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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 7:31 AM ET

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Mark N. Kaplan

Named as an officer, director or promoter on SEC Form D filings · NY, CA · Sep 21, 2010 → Sep 16, 2022

31deals (issuers)
$14.19Breported sold
2,658investors
134Form D filings
2010–2022years on file

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:22 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Mark N. Kaplan is listed as an executive officer and director on 134 SEC Form D filings by 31 issuers between Sep 2010 and Sep 2022. Largest by amount reported sold: DJF CommodityBuilder Fund, L.L.C. (New York, NY — pooled investment fund — 2018–2022; $1.77B reported sold to 27 investors), TAP Fund, L.L.C. (The TAP Strategy) (New York, NY — pooled investment fund — 2018–2022; $1.44B reported sold to 317 investors), TAP CommodityBuilder Fund, L.L.C. (New York, NY — pooled investment fund — 2018–2022; $1.36B reported sold to 103 investors), Onshore A Plus Fund, L.L.C. (New York, NY — pooled investment fund — 2018–2021; $1.33B reported sold to 29 investors), ETAP Fund, L.L.C. (New York, NY — pooled investment fund — 2018–2022; $1.19B reported sold to 233 investors) and 26 more (all listed below).

What this means That is a lot of deals — 31 separate companies raised money with this person listed as executive officer and director, over about 12 years. Across those companies the filings report $14.19B sold in total.

Listed alongside Douglas J. Hepworth (125 shared filings), Jonathan S. Spencer (125 shared filings), Louis F. O'Neill (124 shared filings), Terrence Martell (103 shared filings), Adam I. Gehrie (99 shared filings) and 32 others.

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

The issuers belong to 2 sponsor groups: Gresham (36 issuers, $14.56B reported sold, 2009–2026) and Autoweb (4 issuers, $11.4M reported sold, 2010–2017).

What this means This person is listed across more than one sponsor team; each group page shows that team's full track record.

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) — 1 court case matching the name, 18 bankruptcy cases matching the name listed in Key records below.

What this means 19 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 the newest 50 of 134 public filings for Mark N. Kaplan and found 16 differences, 5 worth asking the sponsor about: 8 bankruptcy cases name the subject or team members; 4 offerings reported less sold on a later filing than an earlier one; 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 Mark N. Kaplan has not run yet — it is joining a line of 22,933 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

1 case: 1 dismissed

Mary Willia v. Mark Kaplan dismissed
District Court, C.D. California · No. 2:11-cv-05178 · Filed Jun 21, 2011 · Closed Aug 29, 2011 · Nature of suit: 470 Racketeer/Corrupt Organization · Cause: 18:1961 Racketeering (RICO) Act
Role of Mark Kaplan: Defendant · Outcome: Terminated 2011-08-29 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
same full name (a name found in 30 federal dockets); 6 people with this name in Form D filings; court in the person's filing state (CA)
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, 2:22 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 Mark N. Kaplan..

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

18 cases: 18 closed (disposition not in docket feed)

Mark Kaplan closed
United States Bankruptcy Court, C.D. California · No. 2:13-bk-23525 · Filed May 23, 2013 · Closed Mar 6, 2014
Role of Mark Kaplan: Debtor · Outcome: Case closed 2014-03-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 30 federal dockets); 6 people with this name in Form D filings; court in the person's filing state (CA)
Mark Kaplan closed
United States Bankruptcy Court, C.D. California · No. 2:13-bk-11498 · Filed Jan 18, 2013 · Closed Apr 1, 2013
Role of Mark Kaplan: Debtor · Outcome: Case closed 2013-04-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 30 federal dockets); 6 people with this name in Form D filings; court in the person's filing state (CA)
Mark Kaplan closed
United States Bankruptcy Court, C.D. California · No. 2:12-bk-40894 · Filed Sep 11, 2012 · Closed Nov 16, 2012
Role of Mark Kaplan: Debtor · Outcome: Case closed 2012-11-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 30 federal dockets); 6 people with this name in Form D filings; court in the person's filing state (CA)
Mark R. Kaplan closed
United States Bankruptcy Court, D. Massachusetts · No. 10-19850 · Filed Sep 10, 2010 · Closed Dec 23, 2010
Role of Mark R. Kaplan: Debtor · Outcome: Case closed 2010-12-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 30 federal dockets); 6 people with this name in Form D filings; court in MA (not a filing state); middle initial differs
Mark K Kaplan closed
United States Bankruptcy Court, C.D. California · No. 8:09-bk-22796 · Filed Nov 18, 2009 · Closed Apr 16, 2010
Role of Mark K Kaplan: Debtor · Outcome: Case closed 2010-04-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 30 federal dockets); 6 people with this name in Form D filings; court in the person's filing state (CA); middle initial differs
Mark H. Kaplan closed
United States Bankruptcy Court, E.D. New York · No. 1-09-48395 · Filed Sep 26, 2009 · Closed Jan 10, 2012
Role of Mark H. Kaplan: Debtor · Outcome: Case closed 2012-01-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 30 federal dockets); 6 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Mark I Kaplan closed
United States Bankruptcy Court, D. New Jersey · No. 04-33279 · Filed Jul 14, 2004 · Closed Oct 25, 2004
Role of Mark I Kaplan: Debtor · Outcome: Case closed 2004-10-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 30 federal dockets); 6 people with this name in Form D filings; court in NJ (not a filing state); middle initial differs
Mark Kaplan closed
United States Bankruptcy Court, C.D. California · No. 2:02-bk-28982 · Filed Jul 2, 2002 · Closed Oct 29, 2002
Role of Mark Kaplan: Debtor · Outcome: Case closed 2002-10-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 30 federal dockets); 6 people with this name in Form D filings; court in the person's filing state (CA)
Mark S Kaplan closed
United States Bankruptcy Court, N.D. Illinois · No. 02-04917 · Filed Feb 7, 2002 · Closed May 31, 2002
Role of Mark S Kaplan: Debtor · Outcome: Case closed 2002-05-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 30 federal dockets); 6 people with this name in Form D filings; court in IL (not a filing state); middle initial differs
Mark Kaplan and Tamar Kaplan closed
United States Bankruptcy Court, N.D. Illinois · No. 99-01063 · Filed Jan 14, 1999 · Closed May 4, 1999
Role of Mark Kaplan and Tamar Kaplan: Debtor · Outcome: Case closed 1999-05-04 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 30 federal dockets); 6 people with this name in Form D filings; court in IL (not a filing state); middle initial differs
Mark K Kaplan closed
United States Bankruptcy Court, C.D. California · No. 1:97-bk-20801 · Filed Aug 5, 1997 · Closed Nov 25, 1997
Role of Mark K Kaplan: Debtor · Outcome: Case closed 1997-11-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 30 federal dockets); 6 people with this name in Form D filings; court in the person's filing state (CA); middle initial differs
Mark G Kaplan and Tobey Beth Kaplan closed
United States Bankruptcy Court, C.D. California · No. 1:96-bk-21576 · Filed Oct 8, 1996 · Closed May 29, 1998
Role of Mark G Kaplan and Tobey Beth Kaplan: Debtor · Outcome: Case closed 1998-05-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 30 federal dockets); 6 people with this name in Form D filings; court in the person's filing state (CA); middle initial differs
Mark Kaplan and Enid F Kaplan closed
United States Bankruptcy Court, E.D. New York · No. 8-95-71955 · Filed Jul 7, 1995 · Closed Mar 30, 2000
Role of Mark Kaplan and Enid F Kaplan: Debtor · Outcome: Case closed 2000-03-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 30 federal dockets); 6 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Mark A Kaplan and Donna M. Kaplan closed
United States Bankruptcy Court, S.D. Florida. · No. 94-30206 · Filed Jan 20, 1994 · Closed Jul 27, 1994
Role of Mark A Kaplan and Donna M. Kaplan: Debtor · Outcome: Case closed 1994-07-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 30 federal dockets); 6 people with this name in Form D filings; court in FL (not a filing state); middle initial differs
Mark Kaplan and Kimberly Kaplan closed
United States Bankruptcy Court, D. Massachusetts · No. 93-40354 · Filed Feb 8, 1993 · Closed Jun 7, 1993
Role of Mark Kaplan and Kimberly Kaplan: Debtor · Outcome: Case closed 1993-06-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 30 federal dockets); 6 people with this name in Form D filings; court in MA (not a filing state); middle initial differs
Mark A. Kaplan closed
United States Bankruptcy Court, S.D. Florida. · No. 90-32663 · Filed Apr 25, 1990 · Closed Sep 19, 1990
Role of Mark A. Kaplan: Debtor · Outcome: Case closed 1990-09-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 30 federal dockets); 6 people with this name in Form D filings; court in FL (not a filing state); middle initial differs
Mark D. Kaplan and Jean N. Kaplan closed
United States Bankruptcy Court, D. Massachusetts · No. 89-14074 · Filed Dec 22, 1989 · Closed May 23, 1994
Role of Mark D. Kaplan and Jean N. Kaplan: Debtor · Outcome: Case closed 1994-05-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 30 federal dockets); 6 people with this name in Form D filings; court in MA (not a filing state); middle initial differs
Mark S Kaplan closed
United States Bankruptcy Court, N.D. Illinois · No. 87-03282 · Filed Mar 3, 1987 · Closed Aug 15, 1989
Role of Mark S Kaplan: 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 30 federal dockets); 6 people with this name in Form D filings; court in IL (not a filing state); middle initial differs
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, 2:22 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

