PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:36 AM ET

Sponsor Check › Person

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

Nicholas David Sputnick Brumm

Named as an officer, director or promoter on SEC Form D filings · NY · Jul 9, 2009 → Apr 14, 2026

17deals (issuers)
$3.33Breported sold
269investors
74Form D filings
2009–2026years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:19 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Nicholas David Sputnick Brumm is listed as an executive officer and director on 74 SEC Form D filings by 17 issuers between Jul 2009 and Apr 2026. Largest by amount reported sold: QVT Associates II LP (New York, NY — pooled investment fund — 2009–2011; $1.38B reported sold to 84 investors), QVT Family Office Onshore LP (New York, NY — pooled investment fund — 2018–2026; $505.9M reported sold to 30 investors), QVT Onshore LP (New York, NY — pooled investment fund — 2012–2017; $451.4M reported sold to 49 investors), QVT International L.P. (George Town, Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2009–2011; $441.5M reported sold to 20 investors), QVT Offshore Ltd. (George Town, Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2011–2017; $270.3M reported sold to 27 investors) and 12 more (all listed below).

What this means That is a lot of deals — 17 separate companies raised money with this person listed as executive officer and director, over about 17 years. Across those companies the filings report $3.33B sold in total.

Listed alongside Daniel Allen Gold (73 shared filings), Arthur Pai-Shih Chu (66 shared filings), Tracy Chuin Fu (66 shared filings), QVT Associates GP LLC (60 shared filings, management entity), Ian Pilgrim (8 shared filings) and 10 others.

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

All 17 issuers belong to the sponsor group Qvt (17 issuers, $3.15B reported sold, 2009–2026).

What this means A sponsor group is one team that sets up a new company for each deal. Qvt has 17 companies on file and $3.15B 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) — none found.

What this means Nothing turned up where we looked (3 sources). That does not prove there is nothing — it means none was found in those sources on that date.

We compared the newest 50 of 74 public filings for Nicholas David Sputnick Brumm and found 6 differences, 2 worth asking the sponsor about: Form D filed 74 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 Nicholas David Sputnick Brumm has not run yet — it is joining a line of 57,491 names; 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, 2:19 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 Nicholas David Sputnick Brumm..

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

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

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, 2:19 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.

4. Differences between public sources

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

6 differences found between the filings for Nicholas David Sputnick Brumm — 2 worth asking about (compared the newest 50 of 74 filings on Oct 24, 2026; older filings not covered)

Note · Apr 16, 1998 – Feb 13, 2025

10 bankruptcy cases name the subject or team members

Bankruptcy case: Glosslab 127 Fourth Avenue LLC — filed Dec 23, 2024 · Bankruptcy case: 6365 Fourth Avenue Corp. v. 1237 Dean Street Corp. — filed Apr 10, 2020 · Bankruptcy case: 6365 Fourth Avenue Corp. and 11 Forest Avenue Corp. — filed Nov 4, 2019 · Bankruptcy case: 231 Fourth Avenue Lyceum, LLC — filed Apr 11, 2013 · Bankruptcy case: 90 Fourth Avenue LLC — filed Mar 16, 2010 · and 5 more

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 ↗Fourth Avenue Capital Partners GP LLC — PartnerFacts page ↗Docket · United States Bankruptcy Court, S.D. New York ↗Docket · United States Bankruptcy Court, S.D. New York ↗
Sources
Worth asking · Aug 1, 2016 – Oct 14, 2016

Form D filed 74 days after the first sale — QVT Series Holdings LP - Series SLV Onshore

The filing says the first sale was Aug 1, 2016. The Form D was filed Oct 14, 2016 — 74 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 59 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 14, 2016 ↗QVT Series Holdings LP - Series SLV Onshore — PartnerFacts page ↗
Sources
Worth asking · Aug 1, 2016 – Oct 14, 2016

Form D filed 74 days after the first sale — QVT Series Holdings LP - Series SLV Offshore

