Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:33 AM ET

Sponsor Check › Person

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

Joseph Stein

Named as an officer, director or promoter on SEC Form D filings · NY · Jun 14, 2013 → Jun 16, 2014

1deal (issuers)

$123.4Mreported sold

147investors

2Form D filings

2013–2014years 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, 2:28 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Joseph Stein is listed as an executive officer on 2 SEC Form D filings by 1 issuer between Jun 2013 and Jun 2014: New Heights Fund, L.P. (New York, NY — pooled investment fund — 2013–2014; $123.4M reported sold to 147 investors).

What this means One deal on file with the SEC. A Form D is the notice a company files after it starts selling a private investment — it is a notice, not an approval.

Listed alongside Ari Sass (2 shared filings), Bobby Liu (2 shared filings), Craig C Barney, Jr. (2 shared filings), Hugh R. Lamle (2 shared filings), Jason Rapp (2 shared filings) and 2 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.

The issuer belongs to the sponsor group Waterfall (76 issuers, $15.38B reported sold, 2009–2026).

What this means A sponsor group is one team that sets up a new company for each deal. Waterfall has 76 companies on file and $15.38B 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, 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) — 29 bankruptcy cases matching the name listed in Key records below.

What this means 29 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 2 public filings for Joseph Stein and found 4 differences, 3 worth asking the sponsor about: 4 bankruptcy cases name the subject or team members; 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 Joseph Stein has not run yet — it is joining a line of 56,485 names; searches run around the clock at the hosts' allowed rate. Searched so far: 641 names.

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

Key records

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

1. Lawsuits

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

What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:28 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 Joseph Stein..

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

29 cases: 2 open, 27 closed (disposition not in docket feed)

Joseph Stein open

United States Bankruptcy Court, E.D. New York · No. 1-25-43243 · Filed Jul 7, 2025

Role of Joseph Stein: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗

same full name (a name found in 45 federal dockets); court in the person's filing state (NY)

Joseph B Stein and Carlene R Stein open

United States Bankruptcy Court, S.D. New York · No. 23-35914 · Filed Oct 30, 2023

Role of Joseph B Stein and Carlene R Stein: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗

same full name (a name found in 45 federal dockets); court in the person's filing state (NY)

Joseph A Stein and Penny M Prohl Stein closed

United States Bankruptcy Court, E.D. Wisconsin · No. 16-23372 · Filed Apr 12, 2016 · Closed Mar 29, 2021

Role of Joseph A Stein and Penny M Prohl Stein: Debtor · Outcome: Case closed 2021-03-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 45 federal dockets); court in WI (not a filing state)

Joseph Stein closed

United States Bankruptcy Court, S.D. California · No. 12-16150 · Filed Dec 10, 2012 · Closed May 29, 2015

Role of Joseph Stein: Debtor · Outcome: Case closed 2015-05-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 45 federal dockets); court in CA (not a filing state)

Joseph S. Stein and Elaine B. Stein closed

United States Bankruptcy Court, D. New Jersey · No. 11-19093 · Filed Mar 26, 2011 · Closed Sep 20, 2011

Role of Joseph S. Stein and Elaine B. Stein: Debtor · Outcome: Case closed 2011-09-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 45 federal dockets); court in NJ (not a filing state)

Joseph Stein closed

United States Bankruptcy Court, S.D. California · No. 10-12421 · Filed Jul 15, 2010 · Closed Oct 18, 2010

Role of Joseph Stein: Debtor · Outcome: Case closed 2010-10-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 45 federal dockets); court in CA (not a filing state)

Joseph H Stein closed

United States Bankruptcy Court, C.D. California · No. 6:09-bk-25395 · Filed Jul 8, 2009 · Closed Oct 28, 2009

Role of Joseph H Stein: Debtor · Outcome: Case closed 2009-10-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 45 federal dockets); court in CA (not a filing state)

Joseph T. Stein and Debra A. Stein closed

United States Bankruptcy Court, W.D. New York · No. 1-08-14241 · Filed Sep 25, 2008 · Closed Apr 23, 2013

Role of Joseph T. Stein and Debra A. Stein: Debtor · Outcome: Case closed 2013-04-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 45 federal dockets); court in the person's filing state (NY)

Joseph C. Stein and Norma I. Stein closed

United States Bankruptcy Court, E.D. California · No. 07-24048 · Filed May 30, 2007 · Closed Sep 17, 2007

Role of Joseph C. Stein and Norma I. Stein: Debtor · Outcome: Case closed 2007-09-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 45 federal dockets); court in CA (not a filing state)

