Ask what happened to each.
The filing says the first sale was Sep 30, 2009. The Form D was filed Oct 16, 2009 — 16 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 1 days past that.
What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.
The filing says the first sale was Sep 30, 2009. The Form D was filed Oct 16, 2009 — 16 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 1 days past that.
What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.
The filing says the first sale was Sep 30, 2009. The Form D was filed Oct 16, 2009 — 16 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 1 days past that.
What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.
The latest filing for this offering is dated Nov 30, 2009 (first sale Sep 30, 2009). It reports $461,600,000 sold of $1,111,111,111 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.
The latest filing for this offering is dated Nov 30, 2009 (first sale Sep 30, 2009). It reports $1,014,100,426 sold of $1,111,111,111 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.
The latest filing for this offering is dated Oct 16, 2009 (first sale Sep 30, 2009). It reports $1,250,000,000 sold of $2,222,222,222 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.
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.
None reported on 3 offerings — no sales commissions, finder's fees or proceeds to insiders
| Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it | Source |
|---|---|---|---|---|---|
| Nov 30, 2009 D/A TCW Special Mortgage Credits Fund III, L.P. File 021-135395 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Nov 30, 2009 D/A TCW Special Mortgage Credits Fund III (Cayman), L.P. File 021-135397 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Oct 16, 2009 D UST/TCW Senior Mortgage Securities Fund, L.P. File 021-135393 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
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).
Every issuer that named Joseph Galligon on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.
Raised $461.6M from 38 investors (42% of the $1.11B target) as of the latest filing. Joseph is listed as executive officer on 2 filings for this deal.
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.
Raised $1.01B from 154 investors (91% of the $1.11B target) as of the latest filing. Joseph is listed as executive officer on 2 filings for this deal.
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.
Raised $1.25B from 2 investors (56% of the $2.22B target) as of the latest filing. Joseph is listed as executive officer.
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.
Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.
Listed on the same filings as Joseph Galligon. Their page shows their other deals.
Listed on the same filings as Joseph Galligon. Their page shows their other deals.
Listed on the same filings as Joseph Galligon. Their page shows their other deals.
Jeffrey E. Gundlach is on 19 issuers in total — a repeat sponsor. Their page lists every one.
Philip Barach is on 8 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Joseph Galligon. Their page shows their other deals.
Louis C Lucido is on 11 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Joseph Galligon. Their page shows their other deals.
TCW CORPORATE BOND L P Pooled Investment Fund · $180.8M sold · 2009
DoubleLine Opportunistic Income Fund II LP Pooled Investment Fund · $835.9M sold · 2011One team, 64 deal companies. Joseph Galligon is listed on 3 of them.
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 Joseph Galligon.
A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.
None of the 3 issuers this person is listed on appears in Form ADV (searched 24,962 advisers as of Oct 2, 2026). A person is never an adviser firm; Form ADV is checked for the issuers and the management companies they are listed with.
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 are matched to companies only, never to individuals, so none are matched to Joseph Galligon 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 3 issuers this person is listed on — nothing matched.
Websites and social links of the issuers Joseph Galligon is listed on, as found in their SEC filings (Form C, Reg A, Form ADV, EDGAR profile) or on the sponsor's own site; none belongs to the person unless the sponsor's site says so. Checked Oct 24, 2026.
One-tap searches on sites we do not index ourselves, with the name pre-filled (Los Angeles, CA). Each opens in a new tab; what you find there is not verified by PartnerFacts.
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Free. Logged with status: received → under review → fixed / confirmed with source.
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