The filing says the first sale was Aug 1, 2016. The Form D was filed Oct 14, 2016 — 74 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 59 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 14, 2016 ↗QVT Series Holdings LP - Series SLV Offshore — PartnerFacts page ↗
Sources
Note · Feb 1, 2012 – Oct 16, 2020

10 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 — QVT Series Holdings LP - Series SLV Onshore (latest filing Oct 16, 2020) · No amendment in the last 12 months on an offering that may still be open — QVT Series Holdings LP - Series SLV Offshore (latest filing Oct 16, 2020) · No amendment in the last 12 months on an offering that may still be open — Menes Fund LP (latest filing Jun 27, 2018) · No amendment in the last 12 months on an offering that may still be open — QVT Onshore LP (latest filing Oct 2, 2017) · No amendment in the last 12 months on an offering that may still be open — QVT Fund LP (latest filing Aug 15, 2017) · and 5 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 · Oct 16, 2020 ↗QVT Series Holdings LP - Series SLV Onshore — PartnerFacts page ↗Form D/A · Oct 16, 2020 ↗QVT Series Holdings LP - Series SLV Offshore — PartnerFacts page ↗
Sources
Note · May 3, 2013 – May 5, 2014

Nicholas David Sputnick Brumm's role changed at QVT Offshore Ltd.: director → executive officer, director

The May 3, 2013 filing lists Nicholas David Sputnick Brumm as director; the May 5, 2014 Form D/A lists executive officer, director.

What this means Roles on Form D are self-reported by the issuer. A change can mean a real change in who runs the company, or just a different box ticked. Ask who makes decisions today.

Form D/A · May 3, 2013 ↗Form D/A · May 5, 2014 ↗Nicholas David Sputnick Brumm — PartnerFacts page ↗QVT Offshore Ltd. — PartnerFacts page ↗
Sources
Note · May 3, 2012 – Jun 27, 2017

Nicholas David Sputnick Brumm is written 3 different ways on the filings

listed as "Nicholas David Stupnick Brumm" on 20 filings (from May 3, 2012), and "Nicholas Brumm" on 13 filings (from Jun 26, 2013), and "Nicholas David Sputnick Brumm" on 31 filings (from Jun 27, 2017).

What this means Same person, written differently — a middle name or suffix left off, or spelled another way. It is normal, but check that the full legal name matches your subscription documents.

Form D · May 3, 2012 ↗Form D · Jun 26, 2013 ↗Form D/A · Jun 27, 2017 ↗Nicholas David Sputnick Brumm — 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. We compared the newest 50 of 74 filings (work cap); older filings are not covered here. As of Oct 24, 2026.

5. Money to insiders

None reported on 19 offerings — no sales commissions, finder's fees or proceeds to insiders