16 differences found between the filings for Mark N. Kaplan — 5 worth asking about (compared the newest 50 of 134 filings on Oct 24, 2026; older filings not covered)

Worth asking · Feb 24, 1998 – Mar 6, 2014

8 bankruptcy cases name the subject or team members

Bankruptcy case: Mark Kaplan — filed May 23, 2013 · Bankruptcy case: Mark Kaplan — filed Jan 18, 2013 · Bankruptcy case: Mark Kaplan — filed Sep 11, 2012 · Bankruptcy case: Mark Kaplan — filed Jul 2, 2002 · Bankruptcy case: Bethlehem Steel Corporation v. Cantor Fitzgerald Brokerage, LP — filed Sep 22, 2003 · and 3 more

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.

Sources
Worth asking · Jul 25, 2018 – Sep 18, 2023

4 offerings reported less sold on a later filing than an earlier one

Amount sold went down between filings — MTAP CommodityBuilder Fund, L.L.C. · Amount sold went down between filings — G Plus Fund, L.L.C. · Amount sold went down between filings — DJF CommodityBuilder Fund, L.L.C. · Amount sold went down between filings — TAP CommodityBuilder Fund, L.L.C.

What this means Amounts sold normally only go up. Ask the sponsor what happened on each.

Sources
Worth asking · Apr 14, 2022 – Apr 14, 2023

Investor count went down between filings — GreshamQuant SAFI Fund, L.L.C.

The Apr 14, 2022 filing reports 15 investors; the Apr 14, 2023 Form D/A reports 7 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.

Sources
Worth asking · Jul 25, 2018 – Jul 25, 2019

Investor count went down between filings — DJF CommodityBuilder Fund, L.L.C.

The Jul 25, 2018 filing reports 27 investors; the Jul 25, 2019 Form D/A reports 26 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.

Sources
Note · Nov 18, 2020

Mark N. Kaplan appears on 1 deal that stopped filing before reaching its target

CF Station Multifamily DST (last filing Nov 18, 2020; $0 sold of $57,354,000). 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.

Sources
Note · Nov 2, 2009 – Jul 27, 2021

No amendment in the last 12 months on an offering that may still be open — Onshore A Plus Fund, L.L.C. (latest filing Jul 27, 2021)

The latest filing for this offering is dated Jul 27, 2021 (first sale Nov 2, 2009). It reports $1,334,765,031 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.

Sources
Note · Aug 31, 2016 – Sep 16, 2019

No amendment in the last 12 months on an offering that may still be open — Gresham CMS Fund, L.L.C. (latest filing Sep 16, 2019)

The latest filing for this offering is dated Sep 16, 2019 (first sale Aug 31, 2016). It reports $26,000,000 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.

Sources
Note · Oct 1, 2010 – Jul 25, 2019

No amendment in the last 12 months on an offering that may still be open — G Plus Fund, Ltd. (latest filing Jul 25, 2019)

The latest filing for this offering is dated Jul 25, 2019 (first sale Oct 1, 2010). It reports $19,274,267 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.

Sources
Worth asking · Feb 11, 2022 – Sep 18, 2023

16 people are no longer listed on a later amendment

Mark N. Kaplan is no longer listed on the Sep 18, 2023 amendment — MTAP CommodityBuilder Fund, L.L.C. · Mark N. Kaplan is no longer listed on the Jul 27, 2023 amendment — DJF CommodityBuilder Fund, L.L.C. · Mark N. Kaplan is no longer listed on the Jul 27, 2023 amendment — TAP CommodityBuilder Fund, L.L.C. · Mark N. Kaplan is no longer listed on the Jul 27, 2023 amendment — G Plus Fund, L.L.C. · Mark N. Kaplan is no longer listed on the Jul 27, 2023 amendment — A Plus Fund, Ltd. · and 11 more

What this means People leave; the issuer lists only current officers, directors and promoters. Ask why and who replaced them.

Sources
Note · Apr 14, 2022 – Apr 14, 2023

Minimum investment changed between filings — Gresham Dynamic Commodities Fund, Ltd.

The Apr 14, 2022 filing lists a minimum of $0; the Apr 14, 2023 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.

Sources
Note · Apr 14, 2022 – Apr 14, 2023

Minimum investment changed between filings — Gresham Dynamic Commodities Fund, L.L.C.

The Apr 14, 2022 filing lists a minimum of $0; the Apr 14, 2023 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.

Sources
Note · Apr 14, 2022 – Apr 14, 2023

Minimum investment changed between filings — GreshamQuant SAFI Fund, Ltd.

