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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 5:13 AM ET

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KS
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Kumar Shah

Named as an officer, director or promoter on SEC Form D filings · NY · Feb 29, 2024 → May 7, 2024

1deal (issuers)
$0reported sold
0investors
3Form D filings
2024year on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:55 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Kumar Shah is listed as an executive officer on 3 SEC Form D filings by 1 issuer between Feb 2024 and May 2024: BTG III Annex Fund III L.P. (New York, NY — pooled investment fund — 2024).

What this means One deal on file with the SEC, filed May 2024. 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 Josh Raffaelli (3 shared filings), Judah Siegal (3 shared filings), Keiji Hattori (3 shared filings), Mark Srulowitz (3 shared filings), Nicholas Sammut (3 shared filings) and 1 others.

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

The issuer belongs to the sponsor group Brookfield (322 issuers, $177.24B reported sold, 2009–2026).

What this means A sponsor group is one team that sets up a new company for each deal. Brookfield has 322 companies on file and $177.24B 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 (AZ, CA, DE, TX, WA) — 2 court cases matching the name, 3 bankruptcy cases matching the name listed in Key records below.

What this means 5 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 3 public filings for Kumar Shah and found 1 difference, 1 worth asking the sponsor about: 5 paid sellers are listed without a CRD number.

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 Kumar Shah has not run yet — it is joining a line of 10,210 names; searches run around the clock at the hosts' allowed rate. Searched so far: 27 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

2 cases: 2 closed (disposition not in docket feed)

United States v. Kumar Shah closed
District Court, S.D. New York · No. 1:10-cr-01169 · Filed Nov 24, 2010 · Closed Aug 22, 2011
Role of Kumar Shah: Defendant · Outcome: Terminated 2011-08-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 6 federal dockets); court in the person's filing state (NY); criminal docket
United States v. Kumar Shah closed
District Court, S.D. New York · No. 1:10-cr-01169 · Filed Nov 24, 2010 · Closed Aug 22, 2011
Role of Kumar Shah: Defendant · Outcome: Terminated 2011-08-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 6 federal dockets); court in the person's filing state (NY); criminal docket
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, 2:55 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: AZ, CA, DE, TX, WA (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 Kumar Shah..

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 are not covered.

3. Bankruptcies

3 cases: 3 closed (disposition not in docket feed)

Kumar Shah closed
United States Bankruptcy Court, N.D. California · No. 13-31638 · Filed Jul 19, 2013 · Closed Oct 30, 2013
Role of Kumar Shah: Debtor · Outcome: Case closed 2013-10-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 6 federal dockets); court in CA (not a filing state)
Kumar P. Shah closed
United States Bankruptcy Court, N.D. California · No. 07-43037 · Filed Sep 20, 2007 · Closed Apr 9, 2013
Role of Kumar P. Shah: Debtor · Outcome: Case closed 2013-04-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 6 federal dockets); court in CA (not a filing state)
Kumar P. Shah closed
United States Bankruptcy Court, N.D. California · No. 02-46945 · Filed Dec 24, 2002 · Closed Sep 8, 2006
Role of Kumar P. Shah: Debtor · Outcome: Case closed 2006-09-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 6 federal dockets); court in CA (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, 2:55 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

1 difference found between the filings for Kumar Shah — 1 worth asking about (compared 3 filings on Oct 24, 2026)

Worth asking · Feb 29, 2024 – May 7, 2024

5 paid sellers are listed without a CRD number

Paid seller listed without a CRD number: Brookfield Private Capital (UK) Limited — BTG III Annex Fund III L.P. · Paid seller listed without a CRD number: Brookfield Singapore Pte. Ltd — BTG III Annex Fund III L.P. · Paid seller listed without a CRD number: Brookfield Advisors (Hong Kong) Ltd — BTG III Annex Fund III L.P. · Paid seller listed without a CRD number: Brookfield Investment Management (Canada) Inc. — BTG III Annex Fund III L.P. · Paid seller listed without a CRD number: Brookfield Capital Securities Ltd. — BTG III Annex Fund III L.P.

