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

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Nicholas Tham

Named as an officer, director or promoter on SEC Form D filings · MA · May 14, 2018 → May 29, 2026

14deals (issuers)
$126.6Mreported sold
19investors
93Form D filings
2018–2026years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:41 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Nicholas Tham is listed as an executive officer on 93 SEC Form D filings by 14 issuers between May 2018 and May 2026. Largest by amount reported sold: Mackenzie Emerging Markets Small Cap Fund (Cayman) Ltd. (Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2018–2026; $38.5M reported sold to 4 investors), Mackenzie International Quantitative Large Cap Fund (Cayman) Ltd. (Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2019–2026; $34.9M reported sold to 2 investors), Mackenzie International Quantitative Small Cap Fund (Cayman) Ltd. (Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2019–2026; $33.5M reported sold to 2 investors), Mackenzie International Quantitative Small Cap Master Fund (Cayman) LP (Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2019–2026; $8.5M reported sold to 1 investors), Mackenzie Emerging Markets Small Cap Master Fund (Cayman) LP (Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2018–2026; $7.18M reported sold to 9 investors) and 9 more (all listed below).

What this means That is a lot of deals — 14 separate companies raised money with this person listed as executive officer, over about 8 years. Across those companies the filings report $126.6M sold in total.

Listed alongside James Keyes (93 shared filings), Mackenzie Investments Corporation (93 shared filings, management entity), Arup Datta (92 shared filings), Todd Hazlewood (58 shared filings), Ian Lawrence (48 shared filings) and 5 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 14 issuers belong to the sponsor group Mackenzie Emerging Markets (17 issuers, $302.1M reported sold, 2012–2026).

What this means A sponsor group is one team that sets up a new company for each deal. Mackenzie Emerging Markets has 17 companies on file and $302.1M 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 93 public filings for Nicholas Tham and found 6 differences, 4 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.

What the community is saying

Community search for Nicholas Tham has not run yet — it is joining a line of 60,284 names; searches run around the clock at the hosts' allowed rate. Searched so far: 691 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, 2:41 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 Tham..

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, 2:41 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 Tham — 4 worth asking about (compared the newest 50 of 93 filings on Oct 24, 2026; older filings not covered)

Worth asking · Jun 2, 2023 – May 31, 2024

Amount sold went down between filings — Mackenzie International Quantitative Large Cap Master Fund (Cayman) LP

The Jun 2, 2023 filing says $4,000,000 sold; the May 31, 2024 Form D/A says $0 sold — $4,000,000 less.

What this means Amounts sold normally only go up as a raise continues. A drop can mean investors were refunded, a figure was corrected, or an earlier number was wrong. Ask the sponsor which it was.

Form D/A (earlier) · Jun 2, 2023 ↗Form D/A (later) · May 31, 2024 ↗Mackenzie International Quantitative Large Cap Master Fund (Cayman) LP — PartnerFacts page ↗
Sources
Worth asking · Jun 2, 2023 – May 31, 2024

Amount sold went down between filings — Mackenzie International Quantitative Small Cap Master Fund (Cayman) LP

The Jun 2, 2023 filing says $8,500,000 sold; the May 31, 2024 Form D/A says $0 sold — $8,500,000 less.

What this means Amounts sold normally only go up as a raise continues. A drop can mean investors were refunded, a figure was corrected, or an earlier number was wrong. Ask the sponsor which it was.

Form D/A (earlier) · Jun 2, 2023 ↗Form D/A (later) · May 31, 2024 ↗Mackenzie International Quantitative Small Cap Master Fund (Cayman) LP — PartnerFacts page ↗
Sources
Worth asking · Jun 2, 2023 – May 31, 2024

Investor count went down between filings — Mackenzie International Quantitative Large Cap Master Fund (Cayman) LP

The Jun 2, 2023 filing reports 1 investor; the May 31, 2024 Form D/A reports 0 investors.

What this means Investor counts normally only grow. A smaller number can mean investors left or were refunded, or a count was corrected. Ask the sponsor what happened.

