PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:44 AM ET

Sponsor Check › Person

MA
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Mark Auerbach

Named as an officer, director or promoter on SEC Form D filings · NY · May 13, 2014 → Aug 31, 2015

1deal (issuers)
$390Mreported sold
97investors
13Form D filings
2014–2015years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:31 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Mark Auerbach is listed as a director on 13 SEC Form D filings by 1 issuer between May 2014 and Aug 2015: RCS Capital Corp (New York, NY — other banking and financial services — 2014–2015; $390M reported sold to 97 investors).

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

Listed alongside Brian D. Jones (13 shared filings), Edward M. Weil, Jr. (13 shared filings), Howell D. Wood (13 shared filings), Jeffrey J. Brown (13 shared filings), Brian Nygaard (11 shared filings) and 9 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 issuer belongs to the sponsor group Arc (14 issuers, $672M reported sold, 2009–2015).

What this means A sponsor group is one team that sets up a new company for each deal. Arc has 14 companies on file and $672M reported sold in total — the group page shows the whole track record in one place.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — 10 bankruptcy cases matching the name listed in Key records below.

What this means 10 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 13 public filings for Mark Auerbach and found 8 differences, 2 worth asking the sponsor about: Regulator action naming a team member: Brian S. Block, CPA (Feb 14, 2018); Regulator action naming a team member: Brian S. Block, et al. (Feb 14, 2018); 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 Auerbach has not run yet — it is #26,793 of 39,946 in line; searches run around the clock at the hosts' allowed rate. Searched so far: 641 names.

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

Key records

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

1. Lawsuits

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

What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:31 AM ET.

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

2. Regulatory actions

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: 48 regulators (FINRA, NASAA, 37 states) — crawled Oct 24, 2026, 8:48 AM ET

What was searched

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Mark Auerbach..

State securities regulators: Securities regulators searched (64,910 actions): FINRA (38,350 actions, 1995–2026), NASAA (31 actions, 2000–2026; listing starts 1997), AK Division of Banking and Securities (273 actions, 1971–2025), AL Securities Commission (880 actions, 2001–2026), AR Securities Department (1,305 actions, 1998–2026), AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), CO Division of Securities (731 actions, 2001–2026; older years from the Internet Archive (snapshot of 2026-05-02)), CT Department of Banking Securities Division (940 actions, 2006–2026; older years from the Internet Archive (snapshot of 2026-04-22)), DC DISB Securities Bureau (25 actions, 2012–2026), DE DOJ Investor Protection Unit (257 actions, 1987–2026), FL Office of Financial Regulation (49 actions, 2018–2026), GA Secretary of State Securities Division (65 actions, 2015–2026; listing starts 2012), HI DCCA Securities Enforcement Branch (26 actions, 2012–2026), ID Department of Finance Securities Bureau (663 actions, 1994–2026), IL Secretary of State Securities Department (4,122 actions, 2003–2023), KS Insurance Department Securities Division (58 actions), KY Department of Financial Institutions (342 actions, 2005–2026), LA Office of Financial Institutions Securities Division (13 actions, 2010–2025; listing starts 2008), MA Secretary of the Commonwealth Securities Division (125 actions, 2012–2025; live site blocks automated access — loaded from the Internet Archive snapshot of 2026-02-04), MD Attorney General Securities Division (1,054 actions, 2004–2026), ME Office of Securities (539 actions, 2000–2026), MI LARA Corporations, Securities & Commercial Licensing Bureau (201 actions), MO Secretary of State Securities Division (919 actions, 1998–2026), MS Secretary of State Securities Division (209 actions, 1995–2026), MT Commissioner of Securities and Insurance (597 actions, 2000–2026), NC Secretary of State Securities Division (265 actions, 2004–2024), ND Securities Department (711 actions, 1990–2026; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2026-01-06), NH Bureau of Securities Regulation (402 actions, 2002–2026), NM Regulation and Licensing Department Securities Division (90 actions, 2010–2025), NV Secretary of State Securities Division (118 actions, 2018–2026), NY Attorney General Investor Protection Bureau (44 actions, 2012–2026), OH Division of Securities (327 actions, 1993–2006), OK Department of Securities (2,531 actions, 1998–2026), OR Division of Financial Regulation (589 actions, 1988–2026), PA Department of Banking and Securities (1,448 actions, 2008–2024; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2024-08-09), RI DBR Securities Division (98 actions, 2005–2025), SC Attorney General Securities Division (540 actions, 2006–2026), SD Division of Insurance – Securities Regulation (106 actions, 2017–2026), TN Department of Commerce and Insurance Securities Division (405 actions, 1992–2026), TX State Securities Board (936 actions, 1999–2026), UT Division of Securities (772 actions, 2000–2026; older years from the Internet Archive (snapshot of 2010-05-27)), VT DFR Securities Division (137 actions, 2010–2026), WA DFI (2,039 actions, 2001–2026), WI DFI Division of Securities (1,072 actions, 1998–2026), WV Securities Commission (State Auditor) (64 actions), WY Secretary of State Compliance Division (6 actions, 2016–2024) — last crawled Oct 24, 2026, 8:48 AM ET. No machine-readable public listing today for IA, IN, MN, NE, NJ, VA (see docs/state-regulators.md).