Joseph Stein closed

United States Bankruptcy Court, E.D. Michigan · No. 07-49329 · Filed May 11, 2007 · Closed Aug 7, 2007

Role of Joseph Stein: Debtor · Outcome: Case closed 2007-08-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 45 federal dockets); court in MI (not a filing state)

Joseph Stein closed

United States Bankruptcy Court, N.D. Alabama · No. 05-12592 · Filed Oct 15, 2005 · Closed May 10, 2006

Role of Joseph Stein: Debtor · Outcome: Case closed 2006-05-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 45 federal dockets); court in AL (not a filing state)

Joseph Stein closed

United States Bankruptcy Court, N.D. Florida · No. 05-10847 · Filed Oct 11, 2005 · Closed Dec 31, 2007

Role of Joseph Stein: Debtor · Outcome: Case closed 2007-12-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 45 federal dockets); court in FL (not a filing state)

Joseph M Stein closed

United States Bankruptcy Court, E.D. New York · No. 1-03-22982 · Filed Oct 3, 2003 · Closed Nov 22, 2004

Role of Joseph M Stein: Debtor · Outcome: Case closed 2004-11-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 45 federal dockets); court in the person's filing state (NY)

Joseph Stein and Theresa Senegal Stein closed

United States Bankruptcy Court, W.D. Louisiana · No. 02-51565 · Filed Jul 23, 2002 · Closed Jun 2, 2003

Role of Joseph Stein and Theresa Senegal Stein: Debtor · Outcome: Case closed 2003-06-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 45 federal dockets); court in LA (not a filing state)

JOSEPH C. STEIN, JR. closed

United States Bankruptcy Court, D. Nevada · No. 02-16442 · Filed Jun 7, 2002 · Closed Jan 7, 2003

Role of JOSEPH C. STEIN, JR.: Debtor · Outcome: Case closed 2003-01-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 45 federal dockets); court in NV (not a filing state)

Joseph B Stein and Carlene R Stein closed

United States Bankruptcy Court, E.D. North Carolina · No. 01-02666 · Filed Sep 14, 2001 · Closed Aug 17, 2002

Role of Joseph B Stein and Carlene R Stein: Debtor · Outcome: Case closed 2002-08-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 45 federal dockets); court in NC (not a filing state)

Joseph Stein and Donna Stein closed

United States Bankruptcy Court, D. Maryland · No. 01-13997 · Filed Mar 28, 2001 · Closed Jul 26, 2001

Role of Joseph Stein and Donna Stein: Debtor · Outcome: Case closed 2001-07-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 45 federal dockets); court in MD (not a filing state)

Joseph B Stein and Carlene R Stein closed

United States Bankruptcy Court, E.D. North Carolina · No. 01-00513 · Filed Feb 23, 2001 · Closed Oct 19, 2001

Role of Joseph B Stein and Carlene R Stein: Debtor · Outcome: Case closed 2001-10-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 45 federal dockets); court in NC (not a filing state)

Joseph Stein closed

United States Bankruptcy Court, D. North Dakota · No. 00-30178 · Filed Feb 14, 2000 · Closed Jun 13, 2000

Role of Joseph Stein: Debtor · Outcome: Case closed 2000-06-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 45 federal dockets); court in ND (not a filing state)

Joseph A. Stein and Angela M. Stein closed

United States Bankruptcy Court, M.D. Florida · No. 3:99-bk-04243 · Filed Jun 7, 1999 · Closed Jan 19, 2000

Role of Joseph A. Stein and Angela M. Stein: Debtor · Outcome: Case closed 2000-01-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 45 federal dockets); court in FL (not a filing state)

Joseph Stein and Mary Stein closed

United States Bankruptcy Court, D. New Jersey · No. 99-12752 · Filed Mar 23, 1999 · Closed Dec 22, 2000

Role of Joseph Stein and Mary Stein: Debtor · Outcome: Case closed 2000-12-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 45 federal dockets); court in NJ (not a filing state)

Joseph N Stein and Cynthia L Stein closed

United States Bankruptcy Court, N.D. Illinois · No. 97-36733 · Filed Nov 28, 1997 · Closed Feb 10, 2003

Role of Joseph N Stein and Cynthia L Stein: Debtor · Outcome: Case closed 2003-02-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 45 federal dockets); court in IL (not a filing state)

Joseph E Stein and Dianna T Stein closed

United States Bankruptcy Court, C.D. California · No. 8:97-bk-27623 · Filed Nov 3, 1997 · Closed Feb 25, 1998