Per-offering detail
Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Apr 14, 2026 D/A
QVT Family Office Offshore LP
File 021-309797
$0$0$0None listed on this filingEDGAR ↗
Apr 14, 2026 D/A
QVT Family Office Onshore LP
File 021-309800
$0$0$0None listed on this filingEDGAR ↗
Oct 16, 2020 D/A
QVT Series Holdings LP - Series SLV Offshore
File 021-272498
$0$0$0None listed on this filingEDGAR ↗
Oct 16, 2020 D/A
QVT Series Holdings LP - Series SLV Onshore
File 021-272496
$0$0$0None listed on this filingEDGAR ↗
Jun 27, 2018 D/A
Menes Fund LP
File 021-198642
$0$0$0
The Investment Manager is entitled to receive a management fee based on assets under management and an incentive fee based on performance.
None listed on this filingEDGAR ↗
Oct 2, 2017 D/A
QVT Onshore LP
File 021-177649
$0$0$0
The Investment Manager is entitled to receive a management fee based on assets under management.
None listed on this filingEDGAR ↗
Aug 15, 2017 D/A
QVT Fund LP
File 021-222912
$0$0$0
The Investment Manager is entitled to receive a management fee based on assets under management.
None listed on this filingEDGAR ↗
Jul 27, 2017 D
Fourth Avenue FF Opportunities LP - Series E
File 021-291611
$0$0$0None listed on this filingEDGAR ↗
May 5, 2017 D/A
Quintessence Associates LP
File 021-177655
$0$0$0
The Investment Manager is entitled to receive a management fee based on assets under management.
None listed on this filingEDGAR ↗
May 5, 2017 D/A
QVT Offshore Ltd.
File 021-177713
$0$0$0
The Investment Manager is entitled to receive a management fee based on assets under management and an incentive fee based on performance.
None listed on this filingEDGAR ↗
Apr 15, 2016 D/A
Fourth Avenue FF Opportunities LP - Series A
File 021-259089
$0$0$0None listed on this filingEDGAR ↗
Apr 11, 2016 D
Fourth Avenue FF Opportunities LP - Series B
File 021-261049
$0$0$0None listed on this filingEDGAR ↗
Jul 25, 2012 D/A
Ashokan Associates LP
File 021-163466
$0$0$0
The Investment Manager is entitled to receive a management fee based on capital commitments or assets under management.
None listed on this filingEDGAR ↗
Feb 4, 2011 D/A
Quintessence Associates LP
File 021-105959
$0$0$0
The Investment Manager is entitled to receive a management fee based on assets under management.
None listed on this filingEDGAR ↗
Feb 4, 2011 D/A
Quintessence Overseas LP
File 021-105990
$0$0$0
The Investment Manager is entitled to receive a management fee based on assets under management.
None listed on this filingEDGAR ↗
Feb 4, 2011 D/A
Quintessence Global LP
File 021-105989
$0$0$0
The Investment Manager is entitled to receive a management fee based on assets under management.
None listed on this filingEDGAR ↗
Feb 1, 2011 D/A
QVT Offshore Ltd.
File 021-68850
$0$0$0
The Investment Manager is entitled to receive a management fee based on assets under management.
None listed on this filingEDGAR ↗
Jan 31, 2011 D/A
QVT Associates II LP
File 021-132569
$0$0$0
The Investment Manager is entitled to receive a management fee based on assets under management.
None listed on this filingEDGAR ↗
Jan 31, 2011 D/A
QVT International L.P.
File 021-132759
$0$0$0
The Investment Manager is entitled to receive a management fee based on assets under management.
None listed on this filingEDGAR ↗

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 17

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

QF
Pooled Investment Fund · group: Qvt

QVT Family Office Offshore LP

Camana Bay, Grand Cayman, Cayman Islands (as filed: E9) · Apr 10, 2018 → Apr 14, 2026 · 9 filings
  • Apr 14, 2026 · D/A · $29,897,938 sold of Indefinite · 6 investors · min. $100,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Apr 14, 2025 · D/A · $29,897,938 sold of Indefinite · 6 investors · min. $100,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Apr 12, 2024 · D/A · $29,897,938 sold of Indefinite · 6 investors · min. $100,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Apr 12, 2023 · D/A · $29,897,938 sold of Indefinite · 6 investors · min. $100,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Apr 12, 2022 · D/A · $29,897,938 sold of Indefinite · 6 investors · min. $100,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Apr 12, 2021 · D/A · $29,897,938 sold of Indefinite · 6 investors · min. $100,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Apr 10, 2020 · D/A · $26,311,483 sold of Indefinite · 6 investors · min. $100,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Apr 10, 2019 · D/A · $26,311,483 sold of Indefinite · 6 investors · min. $100,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Apr 10, 2018 · D · $26,311,483 sold of Indefinite · 6 investors · min. $100,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗

Raised $29.9M from 6 investors as of the latest filing. Nicholas is listed as executive officer on 9 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.