3. Bankruptcies

10 cases: 10 closed (disposition not in docket feed)

Mark Auerbach, Sr. and Jacqueline Alease Auerbach closed
United States Bankruptcy Court, E.D. Virginia · No. 22-50022 · Filed Jan 19, 2022 · Closed Apr 25, 2022
Role of Mark Auerbach, Sr.: Debtor · Outcome: Case closed 2022-04-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 11 federal dockets); court in VA (not a filing state)
Mark Auerbach, Sr. and Jacqueline Alease Auerbach closed
United States Bankruptcy Court, E.D. Virginia · No. 16-30057 · Filed Jan 6, 2016 · Closed Jun 4, 2020
Role of Mark Auerbach, Sr.: Debtor · Outcome: Case closed 2020-06-04 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 11 federal dockets); court in VA (not a filing state)
Mark Auerbach, Jr. and Kristy Marie Auerbach closed
United States Bankruptcy Court, E.D. Virginia · No. 13-51560 · Filed Sep 27, 2013 · Closed Jan 13, 2014
Role of Mark Auerbach, Jr.: Debtor · Outcome: Case closed 2014-01-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 11 federal dockets); court in VA (not a filing state)
Mark Auerbach and Kristy Marie Auerbach closed
United States Bankruptcy Court, E.D. Virginia · No. 10-51839 · Filed Oct 8, 2010 · Closed Dec 3, 2012
Role of Mark Auerbach and Kristy Marie Auerbach: Debtor · Outcome: Case closed 2012-12-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 11 federal dockets); court in VA (not a filing state)
Mark Auerbach and Jacqueline Alease Auerbach closed
United States Bankruptcy Court, E.D. Virginia · No. 08-33180 · Filed Jul 8, 2008 · Closed Oct 24, 2008
Role of Mark Auerbach and Jacqueline Alease Auerbach: Debtor · Outcome: Case closed 2008-10-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 11 federal dockets); court in VA (not a filing state)
Mark I. Auerbach closed
United States Bankruptcy Court, D. New Jersey · No. 97-50617 · Filed Sep 19, 1997 · Closed Dec 19, 2000
Role of Mark I. Auerbach: Debtor · Outcome: Case closed 2000-12-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 11 federal dockets); court in NJ (not a filing state)
Mark I. Auerbach closed
United States Bankruptcy Court, D. New Jersey · No. 97-22747 · Filed Mar 6, 1997 · Closed Aug 20, 1997
Role of Mark I. Auerbach: Debtor · Outcome: Case closed 1997-08-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 11 federal dockets); court in NJ (not a filing state)
Mark Auerbach closed
United States Bankruptcy Court, E.D. Virginia · No. 95-41596 · Filed Aug 4, 1995 · Closed Nov 21, 1995
Role of Mark Auerbach: Debtor · Outcome: Case closed 1995-11-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 11 federal dockets); court in VA (not a filing state)
Mark I. Auerbach closed
United States Bankruptcy Court, D. New Jersey · No. 95-24781 · Filed Jun 22, 1995 · Closed Apr 24, 1996
Role of Mark I. Auerbach: Debtor · Outcome: Case closed 1996-04-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 11 federal dockets); court in NJ (not a filing state)
Mark Auerbach and Jacqueline A. Auerbach closed
United States Bankruptcy Court, E.D. Virginia · No. 91-41980 · Filed Oct 2, 1991 · Closed Jan 21, 1992
Role of Mark Auerbach and Jacqueline A. Auerbach: Debtor · Outcome: Case closed 1992-01-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 11 federal dockets); court in VA (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, 2:31 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

8 differences found between the filings for Mark Auerbach — 2 worth asking about (compared 13 filings on Oct 24, 2026)

Worth asking · Feb 14, 2018

Regulator action naming a team member: Brian S. Block, CPA (Feb 14, 2018)

A ap release dated Feb 14, 2018 names Brian S. Block (listed on the same filings). The release is the source; we do not summarize its outcome here.

What this means A regulator filed or announced an action naming this person or company (or someone on the same filings). Read the release; ask the sponsor what it was and how it ended.

