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

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Michael Bertz

Named as an officer, director or promoter on SEC Form D filings · MO · Jul 5, 2018 → Apr 12, 2021

2deals (issuers)

$8.64Mreported sold

28investors

7Form D filings

2018–2021years on file

Follow this person Look further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:42 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Michael Bertz is listed as a director on 7 SEC Form D filings by 2 issuers between Jul 2018 and Apr 2021: KCM SMALL CAP CORE FUND LLC (St Louis, MO — pooled investment fund — 2019–2020; $6.3M reported sold to 1 investors) and KENNEDY CAPITAL MANAGEMENT, INC. (St Louis, MO — investing — 2018–2021; $2.34M reported sold to 27 investors).

What this means 2 separate companies raised money with this person listed as director, over about 3 years. Across those companies the filings report $8.64M sold in total.

Listed alongside Don Cobin (7 shared filings), Francis Andrew Latuda, Jr. (7 shared filings), James J. Boyne (7 shared filings), Matthew H. Scanlan (7 shared filings), Niraj S. Shah (7 shared filings) and 7 others.

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

All 2 issuers belong to the sponsor group Kennedy (3 issuers, $2.06M reported sold, 2010–2021).

What this means A sponsor group is one team that sets up a new company for each deal. Kennedy has 3 companies on file and $2.06M 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) — 7 court cases matching the name, 1 bankruptcy case matching the name listed in Key records below.

What this means 8 records came back, including 2 court cases still open — open cases can take years and cost money. 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 7 public filings for Michael Bertz and found 1 difference: 4 offerings have no amendment in the last 12 months and may still be open.

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 Michael Bertz has not run yet — it is joining a line of 17,971 names; searches run around the clock at the hosts' allowed rate. Searched so far: 28 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

7 cases: 2 open, 3 dismissed, 1 closed (disposition not in docket feed), 1 judgment

Bertz Farms LLC v. Nutrien Ltd. open

District Court, D. Kansas · No. 6:26-cv-01248 · Filed Aug 14, 2026 · Nature of suit: 410 Anti-Trust · Cause: 15:1 Antitrust Litigation

Role of Bertz Farms LLC: Plaintiff · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 13 federal dockets); surname only in the caption; court in KS (not a filing state)

Bertz v. Aetna Life Insurance Company open

District Court, D. Wyoming · No. 1:26-cv-00138 · Filed Apr 17, 2026

Role of Bertz: Plaintiff · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 13 federal dockets); surname only in the caption; court in WY (not a filing state)

BERTZ v. MERCK &CO. INC. dismissed

District Court, E.D. Pennsylvania · No. 2:20-cv-02154 · Filed May 4, 2020 · Closed Jan 4, 2021 · Nature of suit: 367 Health care / pharm

Role of BERTZ: Plaintiff · Outcome: Terminated 2021-01-04 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 13 federal dockets); surname only in the caption; court in PA (not a filing state)

United States v. $484,004.36 seized from PNC Bank account XX-XXXX-9528 in the name of Stella Bertz Memorial Cheerleading Association closed

District Court, N.D. Ohio · No. 3:17-cv-01057 · Filed May 19, 2017 · Closed Jul 26, 2021 · Nature of suit: Forfeit/Penalty: Other · Cause: 28:1341 Complaint for Forfeiture

Role of $484,004.36 seized from PNC Bank account XX-XXXX-9528 in the name of Stella Bertz Memorial Cheerleading Association: Defendant · Outcome: Terminated 2021-07-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 13 federal dockets); different first name (stella); court in OH (not a filing state)

Liberty Group Pblsh v. Bertz dismissed

District Court, D. Idaho · No. 1:01-cv-00562 · Filed Nov 6, 2001 · Closed Mar 17, 2003 · Nature of suit: 190 Other contract actions

Role of Bertz: Defendant · Outcome: Terminated 2003-03-17 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 13 federal dockets); surname only in the caption; court in ID (not a filing state)

TRAVELERS CAS & SURE v. BERTZ & COMPANY judgment

District Court, E.D. Pennsylvania · No. 2:00-cv-03257 · Filed Jun 27, 2000 · Closed Jan 14, 2002 · Nature of suit: 190 Other contract actions

Role of BERTZ & COMPANY: Defendant · Outcome: Terminated 2002-01-14 — FJC Integrated Database disposition: Judgment on consent; judgment for plaintiff Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 13 federal dockets); surname only in the caption; court in PA (not a filing state)

Bertz v. Allmerica Fin Ann Co dismissed

District Court, D. Colorado · No. 1:98-cv-01756 · Filed Aug 13, 1998 · Closed Aug 7, 2000 · Nature of suit: 791 Employee Retirement Income Security Act · Cause: 29:1132 E.R.I.S.A.-Employee Benefits

Role of Bertz: Plaintiff · Outcome: Terminated 2000-08-07 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 13 federal dockets); surname only in the caption; court in CO (not a filing state)

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, 2:42 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

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

2. Regulatory actions

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: AZ, CA, DE, TX, WA (crawled Oct 23, 2026)

What was searched

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

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

1 case: 1 closed (disposition not in docket feed)

Migueis v. Bertz & Co. closed

United States Bankruptcy Court, E.D. Pennsylvania · No. 06-02269 · Filed Oct 23, 2006 · Closed Feb 12, 2007

Role of Bertz & Co.: Defendant · Outcome: Case closed 2007-02-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 13 federal dockets); surname only in the caption; court in PA (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, 2:42 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.