The Apr 14, 2022 filing lists a minimum of $0; the Apr 14, 2023 Form D/A lists $5,000,000.

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

Sources
Note · Apr 14, 2022 – Apr 14, 2023

Minimum investment changed between filings — GreshamQuant SAFI Fund, L.L.C.

The Apr 14, 2022 filing lists a minimum of $0; the Apr 14, 2023 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.

Sources
Note · Jul 27, 2011 – Mar 3, 2017

Mark N. Kaplan is written 2 different ways on the filings

listed as "Mark N. Kaplan" on 95 filings (from Jul 27, 2011), and "Mark Kaplan" on 13 filings (from Mar 3, 2017).

What this means Same person, written differently — a middle name or suffix left off, or spelled another way. It is normal, but check that the full legal name matches your subscription documents.

Sources
Note · Dec 12, 2024

Same name, different state: "Mark Kaplan" (MI) is a separate record

This page covers filings where the address state is NY or CA. A separate record, "Mark Kaplan" with address state MI, is listed on 1 filing — most recently by Wholechain, Inc. (Dec 12, 2024). The two records do not overlap in time: this page runs Sep 21, 2010 to Sep 16, 2022; the other has one filing dated Dec 12, 2024.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

Sources
Note · Sep 21, 2015 – Jul 29, 2016

Same name, different state: "Mark Kaplan" (NH) is a separate record

This page covers filings where the address state is NY or CA. A separate record, "Mark Kaplan" with address state NH, is listed on 2 filings — most recently by Velle Technology Corp (Jul 29, 2016). Both records have filings in the same period (Sep 21, 2015 to Jul 29, 2016).

What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.

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. We compared the newest 50 of 134 filings (work cap); older filings are not covered here. As of Oct 24, 2026.

5. Money to insiders

4 of 36 offerings report sales commissions totalling $3,919,624; 0 report finder's fees; 20 report proceeds to related persons totalling $5,808,770. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Sep 16, 2022 D/A
MTAP CommodityBuilder Fund, L.L.C.
File 021-202913
$0 (est.)$0 (est.)$5,177
The amount reflected above represents the accrued payments made to members of the Advisory Committee as noted in Question 3 for the last four quarters.
None listed on this filingEDGAR ↗
Jul 27, 2022 D/A
TAP Fund, Ltd. - TAP Strategy Portfolio
File 021-138840
$0 (est.)$0 (est.)$41,741
The amount reflected above represents the accrued payments made to the Board of Directors who are not officers of the Investment Manager as noted in Question 3 for the last four quarters.
None listed on this filingEDGAR ↗
Jul 27, 2022 D/A
ETAP Fund, Ltd.
File 021-138839
$0 (est.)$0 (est.)$4,711
The amount reflected above represents the accrued payments made to members of the Board of Directors who are not officers of the Investment Manager as noted in Question 3 for the last four quarters.
None listed on this filingEDGAR ↗
Jul 27, 2022 D/A
A Plus Fund, Ltd.
File 021-163607
$0 (est.)$0 (est.)$4,566
The amount reflected below represents the accrued payments made to members of the Board of Directors who are not officers of the Investment Manager as noted in Question 3 for the last four quarters.
None listed on this filingEDGAR ↗
Jul 27, 2022 D/A
G Plus Fund, L.L.C.
File 021-163618
$0 (est.)$0 (est.)$1,129
The amount reflected above represents the accrued payments made to members of the Advisory Committee as noted in Question 3 for the last four quarters.
None listed on this filingEDGAR ↗
Jul 27, 2022 D/A
DJF CommodityBuilder Fund, L.L.C.
File 021-163630
$0 (est.)$0 (est.)$4,041
The amount reflected above represents the accrued payments made to members of the Advisory Committees as noted in Question 3 for the last four quarters.
None listed on this filingEDGAR ↗
Jul 27, 2022 D/A
TAP CommodityBuilder Fund, L.L.C.
File 021-163635
$0 (est.)$0 (est.)$19,527
The amount reflected above represents the accrued payments made to members of the Advisory Committee as noted in Question 3 for the last four quarters.
None listed on this filingEDGAR ↗
May 11, 2022 D/A
TAP Fund, L.L.C. (The TAP Strategy)
File 021-115643
$0 (est.)$0 (est.)$669
The amount reflected above represents the accrued payments made to members of the Advisory Committee as noted in Question 3 for the last four quarters.
None listed on this filingEDGAR ↗
May 11, 2022 D/A
ETAP Fund, L.L.C.
File 021-131387
$0 (est.)$0 (est.)$11,810
The amount reflected above represents the accrued payments made to members of the Advisory Committee as noted in Question 3 for the last four quarters.
None listed on this filingEDGAR ↗
Apr 14, 2022 D/A
Gresham Dynamic Commodities Fund, L.L.C.
File 021-396041
$0 (est.)$0 (est.)$5,016
The amount reflected above represents the annual accrued payments made to the members of the issuers Advisory Committee as noted in Question 3 for the last 4 quarters.
None listed on this filingEDGAR ↗
Apr 14, 2022 D/A
Gresham Dynamic Commodities Fund, Ltd.
File 021-396055
$0 (est.)$0 (est.)$0None listed on this filingEDGAR ↗
Apr 14, 2022 D
GreshamQuant SAFI Fund, L.L.C.
File 021-441955
$0 (est.)$0 (est.)$0None listed on this filingEDGAR ↗
Apr 14, 2022 D
GreshamQuant SAFI Fund, Ltd.
File 021-441961
$0 (est.)$0 (est.)$0None listed on this filingEDGAR ↗
Mar 2, 2022 D/A
GreshamQuant - ACAR Fund, Ltd.
File 021-281791
$0 (est.)$0 (est.)$40,756
The amount reflected above represents the annual accrued payments made to the members of the Board of Directors who are not officers of the Investment Manager as noted in Question 3 for the last 4 quarters.
None listed on this filingEDGAR ↗
Mar 2, 2022 D/A
GreshamQuant - ACAR Fund, L.L.C.
File 021-281792
$0 (est.)$0 (est.)$32,986
The amount reflected above represents the annual accrued payments made to the members of the issuers Advisory Committee as noted in Question 3 for the last 4 quarters.
None listed on this filingEDGAR ↗
Feb 11, 2022 D/A
A Plus Fund, L.L.C.
File 021-138837
$0 (est.)$0 (est.)$182 (est.)
The amount reflected above represents the annual accrued payments made to the members of the issuers Advisory Committee as noted in Question 3 for the last 4 quarters.
None listed on this filingEDGAR ↗
Jul 27, 2021 D/A
Onshore A Plus Fund, L.L.C.
File 021-163611
$0 (est.)$0 (est.)$1,429
The amount reflected above represents the accrued payments made to members of the Advisory Committee as noted in Question 3 for the last four quarters.
None listed on this filingEDGAR ↗
Nov 18, 2020 D
CF Station Multifamily DST
File 021-380888
$3,441,240 (est.)$0 (est.)$5,604,795 (est.)
Estimate of certain fees including: the Acquisition Fee, offering and organizational costs, Managing Broker-Dealer Fee, Marketing & Due Diligence, Master Tenant Reserve, and Loan and Lender Expenses that may accrue to one or more Related Persons.
Cantor Fitzgerald & Co. BrokerCheck CRD 134 ↗EDGAR ↗
Sep 16, 2019 D/A
Gresham CMS Fund, L.L.C.
File 021-270637
$0 (est.)$0 (est.)$5,744
The amount reflected above represents an annual estimate of the payments made to the members of the Issuer's Advisory Committee as noted in Question 3.
None listed on this filingEDGAR ↗
Jul 25, 2019 D/A
G Plus Fund, Ltd.
File 021-163619
$0 (est.)$0 (est.)$116
The amount reflected above represents the annual accrued payments made to members of the Board of Directors who are not officers of the Investment Manager.
None listed on this filingEDGAR ↗
Jul 25, 2019 D/A
Onshore ETAP Fund, L.L.C.
File 021-163606
$0 (est.)$0 (est.)$12,512
The amount reflected above represents the annual accrued payments made to members of the Advisory Committee as noted in Question #3.
None listed on this filingEDGAR ↗
Jul 3, 2019 D/A
Gresham RDP Partners Fund, Ltd.
File 021-290006
$0 (est.)$0 (est.)$0 (est.)
The issuer pays the Investment Manager a monthly management fee equal to a percentage of the NAV of each investor's capital account at the end of each month. The amount of the management fee is not quantifiable at this time.
None listed on this filingEDGAR ↗
Jul 3, 2019 D/A
Gresham RDP Partners Fund, L.L.C.
File 021-290007
$0 (est.)$0 (est.)$9,667
The amount reflected above represents the annual accrued payments made to the members of the Advisory Committee as noted in Question 3.
None listed on this filingEDGAR ↗
May 9, 2019 D/A
TAP Fund, L.L.C. (The ATAP Strategy)
File 021-312049
$0 (est.)$0 (est.)$0 (est.)
The issuer pays the Member Manager a monthly management fee equal to a varying percentage of the NAV of each investor's capital account at the end of each month. The amount of the management fee is not quantifiable at this time.
None listed on this filingEDGAR ↗
May 9, 2019 D/A
TAP Fund, Ltd. (The ATAP Strategy)
File 021-312050
$0 (est.)$0 (est.)$2,196 (est.)
The amount reflected above represents the annual accrued payments made to members of the Board of Directors who are not officers of the Investment Manager.
None listed on this filingEDGAR ↗
Sep 14, 2018 D/A
Gresham CMS Fund, Ltd.
File 021-270646
$0 (est.)$0 (est.)$0 (est.)None listed on this filingEDGAR ↗
Jan 26, 2018 D/A
Strategic Commodities Fund Ltd
File 021-78618
$21,726 (est.)$0$0 (est.)
The issuer pays the Investment Manager a monthly management fee equal to a varying percentage of the NAV of each investor.
UBS Financial Services Inc. BrokerCheck CRD 8174 ↗
via UBS Financial Services Inc. (CRD 8174 ↗)

