Michael Barnes is listed as an executive officer, director, and promoter on 42 SEC Form D filings by 10 issuers between Mar 2009 and Jun 2018. Largest by amount reported sold: Tricadia Credit Strategies, Ltd. (Georgetown, Cayman Islands (as filed: E9) — pooled investment fund — 2009–2018; $3.29B reported sold to 210 investors), Tricadia Credit Strategies, L.P. (New York, NY — pooled investment fund — 2009–2018; $1.21B reported sold to 250 investors), Tricadia Distressed & Special Situations Fund II, L.P. (New York, NY — pooled investment fund — 2011–2013; $67.7M reported sold to 27 investors), SGT Financials Recovery Fund L.P. (New York, NY — pooled investment fund — 2010; $59M reported sold to 2 investors), Tricadia Convexity Fund, L.P. (New York, NY — pooled investment fund — 2014–2018; $49.6M reported sold to 13 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, director, and promoter, over about 9 years. Across those companies the filings report $4.75B sold in total.
8 of the issuers belong to the sponsor group Tricadia (11 issuers, $5.55B reported sold, 2009–2018).
What this means A sponsor group is one team that sets up a new company for each deal. Tricadia has 11 companies on file and $5.55B reported sold in total — the group page shows the whole track record in one place.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, OK, OR, PA, RI, SC, SD, TN, TX, VT, WA, WI, WV, WY) — 12 bankruptcy cases matching the name listed in Key records below.
What this means 12 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 42 public filings for Michael Barnes and found 17 differences, 6 worth asking the sponsor about: Amount sold went down between filings; Investor count went down between filings; 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.