QF
Pooled Investment Fund · group: Qvt

QVT Family Office Onshore LP

New York, NY · Apr 10, 2018 → Apr 14, 2026 · 9 filings
  • Apr 14, 2026 · D/A · $505,905,296 sold of Indefinite · 30 investors · min. $5,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Apr 14, 2025 · D/A · $496,864,726 sold of Indefinite · 30 investors · min. $5,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Apr 12, 2024 · D/A · $496,831,173 sold of Indefinite · 29 investors · min. $5,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Apr 12, 2023 · D/A · $491,581,802 sold of Indefinite · 29 investors · min. $5,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Apr 12, 2022 · D/A · $479,578,234 sold of Indefinite · 28 investors · min. $5,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Apr 12, 2021 · D/A · $475,015,545 sold of Indefinite · 27 investors · min. $5,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Apr 10, 2020 · D/A · $467,469,101 sold of Indefinite · 27 investors · min. $5,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Apr 10, 2019 · D/A · $465,763,783 sold of Indefinite · 27 investors · min. $5,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Apr 10, 2018 · D · $452,835,551 sold of Indefinite · 26 investors · min. $5,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗

Raised $505.9M from 30 investors as of the latest filing. Nicholas is listed as executive officer on 9 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.

QS
Pooled Investment Fund · group: Qvt

QVT Series Holdings LP - Series SLV Onshore

New York, NY · Oct 14, 2016 → Oct 16, 2020 · 5 filings
  • Oct 16, 2020 · D/A · $6,044,365 sold of Indefinite · 6 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Oct 16, 2019 · D/A · $6,044,365 sold of Indefinite · 6 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Oct 16, 2018 · D/A · $6,000,940 sold of Indefinite · 6 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Oct 16, 2017 · D/A · $6,000,940 sold of Indefinite · 6 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Oct 14, 2016 · D · $3,728,113 sold of Indefinite · 4 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗

Raised $6.04M from 6 investors as of the latest filing. Nicholas is listed as executive officer 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.

QS
Pooled Investment Fund · group: Qvt

QVT Series Holdings LP - Series SLV Offshore

New York, NY · Oct 14, 2016 → Oct 16, 2020 · 5 filings
  • Oct 16, 2020 · D/A · $10,189,577 sold of Indefinite · 9 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Oct 16, 2019 · D/A · $10,189,577 sold of Indefinite · 9 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Oct 16, 2018 · D/A · $9,124,205 sold of Indefinite · 8 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Oct 16, 2017 · D/A · $8,973,670 sold of Indefinite · 6 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Oct 14, 2016 · D · $8,825,592 sold of Indefinite · 6 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗

Raised $10.2M from 9 investors as of the latest filing. Nicholas is listed as executive officer 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.

MF
Pooled Investment Fund · group: Qvt

Menes Fund LP

George Town, Grand Cayman, Cayman Islands (as filed: E9) · Jun 26, 2013 → Jun 27, 2018 · 6 filings
  • Jun 27, 2018 · D/A · $26,260,000 sold of Indefinite · 2 investors · min. $5,000 · role: Executive Officer EDGAR ↗
  • Jun 27, 2017 · D/A · $26,260,000 sold of Indefinite · 2 investors · min. $5,000 · role: Executive Officer EDGAR ↗
  • Jun 27, 2016 · D/A · $16,260,000 sold of Indefinite · 2 investors · min. $5,000 · role: Executive Officer EDGAR ↗
  • Jun 26, 2015 · D/A · $16,260,000 sold of Indefinite · 2 investors · min. $5,000 · role: Executive Officer EDGAR ↗
  • Jun 26, 2014 · D/A · $6,260,000 sold of Indefinite · 2 investors · min. $5,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Jun 26, 2013 · D · $6,250,000 sold of Indefinite · 1 investors · min. $500,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗

Raised $26.3M from 2 investors as of the latest filing. Nicholas is listed as executive officer on 6 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.

