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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 3:52 AM ET

Sponsor Check › Person

MB

Mike Ballard

Named as an officer, director or promoter on SEC Form D filings · MO · Nov 8, 2019 → May 26, 2021

2deals (issuers)
$2.05Mreported sold
5investors
3Form D filings
2019–2021years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:45 AM ET · SEC enforcement last checked: not yet

The short version

Mike Ballard is listed as an executive officer on 3 SEC Form D filings by 2 issuers between Nov 2019 and May 2021: Sixty West Crescent Fund, LLC (Dexter, MO — pooled investment fund — 2019–2021; $1.19M reported sold to 4 investors) and 60 West End Opportunity Fund, LLC (Dexter, MO — pooled investment fund — 2019; $860K reported sold to 1 investors).

What this means 2 separate companies raised money with this person listed as executive officer, over about 2 years. Across those companies the filings report $2.05M sold in total.

Listed alongside Matthew A. Mills (3 shared filings), Natalie Riley (3 shared filings), Stephen Holden (3 shared filings), Sixty West Crescent Fund Manager, LLC (2 shared filings, management entity) and 60 West End Fund Manager, LLC (1 shared filing, management entity).

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

All 2 issuers belong to the sponsor group Legacy (65 issuers, $451.7M reported sold, 2017–2026).

What this means A sponsor group is one team that sets up a new company for each deal. Legacy has 65 companies on file and $451.7M reported sold in total — the group page shows the whole track record in one place.

Public records searched: federal courts (CourtListener / RECAP), state securities regulators (AZ, CA, DE, TX, WA) — 1 bankruptcy case matching the name listed in Key records below. Not yet searched: SEC enforcement releases.

What this means 1 record 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.

What the community is saying

Nothing found on Reddit, BiggerPockets or community forums for high-net-worth investors (searched Oct 24, 2026) — search queued; this line updates when it has run.

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

What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts; live RECAP re-check pending. State courts: not yet searched. PACER: not searched. · Last checked Oct 24, 2026, 2:45 AM ET.

State courts: not yet searched. 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

Not yet searched

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. — not yet searched.

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: not yet searched.

No SEC search has run yet for this person.

3. Bankruptcies

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

Mike R. Ballard closed
United States Bankruptcy Court, S.D. Illinois · No. 05-36758 · Filed Oct 15, 2005 · Closed Mar 31, 2006
Role of Mike R. Ballard: Debtor · Outcome: Case closed 2006-03-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (rare in federal dockets); 2 people with this name in Form D filings; court in IL (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 yet searched. PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:45 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 yet searched. 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

Not made for individual people — comparisons cover issuers and sponsor groups

5. Money to insiders

0 of 2 offerings report sales commissions; 0 report finder's fees; 2 report proceeds to related persons totalling $750,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
May 26, 2021 D/A
Sixty West Crescent Fund, LLC
File 021-352979
$0$0$240,000
Estimate of first year management fees to be paid from the proceeds to the Issuer's Manager.
None listed on this filingEDGAR ↗
Nov 12, 2019 D
60 West End Opportunity Fund, LLC
File 021-353111
$0$0$510,000 (est.)
Estimate of first year management fees to be paid from proceeds to the Issuer's Manager.
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 2

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

SW
Pooled Investment Fund · group: Legacy

Sixty West Crescent Fund, LLC

Dexter, MO · Nov 8, 2019 → May 26, 2021 · 2 filings
  • May 26, 2021 · D/A · $1,193,000 sold of $12,000,000 · 4 investors · min. $250,000 · role: Executive Officer (Principal of Manager of Issuer) EDGAR ↗
  • Nov 8, 2019 · D · $478,000 sold of $12,000,000 · 1 investors · min. $250,000 · role: Executive Officer (Principal of Manager of Issuer) EDGAR ↗

Raised $1.19M from 4 investors (10% of the $12M target) as of the latest filing. Mike is listed as executive officer 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(c) (8,096 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.

6W
Pooled Investment Fund · group: Legacy

60 West End Opportunity Fund, LLC

Dexter, MO · Nov 12, 2019
  • Nov 12, 2019 · D · $860,000 sold of $17,000,000 · 1 investors · min. $250,000 · role: Executive Officer (Principal of Manager of Issuer) EDGAR ↗

Raised $860K from 1 investor (5% of the $17M target) as of the latest filing. Mike is listed as executive officer.

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(c) (8,096 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

Other pages with the same name (1)

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

  • Mike Ballard — NV, 1 issuer, Aug 27, 2021 → Aug 27, 2021 · no shared issuer

People around Mike 5

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

6W
Management entity

60 West End Fund Manager, LLC

Director · 1 shared filing (1 issuer)

Listed on the same filings as Mike Ballard. Their page shows their other deals.

MM
Person

Matthew A. Mills

Executive Officer · 3 shared filings (2 issuers) · also on 50 other issuers

Matthew A. Mills is on 52 issuers in total — a repeat sponsor. Their page lists every one.

NR
Person

Natalie Riley

Executive Officer · 3 shared filings (2 issuers) · also on 50 other issuers

Natalie Riley is on 52 issuers in total — a repeat sponsor. Their page lists every one.

SH
Person

Stephen Holden

Executive Officer · 3 shared filings (2 issuers) · also on 19 other issuers

Stephen Holden is on 21 issuers in total — a repeat sponsor. Their page lists every one.

The team behind the deals

L
Sponsor group

Legacy

65 issuers · 91 filings · $451.7M reported sold · 2017–2026

One team, 65 deal companies. Mike Ballard is listed on 2 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 Mike Ballard.

Same business address

51 other issuers file from the same address (first 50 shown)

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)

Not yet searched. Sources to be searched: SEC Investment Adviser Information Reports — Form ADV data for SEC-registered advisers and exempt reporting advisers (file dated 2026-10-02); SEC Investment Adviser Public Disclosure (IAPD) firm search — registered and exempt reporting advisers · Search queued. Results are added automatically; check back later.

Other offering types (Regulation A and Regulation Crowdfunding)

None found in sources searched.

Sources 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 · Last checked Oct 23, 2026, 8:41 PM ET.

Look further

One-tap searches on sites we do not index ourselves, with the name pre-filled (Dexter, MO). 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) ↗Missouri Case.net ↗

Securities regulators

SEC EDGAR full-text search ↗SEC action look-up ↗FINRA BrokerCheck ↗SEC IAPD adviser search ↗

Business registries

Missouri Secretary of State business search ↗OpenCorporates ↗

Change history

No corrections have been requested for this page.

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