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

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Mark Shapiro

Named as an officer, director or promoter on SEC Form D filings · NY · Oct 19, 2012 → Jul 15, 2019

10deals (issuers)
$7.34Breported sold
2,019investors
30Form D filings
2012–2019years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:18 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Mark Shapiro is listed as an executive officer and director on 30 SEC Form D filings by 10 issuers between Oct 2012 and Jul 2019. Largest by amount reported sold: Blue Mountain Credit Alternatives Fund Ltd. (New York, NY — pooled investment fund — 2015–2019; $2.96B reported sold to 392 investors), Blue Mountain Credit Alternatives Fund L.P. (New York, NY — pooled investment fund — 2015–2019; $2.33B reported sold to 1,328 investors), BlueMountain Credit Opportunities Fund I L.P. (New York, NY — pooled investment fund — 2012; $736.2M reported sold to 44 investors), BlueMountain Guadalupe Peak Fund L.P. (New York, NY — pooled investment fund — 2014; $309M reported sold to 1 investors), BlueMountain Global Volatility Fund Ltd. (New York, NY — pooled investment fund — 2017–2019; $299.6M reported sold to 32 investors) and 5 more (all listed below).

What this means That is a lot of deals — 10 separate companies raised money with this person listed as executive officer and director, over about 7 years. Across those companies the filings report $7.34B sold in total.

Listed alongside Gary Linford (30 shared filings), BlueMountain Capital Management, LLC (28 shared filings, management entity), Andrew Feldstein (24 shared filings), Elizabeth Gile (24 shared filings), Alan Gerstein (16 shared filings) and 13 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.

All 10 issuers belong to the sponsor group Bluemountain (16 issuers, $7.73B reported sold, 2012–2019).

What this means A sponsor group is one team that sets up a new company for each deal. Bluemountain has 16 companies on file and $7.73B reported sold in total — the group page shows the whole track record in one place.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AZ, CA, DE, TX, WA) — 5 SEC releases, 11 bankruptcy cases matching the name listed in Key records below.

What this means 16 records came back. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.

We compared 30 public filings for Mark Shapiro and found 9 differences, 3 worth asking the sponsor about: Paid seller listed without a CRD number: Teneo Partners Japan Limited; 4 Form Ds were filed more than 15 days after the first sale; 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 Shapiro has not run yet — it is joining a line of 10,029 names; searches run around the clock at the hosts' allowed rate. Searched so far: 27 names.

Community comments are quoted as written by their authors. Sources searched: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).

Key records

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

1. Lawsuits

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, 2:18 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

5 SEC releases

Mark David Shapiro, CPA Administrative proceeding
SEC · Nov 23, 2016 · Parties as named in the release: Mark David Shapiro, CPA Read the release ↗
person name; common name
Mark David Shapiro (CPA) Administrative proceeding
SEC · Sep 12, 2008 · Parties as named in the release: Mark David Shapiro (CPA) Read the release ↗
person name, state; common name
Mark David Shapiro, et al. Litigation release
SEC · Aug 22, 2008 · Parties as named in the release: Mark David Shapiro, et al. Read the release ↗
person name, middle initial differs; common name
Cobalt Multifamily Investors I, LLC. Cobalt Multifamily Co. I, LLC, Cobalt Funding, LLC, Mark A. Shapiro, Irving J. Stitsky, and William B. Foster, Defendants, and Vail Mountain Trust, Relief Defendant Litigation release
SEC · Mar 29, 2006 · Parties as named in the release: Cobalt Multifamily Investors I, LLC. Cobalt Multifamily Co. I, LLC, Cobalt Funding, LLC, Mark A. Shapiro, Irving J. Stitsky, and William B. Foster, Defendants, and Vail Mountain Trust, Relief Defendant Read the release ↗
same full name in the release title; 7 people with this name in Form D filings; the person's filing state is named in the release
Mark David Shapiro, Philip D. Murphy, Thomas Gerald Dahlen, Jr., Albert M. Abbood, and James H. Thatcher Litigation release
SEC · Sep 15, 2005 · Parties as named in the release: Mark David Shapiro, Philip D. Murphy, Thomas Gerald Dahlen, Jr., Albert M. Abbood, and James H. Thatcher Read the release ↗
person name, middle initial differs; common name
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 Shapiro..