Role of Joseph E Stein and Dianna T Stein: Debtor · Outcome: Case closed 1998-02-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 45 federal dockets); court in CA (not a filing state)

Joseph N. Stein closed

United States Bankruptcy Court, W.D. Pennsylvania · No. 93-23198 · Filed Sep 10, 1993 · Closed Apr 26, 1995

Role of Joseph N. Stein: Debtor · Outcome: Case closed 1995-04-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 45 federal dockets); court in PA (not a filing state)

Joseph Stein and Tina Stein closed

United States Bankruptcy Court, S.D. Illinois · No. 92-31099 · Filed Dec 8, 1992 · Closed Dec 21, 1993

Role of Joseph Stein and Tina Stein: Debtor · Outcome: Case closed 1993-12-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 45 federal dockets); court in IL (not a filing state)

Joseph A Stein and Marcia Stein closed

United States Bankruptcy Court, N.D. Illinois · No. 92-51173 · Filed May 14, 1992 · Closed Oct 15, 1992

Role of Joseph A Stein and Marcia Stein: Debtor · Outcome: Case closed 1992-10-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 45 federal dockets); court in IL (not a filing state)

Joseph Stein and Joan Stein closed

United States Bankruptcy Court, S.D. California · No. 91-13796 · Filed Dec 6, 1991 · Closed Jan 10, 1997

Role of Joseph Stein and Joan Stein: Debtor · Outcome: Case closed 1997-01-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 45 federal dockets); court in CA (not a filing state)

Joseph T Stein closed

United States Bankruptcy Court, N.D. Illinois · No. 89-03277 · Filed Feb 27, 1989 · Closed Aug 15, 1989

Role of Joseph T Stein: Debtor · Outcome: Case closed 1989-08-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 45 federal dockets); court in IL (not a filing state)

Joseph N. Stein closed

United States Bankruptcy Court, W.D. Pennsylvania · No. 89-20278 · Filed Feb 3, 1989 · Closed Jul 31, 1992

Role of Joseph N. Stein: Debtor · Outcome: Case closed 1992-07-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 45 federal dockets); court in PA (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, 2:28 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

4 differences found between the filings for Joseph Stein — 3 worth asking about (compared 2 filings on Oct 24, 2026)

Worth asking · Oct 3, 2003 – Jul 7, 2025

4 bankruptcy cases name the subject or team members

Bankruptcy case: Joseph Stein — filed Jul 7, 2025 · Bankruptcy case: Joseph B Stein and Carlene R Stein — filed Oct 30, 2023 · Bankruptcy case: Joseph T. Stein and Debra A. Stein — filed Sep 25, 2008 · Bankruptcy case: Joseph M Stein — filed Oct 3, 2003

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Docket · United States Bankruptcy Court, E.D. New York ↗Docket · United States Bankruptcy Court, S.D. New York ↗Docket · United States Bankruptcy Court, W.D. New York ↗Docket · United States Bankruptcy Court, E.D. New York ↗

Sources

Docket · United States Bankruptcy Court, E.D. New York ↗ (Jul 7, 2025)
Docket · United States Bankruptcy Court, S.D. New York ↗ (Oct 30, 2023)
Docket · United States Bankruptcy Court, W.D. New York ↗ (Sep 25, 2008)
Docket · United States Bankruptcy Court, E.D. New York ↗ (Oct 3, 2003)

Worth asking · Jun 14, 2013 – Jun 16, 2014

Investor count went down between filings — New Heights Fund, L.P.

The Jun 14, 2013 filing reports 147 investors; the Jun 16, 2014 Form D/A reports 133 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) · Jun 14, 2013 ↗Form D/A (later) · Jun 16, 2014 ↗New Heights Fund, L.P. — PartnerFacts page ↗

Sources

Form D/A (earlier) · Jun 14, 2013 ↗ (Jun 14, 2013)
Form D/A (later) · Jun 16, 2014 ↗ (Jun 16, 2014)
New Heights Fund, L.P. — PartnerFacts page ↗ (Apr 10, 2017)

Worth asking · Jun 16, 2014 – Apr 8, 2015

Joseph Stein is no longer listed on the Apr 8, 2015 amendment — New Heights Fund, L.P.

Joseph Stein appears on the Jun 16, 2014 Form D/A (executive officer) but not on the Apr 8, 2015 Form D/A for the same offering.

What this means People leave, and the issuer must list only current officers, directors and promoters. It is still worth asking why this person left and who replaced them.