Stifel, Nicolaus & Company, Inc. BrokerCheck CRD 793 ↗
EDGAR ↗
Jan 26, 2018 D/A
Strategic Commodities Fund LLC
File 021-74140
$402,328 (est.)$0$0 (est.)
The issuer pays the Investment Manager a monthly management fee equal to a varying percentage of the NAV of each investor.
UBS Financial Services Inc. BrokerCheck CRD 8174 ↗
via UBS Financial Services Inc. (CRD 8174 ↗)

Stifel, Nicolaus & Company, Inc. BrokerCheck CRD 793 ↗
EDGAR ↗
Jan 26, 2018 D/A
Strategic Commodities Fund II LLC
File 021-88996
$54,330 (est.)$0$0 (est.)
The issuer pays the Investment Manager a monthly management fee equal to a varying percentage of the NAV of each investor.
UBS Financial Services Inc. BrokerCheck CRD 8174 ↗
via UBS Financial Services Inc. (CRD 8174 ↗)

Stifel, Nicolaus & Company, Inc. BrokerCheck CRD 793 ↗
EDGAR ↗
Oct 17, 2017 D
AutoWeb, Inc.
File 021-296831
$0$0$0None listed on this filingEDGAR ↗
Apr 27, 2016 D
Tone Mobile LLC
File 021-262080
$0$0$0None listed on this filingEDGAR ↗
Apr 27, 2016 D
Tone Mobile LLC
File 021-262081
$0$0$0None listed on this filingEDGAR ↗
Oct 5, 2015 D/A
AutoWeb, Inc.
File 021-248714
$0$0$0None listed on this filingEDGAR ↗
Jun 9, 2015 D
Tone Mobile LLC
File 021-241341
$0$0$0None listed on this filingEDGAR ↗
May 5, 2015 D
AutoWeb, Inc.
File 021-239142
$0$0$0None listed on this filingEDGAR ↗
Sep 21, 2010 D
AutoWeb, Inc.
File 021-148015
$0$0$0None listed on this filingEDGAR ↗
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 31

Every issuer that named Mark N. Kaplan 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: Gresham

MTAP CommodityBuilder Fund, L.L.C.

New York, NY · Sep 14, 2017 → Sep 16, 2022 · 6 filings
  • Sep 16, 2022 · D/A · $248,385,000 sold of Indefinite · 10 investors · min. $50,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Sep 16, 2021 · D/A · $248,385,000 sold of Indefinite · 10 investors · min. $50,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Sep 16, 2020 · D/A · $247,475,000 sold of Indefinite · 10 investors · min. $50,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Sep 16, 2019 · D/A · $239,485,000 sold of Indefinite · 10 investors · min. $50,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Sep 14, 2018 · D/A · $210,965,000 sold of Indefinite · 10 investors · min. $50,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Sep 14, 2017 · D/A · $187,570,000 sold of Indefinite · 10 investors · min. $50,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗

Raised $248.4M from 10 investors as of the latest filing. Mark is listed as director on 6 filings for this deal.

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.

Pooled Investment Fund · group: Gresham

DJF CommodityBuilder Fund, L.L.C.

New York, NY · Jul 25, 2018 → Jul 27, 2022 · 5 filings
  • Jul 27, 2022 · D/A · $1,572,460,710 sold of Indefinite · 26 investors · min. $50,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Jul 27, 2021 · D/A · $1,566,420,904 sold of Indefinite · 26 investors · min. $50,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Jul 27, 2020 · D/A · $1,562,870,396 sold of Indefinite · 26 investors · min. $50,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Jul 25, 2019 · D/A · $1,545,243,080 sold of Indefinite · 26 investors · min. $50,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Jul 25, 2018 · D/A · $1,770,690,766 sold of Indefinite · 27 investors · min. $50,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗

Raised $1.77B from 27 investors as of the latest filing. Mark is listed as director on 5 filings for this deal.