Form D/A (earlier) · Jun 2, 2023 ↗Form D/A (later) · May 31, 2024 ↗Mackenzie International Quantitative Large Cap Master Fund (Cayman) LP — PartnerFacts page ↗
Sources
Worth asking · Jun 2, 2023 – May 31, 2024

Investor count went down between filings — Mackenzie International Quantitative Small Cap Master Fund (Cayman) LP

The Jun 2, 2023 filing reports 1 investor; the May 31, 2024 Form D/A reports 0 investors.

What this means Investor counts normally only grow. A smaller number can mean investors left or were refunded, or a count was corrected. Ask the sponsor what happened.

Form D/A (earlier) · Jun 2, 2023 ↗Form D/A (later) · May 31, 2024 ↗Mackenzie International Quantitative Small Cap Master Fund (Cayman) LP — PartnerFacts page ↗
Sources
Note · May 24, 2019 – May 30, 2025

No amendment in the last 12 months on an offering that may still be open — Mackenzie Emerging Markets Long/Short Opportunities Master Fund (Cayman) LP (latest filing May 30, 2025)

The latest filing for this offering is dated May 30, 2025 (first sale May 24, 2019). It reports $0 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D/A · May 30, 2025 ↗Mackenzie Emerging Markets Long/Short Opportunities Master Fund (Cayman) LP — PartnerFacts page ↗
Sources
Note · May 24, 2019 – May 30, 2025

No amendment in the last 12 months on an offering that may still be open — Mackenzie Emerging Markets Long/Short Opportunities Fund (Cayman) Ltd. (latest filing May 30, 2025)

The latest filing for this offering is dated May 30, 2025 (first sale May 24, 2019). It reports $0 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D/A · May 30, 2025 ↗Mackenzie Emerging Markets Long/Short Opportunities Fund (Cayman) Ltd. — 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 93 filings (work cap); older filings are not covered here. As of Oct 24, 2026.

5. Money to insiders

1 of 14 offerings reports sales commissions totalling $7,312; 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
May 29, 2026 D/A
Mackenzie Emerging Markets Small Cap Fund (Cayman) Ltd.
File 021-312328
$7,312 (est.)$0$0Christopher Scott Adey BrokerCheck CRD 3159209 ↗
via Foreside Fund Services, LLC (CRD 46106 ↗)

John Furey BrokerCheck CRD 5176201 ↗
via Foreside Fund Services, LLC (CRD 46106 ↗)
EDGAR ↗
May 29, 2026 D/A
Mackenzie Emerging Markets Small Cap Master Fund (Cayman) LP
File 021-312322
$0$0$0Christopher Scott Adey BrokerCheck CRD 3159209 ↗
via Foreside Fund Services, LLC (CRD 46106 ↗)

John Furey BrokerCheck CRD 5176201 ↗
via Foreside Fund Services, LLC (CRD 46106 ↗)
EDGAR ↗
May 29, 2026 D/A
Mackenzie Emerging Markets All Cap Fund (Cayman) Ltd.
File 021-318828
$0$0$0Christopher Scott Adey BrokerCheck CRD 3159209 ↗
via Foreside Fund Services, LLC (CRD 46106 ↗)

John Furey BrokerCheck CRD 5176201 ↗
via Foreside Fund Services, LLC (CRD 46106 ↗)
EDGAR ↗
May 29, 2026 D/A
Mackenzie Emerging Markets All Cap Master Fund (Cayman) LP
File 021-318843
$0$0$0Christopher Scott Adey BrokerCheck CRD 3159209 ↗
via Foreside Fund Services, LLC (CRD 46106 ↗)

John Furey BrokerCheck CRD 5176201 ↗
via Foreside Fund Services, LLC (CRD 46106 ↗)
EDGAR ↗
May 29, 2026 D/A
Mackenzie International Quantitative Small Cap Master Fund (Cayman) LP
File 021-340373
$0$0$0Christopher Scott Adey BrokerCheck CRD 3159209 ↗
via Foreside Fund Services, LLC (CRD 46106 ↗)