Form D/A · Jun 16, 2014 ↗Form D/A · Apr 8, 2015 ↗Joseph Stein — PartnerFacts page ↗New Heights Fund, L.P. — PartnerFacts page ↗

Sources

Form D/A · Jun 16, 2014 ↗ (Jun 16, 2014)
Form D/A · Apr 8, 2015 ↗ (Apr 8, 2015)
Joseph Stein — PartnerFacts page ↗
New Heights Fund, L.P. — PartnerFacts page ↗ (Apr 10, 2017)

Note · Jun 15, 2012 – Jun 14, 2013

Minimum investment changed between filings — New Heights Fund, L.P.

The Jun 15, 2012 filing lists a minimum of $0; the Jun 14, 2013 Form D/A lists $1,000,000.

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

Form D/A (earlier) · Jun 15, 2012 ↗Form D/A (later) · Jun 14, 2013 ↗New Heights Fund, L.P. — PartnerFacts page ↗

Sources

Form D/A (earlier) · Jun 15, 2012 ↗ (Jun 15, 2012)
Form D/A (later) · Jun 14, 2013 ↗ (Jun 14, 2013)
New Heights Fund, L.P. — PartnerFacts page ↗ (Apr 10, 2017)

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

1 of 1 offering reports sales commissions totalling $209,391; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)

Offering (latest filing)	Sales commissions	Finder's fees	To insiders	Paid to sell it	Source
Jun 16, 2014 D/A New Heights Fund, L.P. File 021-131619	$209,391 (est.)	$0	$0	M.D. Sass Securities, L.L.C. BrokerCheck CRD 139760 ↗	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 1

Every issuer that named Joseph Stein 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: Waterfall

New Heights Fund, L.P.

New York, NY · Jun 14, 2013 → Jun 16, 2014 · 2 filings

Jun 16, 2014 · D/A · $112,667,656 sold of Indefinite · 133 investors · min. $1,000,000 · role: Executive Officer (Trader) EDGAR ↗
Jun 14, 2013 · D/A · $105,524,482 sold of Indefinite · 147 investors · min. $1,000,000 · role: Executive Officer (Trader) EDGAR ↗

Raised $123.4M from 147 investors as of the latest filing. Joseph 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. "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.

People around Joseph 7

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

Management entity

M.D. Sass Investors Services, Inc.

Executive Officer · 2 shared filings (1 issuer) · also on 3 other issuers

Listed on the same filings as Joseph Stein. Their page shows their other deals.

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

Person

Martin D. Sass

Executive Officer · 2 shared filings (1 issuer) · also on 7 other issuers

Martin D. Sass is on 8 issuers in total — a repeat sponsor. Their page lists every one.

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

Person

Bobby Liu

Executive Officer · 2 shared filings (1 issuer) · also on 18 other issuers

Bobby Liu is on 19 issuers in total — a repeat sponsor. Their page lists every one.

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

Person

Hugh R. Lamle

Executive Officer · 2 shared filings (1 issuer) · also on 12 other issuers

Hugh R. Lamle is on 13 issuers in total — a repeat sponsor. Their page lists every one.

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

Person

Craig C Barney, Jr.

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Joseph Stein. Their page shows their other deals.

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

Person

Ari Sass

Executive Officer · 2 shared filings (1 issuer) · also on 3 other issuers

Listed on the same filings as Joseph Stein. Their page shows their other deals.

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

Person

Jason Rapp

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

Listed on the same filings as Joseph Stein. Their page shows their other deals.