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.

Pooled Investment Fund · group: Gresham

TAP CommodityBuilder Fund, L.L.C.

New York, NY · Jul 25, 2018 → Jul 27, 2022 · 5 filings
  • Jul 27, 2022 · D/A · $1,134,844,819 sold of Indefinite · 95 investors · min. $50,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Jul 27, 2021 · D/A · $1,077,862,819 sold of Indefinite · 94 investors · min. $50,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Jul 27, 2020 · D/A · $999,069,086 sold of Indefinite · 93 investors · min. $50,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Jul 25, 2019 · D/A · $972,884,086 sold of Indefinite · 90 investors · min. $50,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Jul 25, 2018 · D/A · $1,025,977,828 sold of Indefinite · 89 investors · min. $50,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗

Raised $1.36B from 103 investors as of the latest filing. Mark is listed as director on 5 filings for this deal.

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.

Pooled Investment Fund · group: Gresham

G Plus Fund, L.L.C.

New York, NY · Jul 25, 2018 → Jul 27, 2022 · 5 filings
  • Jul 27, 2022 · D/A · $46,510,000 sold of Indefinite · 3 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Jul 27, 2021 · D/A · $46,510,000 sold of Indefinite · 3 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Jul 27, 2020 · D/A · $46,510,000 sold of Indefinite · 3 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Jul 25, 2019 · D/A · $46,510,000 sold of Indefinite · 3 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Jul 25, 2018 · D/A · $46,510,000 sold of Indefinite · 3 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗

Raised $46.5M from 3 investors as of the latest filing. Mark is listed as director on 5 filings for this deal.

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.

Pooled Investment Fund · group: Gresham

A Plus Fund, Ltd.

New York, NY · Jul 28, 2011 → Jul 27, 2022 · 13 filings
  • Jul 27, 2022 · D/A · $318,543,991 sold of Indefinite · 30 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 27, 2021 · D/A · $315,893,991 sold of Indefinite · 30 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 27, 2020 · D/A · $297,226,086 sold of Indefinite · 29 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 25, 2019 · D/A · $256,976,086 sold of Indefinite · 23 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 25, 2018 · D/A · $256,976,086 sold of Indefinite · 23 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 25, 2018 · D/A · $251,476,086 sold of Indefinite · 23 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 25, 2017 · D/A · $251,476,086 sold of Indefinite · 23 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 25, 2016 · D/A · $237,975,986 sold of Indefinite · 23 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 24, 2015 · D/A · $223,475,986 sold of Indefinite · 22 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 25, 2014 · D/A · $205,711,100 sold of Indefinite · 21 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 26, 2013 · D/A · $197,211,000 sold of Indefinite · 17 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 26, 2012 · D/A · $194,711,000 sold of Indefinite · 17 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 28, 2011 · D · $133,037,893 sold of Indefinite · 13 investors · min. $100,000 · role: Director EDGAR ↗

Raised $331.4M from 30 investors as of the latest filing. Mark is listed as director on 13 filings for this deal.

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.

Pooled Investment Fund · group: Gresham

TAP Fund, Ltd. - TAP Strategy Portfolio

New York, NY · Jul 27, 2011 → Jul 27, 2022 · 12 filings
  • Jul 27, 2022 · D/A · $1,165,616,262 sold of Indefinite · 166 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 27, 2021 · D/A · $1,152,769,831 sold of Indefinite · 166 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 27, 2020 · D/A · $1,137,969,831 sold of Indefinite · 166 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 25, 2019 · D/A · $1,127,464,705 sold of Indefinite · 166 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 25, 2018 · D/A · $1,091,476,132 sold of Indefinite · 164 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 25, 2017 · D/A · $1,006,646,132 sold of Indefinite · 165 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 25, 2016 · D/A · $978,911,032 sold of Indefinite · 163 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 24, 2015 · D/A · $937,286,132 sold of Indefinite · 163 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 25, 2014 · D/A · $865,724,912 sold of Indefinite · 155 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 26, 2013 · D/A · $831,537,602 sold of Indefinite · 144 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 26, 2012 · D/A · $726,314,799 sold of Indefinite · 127 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 27, 2011 · D/A · $700,337,333 sold of Indefinite · 96 investors · min. $100,000 · role: Director EDGAR ↗

Raised $1.17B from 166 investors as of the latest filing. Mark is listed as director on 12 filings for this deal.

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.

Pooled Investment Fund · group: Gresham

ETAP Fund, Ltd.

New York, NY · Jul 27, 2011 → Jul 27, 2022 · 12 filings
  • Jul 27, 2022 · D/A · $371,510,753 sold of Indefinite · 54 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 27, 2021 · D/A · $371,510,753 sold of Indefinite · 54 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 27, 2020 · D/A · $371,510,753 sold of Indefinite · 54 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 25, 2019 · D/A · $371,510,753 sold of Indefinite · 54 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 25, 2018 · D/A · $368,760,753 sold of Indefinite · 54 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 25, 2017 · D/A · $359,260,752 sold of Indefinite · 53 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 25, 2016 · D/A · $354,635,653 sold of Indefinite · 53 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 24, 2015 · D/A · $350,335,753 sold of Indefinite · 53 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 25, 2014 · D/A · $334,340,112 sold of Indefinite · 53 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 26, 2013 · D/A · $298,300,481 sold of Indefinite · 48 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 26, 2012 · D/A · $249,830,481 sold of Indefinite · 43 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 27, 2011 · D/A · $123,326,778 sold of Indefinite · 21 investors · min. $100,000 · role: Director EDGAR ↗

Raised $371.5M from 54 investors as of the latest filing. Mark is listed as director on 12 filings for this deal.

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.

Pooled Investment Fund · group: Gresham

ETAP Fund, L.L.C.

New York, NY · May 9, 2018 → May 11, 2022 · 5 filings
  • May 11, 2022 · D/A · $1,185,232,093 sold of Indefinite · 233 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • May 11, 2021 · D/A · $1,185,107,093 sold of Indefinite · 232 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • May 11, 2020 · D/A · $1,170,607,093 sold of Indefinite · 232 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • May 9, 2019 · D/A · $874,658,979 sold of Indefinite · 229 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • May 9, 2018 · D/A · $944,203,340 sold of Indefinite · 228 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗

Raised $1.19B from 233 investors as of the latest filing. Mark is listed as director on 5 filings for this deal.

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.

Pooled Investment Fund · group: Gresham

TAP Fund, L.L.C. (The TAP Strategy)

New York, NY · May 9, 2018 → May 11, 2022 · 5 filings
  • May 11, 2022 · D/A · $1,442,447,105 sold of Indefinite · 316 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • May 11, 2021 · D/A · $1,442,447,105 sold of Indefinite · 316 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • May 11, 2020 · D/A · $1,441,907,105 sold of Indefinite · 316 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • May 9, 2019 · D/A · $1,439,407,105 sold of Indefinite · 316 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • May 9, 2018 · D/A · $1,400,505,288 sold of Indefinite · 282 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗

Raised $1.44B from 317 investors as of the latest filing. Mark is listed as director on 5 filings for this deal.

