PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 7:54 AM ET

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KB
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Keith Brocker

Named as an officer, director or promoter on SEC Form D filings · CT · Feb 15, 2023 → Feb 15, 2023

1deal (issuers)
$95.6Mreported sold
9investors
1Form D filing
2023year on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:54 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Keith Brocker is listed as an executive officer on 1 SEC Form D filing by 1 issuer in Feb 2023: Performance EFFEM PE Fund, L.P.: Series 2022 (Greenwich, CT — pooled investment fund — 2023; $95.6M reported sold to 9 investors).

What this means One deal on file with the SEC, filed Feb 2023. 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 Christopher Millin (1 shared filing), Frank Brenninkmeyer (1 shared filing), James S. Tybur (1 shared filing), Jeffrey A. Reals (1 shared filing), Jeffrey Barman (1 shared filing) and 7 others.

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

The issuer belongs to the sponsor group Performance (27 issuers, $2.17B reported sold, 2010–2025).

What this means A sponsor group is one team that sets up a new company for each deal. Performance has 27 companies on file and $2.17B 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) — 5 court cases matching the name, 11 bankruptcy cases matching the name listed in Key records below.

What this means 16 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 1 public filing for Keith Brocker and found 2 differences: No amendment in the last 12 months on an offering that may still be open; Offering amount changed between filings.

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 Keith Brocker has not run yet — it is joining a line of 28,753 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).

Key records

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

1. Lawsuits

5 cases: 5 dismissed

BROCKER REBAR CO. v. FREECON, INC. dismissed
District Court, District of Columbia · No. 1:96-cv-01359 · Filed Jun 14, 1996 · Closed Dec 10, 1996 · Nature of suit: 190 Other contract actions
Role of BROCKER REBAR CO.: Plaintiff · Outcome: Terminated 1996-12-10 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 22 federal dockets); surname only in the caption; court in DC (not a filing state)
BROCKER REBAR CO. v. LISBON CONTRACTORS dismissed
District Court, E.D. Pennsylvania · No. 2:92-cv-06299 · Filed Nov 2, 1992 · Closed Dec 17, 1992 · Nature of suit: 130 Miller act
Role of BROCKER REBAR CO.: Plaintiff · Outcome: Terminated 1992-12-17 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 22 federal dockets); surname only in the caption; court in PA (not a filing state)
Brocker v. Snap-On Tools Corp. dismissed
District Court, S.D. Iowa · No. 4:90-cv-80678 · Filed Dec 5, 1990 · Closed Oct 14, 1992 · Nature of suit: 190 Other contract actions
Role of Brocker: Plaintiff · Outcome: Terminated 1992-10-14 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 22 federal dockets); surname only in the caption; court in IA (not a filing state)
BROCKER MFG. v. MERGENTIME CORP. dismissed
District Court, District of Columbia · No. 1:89-cv-01990 · Filed Jul 12, 1989 · Closed Jul 13, 1990 · Nature of suit: 190 Other contract actions
Role of BROCKER MFG.: Plaintiff · Outcome: Terminated 1990-07-13 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 22 federal dockets); surname only in the caption; court in DC (not a filing state)
BROCKER MANUF. & SUPPLY CO v. J.A. CAVANAUGH CONTRACTORS dismissed
District Court, E.D. Pennsylvania · No. · Filed Nov 8, 1988 · Closed Jan 23, 1989 · Nature of suit: 190 Other contract actions
Role of BROCKER MANUF. & SUPPLY CO: Plaintiff · Outcome: Terminated 1989-01-23 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 22 federal dockets); surname only in the caption; court in PA (not a filing state)
What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:54 AM ET.

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

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

2. Regulatory actions

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: VA (crawled Oct 23, 2026)

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 Keith Brocker..

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).