State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states are not covered.

3. Bankruptcies

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

Mark Shapiro closed
United States Bankruptcy Court, E.D. New York · No. 8-13-71735 · Filed Apr 4, 2013 · Closed Oct 2, 2013
Role of Mark Shapiro: Debtor · Outcome: Case closed 2013-10-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 17 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (NY)
Mark Shapiro closed
United States Bankruptcy Court, E.D. Tennessee · No. 1:12-bk-13559 · Filed Jul 13, 2012 · Closed Nov 26, 2012
Role of Mark Shapiro: Debtor · Outcome: Case closed 2012-11-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 17 federal dockets); 7 people with this name in Form D filings; court in TN (not a filing state)
Mark B. Shapiro closed
United States Bankruptcy Court, N.D. California · No. 09-42590 · Filed Mar 31, 2009 · Closed Dec 28, 2009
Role of Mark B. Shapiro: Debtor · Outcome: Case closed 2009-12-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 17 federal dockets); 7 people with this name in Form D filings; court in CA (not a filing state)
Mark P. Shapiro and Barbara J. Shapiro closed
United States Bankruptcy Court, W.D. New York · No. 2-09-20023 · Filed Jan 6, 2009 · Closed Jun 3, 2014
Role of Mark P. Shapiro and Barbara J. Shapiro: Debtor · Outcome: Case closed 2014-06-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 17 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (NY)
PCT v. Mark Shapiro closed
United States Bankruptcy Court, D. Delaware · No. 05-50659 · Filed Mar 31, 2005 · Closed Dec 27, 2005
Role of Mark Shapiro: Defendant · Outcome: Case closed 2005-12-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 17 federal dockets); 7 people with this name in Form D filings; court in DE (not a filing state)
Mark Shapiro closed
United States Bankruptcy Court, E.D. Tennessee · No. 1:02-bk-15506 · Filed Aug 29, 2002 · Closed Jan 9, 2003
Role of Mark Shapiro: Debtor · Outcome: Case closed 2003-01-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 17 federal dockets); 7 people with this name in Form D filings; court in TN (not a filing state)
Mark A. Shapiro closed
United States Bankruptcy Court, W.D. New York · No. 2-01-20879 · Filed Mar 16, 2001 · Closed Jul 6, 2001
Role of Mark A. Shapiro: Debtor · Outcome: Case closed 2001-07-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 17 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (NY)
Mark Shapiro and Lyudmila Shapiro closed
United States Bankruptcy Court, E.D. New York · No. 1-99-20088 · Filed Aug 3, 1999 · Closed Nov 17, 1999
Role of Mark Shapiro and Lyudmila Shapiro: Debtor · Outcome: Case closed 1999-11-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 17 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (NY)
Mark A Shapiro closed
United States Bankruptcy Court, N.D. Illinois · No. 95-25932 · Filed Dec 5, 1995 · Closed Mar 30, 1999
Role of Mark A Shapiro: Debtor · Outcome: Case closed 1999-03-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 17 federal dockets); 7 people with this name in Form D filings; court in IL (not a filing state)
Mark Shapiro closed
United States Bankruptcy Court, E.D. Tennessee · No. 1:92-bk-14247 · Filed Sep 24, 1992 · Closed Feb 4, 1994
Role of Mark Shapiro: Debtor · Outcome: Case closed 1994-02-04 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 17 federal dockets); 7 people with this name in Form D filings; court in TN (not a filing state)
Mark A. Shapiro closed
United States Bankruptcy Court, D. Connecticut · No. 90-21483 · Filed Jul 17, 1990 · Closed Jul 30, 1993
Role of Mark A. Shapiro: Debtor · Outcome: Case closed 1993-07-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 17 federal dockets); 7 people with this name in Form D filings; court in CT (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, 2:18 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

9 differences found between the filings for Mark Shapiro — 3 worth asking about (compared 30 filings on Oct 24, 2026)

Worth asking · Nov 30, 2015 – Jan 25, 2016

Paid seller listed without a CRD number: Teneo Partners Japan Limited — Blue Mountain Credit Alternatives Fund L.P.

Teneo Partners Japan Limited is listed as receiving sales compensation on 3 filings (Nov 30, 2015 to Jan 25, 2016) with no FINRA CRD number given.

