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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:48 AM ET

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Richard Brounstein

Named as an officer, director or promoter on SEC Form D filings · CT · May 13, 2009 → May 31, 2019

14deals (issuers)
$3.18Breported sold
467investors
58Form D filings
2009–2019years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:18 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Richard Brounstein is listed as an executive officer and promoter on 58 SEC Form D filings by 14 issuers between May 2009 and May 2019. Largest by amount reported sold: Ellington Strategic Mortgage Fund, L.P. (Old Greenwich, CT — pooled investment fund — 2011–2019; $1.28B reported sold to 54 investors), Ellington Strategic Mortgage Institutional Fund, L.P. (Old Greenwich, CT — pooled investment fund — 2011–2019; $807.1M reported sold to 19 investors), ELLINGTON CREDIT OPPORTUNITIES PARTNERS LP (Old Greenwich, CT — pooled investment fund — 2009–2019; $455.4M reported sold to 117 investors), ELLINGTON CREDIT OPPORTUNITIES FUND LTD (Old Greenwich, CT — pooled investment fund — 2017–2019; $245.7M reported sold to 40 investors), Ellington Enhanced Income Partners LLC (Old Greenwich, CT — pooled investment fund — 2017–2019; $129.4M reported sold to 42 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 and promoter, over about 10 years. Across those companies the filings report $3.18B sold in total.

Listed alongside Laurence Penn (58 shared filings), Michael W. Vranos (55 shared filings), Olivier Cojot-Goldberg (46 shared filings), Ellington Management Group, L.L.C. (17 shared filings, management entity), E/S MBS GP I LLC (9 shared filings, management entity) and 15 others.

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

All 14 issuers belong to the sponsor group Ellington (54 issuers, $6.37B reported sold, 2009–2026).

What this means A sponsor group is one team that sets up a new company for each deal. Ellington has 54 companies on file and $6.37B 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) — 3 court cases matching the name, 2 bankruptcy cases matching the name listed in Key records below.

What this means 5 records came back. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.

We compared the newest 50 of 58 public filings for Richard Brounstein and found 12 differences, 3 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 Richard Brounstein has not run yet — it is joining a line of 61,179 names; searches run around the clock at the hosts' allowed rate. Searched so far: 712 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

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

BROUNSTEIN v. THE BANK OF NEW YORK MELLON closed
District Court, N.D. Texas · No. · Filed Oct 12, 2011 · Closed Mar 28, 2012 · Nature of suit: 220 Foreclosure
Role of BROUNSTEIN: Plaintiff · Outcome: Terminated 2012-03-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 7 federal dockets); surname only in the caption; court in TX (not a filing state)
Brounstein v. The Bank of New York Mellon dismissed
District Court, N.D. Texas · No. 4:11-cv-00728 · Filed Oct 12, 2011 · Closed Mar 28, 2012 · Nature of suit: 220 Foreclosure
Role of Brounstein: Plaintiff · Outcome: Terminated 2012-03-28 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 7 federal dockets); surname only in the caption; court in TX (not a filing state)
N W NAT INS CO v. BROUNSTEIN dismissed
District Court, S.D. New York · No. · Filed Jan 2, 1986 · Closed Jan 17, 1989 · Nature of suit: 190 Other contract actions
Role of BROUNSTEIN: Defendant · Outcome: Terminated 1989-01-17 — FJC Integrated Database disposition: Dismissed: lack of jurisdiction Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 7 federal dockets); surname only in the caption; court in NY (not a filing state)
What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:18 AM ET.

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

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

2. Regulatory actions

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: 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 Richard Brounstein..

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

2 cases: 2 closed (disposition not in docket feed)

Friedman and Brounstein LLP v. EUBANKS closed
United States Bankruptcy Court, C.D. California · No. 6:06-ap-01087 · Filed Jan 25, 2006 · Closed Jul 6, 2006
Role of Friedman and Brounstein LLP: Plaintiff · Outcome: Case closed 2006-07-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 7 federal dockets); surname only in the caption; court in CA (not a filing state)
Richard C. Breeden, Esq. v. Brounstein closed
United States Bankruptcy Court, N.D. New York · No. 98-57678 · Filed Mar 26, 1998 · Closed Jun 7, 2000
Role of Brounstein: Defendant · Outcome: Case closed 2000-06-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 7 federal dockets); surname only in the caption; court in NY (not a filing state)
What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:18 AM ET.

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

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

4. Differences between public sources

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

12 differences found between the filings for Richard Brounstein — 3 worth asking about (compared the newest 50 of 58 filings on Oct 24, 2026; older filings not covered)

Note · Jan 25, 2006 – Jul 6, 2006

Bankruptcy case: Friedman and Brounstein LLP v. EUBANKS — filed Jan 25, 2006

United States Bankruptcy Court, C.D. California docket "Friedman and Brounstein LLP v. EUBANKS" filed Jan 25, 2006, closed Jul 6, 2006. Richard Brounstein is listed as Plaintiff ("Friedman and Brounstein LLP"). Our match estimate: 40%.