QO
Pooled Investment Fund · group: Qvt

QVT Onshore LP

New York, NY · May 3, 2012 → Oct 2, 2017 · 8 filings
  • Oct 2, 2017 · D/A · $451,442,550 sold of Indefinite · 49 investors · min. $5,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Sep 30, 2016 · D/A · $444,040,120 sold of Indefinite · 44 investors · min. $5,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Oct 1, 2015 · D/A · $433,050,120 sold of Indefinite · 40 investors · min. $5,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Oct 1, 2014 · D/A · $425,635,120 sold of Indefinite · 39 investors · min. $5,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Oct 1, 2013 · D/A · $387,986,119 sold of Indefinite · 33 investors · min. $5,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Oct 1, 2012 · D/A · $377,292,119 sold of Indefinite · 31 investors · min. $5,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • May 9, 2012 · D/A · $375,210,869 sold of Indefinite · 28 investors · min. $5,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • May 3, 2012 · D · $375,210,869 sold of Indefinite · 28 investors · min. $5,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗

Raised $451.4M from 49 investors as of the latest filing. Nicholas is listed as executive officer on 8 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.

QF
Pooled Investment Fund · group: Qvt

QVT Fund LP

George Town, Grand Cayman, Cayman Islands (as filed: E9) · Aug 14, 2014 → Aug 15, 2017 · 5 filings
  • Aug 15, 2017 · D/A · $10,000,000 sold of Indefinite · 2 investors · min. $5,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Aug 15, 2016 · D/A · $10,000,000 sold of Indefinite · 2 investors · min. $5,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Aug 14, 2015 · D/A · $10,000,000 sold of Indefinite · 2 investors · min. $5,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Aug 14, 2014 · D/A · $10,000,000 sold of Indefinite · 2 investors · min. $5,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Aug 14, 2014 · D · $10,000,000 sold of Indefinite · 2 investors · min. $5,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗

Raised $10M from 2 investors as of the latest filing. Nicholas is listed as executive officer 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.

FA
Pooled Investment Fund · group: Qvt

Fourth Avenue FF Opportunities LP - Series E

New York, NY · Jul 27, 2017
  • Jul 27, 2017 · D · $8,057,826 sold of Indefinite · 2 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗

Raised $8.06M from 2 investors as of the latest filing. Nicholas 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(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.

QO
Pooled Investment Fund · group: Qvt

QVT Offshore Ltd.

George Town, Grand Cayman, Cayman Islands (as filed: E9) · Feb 1, 2011 → May 5, 2017 · 8 filings
  • May 5, 2017 · D/A · $210,862,804 sold of Indefinite · 27 investors · min. $50,000 · role: Executive Officer, Director (Alternate Director) EDGAR ↗
  • May 5, 2016 · D/A · $210,760,992 sold of Indefinite · 27 investors · min. $50,000 · role: Executive Officer, Director (Alternate Director) EDGAR ↗
  • May 5, 2015 · D/A · $178,617,749 sold of Indefinite · 25 investors · min. $50,000 · role: Executive Officer, Director (Alternate Director) EDGAR ↗
  • May 5, 2014 · D/A · $166,891,992 sold of Indefinite · 25 investors · min. $50,000 · role: Executive Officer, Director (Alternate Director) EDGAR ↗
  • May 3, 2013 · D/A · $106,683,992 sold of Indefinite · 18 investors · min. $50,000 · role: Director (Alternate director) EDGAR ↗
  • May 9, 2012 · D/A · $93,473,992 sold of Indefinite · 13 investors · min. $5,000 · role: Director (Alternate director) EDGAR ↗
  • May 4, 2012 · D · $93,473,992 sold of Indefinite · 13 investors · min. $5,000 · role: Director (Alternate director) EDGAR ↗
  • Feb 1, 2011 · D/A · $270,266,484 sold of Indefinite · 27 investors · min. $5,000,000 · role: Director (Alternate director) EDGAR ↗

Raised $270.3M from 27 investors as of the latest filing. Nicholas is listed as executive officer, director on 8 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.