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.

Pooled Investment Fund · group: Gresham

Gresham Dynamic Commodities Fund, Ltd.

New York, NY · Apr 15, 2021 → Apr 14, 2022 · 2 filings
  • Apr 14, 2022 · D/A · $0 sold of Indefinite · 0 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 15, 2021 · D · $0 sold of Indefinite · 0 investors · min. No minimum reported · role: Director EDGAR ↗

No sales reported yet as of the latest filing. Mark is listed as director on 2 filings for this deal.

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.

Pooled Investment Fund · group: Gresham

Gresham Dynamic Commodities Fund, L.L.C.

New York, NY · Apr 15, 2021 → Apr 14, 2022 · 2 filings
  • Apr 14, 2022 · D/A · $54,613,010 sold of Indefinite · 12 investors · min. No minimum reported · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Apr 15, 2021 · D · $26,583,359 sold of Indefinite · 7 investors · min. No minimum reported · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗

Raised $55.7M from 15 investors as of the latest filing. Mark is listed as director on 2 filings for this deal.

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.

Pooled Investment Fund · group: Gresham

GreshamQuant SAFI Fund, Ltd.

New York, NY · Apr 14, 2022
  • Apr 14, 2022 · D · $0 sold of Indefinite · 0 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $22.5M from 3 investors as of the latest filing. Mark is listed as director.

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.

Pooled Investment Fund · group: Gresham

GreshamQuant SAFI Fund, L.L.C.

New York, NY · Apr 14, 2022
  • Apr 14, 2022 · D · $31,502,851 sold of Indefinite · 15 investors · min. No minimum reported · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗

Raised $70.9M from 26 investors as of the latest filing. Mark is listed as director.

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.

Pooled Investment Fund · group: Gresham

GreshamQuant - ACAR Fund, Ltd.

New York, NY · Mar 3, 2017 → Mar 2, 2022 · 6 filings
  • Mar 2, 2022 · D/A · $303,896,588 sold of Indefinite · 18 investors · min. $5,000,000 · role: Director EDGAR ↗
  • Mar 2, 2021 · D/A · $236,746,588 sold of Indefinite · 16 investors · min. $5,000,000 · role: Director EDGAR ↗
  • Mar 2, 2020 · D/A · $87,375,000 sold of Indefinite · 12 investors · min. $5,000,000 · role: Director EDGAR ↗
  • Mar 1, 2019 · D/A · $7,550,000 sold of Indefinite · 3 investors · min. $5,000,000 · role: Director EDGAR ↗
  • Mar 1, 2018 · D/A · $0 sold of Indefinite · 0 investors · min. $5,000,000 · role: Director EDGAR ↗
  • Mar 3, 2017 · D · $0 sold of Indefinite · 0 investors · min. $5,000,000 · role: Director EDGAR ↗

Raised $386.6M from 25 investors as of the latest filing. Mark is listed as director on 6 filings for this deal.

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.

Pooled Investment Fund · group: Gresham

GreshamQuant - ACAR Fund, L.L.C.

New York, NY · Mar 1, 2018 → Mar 2, 2022 · 5 filings
  • Mar 2, 2022 · D/A · $516,865,336 sold of Indefinite · 22 investors · min. $5,000,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Mar 2, 2021 · D/A · $473,846,068 sold of Indefinite · 17 investors · min. $5,000,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Mar 2, 2020 · D/A · $439,843,560 sold of Indefinite · 17 investors · min. $5,000,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Mar 1, 2019 · D/A · $64,550,000 sold of Indefinite · 9 investors · min. $5,000,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Mar 1, 2018 · D/A · $50,500,000 sold of Indefinite · 4 investors · min. $5,000,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗

Raised $853.8M from 64 investors as of the latest filing. Mark is listed as director on 5 filings for this deal.

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.

Pooled Investment Fund · group: Gresham

A Plus Fund, L.L.C.

New York, NY · Feb 15, 2018 → Feb 11, 2022 · 5 filings
  • Feb 11, 2022 · D/A · $321,618,138 sold of Indefinite · 72 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Feb 11, 2021 · D/A · $321,618,138 sold of Indefinite · 72 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Feb 11, 2020 · D/A · $321,618,138 sold of Indefinite · 72 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Feb 11, 2019 · D/A · $321,618,138 sold of Indefinite · 72 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Feb 15, 2018 · D/A · $310,118,138 sold of Indefinite · 72 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗

Raised $321.6M from 73 investors as of the latest filing. Mark is listed as director on 5 filings for this deal.

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.

Pooled Investment Fund · group: Gresham

Onshore A Plus Fund, L.L.C.

New York, NY · Jul 25, 2018 → Jul 27, 2021 · 4 filings
  • Jul 27, 2021 · D/A · $1,334,765,031 sold of Indefinite · 29 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Jul 27, 2020 · D/A · $1,334,765,031 sold of Indefinite · 29 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Jul 25, 2019 · D/A · $1,334,765,031 sold of Indefinite · 29 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Jul 25, 2018 · D/A · $1,334,765,031 sold of Indefinite · 29 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗

Raised $1.33B from 29 investors as of the latest filing. Mark is listed as director on 4 filings for this deal.

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.

Other Real Estate

CF Station Multifamily DST

New York, NY · Nov 18, 2020
  • Nov 18, 2020 · D · $0 sold of $57,354,000 · 0 investors · min. $25,000 · role: Executive Officer (Chief Operating Officer of the Depositor) EDGAR ↗

No sales reported yet as of the latest filing. Mark is listed as executive officer.

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: Other Real Estate / 506(b) (5,033 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.

Pooled Investment Fund · group: Gresham

Gresham CMS Fund, L.L.C.

New York, NY · Sep 14, 2017 → Sep 16, 2019 · 3 filings
  • Sep 16, 2019 · D/A · $26,000,000 sold of Indefinite · 2 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Sep 14, 2018 · D/A · $26,000,000 sold of Indefinite · 2 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Sep 14, 2017 · D/A · $26,000,000 sold of Indefinite · 2 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗

Raised $26M from 2 investors as of the latest filing. Mark is listed as director on 3 filings for this deal.

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.

Pooled Investment Fund · group: Gresham

G Plus Fund, Ltd.

New York, NY · Jul 28, 2011 → Jul 25, 2019 · 10 filings
  • Jul 25, 2019 · D/A · $19,274,267 sold of Indefinite · 2 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 25, 2018 · D/A · $19,274,267 sold of Indefinite · 2 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 25, 2018 · D/A · $19,274,267 sold of Indefinite · 2 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 25, 2017 · D/A · $19,274,267 sold of Indefinite · 2 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 25, 2016 · D/A · $19,274,267 sold of Indefinite · 2 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 24, 2015 · D/A · $19,274,267 sold of Indefinite · 2 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 25, 2014 · D/A · $15,500,000 sold of Indefinite · 1 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 26, 2013 · D/A · $7,500,000 sold of Indefinite · 1 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 26, 2012 · D/A · $7,500,000 sold of Indefinite · 1 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 28, 2011 · D · $7,500,000 sold of Indefinite · 1 investors · min. $100,000 · role: Director EDGAR ↗

Raised $19.3M from 2 investors as of the latest filing. Mark is listed as director on 10 filings for this deal.