3. Bankruptcies

11 cases: 11 closed (disposition not in docket feed)

CashCall, Inc. v. Brocker closed
United States Bankruptcy Court, D. Minnesota · No. 13-03161 · Filed Aug 6, 2013 · Closed Mar 26, 2014
Role of Brocker: Defendant · Outcome: Case closed 2014-03-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 22 federal dockets); surname only in the caption; court in MN (not a filing state)
William Brocker and Tovana Brocker closed
United States Bankruptcy Court, S.D. Texas · No. 10-34563 · Filed May 31, 2010 · Closed Jul 19, 2011
Role of William Brocker and Tovana Brocker: Debtor · Outcome: Case closed 2011-07-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 22 federal dockets); different first name (william); court in TX (not a filing state)
Keith Ellis Brocker closed
United States Bankruptcy Court, S.D. Ohio · No. 2:10-bk-51319 · Filed Feb 11, 2010 · Closed Jun 16, 2010
Role of Keith Ellis Brocker: Debtor · Outcome: Case closed 2010-06-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 22 federal dockets); different first name (ellis); court in OH (not a filing state)
Brocker v. Onewest Bank, FSB fna Indymac Federal Bank, Succes closed
United States Bankruptcy Court, E.D. Virginia · No. 10-01001 · Filed Jan 4, 2010 · Closed Jun 24, 2010
Role of Brocker: Plaintiff · Outcome: Case closed 2010-06-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 22 federal dockets); surname only in the caption; court in VA (not a filing state)
William A Brocker closed
United States Bankruptcy Court, N.D. Ohio · No. 05-42295 · Filed Apr 25, 2005 · Closed Sep 14, 2005
Role of William A Brocker: Debtor · Outcome: Case closed 2005-09-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 22 federal dockets); different first name (william); court in OH (not a filing state)
First Usa Bank v. Brocker closed
United States Bankruptcy Court, M.D. Florida · No. 6:03-ap-00046 · Filed Jan 27, 2003 · Closed Jul 28, 2003
Role of Brocker: Defendant · Outcome: Case closed 2003-07-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 22 federal dockets); surname only in the caption; court in FL (not a filing state)
Robert Brocker Unger and Marianne Lois Unger closed
United States Bankruptcy Court, W.D. Missouri · No. 00-42190 · Filed Jun 12, 2000 · Closed Jul 19, 2005
Role of Robert Brocker Unger and Marianne Lois Unger: Debtor · Outcome: Case closed 2005-07-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 22 federal dockets); different first name (robert); court in MO (not a filing state)
William O. Brocker and Debbie E. Brocker closed
United States Bankruptcy Court, E.D. Oklahoma · No. 98-72639 · Filed Sep 16, 1998 · Closed Jan 13, 1999
Role of William O. Brocker and Debbie E. Brocker: Debtor · Outcome: Case closed 1999-01-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 22 federal dockets); different first name (william); court in OK (not a filing state)
Carr, Esq., Trustee v. Brocker Rebar Co., Inc. closed
United States Bankruptcy Court, M.D. Pennsylvania · No. 1:96-ap-00062 · Filed Mar 8, 1996 · Closed May 15, 1996
Role of Brocker Rebar Co., Inc.: Defendant · Outcome: Case closed 1996-05-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 22 federal dockets); surname only in the caption; court in PA (not a filing state)
Wilke v. Brocker Manufacturing & Supply Co., Inc. closed
United States Bankruptcy Court, D. Maryland · No. 88-05142 · Filed Jun 10, 1988 · Closed Feb 20, 1998
Role of Brocker Manufacturing & Supply Co., Inc.: Defendant · Outcome: Case closed 1998-02-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 22 federal dockets); surname only in the caption; court in MD (not a filing state)
William Otto Brocker closed
United States Bankruptcy Court, E.D. Oklahoma · No. 87-71388 · Filed Dec 2, 1987 · Closed Jan 31, 1991
Role of William Otto Brocker: Debtor · Outcome: Case closed 1991-01-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 22 federal dockets); different first name (otto); court in OK (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, 2:54 AM ET.

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

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

4. Differences between public sources

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

2 differences found between the filings for Keith Brocker (compared 1 filing on Oct 24, 2026)

Note · Jan 1, 2022 – Feb 15, 2023

No amendment in the last 12 months on an offering that may still be open — Performance EFFEM PE Fund, L.P.: Series 2022 (latest filing Feb 15, 2023)

The latest filing for this offering is dated Feb 15, 2023 (first sale Jan 1, 2022). It reports $95,639,279 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.

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

Form D/A · Feb 15, 2023 ↗Performance EFFEM PE Fund, L.P.: Series 2022 — PartnerFacts page ↗
Sources
Note · Feb 7, 2022 – Feb 15, 2023

Offering amount changed between filings — Performance EFFEM PE Fund, L.P.: Series 2022

The Feb 7, 2022 filing says $69,639,279 offered; the Feb 15, 2023 Form D/A says an indefinite amount.