The team behind the deals

Sponsor group

Waterfall

76 issuers · 278 filings · $15.38B reported sold · 2009–2026

WE WATERFALL EDEN FUND LP Pooled Investment Fund · $1.27B sold · 2009
WE Waterfall Eden Fund Ltd Pooled Investment Fund · $3.58B sold · 2009
WS Waterfall Sandstone Fund, L.P. Pooled Investment Fund · $500.1M sold · 2014
WS WATERFALL STRUCTURED CREDIT DISLOCATION FUND, LP Pooled Investment Fund · $400M sold · 2023
WG Waterfall Greenbrook Fund, LP Pooled Investment Fund · 2026
MD M.D. Sass Government Agency Portable Alpha, L.P. Pooled Investment Fund · $610M sold · 2019
MD M.D. Sass Income Opportunity, L.P. Pooled Investment Fund · $35M sold · 2025
WE Waterfall Eden ERISA Fund, LP Pooled Investment Fund · 2026
WE Waterfall Eagle Fund, LLC Pooled Investment Fund · $508.5M sold · 2022
WS Waterfall Silver Spring Fund, LP Pooled Investment Fund · $200.3M sold · 2023
RP Rithm Perpetual Life Residential Trust REITS and Finance · $119.3M sold · 2025
WW Waterfall Waverly (Cayman) Fund, LP Pooled Investment Fund · 2026
WA Waterfall Affordable Housing Credit Fund I, LP Pooled Investment Fund · $116.3M sold · 2025
WL Waterfall LaSalle Fund, LLC Pooled Investment Fund · $150M sold · 2024
NC NewMile Claw SPV LLC Pooled Investment Fund · 2026
WP Waterfall Private Asset-Backed Credit Fund I (ERISA), LP Pooled Investment Fund · $24M sold · 2025
WP Waterfall Private Asset-Backed Credit Fund I (Cayman), LP Pooled Investment Fund · $116.2M sold · 2025
WP Waterfall Private Asset-Backed Credit Fund I, LP Pooled Investment Fund · $112.3M sold · 2025
RA Rithm Asset-Based Opportunities Fund LP Pooled Investment Fund · 2025
WV Waterfall Victoria Fund LP Pooled Investment Fund · $361.8M sold · 2009
WV Waterfall Victoria Fund, Ltd. Pooled Investment Fund · $1.59B sold · 2010
WV Waterfall Victoria ERISA Fund, Ltd. Pooled Investment Fund · $981.5M sold · 2011
RP Rithm Property Trust II REIT Inc. REITS and Finance · $125K sold · 2025
WD Waterfall Dislocation Opportunity Fund II (Cayman), LP Pooled Investment Fund · $48M sold · 2023
WD Waterfall Dislocation Opportunity Fund II, LP Pooled Investment Fund · $86.4M sold · 2023
RC Rithm Capital Management LLC Other Banking and Financial Services · $7.91M sold · 2024
WR Waterfall Residential Credit Opportunity Fund I, LP Pooled Investment Fund · $100.3M sold · 2022
TM Taurus Mining Finance Fund AIV L.P. Pooled Investment Fund · $676M sold · 2023
TM Taurus Mining Finance Annex Fund AIV L.P. Pooled Investment Fund · $314M sold · 2023
RC Ready Capital Subsidiary REIT II, LLC REITS and Finance · $125K sold · 2023
WD Waterfall Dislocation Opportunity Fund, LP Pooled Investment Fund · 2022
WD Waterfall Dislocation Opportunity Fund (Cayman), LP Pooled Investment Fund · 2022
WA Waterfall Atlas Fund LP Pooled Investment Fund · $280.2M sold · 2022
WA Waterfall Atlas Fund (Cayman) LP Pooled Investment Fund · 2022
WA Waterfall Atlas Fund (TE) LP Pooled Investment Fund · 2022
WI WSMF I AV LP Pooled Investment Fund · $3.5M sold · 2021
WO Waterfall Osprey Fund, Ltd. Pooled Investment Fund · $150M sold · 2020
WO Waterfall Osprey Master Fund, LP Pooled Investment Fund · $150M sold · 2020
SI SHARB Investors LP Pooled Investment Fund · $15M sold · 2021
WS Waterfall Sentinel Fund I (Cayman I) LP Pooled Investment Fund · $20M sold · 2019
WS Waterfall Sentinel Fund I LP Pooled Investment Fund · $53.1M sold · 2019
WS Waterfall Sentinel Fund I (UB), LP Pooled Investment Fund · $30M sold · 2019
WS Waterfall Sentinel Fund I (Cayman II) LP Pooled Investment Fund · 2019
WI Waterfall Ithaca Fund, LLC Pooled Investment Fund · $2.05M sold · 2019
RC Ready Capital Corp REITS and Finance · $36.8M sold · 2011
WO Waterfall Olympic Offshore Fund, Ltd Pooled Investment Fund · $325.7M sold · 2014
RC Ready Capital Subsidiary REIT I, LLC REITS and Finance · $125K sold · 2018
AA AMERRA Agri Fund II Annex, LP Pooled Investment Fund · $66.4M sold · 2017
AA AMERRA Agri Advantage Fund, L.P. Pooled Investment Fund · $100M sold · 2013
AA AMERRA Agri PE Fund, LP Pooled Investment Fund · $102.2M sold · 2016
TM Taurus Mining Finance Fund Ltd Pooled Investment Fund · $30.3M sold · 2014
TM Taurus Mining Finance Fund LLC Pooled Investment Fund · $144.5M sold · 2014
NH New Heights Fund, L.P. Pooled Investment Fund · $123.4M sold · 2009 · listed
AA AMERRA Agri Offshore Fund III, L.P. Pooled Investment Fund · $150.5M sold · 2016
AA AMERRA Agri Fund III, LP Pooled Investment Fund · $305.1M sold · 2015
SA Sutherland Asset Management Corp REITS and Finance · $213.2M sold · 2013
SF Sutherland Fund, LP Pooled Investment Fund · $25.6M sold · 2012
AA AMERRA Agri Multi Strategy Fund, L.P. Pooled Investment Fund · $250.8M sold · 2014
TR Taurus Resources Fund No. 2, LLC Pooled Investment Fund · $217.6M sold · 2010
TR Taurus Resources Fund No. 2, Ltd. Pooled Investment Fund · $130.4M sold · 2010
AA AMERRA Agri Fund II, LP Pooled Investment Fund · $383.2M sold · 2012
MD M.D. Sass Multi-Strategy Partners II, L.P. Pooled Investment Fund · $500K sold · 2013
AA AMERRA Agri Offshore Fund II, L.P. Pooled Investment Fund · $13.8M sold · 2013
AA AMERRA Agri Opportunity Fund, L.P. Pooled Investment Fund · $63.3M sold · 2010
AA AMERRA Agri Fund, LP Pooled Investment Fund · $68.5M sold · 2009
WD Waterfall Delta Fund, Ltd. Pooled Investment Fund · $104.2M sold · 2010
AA AMERRA Agri Offshore Fund, L.P. Pooled Investment Fund · $89.4M sold · 2009
TG Taurus Global Resources Hedge Fund LLC Pooled Investment Fund · 2010
TG Taurus Global Resources Hedge Fund Ltd Pooled Investment Fund · 2010
TP Taurus Precious Metals Fund Ltd. Pooled Investment Fund · 2010
TP Taurus Precious Metals Fund, LLC Pooled Investment Fund · 2010
MS MD Sass US Government Agency 1 Year Duration Bond Fund, LLC Pooled Investment Fund · $37.3M sold · 2009
MS MD Sass US Government Agency 3 Year Duration Bond Fund, LLC Pooled Investment Fund · $8.16M sold · 2009
WT Waterfall TALF Opportunity Fund, Ltd. Pooled Investment Fund · $4.74M sold · 2009
WT Waterfall TALF Opportunity Fund, LLC Pooled Investment Fund · $18.8M sold · 2009
MD M.D. Sass Municipal Finance Partners-VI, LLC Investing · $17.5M sold · 2009