What this means People paid to sell securities normally hold a FINRA registration with a CRD number. Without one we cannot look them up on BrokerCheck. Ask who they are and whether they are registered.

Form D/A · Jan 25, 2016 ↗BrokerCheck search: Teneo Partners Japan Limited ↗Blue Mountain Credit Alternatives Fund L.P. — PartnerFacts page ↗
Sources
Worth asking · Nov 30, 2015

Paid seller listed without a CRD number: Teneo Partners Japan Limited — Blue Mountain Credit Alternatives Fund Ltd.

Teneo Partners Japan Limited is listed as receiving sales compensation on 1 filing (Nov 30, 2015) with no FINRA CRD number given.

What this means People paid to sell securities normally hold a FINRA registration with a CRD number. Without one we cannot look them up on BrokerCheck. Ask who they are and whether they are registered.

Form D · Nov 30, 2015 ↗BrokerCheck search: Teneo Partners Japan Limited ↗Blue Mountain Credit Alternatives Fund Ltd. — PartnerFacts page ↗
Sources
Worth asking · Nov 1, 2003 – Nov 30, 2015

4 Form Ds were filed more than 15 days after the first sale

Form D filed 4,412 days after the first sale — Blue Mountain Credit Alternatives Fund L.P. · Form D filed 4,412 days after the first sale — Blue Mountain Credit Alternatives Fund Ltd. · Form D filed 289 days after the first sale — BlueMountain Long/Short Equity Fund Ltd. · Form D filed 1,477 days after the first sale — BlueMountain Long/Short Equity Fund L.P.

What this means Late notices are common and carry no penalty by themselves. A pattern of late paperwork is worth asking the sponsor about.

Form D · Nov 30, 2015 ↗Blue Mountain Credit Alternatives Fund L.P. — PartnerFacts page ↗Form D · Nov 30, 2015 ↗Blue Mountain Credit Alternatives Fund Ltd. — PartnerFacts page ↗
Sources
Note · Nov 1, 2003 – Jul 15, 2019

9 offerings have no amendment in the last 12 months and may still be open

No amendment in the last 12 months on an offering that may still be open — BlueMountain Global Volatility Fund Ltd. (latest filing Jul 15, 2019) · No amendment in the last 12 months on an offering that may still be open — BlueMountain Global Volatility Fund L.P. (latest filing Jul 15, 2019) · No amendment in the last 12 months on an offering that may still be open — Blue Mountain Credit Alternatives Fund Ltd. (latest filing Jul 15, 2019) · No amendment in the last 12 months on an offering that may still be open — Blue Mountain Credit Alternatives Fund L.P. (latest filing Jul 15, 2019) · No amendment in the last 12 months on an offering that may still be open — BlueMountain Long/Short Equity Fund Ltd. (latest filing Jul 14, 2017) · and 4 more

What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.

Form D/A · Jul 15, 2019 ↗BlueMountain Global Volatility Fund Ltd. — PartnerFacts page ↗Form D/A · Jul 15, 2019 ↗BlueMountain Global Volatility Fund L.P. — PartnerFacts page ↗
Sources
Note · Sep 10, 2020 – Apr 25, 2025

Same name, different state: "Mark Shapiro" (CA) is a separate record

This page covers filings where the address state is NY. A separate record, "Mark Shapiro" with address state CA, is listed on 6 filings — most recently by Wildcat Management Aggregator, L.P. (Apr 25, 2025). The two records do not overlap in time: this page runs Oct 19, 2012 to Jul 15, 2019; the other runs Sep 10, 2020 to Apr 25, 2025.

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.

Mark Shapiro (CA) — PartnerFacts page ↗Form D · Apr 25, 2025 ↗Wildcat Management Aggregator, L.P. — PartnerFacts page ↗Mark Shapiro (NY) — this page ↗
Sources
Note · Feb 19, 2019 – Apr 9, 2019

Same name, different state: "Mark S Shapiro" (KY) is a separate record

This page covers filings where the address state is NY. A separate record, "Mark S Shapiro" with address state KY, is listed on 2 filings — most recently by PAPA JOHNS INTERNATIONAL INC (Apr 9, 2019). Both records have filings in the same period (Feb 19, 2019 to Apr 9, 2019).

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.