John Furey BrokerCheck CRD 5176201 ↗
via Foreside Fund Services, LLC (CRD 46106 ↗)
EDGAR ↗
May 29, 2026 D/A
Mackenzie International Quantitative Small Cap Fund (Cayman) Ltd.
File 021-340367
$0$0$0Christopher Scott Adey BrokerCheck CRD 3159209 ↗
via Foreside Fund Services, LLC (CRD 46106 ↗)

John Furey BrokerCheck CRD 5176201 ↗
via Foreside Fund Services, LLC (CRD 46106 ↗)
EDGAR ↗
May 29, 2026 D/A
Mackenzie International Quantitative Large Cap Master Fund (Cayman) LP
File 021-340410
$0$0$0Christopher Scott Adey BrokerCheck CRD 3159209 ↗
via Foreside Fund Services, LLC (CRD 46106 ↗)

John Furey BrokerCheck CRD 5176201 ↗
via Foreside Fund Services, LLC (CRD 46106 ↗)
EDGAR ↗
May 29, 2026 D/A
Mackenzie International Quantitative Large Cap Fund (Cayman) Ltd.
File 021-340393
$0$0$0Christopher Scott Adey BrokerCheck CRD 3159209 ↗
via Foreside Fund Services, LLC (CRD 46106 ↗)

John Furey BrokerCheck CRD 5176201 ↗
via Foreside Fund Services, LLC (CRD 46106 ↗)
EDGAR ↗
May 30, 2025 D/A
Mackenzie Emerging Markets Long/Short Opportunities Fund (Cayman) Ltd.
File 021-340340
$0$0$0Foreside Fund Services, LLC BrokerCheck CRD 46106 ↗EDGAR ↗
May 30, 2025 D/A
Mackenzie Emerging Markets Long/Short Opportunities Master Fund (Cayman) LP
File 021-340347
$0$0$0Foreside Fund Services, LLC BrokerCheck CRD 46106 ↗EDGAR ↗
Aug 7, 2020 D/A
Mackenzie Emerging Markets Long/Short Fund (Cayman) Ltd.
File 021-318898
$0$0$0Keith Alan Wosneski BrokerCheck CRD 2562252 ↗
via Foreside Fund Services, LLC (CRD 46106 ↗)
EDGAR ↗
Aug 7, 2020 D/A
Mackenzie Emerging Markets Long/Short Master Fund (Cayman) LP
File 021-318912
$0$0$0Keith Alan Wosneski BrokerCheck CRD 2562252 ↗
via Foreside Fund Services, LLC (CRD 46106 ↗)
EDGAR ↗
Aug 9, 2018 D
Mackenzie Emerging Markets Large Cap Fund (Cayman) Ltd.
File 021-318869
$0$0$0None listed on this filingEDGAR ↗
Aug 9, 2018 D
Mackenzie Emerging Markets Large Cap Master Fund (Cayman) LP
File 021-318882
$0$0$0None 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 14

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

MI
Pooled Investment Fund · group: Mackenzie Emerging Markets

Mackenzie International Quantitative Large Cap Fund (Cayman) Ltd.

Grand Cayman, Cayman Islands (as filed: E9) · May 24, 2019 → May 29, 2026 · 8 filings
  • May 29, 2026 · D/A · $34,915,510 sold of Indefinite · 2 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • May 30, 2025 · D/A · $34,915,510 sold of Indefinite · 2 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • May 31, 2024 · D/A · $34,915,510 sold of Indefinite · 2 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jun 2, 2023 · D/A · $30,915,510 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jun 2, 2022 · D/A · $30,915,510 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jun 2, 2021 · D/A · $30,915,510 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jun 2, 2020 · D/A · $30,915,510 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • May 24, 2019 · D · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗

Raised $34.9M from 2 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.

MI
Pooled Investment Fund · group: Mackenzie Emerging Markets

Mackenzie International Quantitative Large Cap Master Fund (Cayman) LP

Grand Cayman, Cayman Islands (as filed: E9) · May 24, 2019 → May 29, 2026 · 8 filings
  • May 29, 2026 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • May 30, 2025 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • May 31, 2024 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jun 2, 2023 · D/A · $4,000,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jun 2, 2022 · D/A · $4,000,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jun 2, 2021 · D/A · $4,000,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jun 2, 2020 · D/A · $4,000,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • May 24, 2019 · D · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗

Raised $4M from 1 investor 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.