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.

Pooled Investment Fund · group: Gresham

Onshore ETAP Fund, L.L.C.

New York, NY · Jul 25, 2018 → Jul 25, 2019 · 2 filings
  • Jul 25, 2019 · D/A · $689,350,520 sold of Indefinite · 116 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Jul 25, 2018 · D/A · $689,350,520 sold of Indefinite · 116 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗

Raised $689.4M from 116 investors as of the latest filing. Mark is listed as director on 2 filings for this deal.

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.

Pooled Investment Fund · group: Gresham

Gresham RDP Partners Fund, Ltd.

New York, NY · Jul 5, 2017 → Jul 3, 2019 · 3 filings
  • Jul 3, 2019 · D/A · $0 sold of Indefinite · 0 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 3, 2018 · D/A · $0 sold of Indefinite · 0 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 5, 2017 · D · $0 sold of Indefinite · 0 investors · min. $100,000 · role: Director EDGAR ↗

No sales reported yet as of the latest filing. Mark is listed as director on 3 filings for this deal.

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.

Pooled Investment Fund · group: Gresham

Gresham RDP Partners Fund, L.L.C.

New York, NY · Jul 3, 2018 → Jul 3, 2019 · 2 filings
  • Jul 3, 2019 · D/A · $221,807,146 sold of Indefinite · 12 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • Jul 3, 2018 · D/A · $149,991,100 sold of Indefinite · 12 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗

Raised $221.8M from 12 investors as of the latest filing. Mark is listed as director on 2 filings for this deal.

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.

Pooled Investment Fund · group: Gresham

TAP Fund, Ltd. (The ATAP Strategy)

New York, NY · May 10, 2018 → May 9, 2019 · 2 filings
  • May 9, 2019 · D/A · $25,000,000 sold of Indefinite · 1 investors · min. $100,000 · role: Director EDGAR ↗
  • May 10, 2018 · D · $15,000,000 sold of Indefinite · 1 investors · min. $100,000 · role: Director EDGAR ↗

Raised $25M from 1 investor as of the latest filing. Mark is listed as director on 2 filings for this deal.

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.

Pooled Investment Fund · group: Gresham

TAP Fund, L.L.C. (The ATAP Strategy)

New York, NY · May 10, 2018 → May 9, 2019 · 2 filings
  • May 9, 2019 · D/A · $0 sold of Indefinite · 0 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗
  • May 10, 2018 · D · $0 sold of Indefinite · 0 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗

No sales reported yet as of the latest filing. Mark is listed as director on 2 filings for this deal.

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.

Pooled Investment Fund · group: Gresham

Gresham CMS Fund, Ltd.

New York, NY · Sep 14, 2016 → Sep 14, 2018 · 3 filings
  • Sep 14, 2018 · D/A · $0 sold of Indefinite · 0 investors · min. $100,000 · role: Director EDGAR ↗
  • Sep 14, 2017 · D/A · $0 sold of Indefinite · 0 investors · min. $100,000 · role: Director EDGAR ↗
  • Sep 14, 2016 · D · $0 sold of Indefinite · 0 investors · min. $100,000 · role: Director EDGAR ↗

No sales reported yet as of the latest filing. Mark is listed as director on 3 filings for this deal.

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.

Pooled Investment Fund · group: Gresham

Strategic Commodities Fund Ltd

New York, NY · Jan 27, 2017 → Jan 26, 2018 · 2 filings
  • Jan 26, 2018 · D/A · $693,165,511 sold of Indefinite · 106 investors · min. $100,000 · role: Director EDGAR ↗
  • Jan 27, 2017 · D/A · $690,265,511 sold of Indefinite · 105 investors · min. $100,000 · role: Director (Independent Director of Issuer) EDGAR ↗

Raised $805.2M from 106 investors as of the latest filing. Mark is listed as director on 2 filings for this deal.

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.

Pooled Investment Fund · group: Gresham

Strategic Commodities Fund II LLC

New York, NY · Jan 26, 2018
  • Jan 26, 2018 · D/A · $592,028,214 sold of Indefinite · 538 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗

Raised $624.9M from 571 investors as of the latest filing. Mark is listed as director.

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.

Pooled Investment Fund · group: Gresham

Strategic Commodities Fund LLC

New York, NY · Jan 26, 2018
  • Jan 26, 2018 · D/A · $786,427,198 sold of Indefinite · 610 investors · min. $100,000 · role: Director (Member of the Issuer's Advisory Committee) EDGAR ↗

Raised $786.4M from 643 investors as of the latest filing. Mark is listed as director.

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.

Other Technology · group: Autoweb

AutoWeb, Inc.

Irvine, CA · Sep 21, 2010 → Oct 17, 2017 · 5 filings
  • Oct 17, 2017 · D · $4,975,992 sold of $4,975,992 · 1 investors · min. No minimum reported · role: Director EDGAR ↗
  • Oct 5, 2015 · D/A · $23,500,000 sold of $23,500,000 · 9 investors · min. No minimum reported · role: Director EDGAR ↗
  • Oct 5, 2015 · D · $23,500,000 sold of $23,500,000 · 9 investors · min. No minimum reported · role: Director EDGAR ↗
  • May 5, 2015 · D · $6,860,000 sold of $6,860,000 · 1 investors · min. $6,860,000 · role: Director EDGAR ↗
  • Sep 21, 2010 · D · $15,000,000 sold of $15,000,000 · 2 investors · min. $15,000,000 · role: Director EDGAR ↗

Raised $23.5M from 9 investors (100% of the $4.98M target) as of the latest filing. Mark is listed as director on 5 filings for this deal.

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: Other Technology / 506(b) (17,390 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.

Other

Tone Mobile LLC

New York, NY · Jun 9, 2015 → Apr 27, 2016 · 3 filings
  • Apr 27, 2016 · D · $1,350,000 sold of $1,350,000 · 5 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Apr 27, 2016 · D · $2,210,000 sold of $2,210,000 · 18 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Jun 9, 2015 · D · $800,000 sold of $800,000 · 5 investors · min. No minimum reported · role: Executive Officer (Mark Kaplan is the managing member of the Issuer.) EDGAR ↗

Raised $2.21M from 18 investors (100% of the $1.35M target) as of the latest filing. Mark is listed as executive officer on 3 filings for this deal.

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: Other / 506(b) (18,678 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.

Other pages with the same name (5)

Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.