Mark S Shapiro (KY) — PartnerFacts page ↗Form D · Apr 9, 2019 ↗PAPA JOHNS INTERNATIONAL INC — PartnerFacts page ↗Mark Shapiro (NY) — this page ↗
Sources
Note · Apr 18, 2011 – Nov 19, 2014

Same name, different state: "Mark Benjamin Shapiro" (MA) is a separate record

This page covers filings where the address state is NY. A separate record, "Mark Benjamin Shapiro" with address state MA, is listed on 8 filings — most recently by CPI RESEARCH PARKWAY WALLINGFORD PARTNERS, LLC (Jul 12, 2019). Both records have filings in the same period (Oct 19, 2012 to Nov 19, 2014).

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.

Mark Benjamin Shapiro (MA) — PartnerFacts page ↗Form D · Jul 12, 2019 ↗CPI RESEARCH PARKWAY WALLINGFORD PARTNERS, LLC — PartnerFacts page ↗Mark Shapiro (NY) — this page ↗
Sources
Note · Feb 28, 2013

Same name, different state: "Mark S. Shapiro" (IL) is a separate record

This page covers filings where the address state is NY. A separate record, "Mark S. Shapiro" with address state IL, is listed on 1 filing — most recently by EQUITY RESIDENTIAL (Feb 28, 2013). Both records have filings in the same period (Feb 28, 2013).

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.

Mark S. Shapiro (IL) — PartnerFacts page ↗Form D · Feb 28, 2013 ↗EQUITY RESIDENTIAL — PartnerFacts page ↗Mark Shapiro (NY) — this page ↗
Sources
Note · Jul 9, 2012

Same name, different state: "Mark Shapiro" (NJ) is a separate record

This page covers filings where the address state is NY. A separate record, "Mark Shapiro" with address state NJ, is listed on 1 filing — most recently by Symbolic IO Corp (Jul 9, 2012). The two records do not overlap in time: this page runs Oct 19, 2012 to Jul 15, 2019; the other has one filing dated Jul 9, 2012.

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.

Mark Shapiro (NJ) — PartnerFacts page ↗Form D · Jul 9, 2012 ↗Symbolic IO Corp — PartnerFacts page ↗Mark Shapiro (NY) — this 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

5 of 10 offerings report sales commissions totalling $49,536,516; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Jul 15, 2019 D/A
Blue Mountain Credit Alternatives Fund Ltd.
File 021-252092
$14,024,069 (est.)$0 (est.)$0 (est.)
The Investment Manager receives a monthly management fee based on net asset value as set forth in the offering materials.
BUTLER CAPITAL INVESTMENTS, LLC BrokerCheck CRD 114242 ↗
J.P. MORGAN SECURITIES LLC BrokerCheck CRD 79 ↗
UBS FINANCIAL SERVICES INC. BrokerCheck CRD 8174 ↗		EDGAR ↗
Jul 15, 2019 D/A
Blue Mountain Credit Alternatives Fund L.P.
File 021-252095
$24,665,147 (est.)$0 (est.)$0 (est.)
The Investment Manager receives a monthly management fee based on net asset value and the General Partner receives a performance allocation as set forth in the offering materials.
BUTLER CAPITAL INVESTMENTS, LLC BrokerCheck CRD 114242 ↗
J.P. MORGAN SECURITIES LLC BrokerCheck CRD 79 ↗
UBS FINANCIAL SERVICES INC. BrokerCheck CRD 8174 ↗
CAIS CAPITAL LLC BrokerCheck CRD 154512 ↗		EDGAR ↗
Jul 15, 2019 D/A
BlueMountain Global Volatility Fund L.P.
File 021-252104
$2,792 (est.)$0 (est.)$0 (est.)
The Investment Manager receives a monthly management fee based on net asset value and the General Partner receives a performance allocation as set forth in the offering materials.
BUTLER CAPITAL INVESTMENTS, LLC BrokerCheck CRD 114242 ↗EDGAR ↗
Jul 15, 2019 D/A
BlueMountain Global Volatility Fund Ltd.
File 021-252101
$10,740,375 (est.)$0 (est.)$0 (est.)
The Investment Manager receives a monthly management fee based on net asset value as set forth in the offering materials.
BUTLER CAPITAL INVESTMENTS, LLC BrokerCheck CRD 114242 ↗EDGAR ↗
Jul 14, 2017 D/A
BlueMountain Long/Short Equity Fund L.P.
File 021-243963
$104,133 (est.)$0 (est.)$0 (est.)
The Investment Manager receives a monthly management fee based on net asset value and the General Partner receives a performance allocation as set forth in the offering materials.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED BrokerCheck CRD 7691 ↗EDGAR ↗
Jul 14, 2017 D/A
BlueMountain Long/Short Equity Fund Ltd.
File 021-243964
$0 (est.)$0 (est.)$0 (est.)
The Investment Manager receives a monthly management fee base on net asset value and BlueMountain Long/Short Equity GP, LLC receives a performance allocation as set forth in the offering materials.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED BrokerCheck CRD 7691 ↗EDGAR ↗
Aug 18, 2015 D/A
BlueMountain Summit Opportunities Fund II (US) L.P.
File 021-233208
$0 (est.)$0 (est.)$0 (est.)
The Investment Manager may receive a quarterly management fee based on net asset value.
UBS Financial Services Inc. BrokerCheck CRD 8174 ↗EDGAR ↗
Aug 18, 2015 D/A
BlueMountain Summit Opportunities Fund II (Cayman) L.P.
File 021-233210
$0 (est.)$0 (est.)$0 (est.)
The Investment Manager may receive a quarterly management fee based on net asset value.
UBS Financial Services Inc. BrokerCheck CRD 8174 ↗EDGAR ↗
Feb 12, 2014 D
BlueMountain Guadalupe Peak Fund L.P.
File 021-211815
$0 (est.)$0 (est.)$0 (est.)
The Investment Manager may receive a monthly management fee based on net assts and the General Partner may receive a performance allocation as set forth in the offering materials.
None listed on this filingEDGAR ↗
Oct 19, 2012 D
BlueMountain Credit Opportunities Fund I L.P.
File 021-185809
$0$0$0 (est.)
Customary management fees will be paid to BlueMountain Capital Management, LLC as disclosed in the fund documentation.
None 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 10