QA
Pooled Investment Fund · group: Qvt

Quintessence Associates LP

New York, NY · Feb 4, 2011 → May 5, 2017 · 7 filings
  • May 5, 2017 · D/A · $8,110,593 sold of Indefinite · 3 investors · min. $5,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • May 5, 2016 · D/A · $8,110,593 sold of Indefinite · 3 investors · min. $5,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • May 5, 2015 · D/A · $8,110,593 sold of Indefinite · 3 investors · min. $5,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • May 5, 2014 · D/A · $8,110,593 sold of Indefinite · 3 investors · min. $5,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • May 3, 2013 · D/A · $8,110,593 sold of Indefinite · 3 investors · min. $5,000 · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • May 3, 2012 · D · $510,593 sold of Indefinite · 1 investors · min. $5,000 · role: Executive Officer (Managing Member of General Partner) EDGAR ↗
  • Feb 4, 2011 · D/A · $124,910,097 sold of Indefinite · 4 investors · min. $5,000,000 · role: Executive Officer (Managing Member of General Partner) EDGAR ↗

Raised $124.9M from 4 investors as of the latest filing. Nicholas is listed as executive officer 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.

FA
Pooled Investment Fund · group: Qvt

Fourth Avenue FF Opportunities LP - Series A

New York, NY · Mar 11, 2016 → Apr 15, 2016 · 2 filings
  • Apr 15, 2016 · D/A · $5,489,640 sold of Indefinite · 4 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Mar 11, 2016 · D · $5,489,640 sold of Indefinite · 4 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗

Raised $5.49M from 4 investors as of the latest filing. Nicholas 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(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.

FA
Pooled Investment Fund · group: Qvt

Fourth Avenue FF Opportunities LP - Series B

New York, NY · Apr 11, 2016
  • Apr 11, 2016 · D · $7,840,000 sold of Indefinite · 2 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗

Raised $7.84M from 2 investors as of the latest filing. Nicholas 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(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.

AA
Pooled Investment Fund · group: Qvt

Ashokan Associates LP

New York, NY · Jul 26, 2011 → Jul 25, 2012 · 2 filings
  • Jul 25, 2012 · D/A · $44,197,698 sold of Indefinite · 20 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • Jul 26, 2011 · D · $10,281,207 sold of Indefinite · 4 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗

Raised $44.2M from 20 investors as of the latest filing. Nicholas 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.

QG
Pooled Investment Fund · group: Qvt

Quintessence Global LP

George Town Grand Cayman, Cayman Islands (as filed: E9) · Feb 4, 2011
  • Feb 4, 2011 · D/A · $4,988,301 sold of Indefinite · 1 investors · min. $5,000,000 · role: Executive Officer (Managing Member of General Partner) EDGAR ↗

Raised $4.99M from 1 investor as of the latest filing. Nicholas 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.

QO
Pooled Investment Fund · group: Qvt

Quintessence Overseas LP

George Town Grand Cayman, Cayman Islands (as filed: E9) · Feb 4, 2011
  • Feb 4, 2011 · D/A · $50,000 sold of Indefinite · 1 investors · min. $5,000,000 · role: Executive Officer (Managing Member of General Partner) EDGAR ↗

Raised $50K from 1 investor as of the latest filing. Nicholas 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.

QI
Pooled Investment Fund · group: Qvt

QVT International L.P.

George Town, Grand Cayman, Cayman Islands (as filed: E9) · Jul 15, 2009 → Jan 31, 2011 · 2 filings
  • Jan 31, 2011 · D/A · $441,500,000 sold of Indefinite · 20 investors · min. $100,000 · role: Executive Officer (Managing Member of General Partner) EDGAR ↗
  • Jul 15, 2009 · D · $441,500,000 sold of Indefinite · 20 investors · min. $100,000 · role: Executive Officer (Managing Member of General Partner) EDGAR ↗

Raised $441.5M from 20 investors as of the latest filing. Nicholas 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.

QA
Pooled Investment Fund · group: Qvt

QVT Associates II LP

New York, NY · Jul 9, 2009 → Jan 31, 2011 · 2 filings
  • Jan 31, 2011 · D/A · $1,380,446,200 sold of Indefinite · 84 investors · min. $5,000 · role: Executive Officer (Managing Member of General Partner) EDGAR ↗
  • Jul 9, 2009 · D · $1,341,000,000 sold of Indefinite · 82 investors · min. $5,000 · role: Executive Officer (Managing Member of General Partner) EDGAR ↗

Raised $1.38B from 84 investors as of the latest filing. Nicholas 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.