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, C.D. California ↗
Sources
Note · Mar 26, 1998 – Jun 7, 2000

Bankruptcy case: Richard C. Breeden, Esq. v. Brounstein — filed Mar 26, 1998

United States Bankruptcy Court, N.D. New York docket "Richard C. Breeden, Esq. v. Brounstein" filed Mar 26, 1998, closed Jun 7, 2000. Richard Brounstein is listed as Defendant ("Brounstein"). Our match estimate: 40%.

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, N.D. New York ↗
Sources
Note · Jan 2, 1986 – Oct 12, 2011

3 court cases name Richard Brounstein — 1 as defendant

By role: plaintiff in 2, defendant in 1. Newest: "BROUNSTEIN v. THE BANK OF NEW YORK MELLON" (District Court, N.D. Texas, Oct 12, 2011); "Brounstein v. The Bank of New York Mellon" (District Court, N.D. Texas, Oct 12, 2011); "N W NAT INS CO v. BROUNSTEIN" (District Court, S.D. New York, Jan 2, 1986). Some of these are name matches with a match estimate below 95% — check each docket.

What this means Several court cases name this subject. Some are routine business suits. Ask what each was about and how it ended.

Docket · BROUNSTEIN v. THE BANK OF NEW YORK MELLON ↗Docket · Brounstein v. The Bank of New York Mellon ↗Docket · N W NAT INS CO v. BROUNSTEIN ↗
Sources
Worth asking · Mar 1, 2011 – Mar 1, 2012

Amount sold went down between filings — Ellington Strategic Mortgage Institutional Fund, L.P.

The Mar 1, 2011 filing says $254,352,121 sold; the Mar 1, 2012 Form D/A says $202,210,000 sold — $52,142,121 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) · Mar 1, 2011 ↗Form D/A (later) · Mar 1, 2012 ↗Ellington Strategic Mortgage Institutional Fund, L.P. — PartnerFacts page ↗
Sources
Worth asking · Mar 1, 2012 – Mar 1, 2013

Investor count went down between filings — Ellington Strategic Mortgage Fund, L.P.

The Mar 1, 2012 filing reports 14 investors; the Mar 1, 2013 Form D/A reports 12 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) · Mar 1, 2012 ↗Form D/A (later) · Mar 1, 2013 ↗Ellington Strategic Mortgage Fund, L.P. — PartnerFacts page ↗
Sources
Note · May 1, 2009 – Jul 25, 2016

No amendment in the last 12 months on an offering that may still be open — ELLINGTON QUANTITATIVE EQUITY PARTNERS, LP (latest filing Jul 25, 2016)

The latest filing for this offering is dated Jul 25, 2016 (first sale May 1, 2009). It reports $10,639,083 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 · Jul 25, 2016 ↗ELLINGTON QUANTITATIVE EQUITY PARTNERS, LP — PartnerFacts page ↗
Sources
Worth asking · Jun 18, 2018 – Feb 19, 2020

8 people are no longer listed on a later amendment

Richard Brounstein is no longer listed on the Feb 19, 2020 amendment — ELLINGTON CREDIT OPPORTUNITIES FUND LTD · Richard Brounstein is no longer listed on the Feb 19, 2020 amendment — ELLINGTON CREDIT OPPORTUNITIES PARTNERS LP · Richard Brounstein is no longer listed on the Feb 19, 2020 amendment — Ellington Strategic Mortgage Fund, L.P. · Richard Brounstein is no longer listed on the Feb 19, 2020 amendment — Ellington Strategic Mortgage Institutional Fund, L.P. · Richard Brounstein is no longer listed on the Oct 23, 2019 amendment — Ellington Mortgage Opportunities Partners, LLC · and 3 more

What this means People leave; the issuer lists only current officers, directors and promoters. Ask why and who replaced them.

Form D/A · Feb 19, 2019 ↗Form D/A · Feb 19, 2020 ↗Richard Brounstein — PartnerFacts page ↗ELLINGTON CREDIT OPPORTUNITIES FUND LTD — PartnerFacts page ↗
Sources
Note · Apr 30, 2026

Same name, different state: "Richard Brounstein" (AZ) is a separate record

This page covers filings where the address state is CT. A separate record, "Richard Brounstein" with address state AZ, is listed on 1 filing — most recently by Talea Music, Inc. (Apr 30, 2026). The two records do not overlap in time: this page runs May 13, 2009 to May 31, 2019; the other has one filing dated Apr 30, 2026.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

Richard Brounstein (AZ) — PartnerFacts page ↗Form D · Apr 30, 2026 ↗Talea Music, Inc. — PartnerFacts page ↗Richard Brounstein (CT) — this page ↗
Sources
Note · Oct 6, 2009 – Oct 7, 2009

Same name, different state: "Richard D. Brounstein" (CA) is a separate record

This page covers filings where the address state is CT. A separate record, "Richard D. Brounstein" with address state CA, is listed on 2 filings — most recently by NewCardio, Inc. (Oct 7, 2009). Both records have filings in the same period (Oct 6, 2009 to Oct 7, 2009).