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

BG
Pooled Investment Fund · group: Bluemountain

BlueMountain Global Volatility Fund Ltd.

New York, NY · Jul 14, 2017 → Jul 15, 2019 · 3 filings
  • Jul 15, 2019 · D/A · $299,559,820 sold of Indefinite · 32 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 16, 2018 · D/A · $299,559,820 sold of Indefinite · 32 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 14, 2017 · D/A · $299,559,820 sold of Indefinite · 32 investors · min. $100,000 · role: Director EDGAR ↗

Raised $299.6M from 32 investors as of the latest filing. Mark is listed as director on 3 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

BG
Pooled Investment Fund · group: Bluemountain

BlueMountain Global Volatility Fund L.P.

New York, NY · Jul 14, 2017 → Jul 15, 2019 · 3 filings
  • Jul 15, 2019 · D/A · $282,690,839 sold of Indefinite · 22 investors · min. No minimum reported · role: Director (Member of the Board of Managers of the General Partner) EDGAR ↗
  • Jul 16, 2018 · D/A · $282,690,839 sold of Indefinite · 22 investors · min. No minimum reported · role: Director (Member of the Board of Managers of the General Partner) EDGAR ↗
  • Jul 14, 2017 · D/A · $182,690,839 sold of Indefinite · 22 investors · min. No minimum reported · role: Director (Member of the Board of Managers of the General Partner) EDGAR ↗

Raised $282.7M from 22 investors as of the latest filing. Mark is listed as director on 3 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

BM
Pooled Investment Fund · group: Bluemountain

Blue Mountain Credit Alternatives Fund Ltd.

New York, NY · Nov 30, 2015 → Jul 15, 2019 · 5 filings
  • Jul 15, 2019 · D/A · $2,963,310,494 sold of Indefinite · 392 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 16, 2018 · D/A · $2,963,310,494 sold of Indefinite · 392 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 14, 2017 · D/A · $2,946,018,475 sold of Indefinite · 390 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 15, 2016 · D/A · $2,776,288,123 sold of Indefinite · 359 investors · min. $100,000 · role: Director EDGAR ↗
  • Nov 30, 2015 · D · $2,342,752,478 sold of Indefinite · 327 investors · min. $100,000 · role: Director EDGAR ↗

Raised $2.96B from 392 investors as of the latest filing. Mark is listed as director on 5 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

BM
Pooled Investment Fund · group: Bluemountain

Blue Mountain Credit Alternatives Fund L.P.