What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.

Form D (earlier) · Feb 7, 2022 ↗Form D/A (later) · Feb 15, 2023 ↗Performance EFFEM PE Fund, L.P.: Series 2022 — PartnerFacts page ↗
Sources
What is compared

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

5. Money to insiders

None reported on 1 offering — no sales commissions, finder's fees or proceeds to insiders

Per-offering detail
Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Feb 15, 2023 D/A
Performance EFFEM PE Fund, L.P.: Series 2022
File 021-432604
$0$0$0
The Issuer will pay Performance Equity Management, LLC an annual management fee.
None listed on this filingEDGAR ↗

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 Keith Brocker on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

PE
Pooled Investment Fund · group: Performance

Performance EFFEM PE Fund, L.P.: Series 2022

Greenwich, CT · Feb 15, 2023
  • Feb 15, 2023 · D/A · $95,639,279 sold of Indefinite · 9 investors · min. No minimum reported · role: Executive Officer (Vice President of PEM and managing member of the General Partner) EDGAR ↗

Raised $95.6M from 9 investors as of the latest filing. Keith 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. "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 Keith 12

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

PE
Management entity

Performance Equity Management, LLC

Promoter · 1 shared filing (1 issuer) · also on 24 other issuers

Performance Equity Management, LLC is on 25 issuers in total — a repeat sponsor. Their page lists every one.

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

John S. Clark

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

John S. Clark is on 26 issuers in total — a repeat sponsor. Their page lists every one.

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

Frank Brenninkmeyer

Director · 1 shared filing (1 issuer) · also on 20 other issuers

Frank Brenninkmeyer is on 21 issuers in total — a repeat sponsor. Their page lists every one.

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

Marcia Haydel

Director · 1 shared filing (1 issuer) · also on 21 other issuers

Marcia Haydel is on 22 issuers in total — a repeat sponsor. Their page lists every one.

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

S. Lawrence Rusoff

Director · 1 shared filing (1 issuer) · also on 18 other issuers

S. Lawrence Rusoff is on 19 issuers in total — a repeat sponsor. Their page lists every one.

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

Jon W. DeKlerk

Executive Officer · 1 shared filing (1 issuer) · also on 23 other issuers

Jon W. DeKlerk is on 24 issuers in total — a repeat sponsor. Their page lists every one.

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

Jeffrey Barman

Executive Officer · 1 shared filing (1 issuer) · also on 24 other issuers

Jeffrey Barman is on 25 issuers in total — a repeat sponsor. Their page lists every one.

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

Jeffrey A. Reals

Director · 1 shared filing (1 issuer) · also on 24 other issuers

Jeffrey A. Reals is on 25 issuers in total — a repeat sponsor. Their page lists every one.

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

James S. Tybur

Director · 1 shared filing (1 issuer) · also on 22 other issuers

James S. Tybur is on 23 issuers in total — a repeat sponsor. Their page lists every one.

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

Christopher Millin

Executive Officer · 1 shared filing (1 issuer) · also on 21 other issuers

Christopher Millin is on 22 issuers in total — a repeat sponsor. Their page lists every one.

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

Paul Schmitt

Executive Officer · 1 shared filing (1 issuer) · also on 14 other issuers

Paul Schmitt is on 15 issuers in total — a repeat sponsor. Their page lists every one.

The team behind the deals

P
Sponsor group

Performance

27 issuers · 42 filings · $2.17B reported sold · 2010–2025

One team, 27 deal companies. Keith Brocker 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 Keith Brocker.

Same business address

15 other issuers file from the same address

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

Registrations and other filings

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): Performance EFFEM PE Fund, L.P.: Series 2022.

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 Keith Brocker 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 Keith Brocker is listed on: none on file. No website or social profile named in Performance EFFEM PE Fund, L.P.: Series 2022's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #132,398 of 374,652 in line (1,364 issuers searched so far). One-tap searches: Look further ↓

Look further

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

Social and web

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

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗Connecticut Judicial Branch case look-up ↗

Securities regulators

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

Business registries

Connecticut Secretary of State business search ↗OpenCorporates ↗

Change history

No corrections have been requested for this page.

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