  • Mark Kaplan — NH, 2 issuers, Sep 21, 2015 → Jul 29, 2016 · no shared issuer
  • Mark D Kaplan — NH, 1 issuer, May 30, 2013 → May 14, 2014 · no shared issuer
  • Mark D. Kaplan — ME, 1 issuer, Dec 11, 2013 → May 21, 2014 · no shared issuer
  • Mark Kaplan — MI, 1 issuer, Dec 12, 2024 → Dec 12, 2024 · no shared issuer
  • Mark Mitchell Kaplan — NY, 1 issuer, Feb 21, 2012 → Feb 21, 2012 · no shared issuer

People around Mark 37

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

Management entity

Cantor Fitzgerald Investors, LLC

Promoter · 1 shared filing (1 issuer) · also on 47 other issuers

Cantor Fitzgerald Investors, LLC is on 48 issuers in total — a repeat sponsor. Their page lists every one.

Management entity

CF Station Depositor, LLC

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark N. Kaplan. Their page shows their other deals.

Management entity

CF Station Manager, LLC

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark N. Kaplan. Their page shows their other deals.

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

Douglas J. Hepworth

Executive Officer · 125 shared filings (28 issuers) · also on 5 other issuers

Douglas J. Hepworth is on 33 issuers in total — a repeat sponsor. Their page lists every one.

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

Jonathan S. Spencer

Executive Officer, Director · 125 shared filings (28 issuers) · also on 8 other issuers

Jonathan S. Spencer is on 36 issuers in total — a repeat sponsor. Their page lists every one.

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

Louis F. O'Neill

Director · 124 shared filings (28 issuers) · also on 4 other issuers

Louis F. O'Neill is on 32 issuers in total — a repeat sponsor. Their page lists every one.

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

Terrence Martell

Director · 103 shared filings (28 issuers) · also on 5 other issuers

Terrence Martell is on 33 issuers in total — a repeat sponsor. Their page lists every one.

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

Adam I. Gehrie

Executive Officer, Director · 99 shared filings (28 issuers) · also on 4 other issuers

Adam I. Gehrie is on 32 issuers in total — a repeat sponsor. Their page lists every one.

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

Henry G. Jarecki

Executive Officer, Director · 26 shared filings (6 issuers) · also on 17 other issuers

Henry G. Jarecki is on 23 issuers in total — a repeat sponsor. Their page lists every one.

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

Stanley A. Lefkowitz

Director · 20 shared filings (4 issuers)

Listed on the same filings as Mark N. Kaplan. Their page shows their other deals.

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

Jeffrey H. Coats

Executive Officer, Director · 5 shared filings (1 issuer) · also on 3 other issuers

Listed on the same filings as Mark N. Kaplan. Their page shows their other deals.

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

Glenn E. Fuller

Executive Officer · 5 shared filings (1 issuer) · also on 2 other issuers

Listed on the same filings as Mark N. Kaplan. Their page shows their other deals.

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

Jeffrey M. Stibel

Director · 5 shared filings (1 issuer)

Listed on the same filings as Mark N. Kaplan. Their page shows their other deals.

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

Michael J. Fuchs

Director · 5 shared filings (1 issuer)

Listed on the same filings as Mark N. Kaplan. Their page shows their other deals.

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

Michael Carpenter

Director · 4 shared filings (1 issuer) · also on 2 other issuers

Listed on the same filings as Mark N. Kaplan. Their page shows their other deals.

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

William A. Ferriolo

Executive Officer · 4 shared filings (1 issuer)

Listed on the same filings as Mark N. Kaplan. Their page shows their other deals.

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

Kimberly S. Boren

Executive Officer · 4 shared filings (1 issuer)

Listed on the same filings as Mark N. Kaplan. Their page shows their other deals.

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

Jose Vargas

Executive Officer, Director · 3 shared filings (1 issuer) · also on 6 other issuers

Jose Vargas is on 7 issuers in total — a repeat sponsor. Their page lists every one.

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

John J. Skocilic, Jr.

Executive Officer · 3 shared filings (1 issuer)

Listed on the same filings as Mark N. Kaplan. Their page shows their other deals.

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

John D. Steerman

Executive Officer · 3 shared filings (1 issuer)

Listed on the same filings as Mark N. Kaplan. Their page shows their other deals.

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

Janet Thompson

Director · 2 shared filings (1 issuer)

Listed on the same filings as Mark N. Kaplan. Their page shows their other deals.

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

MATIAS DE TEZANOS

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

Listed on the same filings as Mark N. Kaplan. Their page shows their other deals.

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

Bret Dunlap

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Mark N. Kaplan. Their page shows their other deals.

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

Jan Thompson

Director · 2 shared filings (1 issuer)

Listed on the same filings as Mark N. Kaplan. Their page shows their other deals.

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

John Vicidomino

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Mark N. Kaplan. Their page shows their other deals.

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

Philip W. DuPree

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Mark N. Kaplan. Their page shows their other deals.

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

Robert J. Mylod, Jr.

Director · 2 shared filings (1 issuer)

Listed on the same filings as Mark N. Kaplan. Their page shows their other deals.

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

H. Donald Perkins, Jr.

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Mark N. Kaplan. Their page shows their other deals.

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

Terrence A. Martell

Director · 2 shared filings (1 issuer)

Listed on the same filings as Mark N. Kaplan. Their page shows their other deals.

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

James Helberg

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark N. Kaplan. Their page shows their other deals.

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

Curtis DeWalt

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

Listed on the same filings as Mark N. Kaplan. Their page shows their other deals.

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

Mark R. Ross

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

Listed on the same filings as Mark N. Kaplan. Their page shows their other deals.

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

Stephen D. Lind

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

Listed on the same filings as Mark N. Kaplan. Their page shows their other deals.

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

Phillip W. DuPree

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark N. Kaplan. Their page shows their other deals.

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

Janet Mary Thomson

Director · 1 shared filing (1 issuer)

Listed on the same filings as Mark N. Kaplan. Their page shows their other deals.

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

Louis O'Neill

Director · 1 shared filing (1 issuer)

Listed on the same filings as Mark N. Kaplan. Their page shows their other deals.

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

Matias Rodrigo de Tezanos

Director · 1 shared filing (1 issuer)

Listed on the same filings as Mark N. Kaplan. Their page shows their other deals.

The team behind the deals

Sponsor group

Gresham

36 issuers · 301 filings · $14.56B reported sold · 2009–2026

One team, 36 deal companies. Mark N. Kaplan is listed on 28 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 Mark N. Kaplan.

Sponsor group

Autoweb

4 issuers · 10 filings · $11.4M reported sold · 2010–2017

One team, 4 deal companies. Mark N. Kaplan 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 Mark N. Kaplan.

Same business address

48 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)

None of the 31 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.

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 1 records on 1 issuer

Property records are matched to companies only, never to individuals, so none are matched to Mark N. Kaplan 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 31 issuers this person is listed on — 1 issuer has property records: CF Station Multifamily DST (1).

Public profiles and social

Websites and social links of the issuers Mark N. Kaplan is listed on: none on file. No website or social profile named in DJF CommodityBuilder Fund, L.L.C.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #64,369 of 374,652 in line (1,156 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.

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