People around Nicholas 15

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

QA
Management entity

QVT Associates GP LLC

Executive Officer, Promoter · 60 shared filings (12 issuers)

QVT Associates GP LLC is on 12 issuers in total — a repeat sponsor. Their page lists every one.

QF
Management entity

QVT Financial LP

Executive Officer · 8 shared filings (3 issuers)

Listed on the same filings as Nicholas David Sputnick Brumm. Their page shows their other deals.

PS
Management entity

Pai-Shih QVT Financial LP

Executive Officer · 4 shared filings (1 issuer)

Listed on the same filings as Nicholas David Sputnick Brumm. Their page shows their other deals.

DS
Management entity

David Stupnick QVT Financial LP

Executive Officer · 3 shared filings (1 issuer)

Listed on the same filings as Nicholas David Sputnick Brumm. Their page shows their other deals.

CQ
Management entity

Chuin QVT Financial LP

Executive Officer · 3 shared filings (2 issuers)

Listed on the same filings as Nicholas David Sputnick Brumm. Their page shows their other deals.

AA
Management entity

Ashokan Associates GP LLC

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Nicholas David Sputnick Brumm. Their page shows their other deals.

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

Daniel Allen Gold

Executive Officer, Director · 73 shared filings (17 issuers)

Daniel Allen Gold is on 17 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

Arthur Pai-Shih Chu

Executive Officer · 66 shared filings (16 issuers) · also on 1 other issuer

Arthur Pai-Shih Chu is on 17 issuers in total — a repeat sponsor. Their page lists every one.

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

Tracy Chuin Fu

Executive Officer · 66 shared filings (16 issuers)

Tracy Chuin Fu is on 16 issuers in total — a repeat sponsor. Their page lists every one.

IP
No photo found (searched own website, image search on Oct 24, 2026)
Person

Ian Pilgrim

Director · 8 shared filings (1 issuer) · also on 133 other issuers

Ian Pilgrim is on 134 issuers in total — a repeat sponsor. Their page lists every one.

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

W. William Woods

Director · 6 shared filings (1 issuer) · also on 44 other issuers

W. William Woods is on 45 issuers in total — a repeat sponsor. Their page lists every one.

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

Lars Ernest Bader

Executive Officer · 2 shared filings (2 issuers)

Listed on the same filings as Nicholas David Sputnick Brumm. Their page shows their other deals.

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

William W. Woods

Director · 2 shared filings (1 issuer) · also on 2 other issuers

Listed on the same filings as Nicholas David Sputnick Brumm. Their page shows their other deals.

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

Dan Allen Gold

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Nicholas David Sputnick Brumm. Their page shows their other deals.

The team behind the deals

Q
Sponsor group

Qvt

17 issuers · 74 filings · $3.15B reported sold · 2009–2026

One team, 17 deal companies. Nicholas David Sputnick Brumm is listed on 17 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 Nicholas David Sputnick Brumm.

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

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); KY (Kentucky Secretary of State — Business Entity Search (sosbes.sos.ky.gov), searched by issuer name, data as of Oct 24, 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)

A person is never an adviser firm. 3 of the 17 issuers this person is listed on match a Form ADV adviser (searched 24,962 advisers as of Oct 2, 2026): Menes Fund LP, QVT Onshore LP, QVT Offshore Ltd..

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 Nicholas David Sputnick Brumm 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 17 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Nicholas David Sputnick Brumm is listed on: none on file. No website or social profile named in QVT Associates II LP's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #354,774 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

No corrections have been requested for this page.

Every fact links to its public-record source. Plain-English notes next to a fact are our reading of that fact, not a rating. Request a correction · Facts policy

Request a correction

Free. Logged with status: received → under review → fixed / confirmed with source.

Add a response

If this is you or your firm, add a sourced explanation next to any fact. Reviewed before publishing.

Monitor this person

Members get an email when Nicholas David Sputnick Brumm appears on a new Form D, or when a court case or SEC action is matched to them. See plans →