4. Differences between public sources

Comparisons cover issuers and sponsor groups — see the issuer pages under Deals

1 difference found between the filings for Michael Bertz (compared 7 filings on Oct 24, 2026)

Note · Jun 20, 2018 – Apr 12, 2021

4 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 — KENNEDY CAPITAL MANAGEMENT, INC. (latest filing Apr 12, 2021) · No amendment in the last 12 months on an offering that may still be open — KENNEDY CAPITAL MANAGEMENT, INC. (latest filing Jul 8, 2020) · No amendment in the last 12 months on an offering that may still be open — KENNEDY CAPITAL MANAGEMENT, INC. (latest filing Jul 1, 2019) · No amendment in the last 12 months on an offering that may still be open — KENNEDY CAPITAL MANAGEMENT, INC. (latest filing Jul 5, 2018)

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 · Apr 12, 2021 ↗KENNEDY CAPITAL MANAGEMENT, INC. — PartnerFacts page ↗Form D · Jul 8, 2020 ↗Form D · Jul 1, 2019 ↗

Sources

Form D · Apr 12, 2021 ↗ (Apr 12, 2021)
KENNEDY CAPITAL MANAGEMENT, INC. — PartnerFacts page ↗ (Apr 12, 2021)
Form D · Jul 8, 2020 ↗ (Jul 8, 2020)
Form D · Jul 1, 2019 ↗ (Jul 1, 2019)
Form D · Jul 5, 2018 ↗ (Jul 5, 2018)

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 7 offerings report sales commissions; 0 report finder's fees; 3 report proceeds to related persons totalling $10,988. (includes amounts the issuer reported as estimates)

Offering (latest filing)	Sales commissions	Finder's fees	To insiders	Paid to sell it	Source
Apr 12, 2021 D KENNEDY CAPITAL MANAGEMENT, INC. File 021-395425	$0	$0	$0	None listed on this filing	EDGAR ↗
Jul 8, 2020 D KENNEDY CAPITAL MANAGEMENT, INC. File 021-370393	$0	$0	$0	None listed on this filing	EDGAR ↗
Apr 2, 2020 D KCM SMALL CAP CORE FUND LLC File 021-364231	$0	$0	$823 (est.) The Issuer pays a .9 percent annual management fee to Kennedy Capital Management, Inc. (the Issuer's manager and investment adviser).	None listed on this filing	EDGAR ↗
Jul 1, 2019 D KENNEDY CAPITAL MANAGEMENT, INC. File 021-343196	$0	$0	$0	None listed on this filing	EDGAR ↗
Apr 1, 2019 D KCM SMALL CAP CORE FUND LLC File 021-336166	$0	$0	$165 (est.) The Issuer pays a one percent annual management fee to Kennedy Capital Management, Inc. (the Issuer's manager and investment adviser).	None listed on this filing	EDGAR ↗
Jan 16, 2019 D KCM SMALL CAP CORE FUND LLC File 021-330666	$0	$0	$10,000 (est.) The Issuer pays a one percent annual management fee to Kennedy Capital Management, Inc. (the Issuer's manager and investment adviser).	None listed on this filing	EDGAR ↗
Jul 5, 2018 D KENNEDY CAPITAL MANAGEMENT, INC. File 021-316106	$0	$0	$0	None listed on this filing	EDGAR ↗

How this is counted

Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Counted across every filing this person is listed on (latest filing per offering, per issuer).

Deals 2

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

Investing · group: Kennedy

KENNEDY CAPITAL MANAGEMENT, INC.

St Louis, MO · Jul 5, 2018 → Apr 12, 2021 · 4 filings

Apr 12, 2021 · D · $1,716,916 sold of $1,869,108 · 27 investors · min. $4,756 · role: Director EDGAR ↗
Jul 8, 2020 · D · $920,664 sold of $1,881,708 · 22 investors · min. No minimum reported · role: Director EDGAR ↗
Jul 1, 2019 · D · $1,681,905 sold of $2,528,283 · 24 investors · min. No minimum reported · role: Director EDGAR ↗
Jul 5, 2018 · D · $2,344,185 sold of $3,290,157 · 24 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $2.34M from 27 investors (100% of the $1.87M target) as of the latest filing. Michael is listed as director on 4 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: Investing / 506(b) (2,521 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: Kennedy

KCM SMALL CAP CORE FUND LLC

St Louis, MO · Jan 16, 2019 → Apr 2, 2020 · 3 filings

Apr 2, 2020 · D · $91,500 sold of $91,500 · 1 investors · min. $91,500 · role: Director EDGAR ↗
Apr 1, 2019 · D · $16,500 sold of $16,500 · 1 investors · min. $16,500 · role: Director EDGAR ↗
Jan 16, 2019 · D · $1,000,000 sold of $1,000,000 · 1 investors · min. $1,000,000 · role: Director EDGAR ↗

Raised $6.3M from 1 investor (100% of the $92K target) as of the latest filing. Michael 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.

People around Michael 12

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

Management entity