What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.

Richard D. Brounstein (CA) — PartnerFacts page ↗Form D · Oct 7, 2009 ↗NewCardio, Inc. — PartnerFacts page ↗Richard Brounstein (CT) — this page ↗
Sources
Note · Mar 10, 2010 – Mar 1, 2011

Address moved from Los Angeles, CA to Old Greenwich, CT — Ellington Strategic Mortgage Fund, L.P.

The people listed on the Mar 10, 2010 filing give Los Angeles, CA; on the Mar 1, 2011 filing they give Old Greenwich, CT.

What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.

Form D/A · Mar 10, 2010 ↗Form D/A · Mar 1, 2011 ↗Ellington Strategic Mortgage Fund, L.P. — PartnerFacts page ↗
Sources
Note · Jun 30, 2010 – Mar 1, 2011

Address moved from Los Angeles, CA to Old Greenwich, CT — Ellington Strategic Mortgage Institutional Fund, L.P.

The people listed on the Jun 30, 2010 filing give Los Angeles, CA; on the Mar 1, 2011 filing they give Old Greenwich, CT.

What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.

Form D/A · Jun 30, 2010 ↗Form D/A · Mar 1, 2011 ↗Ellington Strategic Mortgage Institutional Fund, L.P. — PartnerFacts page ↗
Sources
Note · May 13, 2009 – Feb 16, 2011

Address moved from Hamilton, Bermuda (as filed: D0) to Old Greenwich, CT — ELLINGTON CREDIT OPPORTUNITIES FUND LTD

The people listed on the May 13, 2009 filing give Hamilton, Bermuda (as filed: D0); on the Feb 16, 2011 filing they give Old Greenwich, CT.

What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.

Form D/A · May 13, 2009 ↗Form D/A · Feb 16, 2011 ↗ELLINGTON CREDIT OPPORTUNITIES FUND 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 58 filings (work cap); older filings are not covered here. As of Oct 24, 2026.

5. Money to insiders

0 of 14 offerings report sales commissions; 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 31, 2019 D/A
Ellington Enhanced Income Partners LLC
File 021-287760
$0$0$0 (est.)
An affiliate of the Managing Member is entitled to receive a management fee equal to a percentage of the Issuer's net asset value on an ongoing basis.
None listed on this filingEDGAR ↗
Feb 19, 2019 D/A
ELLINGTON CREDIT OPPORTUNITIES PARTNERS LP
File 021-118471
$0$0$0 (est.)
The General Partner and its affiliates receive fees calculated as a percentage of net assets and annual net profits.
None listed on this filingEDGAR ↗
Feb 19, 2019 D/A
Ellington Strategic Mortgage Fund, L.P.
File 021-44009
$0$0$0
The General Partner and its affiliates receive management fees calculated as a percentage of net assets.
None listed on this filingEDGAR ↗
Feb 19, 2019 D/A
Ellington Strategic Mortgage Institutional Fund, L.P.
File 021-132338
$0$0$0
The General Partner and its affiliates receive management fees calculated as a percentage of net assets.
None listed on this filingEDGAR ↗
Feb 19, 2019 D/A
ELLINGTON CREDIT OPPORTUNITIES FUND LTD
File 021-118472
$0$0$0 (est.)
The Investment Manager and its affiliates receive fees calculated as a percentage of net assets and annual net profits.
None listed on this filingEDGAR ↗
Oct 30, 2018 D/A
Ellington Mortgage Opportunities Partners, LLC
File 021-132770
$0$0$0
The Managing Member is entitled to receive fees calculated as a percentage of net assets and an allocation of a percentage of annual net profits.
None listed on this filingEDGAR ↗
Jun 18, 2018 D
Ellington Private Opportunities Partners II LP
File 021-314803
$0$0$0None listed on this filingEDGAR ↗
Jun 18, 2018 D
Ellington Private Opportunities Fund II LP
File 021-314801
$0$0$0None listed on this filingEDGAR ↗
Dec 13, 2016 D
NM PERA Ellington Enhanced Income Fund A LLC
File 021-276193
$0$0$0 (est.)
an affiliate of the Managing Member is entitled to receive a management fee equal to a percentage of the Issuer's net asset value on an ongoing basis.
None listed on this filingEDGAR ↗
Jul 25, 2016 D/A
ELLINGTON QUANTITATIVE EQUITY PARTNERS, LP
File 021-145328
$0$0$0
The General Partner receives fees, and other compensation, calculated as a percentage of net assets and annual net profits.
None listed on this filingEDGAR ↗
May 26, 2016 D
EPO Onshore Partners LP
File 021-263891
$0$0$0None listed on this filingEDGAR ↗
May 25, 2016 D
EPO Offshore Fund LP
File 021-263880
$0$0$0None listed on this filingEDGAR ↗
Jun 1, 2011 D
Ellington Quantitative Equity Enhanced Partners, LP
File 021-160631
$0$0$0
The General Partner receives fees calculated as a percentage of net assets and annual net profits.
None listed on this filingEDGAR ↗
Jun 15, 2010 D
ELLINGTON EQUITY INVESTMENT PARTNERS, LP
File 021-143525
$0$0$0
The investment manager receives management fees calculated as a percentage of net assets and annual net profits.
None listed on this filingEDGAR ↗
How this is counted