MI
Pooled Investment Fund · group: Mackenzie Emerging Markets

Mackenzie International Quantitative Small Cap Fund (Cayman) Ltd.

Grand Cayman, Cayman Islands (as filed: E9) · May 24, 2019 → May 29, 2026 · 8 filings
  • May 29, 2026 · D/A · $33,500,000 sold of Indefinite · 2 investors · min. $1,000,000 · role: Executive Officer (Investment Adviser) EDGAR ↗
  • May 30, 2025 · D/A · $33,500,000 sold of Indefinite · 2 investors · min. $1,000,000 · role: Executive Officer (Investment Adviser) EDGAR ↗
  • May 31, 2024 · D/A · $33,500,000 sold of Indefinite · 2 investors · min. $1,000,000 · role: Executive Officer (Investment Adviser) EDGAR ↗
  • Jun 2, 2023 · D/A · $30,000,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer (Investment Adviser) EDGAR ↗
  • Jun 2, 2022 · D/A · $30,000,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer (Investment Adviser) EDGAR ↗
  • Jun 2, 2021 · D/A · $30,000,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer (Investment Adviser) EDGAR ↗
  • Jun 2, 2020 · D/A · $30,000,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • May 24, 2019 · D · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗

Raised $33.5M from 2 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.

MI
Pooled Investment Fund · group: Mackenzie Emerging Markets

Mackenzie International Quantitative Small Cap Master Fund (Cayman) LP

Grand Cayman, Cayman Islands (as filed: E9) · May 24, 2019 → May 29, 2026 · 8 filings
  • May 29, 2026 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • May 30, 2025 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • May 31, 2024 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jun 2, 2023 · D/A · $8,500,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jun 2, 2022 · D/A · $8,500,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jun 2, 2021 · D/A · $8,500,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jun 2, 2020 · D/A · $8,500,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • May 24, 2019 · D · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗

Raised $8.5M from 1 investor 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.

ME
Pooled Investment Fund · group: Mackenzie Emerging Markets

Mackenzie Emerging Markets All Cap Fund (Cayman) Ltd.

Grand Cayman, Cayman Islands (as filed: E9) · Aug 9, 2018 → May 29, 2026 · 9 filings
  • May 29, 2026 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • May 30, 2025 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • May 31, 2024 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jun 2, 2023 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jun 2, 2022 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Aug 9, 2021 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Aug 7, 2020 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Aug 9, 2019 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Aug 9, 2018 · D · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗

No sales reported yet 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.

ME
Pooled Investment Fund · group: Mackenzie Emerging Markets

Mackenzie Emerging Markets All Cap Master Fund (Cayman) LP

Grand Cayman, Cayman Islands (as filed: E9) · Aug 9, 2018 → May 29, 2026 · 9 filings
  • May 29, 2026 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • May 30, 2025 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • May 31, 2024 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jun 2, 2023 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jun 2, 2022 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Aug 9, 2021 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Aug 7, 2020 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Aug 9, 2019 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Aug 9, 2018 · D · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗

No sales reported yet 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.

ME
Pooled Investment Fund · group: Mackenzie Emerging Markets

Mackenzie Emerging Markets Small Cap Fund (Cayman) Ltd.

Grand Cayman, Cayman Islands (as filed: E9) · May 14, 2018 → May 29, 2026 · 11 filings
  • May 29, 2026 · D/A · $38,541,111 sold of Indefinite · 4 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • May 30, 2025 · D/A · $38,541,111 sold of Indefinite · 4 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • May 31, 2024 · D/A · $38,541,111 sold of Indefinite · 4 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jun 2, 2023 · D/A · $38,541,111 sold of Indefinite · 4 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jun 2, 2022 · D/A · $38,541,111 sold of Indefinite · 4 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Aug 16, 2021 · D/A · $38,541,111 sold of Indefinite · 4 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Aug 14, 2020 · D/A · $30,770,564 sold of Indefinite · 3 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Aug 14, 2019 · D/A · $24,000,000 sold of Indefinite · 2 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Aug 14, 2019 · D/A · $24,000,000 sold of Indefinite · 2 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Aug 14, 2018 · D/A · $9,000,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • May 14, 2018 · D · $9,000,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗

Raised $38.5M from 4 investors as of the latest filing. Nicholas is listed as executive officer on 11 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.