Brian S. Block, CPA ↗Brian S. Block — PartnerFacts page ↗
Sources
Worth asking · Feb 14, 2018

Regulator action naming a team member: Brian S. Block, et al. (Feb 14, 2018)

An SEC litigation release dated Feb 14, 2018 names Brian S. Block (listed on the same filings). The release is the source; we do not summarize its outcome here.

What this means A regulator filed or announced an action naming this person or company (or someone on the same filings). Read the release; ask the sponsor what it was and how it ended.

Brian S. Block, et al. ↗Brian S. Block — PartnerFacts page ↗
Sources
Note · Dec 6, 1999 – Mar 28, 2000

Bankruptcy case: Universal Bank, N.A. v. Schorsch-Wolh — filed Dec 6, 1999

United States Bankruptcy Court, S.D. New York docket "Universal Bank, N.A. v. Schorsch-Wolh" filed Dec 6, 1999, closed Mar 28, 2000. Nicholas S. Schorsch (listed on the same filings) is listed as Defendant ("Schorsch-Wolh"). Our match estimate: 70%.

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

Docket · United States Bankruptcy Court, S.D. New York ↗Nicholas S. Schorsch — PartnerFacts page ↗
Sources
Note · Aug 29, 2014 – Oct 8, 2014

Form D filed 40 days after the first sale — RCS Capital Corp

The filing says the first sale was Aug 29, 2014. The Form D was filed Oct 8, 2014 — 40 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 25 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Form D · Oct 8, 2014 ↗RCS Capital Corp — PartnerFacts page ↗
Sources
Note · Jun 12, 2014 – Jun 30, 2014

Form D filed 18 days after the first sale — RCS Capital Corp

The filing says the first sale was Jun 12, 2014. The Form D was filed Jun 30, 2014 — 18 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 3 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Form D · Jun 30, 2014 ↗RCS Capital Corp — PartnerFacts page ↗
Sources
Note · Apr 29, 2014 – Jun 16, 2014

Form D filed 48 days after the first sale — RCS Capital Corp

The filing says the first sale was Apr 29, 2014. The Form D was filed Jun 16, 2014 — 48 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 33 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Form D · Jun 16, 2014 ↗RCS Capital Corp — PartnerFacts page ↗
Sources
Note · Jun 12, 2014 – Jan 23, 2015

No amendment in the last 12 months on an offering that may still be open — RCS Capital Corp (latest filing Jan 23, 2015)

The latest filing for this offering is dated Jan 23, 2015 (first sale Jun 12, 2014). It reports $4,860,000 sold of $15,650,000 offered. No later amendment is in our index as of Oct 24, 2026.

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

Form D/A · Jan 23, 2015 ↗RCS Capital Corp — PartnerFacts page ↗
Sources
Note · May 13, 2014 – Jun 30, 2014

Industry group changed between filings — RCS Capital Corp

"REITS and Finance" (May 13, 2014 to Jun 16, 2014); then "Other Banking and Financial Services" (Jun 30, 2014 to Aug 31, 2015).

What this means The issuer described its business differently on different forms. Often it is just a different box ticked; sometimes the deal itself changed. Ask which business your money is in.

Form D · May 13, 2014 ↗Form D · Jun 30, 2014 ↗RCS Capital Corp — PartnerFacts page ↗
Sources
What is compared

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

5. Money to insiders

0 of 10 offerings report sales commissions; 0 report finder's fees; 0 report proceeds to related persons.

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Aug 31, 2015 D
RCS Capital Corp
File 021-246740
$0$0$0None listed on this filingEDGAR ↗
Aug 31, 2015 D
RCS Capital Corp
File 021-246742
$0$0$0None listed on this filingEDGAR ↗
Aug 26, 2015 D
RCS Capital Corp
File 021-246451
$0$0$0None listed on this filingEDGAR ↗
Mar 30, 2015 D
RCS Capital Corp
File 021-236936
$0$0$0N/A no CRD number reportedEDGAR ↗
Mar 23, 2015 D
RCS Capital Corp
File 021-236474
$0$0$0N/A no CRD number reportedEDGAR ↗
Jan 23, 2015 D/A
RCS Capital Corp
File 021-220101
$0$0$0N/A no CRD number reportedEDGAR ↗
Jan 23, 2015 D/A
RCS Capital Corp
File 021-222043
$0$0$0N/A no CRD number reportedEDGAR ↗
Jan 23, 2015 D/A
RCS Capital Corp
File 021-226068
$0$0$0N/A no CRD number reportedEDGAR ↗
Jun 16, 2014 D
RCS Capital Corp
File 021-219298
$0$0$0None listed on this filingEDGAR ↗
May 13, 2014 D
RCS Capital Corp
File 021-217307
$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 1

Every issuer that named Mark Auerbach on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