What this means Without a CRD number we cannot look a seller up on BrokerCheck. Ask who they are and whether they are registered.

Form D/A · May 7, 2024 ↗BrokerCheck search: Brookfield Private Capital (UK) Limited ↗BTG III Annex Fund III L.P. — PartnerFacts page ↗BrokerCheck search: Brookfield Singapore Pte. Ltd ↗
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

1 of 1 offering reports sales commissions totalling $1,125,000; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
May 7, 2024 D/A
BTG III Annex Fund III L.P.
File 021-506364
$1,125,000 (est.)$0$0Brookfield Private Advisors LLC BrokerCheck CRD 151423 ↗
via Brookfield Private Advisors LLC (CRD 151423 ↗)

Brookfield Private Capital (UK) Limited no CRD number reported
via Brookfield Private Capital (UK) Limited

Brookfield Singapore Pte. Ltd no CRD number reported
via Brookfield Singapore Pte. Ltd

Brookfield Advisors (Hong Kong) Ltd no CRD number reported
via Brookfield Advisors (Hong Kong) Ltd

Brookfield Investment Management (Canada) Inc. no CRD number reported
via Brookfield Investment Management (Canada) Inc.

Brookfield Capital Securities Ltd. no CRD number reported
via Brookfield Capital Securities Ltd.

Brookfield Oaktree Wealth Solutions LLC BrokerCheck CRD 313390 ↗
via Brookfield Oaktree Wealth Solutions LLC (CRD 313390 ↗)
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 Kumar Shah on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

BA
Pooled Investment Fund · group: Brookfield

BTG III Annex Fund III L.P.

New York, NY · Feb 29, 2024 → May 7, 2024 · 3 filings
  • May 7, 2024 · D/A · $0 sold of Indefinite · 0 investors · min. No minimum reported · role: Executive Officer (Managing Director of the GP of the GP of issuer) EDGAR ↗
  • Apr 23, 2024 · D/A · $0 sold of Indefinite · 0 investors · min. No minimum reported · role: Executive Officer (Managing Director of the GP of the GP of issuer) EDGAR ↗
  • Feb 29, 2024 · D · $0 sold of Indefinite · 0 investors · min. No minimum reported · role: Executive Officer (Managing Director of the GP of the GP of issuer) EDGAR ↗

No sales reported yet as of the latest filing. Kumar is listed as executive officer on 3 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 Kumar 6

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

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

Mark Srulowitz

Executive Officer · 3 shared filings (1 issuer) · also on 88 other issuers

Mark Srulowitz is on 89 issuers in total — a repeat sponsor. Their page lists every one.

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

Keiji Hattori

Executive Officer · 3 shared filings (1 issuer) · also on 25 other issuers

Keiji Hattori is on 26 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

Josh Raffaelli

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

Listed on the same filings as Kumar Shah. Their page shows their other deals.

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

Judah Siegal

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

Listed on the same filings as Kumar Shah. Their page shows their other deals.

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

Nicholas Sammut

Executive Officer · 3 shared filings (1 issuer)

Listed on the same filings as Kumar Shah. Their page shows their other deals.

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

John Michael Layfield

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

John Michael Layfield is on 8 issuers in total — a repeat sponsor. Their page lists every one.

The team behind the deals

B
Sponsor group

Brookfield

322 issuers · 531 filings · $177.24B reported sold · 2009–2026

One team, 322 deal companies. Kumar Shah 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 Kumar Shah.

Registrations and other filings

Adviser registration (Form ADV)

None of the 1 issuer 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.

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 Kumar Shah 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 Kumar Shah is listed on: none on file. No website or social profile named in BTG III Annex Fund III L.P.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #100,753 of 374,652 in line (14 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 (New York, NY). 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) ↗New York WebCivil Supreme ↗

Securities regulators

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

Business registries

New York Secretary of State business search ↗OpenCorporates ↗

Change history

No corrections have been requested for this page.

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