New York, NY · Nov 30, 2015 → Jul 15, 2019 · 7 filings
  • Jul 15, 2019 · D/A · $2,330,791,318 sold of Indefinite · 1,328 investors · min. No minimum reported · role: Director (Member of the Board of Managers of the General Partner) EDGAR ↗
  • Jul 16, 2018 · D/A · $2,322,591,318 sold of Indefinite · 1,327 investors · min. No minimum reported · role: Director (Member of the Board of Managers of the General Partner) EDGAR ↗
  • Jul 14, 2017 · D/A · $2,300,027,807 sold of Indefinite · 1,304 investors · min. No minimum reported · role: Director (Member of the Board of Managers of the General Partner) EDGAR ↗
  • Jul 15, 2016 · D/A · $2,182,854,511 sold of Indefinite · 1,198 investors · min. No minimum reported · role: Director (Member of the Board of Managers of the General Partner) EDGAR ↗
  • Jan 25, 2016 · D/A · $1,932,727,498 sold of Indefinite · 1,012 investors · min. No minimum reported · role: Director (Member of the Board of Managers of the General Partner) EDGAR ↗
  • Dec 10, 2015 · D/A · $1,904,329,740 sold of Indefinite · 980 investors · min. No minimum reported · role: Director (Member of the Board of Managers of the General Partner) EDGAR ↗
  • Nov 30, 2015 · D · $1,885,024,740 sold of Indefinite · 954 investors · min. No minimum reported · role: Director (Member of the Board of Managers of the General Partner) EDGAR ↗

Raised $2.33B from 1,328 investors as of the latest filing. Mark is listed as director on 7 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

BL
Pooled Investment Fund · group: Bluemountain

BlueMountain Long/Short Equity Fund Ltd.

New York, NY · Jul 17, 2015 → Jul 14, 2017 · 3 filings
  • Jul 14, 2017 · D/A · $168,680,136 sold of Indefinite · 14 investors · min. $100,000 · role: Executive Officer, Director EDGAR ↗
  • Jul 15, 2016 · D/A · $164,608,136 sold of Indefinite · 11 investors · min. $100,000 · role: Executive Officer, Director EDGAR ↗
  • Jul 17, 2015 · D · $25,158,136 sold of Indefinite · 4 investors · min. $100,000 · role: Executive Officer, Director EDGAR ↗

Raised $168.7M from 14 investors as of the latest filing. Mark is listed as executive officer, director on 3 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

BL
Pooled Investment Fund · group: Bluemountain

BlueMountain Long/Short Equity Fund L.P.

New York, NY · Jul 17, 2015 → Jul 14, 2017 · 3 filings
  • Jul 14, 2017 · D/A · $150,124,645 sold of Indefinite · 96 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jul 15, 2016 · D/A · $132,501,159 sold of Indefinite · 42 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jul 17, 2015 · D · $73,066,200 sold of Indefinite · 31 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $150.1M from 96 investors as of the latest filing. Mark is listed as director on 3 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

BS
Pooled Investment Fund · group: Bluemountain

BlueMountain Summit Opportunities Fund II (Cayman) L.P.

New York, NY · Jan 30, 2015 → Aug 18, 2015 · 2 filings
  • Aug 18, 2015 · D/A · $24,940,500 sold of Indefinite · 22 investors · min. $100,000 · role: Director (Member of Board of Managers of General Partner) EDGAR ↗
  • Jan 30, 2015 · D · $20,700,000 sold of Indefinite · 5 investors · min. $100,000 · role: Director (Member of Board of Managers of General Partner) EDGAR ↗

Raised $24.9M from 22 investors as of the latest filing. Mark is listed as director on 2 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

BS
Pooled Investment Fund · group: Bluemountain

BlueMountain Summit Opportunities Fund II (US) L.P.