ME
Pooled Investment Fund · group: Mackenzie Emerging Markets

Mackenzie Emerging Markets Small Cap Master Fund (Cayman) LP

Grand Cayman, Cayman Islands (as filed: E9) · May 14, 2018 → May 29, 2026 · 10 filings
  • May 29, 2026 · D/A · $7,184,167 sold of Indefinite · 9 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • May 30, 2025 · D/A · $7,184,167 sold of Indefinite · 9 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • May 31, 2024 · D/A · $6,784,167 sold of Indefinite · 9 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jun 2, 2023 · D/A · $6,734,166 sold of Indefinite · 9 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jun 2, 2022 · D/A · $6,734,166 sold of Indefinite · 9 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Aug 16, 2021 · D/A · $6,734,166 sold of Indefinite · 9 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Aug 14, 2020 · D/A · $4,200,000 sold of Indefinite · 7 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Aug 14, 2019 · D/A · $2,200,000 sold of Indefinite · 3 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Aug 14, 2018 · D/A · $1,000,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • May 14, 2018 · D · $1,000,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗

Raised $7.18M from 9 investors as of the latest filing. Nicholas is listed as executive officer on 10 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.

ME
Pooled Investment Fund · group: Mackenzie Emerging Markets

Mackenzie Emerging Markets Long/Short Opportunities Master Fund (Cayman) LP

Grand Cayman, Cayman Islands (as filed: E9) · May 24, 2019 → May 30, 2025 · 7 filings
  • May 30, 2025 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • May 31, 2024 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jun 2, 2023 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jun 2, 2022 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jun 2, 2021 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jun 2, 2020 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • May 24, 2019 · D · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗

No sales reported yet 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.

ME
Pooled Investment Fund · group: Mackenzie Emerging Markets

Mackenzie Emerging Markets Long/Short Opportunities Fund (Cayman) Ltd.

Grand Cayman, Cayman Islands (as filed: E9) · May 24, 2019 → May 30, 2025 · 7 filings
  • May 30, 2025 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • May 31, 2024 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jun 2, 2023 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jun 2, 2022 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jun 2, 2021 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jun 2, 2020 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • May 24, 2019 · D · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗

No sales reported yet 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.

ME
Pooled Investment Fund · group: Mackenzie Emerging Markets

Mackenzie Emerging Markets Long/Short Master Fund (Cayman) LP

Grand Cayman, Cayman Islands (as filed: E9) · Aug 9, 2018 → Aug 7, 2020 · 3 filings
  • Aug 7, 2020 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Aug 9, 2019 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Aug 9, 2018 · D · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗

No sales reported yet as of the latest filing. Nicholas is listed as executive officer 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.

ME
Pooled Investment Fund · group: Mackenzie Emerging Markets

Mackenzie Emerging Markets Long/Short Fund (Cayman) Ltd.

Grand Cayman, Cayman Islands (as filed: E9) · Aug 9, 2018 → Aug 7, 2020 · 3 filings
  • Aug 7, 2020 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Aug 9, 2019 · D/A · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Aug 9, 2018 · D · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗

No sales reported yet as of the latest filing. Nicholas is listed as executive officer 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.

ME
Pooled Investment Fund · group: Mackenzie Emerging Markets

Mackenzie Emerging Markets Large Cap Master Fund (Cayman) LP

Grand Cayman, Cayman Islands (as filed: E9) · Aug 9, 2018
  • Aug 9, 2018 · D · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗

No sales reported yet 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.

ME
Pooled Investment Fund · group: Mackenzie Emerging Markets

Mackenzie Emerging Markets Large Cap Fund (Cayman) Ltd.