RC
Other Banking and Financial Services · group: Arc

RCS Capital Corp

New York, NY · May 13, 2014 → Aug 31, 2015 · 13 filings
  • Aug 31, 2015 · D · $37,500,000 sold of $37,500,000 · 4 investors · min. No minimum reported · role: Director (Non-Executive Chairman) EDGAR ↗
  • Aug 31, 2015 · D · $16,701,225 sold of $16,701,225 · 1 investors · min. No minimum reported · role: Director (Non-Executive Chairman) EDGAR ↗
  • Aug 26, 2015 · D · $32,250,007 sold of $32,250,007 · 14 investors · min. No minimum reported · role: Director (Non-Executive Chairman) EDGAR ↗
  • Mar 30, 2015 · D · $6,346,510 sold of $6,346,510 · 4 investors · min. No minimum reported · role: Director (Non-Executive Chairman; Independent Director) EDGAR ↗
  • Mar 23, 2015 · D · $26,774,456 sold of $26,774,456 · 97 investors · min. No minimum reported · role: Director (Non-Executive Chairman; Independent Director) EDGAR ↗
  • Jan 23, 2015 · D/A · $1,450,000 sold of $1,450,000 · 1 investors · min. No minimum reported · role: Director (Chairman of the Board of Directors) EDGAR ↗
  • Jan 23, 2015 · D/A · $4,860,000 sold of $15,650,000 · 3 investors · min. No minimum reported · role: Director (Chairman of the Board of Directors) EDGAR ↗
  • Jan 23, 2015 · D/A · $10,000,000 sold of $10,000,000 · 2 investors · min. No minimum reported · role: Director (Chairman of the Board of Directors) EDGAR ↗
  • Oct 8, 2014 · D · $10,000,000 sold of $10,000,000 · 2 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jul 30, 2014 · D · $1,450,000 sold of $1,450,000 · 1 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jun 30, 2014 · D · $4,860,000 sold of $15,650,000 · 3 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jun 16, 2014 · D · $50,000,004 sold of $50,000,004 · 5 investors · min. No minimum reported · role: Director EDGAR ↗
  • May 13, 2014 · D · $390,000,000 sold of $390,000,000 · 5 investors · min. No minimum reported · role: Director (Lead Independent Director) EDGAR ↗

Raised $390M from 97 investors (100% of the $37.5M target) as of the latest filing. Mark is listed as director on 13 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: Other Banking and Financial Services / 506(b) (1,630 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 Mark 14

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

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

Edward M. Weil, Jr.

Executive Officer, Director · 13 shared filings (1 issuer) · also on 9 other issuers

Edward M. Weil, Jr. is on 10 issuers in total — a repeat sponsor. Their page lists every one.

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

Jeffrey J. Brown

Director · 13 shared filings (1 issuer)

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

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

Brian D. Jones

Executive Officer · 13 shared filings (1 issuer) · also on 3 other issuers

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

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

Howell D. Wood

Director · 13 shared filings (1 issuer)

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

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

Peter M. Budko

Executive Officer, Director · 11 shared filings (1 issuer) · also on 8 other issuers

Peter M. Budko is on 9 issuers in total — a repeat sponsor. Their page lists every one.

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

Brian Nygaard

Executive Officer · 11 shared filings (1 issuer)

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

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

C. Thomas McMillen

Director · 11 shared filings (1 issuer)

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

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

Nicholas S. Schorsch

Director, Executive Officer · 5 shared filings (1 issuer) · also on 12 other issuers

Nicholas S. Schorsch is on 13 issuers in total — a repeat sponsor. Their page lists every one.

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

William M Kahane

Executive Officer, Director · 5 shared filings (1 issuer) · also on 11 other issuers

William M Kahane is on 12 issuers in total — a repeat sponsor. Their page lists every one.

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

John H. Grady

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

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

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

Marc J. Rowan

Director · 3 shared filings (1 issuer) · also on 237 other issuers

Marc J. Rowan is on 238 issuers in total — a repeat sponsor. Their page lists every one.

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

Brian S. Block

Director · 3 shared filings (1 issuer) · also on 9 other issuers

Brian S. Block is on 10 issuers in total — a repeat sponsor. Their page lists every one.

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

Anthony Civale

Director · 3 shared filings (1 issuer) · also on 129 other issuers

Anthony Civale is on 130 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

Thomas C. McMillen

Director · 2 shared filings (1 issuer)

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

The team behind the deals

A
Sponsor group

Arc

14 issuers · 38 filings · $672M reported sold · 2009–2015

One team, 14 deal companies. Mark Auerbach 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 Auerbach.

Same business address

12 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

Business registration (state registry / Secretary of State)

Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file).

Adviser registration (Form ADV)

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 Mark Auerbach 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 Mark Auerbach is listed on: none on file. No website or social profile named in RCS Capital Corp's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #298,201 of 374,652 in line (1,386 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

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