New York, NY · Jan 30, 2015 → Aug 18, 2015 · 2 filings
  • Aug 18, 2015 · D/A · $76,600,000 sold of Indefinite · 68 investors · min. No minimum reported · role: Director (Member of Board of Managers of General Partner) EDGAR ↗
  • Jan 30, 2015 · D · $51,675,000 sold of Indefinite · 24 investors · min. No minimum reported · role: Director (Member of Board of Managers of General Partner) EDGAR ↗

Raised $76.6M from 68 investors as of the latest filing. Mark is listed as director on 2 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

BG
Pooled Investment Fund · group: Bluemountain

BlueMountain Guadalupe Peak Fund L.P.

New York, NY · Feb 12, 2014
  • Feb 12, 2014 · D · $309,033,820 sold of Indefinite · 1 investors · min. $300,000,000 · role: Director (Member of the Board of Managers of the General Partner) EDGAR ↗

Raised $309M from 1 investor as of the latest filing. Mark is listed as director.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

BC
Pooled Investment Fund · group: Bluemountain

BlueMountain Credit Opportunities Fund I L.P.

New York, NY · Oct 19, 2012
  • Oct 19, 2012 · D · $736,177,728 sold of $736,177,728 · 44 investors · min. $1 · role: Director (Member of Issuer's General Partner's Board of Managers) EDGAR ↗

Raised $736.2M from 44 investors (100% of the $736.2M target) as of the latest filing. Mark is listed as director.

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.

Other pages with the same name (6)

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

  • Mark Benjamin Shapiro — MA, 7 issuers, Apr 18, 2011 → Nov 19, 2014 · no shared issuer
  • Mark Shapiro — CA, 4 issuers, Sep 10, 2020 → Apr 25, 2025 · no shared issuer
  • Mark Shapiro — NJ, 1 issuer, Jul 9, 2012 → Jul 9, 2012 · no shared issuer
  • Mark S. Shapiro — IL, 1 issuer, Feb 28, 2013 → Feb 28, 2013 · no shared issuer
  • Mark S Shapiro — KY, 1 issuer, Feb 19, 2019 → Apr 9, 2019 · no shared issuer
  • Mark S Shapiro — NY, 1 issuer, Apr 9, 2009 → Apr 9, 2009 · no shared issuer

People around Mark 18

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

BC
Management entity

BlueMountain Capital Management, LLC

Executive Officer · 28 shared filings (9 issuers) · also on 6 other issuers

BlueMountain Capital Management, LLC is on 15 issuers in total — a repeat sponsor. Their page lists every one.

BM
Management entity

Blue Mountain Credit GP, LLC

Executive Officer · 7 shared filings (1 issuer)

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

BE
Management entity

BlueMountain Equity GP, LLC

Executive Officer · 1 shared filing (1 issuer)

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

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

Gary Linford

Director · 30 shared filings (10 issuers) · also on 164 other issuers

Gary Linford is on 174 issuers in total — a repeat sponsor. Their page lists every one.

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

Elizabeth Gile

Director · 24 shared filings (8 issuers) · also on 2 other issuers

Elizabeth Gile is on 10 issuers in total — a repeat sponsor. Their page lists every one.

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

Andrew Feldstein

Director, Promoter, Executive Officer · 24 shared filings (8 issuers) · also on 5 other issuers

Andrew Feldstein is on 13 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

Alan Gerstein

Director · 16 shared filings (6 issuers)

Alan Gerstein is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

William Reeves

Director · 12 shared filings (2 issuers)

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

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

Nathaniel Dalton

Director · 10 shared filings (2 issuers)

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

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

Derek Smith

Director · 2 shared filings (2 issuers) · also on 2 other issuers

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

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

John R. Erickson

Director · 2 shared filings (2 issuers)

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

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

David Rubenstein

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

David Rubenstein is on 5 issuers in total — a repeat sponsor. Their page lists every one.

The team behind the deals

B
Sponsor group

Bluemountain

16 issuers · 50 filings · $7.73B reported sold · 2012–2019

One team, 16 deal companies. Mark Shapiro is listed on 10 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 Shapiro.

Same business address

37 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 10 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 none — individuals are not matched

Property records are matched to companies only, never to individuals, so none are matched to Mark Shapiro 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 10 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Mark Shapiro is listed on: none on file. No website or social profile named in Blue Mountain Credit Alternatives Fund Ltd.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #232,591 of 374,652 in line (14 issuers searched so far). One-tap searches: Look further ↓

Look further

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

Social and web

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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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