Grand Cayman, Cayman Islands (as filed: E9) · Aug 9, 2018
  • Aug 9, 2018 · D · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗

No sales reported yet 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.

People around Nicholas 10

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

MI
Management entity

Mackenzie Investments Corporation

Promoter, Executive Officer · 93 shared filings (14 issuers)

Mackenzie Investments Corporation is on 14 issuers in total — a repeat sponsor. Their page lists every one.

ME
Management entity

Mackenzie EM Funds Management (Cayman) Ltd.

Promoter, Executive Officer · 36 shared filings (5 issuers) · also on 1 other issuer

Mackenzie EM Funds Management (Cayman) Ltd. is on 6 issuers in total — a repeat sponsor. Their page lists every one.

MF
Management entity

MEMLS Fund Management (Cayman) LP

Promoter, Executive Officer · 10 shared filings (2 issuers)

Listed on the same filings as Nicholas Tham. Their page shows their other deals.

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

James Keyes

Director · 93 shared filings (14 issuers) · also on 113 other issuers

James Keyes is on 127 issuers in total — a repeat sponsor. Their page lists every one.

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

Arup Datta

Executive Officer · 92 shared filings (13 issuers) · also on 2 other issuers

Arup Datta is on 15 issuers in total — a repeat sponsor. Their page lists every one.

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

Todd Hazlewood

Director · 58 shared filings (10 issuers) · also on 11 other issuers

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

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

Ian Lawrence

Executive Officer, Director · 48 shared filings (10 issuers) · also on 2 other issuers

Ian Lawrence is on 12 issuers in total — a repeat sponsor. Their page lists every one.

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

Allan Warren

Executive Officer, Director · 45 shared filings (14 issuers)

Allan Warren is on 14 issuers in total — a repeat sponsor. Their page lists every one.

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

Richard Gordon

Director · 24 shared filings (12 issuers) · also on 19 other issuers

Richard Gordon is on 31 issuers in total — a repeat sponsor. Their page lists every one.

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

Sarah Demerling

Director · 10 shared filings (8 issuers) · also on 7 other issuers

Sarah Demerling is on 15 issuers in total — a repeat sponsor. Their page lists every one.

The team behind the deals

ME
Sponsor group

Mackenzie Emerging Markets

17 issuers · 105 filings · $302.1M reported sold · 2012–2026

One team, 17 deal companies. Nicholas Tham is listed on 14 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 Tham.

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. 14 of the 14 issuers this person is listed on match a Form ADV adviser (searched 24,962 advisers as of Oct 2, 2026): Mackenzie Emerging Markets Small Cap Fund (Cayman) Ltd., Mackenzie Emerging Markets Small Cap Master Fund (Cayman) LP, Mackenzie Emerging Markets All Cap Master Fund (Cayman) LP, Mackenzie Emerging Markets All Cap Fund (Cayman) Ltd., Mackenzie International Quantitative Large Cap Master Fund (Cayman) LP, Mackenzie International Quantitative Large Cap Fund (Cayman) Ltd., Mackenzie International Quantitative Small Cap Master Fund (Cayman) LP, Mackenzie International Quantitative Small Cap Fund (Cayman) Ltd., Mackenzie Emerging Markets Long/Short Opportunities Master Fund (Cayman) LP, Mackenzie Emerging Markets Long/Short Opportunities Fund (Cayman) Ltd., Mackenzie Emerging Markets Long/Short Master Fund (Cayman) LP, Mackenzie Emerging Markets Long/Short Fund (Cayman) Ltd., Mackenzie Emerging Markets Large Cap Master Fund (Cayman) LP, Mackenzie Emerging Markets Large Cap Fund (Cayman) 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 Tham 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 14 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Nicholas Tham is listed on: none on file. No website or social profile named in Mackenzie Emerging Markets Small Cap Fund (Cayman) Ltd.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #24,720 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 (Grand Cayman, E9). 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) ↗Massachusetts MassCourts ↗

Securities regulators

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

Business registries

Massachusetts Secretary of State business search ↗OpenCorporates ↗

Change history

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