One team, 76 deal companies. Joseph Stein is listed on 1 of them.

Sources

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

Same business address

5 other issuers file from the same address

AMERRA Agri Multi Strategy Fund, L.P. New York, NY · 2014
AMERRA Agri Fund II, LP New York, NY · 2012
M.D. Sass Multi-Strategy Partners II, L.P. New York, NY · 2013
MD Sass US Government Agency 3 Year Duration Bond Fund, LLC New York, NY · 2009
MD Sass US Government Agency 1 Year Duration Bond Fund, LLC New York, NY · 2009

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); KY (Kentucky Secretary of State — Business Entity Search (sosbes.sos.ky.gov), searched by issuer name, data as of Oct 24, 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 1 issuer this person is listed on matches a Form ADV adviser (searched 24,962 advisers as of Oct 2, 2026): New Heights Fund, L.P..

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 Joseph Stein 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 1 issuer this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Joseph Stein is listed on: none on file. No website or social profile named in New Heights Fund, L.P.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #273,000 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓

Look further

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Change history

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Joseph Stein

The short version

What the community is saying

Key records

1. Lawsuits

2. Regulatory actions

3. Bankruptcies

4. Differences between public sources

4 bankruptcy cases name the subject or team members

Investor count went down between filings — New Heights Fund, L.P.

Joseph Stein is no longer listed on the Apr 8, 2015 amendment — New Heights Fund, L.P.

Minimum investment changed between filings — New Heights Fund, L.P.

5. Money to insiders

Deals 1

People around Joseph 7

The team behind the deals

5 other issuers file from the same address

Registrations and other filings

Business registration (state registry / Secretary of State)

Adviser registration (Form ADV)

Other offering types (Regulation A and Regulation Crowdfunding)

Public profiles and social

Look further

Social and web

Courts

Securities regulators

Business registries

Change history

Request a correction

Add a response

Monitor this person