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

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

Deals 14

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

EE
Pooled Investment Fund · group: Ellington

Ellington Enhanced Income Partners LLC

Old Greenwich, CT · May 31, 2017 → May 31, 2019 · 3 filings
  • May 31, 2019 · D/A · $77,300,000 sold of Indefinite · 10 investors · min. $1,000,000 · role: Executive Officer, Promoter (Vice-Chairman of the Managing Member of the Issuer) EDGAR ↗
  • May 31, 2018 · D/A · $62,300,000 sold of Indefinite · 6 investors · min. $1,000,000 · role: Executive Officer, Promoter (Vice-Chairman of the Managing Member of the Issuer) EDGAR ↗
  • May 31, 2017 · D · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer, Promoter (Vice-Chairman of the Managing Member of the Issuer) EDGAR ↗

Raised $129.4M from 42 investors as of the latest filing. Richard is listed as executive officer, promoter 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.

EC
Pooled Investment Fund · group: Ellington

ELLINGTON CREDIT OPPORTUNITIES FUND LTD

Old Greenwich, CT · Feb 16, 2017 → Feb 19, 2019 · 3 filings
  • Feb 19, 2019 · D/A · $151,230,362 sold of Indefinite · 14 investors · min. $10,000,000 · role: Executive Officer (Vice-Chairman of General Partner of Issuer) EDGAR ↗
  • Feb 16, 2018 · D/A · $151,230,362 sold of Indefinite · 14 investors · min. $10,000,000 · role: Executive Officer (Vice-Chairman of General Partner of Issuer) EDGAR ↗
  • Feb 16, 2017 · D/A · $151,230,362 sold of Indefinite · 14 investors · min. $10,000,000 · role: Executive Officer (Vice-Chairman of General Partner of Issuer) EDGAR ↗

Raised $245.7M from 40 investors as of the latest filing. Richard 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.

EC
Pooled Investment Fund · group: Ellington

ELLINGTON CREDIT OPPORTUNITIES PARTNERS LP

Old Greenwich, CT · May 13, 2009 → Feb 19, 2019 · 10 filings
  • Feb 19, 2019 · D/A · $430,220,485 sold of Indefinite · 110 investors · min. $10,000,000 · role: Executive Officer, Promoter (Vice-Chairman of General Partner of Issuer) EDGAR ↗
  • Feb 16, 2018 · D/A · $385,541,246 sold of Indefinite · 103 investors · min. $10,000,000 · role: Executive Officer, Promoter (Vice-Chairman of General Partner of Issuer) EDGAR ↗
  • Feb 16, 2017 · D/A · $368,991,246 sold of Indefinite · 98 investors · min. $10,000,000 · role: Executive Officer, Promoter (Vice-Chairman of General Partner of Issuer) EDGAR ↗
  • Feb 16, 2016 · D/A · $337,311,246 sold of Indefinite · 95 investors · min. $10,000,000 · role: Executive Officer, Promoter (Vice-Chairman of General Partner of Issuer) EDGAR ↗
  • Feb 13, 2015 · D/A · $236,211,246 sold of Indefinite · 85 investors · min. $10,000,000 · role: Executive Officer, Promoter (Vice-Chairman of General Partner of Issuer) EDGAR ↗
  • Feb 14, 2014 · D/A · $205,191,246 sold of Indefinite · 83 investors · min. $10,000,000 · role: Executive Officer, Promoter (Vice-Chairman of General Partner of Issuer) EDGAR ↗
  • Feb 15, 2013 · D/A · $160,359,988 sold of Indefinite · 78 investors · min. $10,000,000 · role: Executive Officer, Promoter (Vice-Chairman of the General Partner of the Partnership) EDGAR ↗
  • Feb 16, 2012 · D/A · $121,399,988 sold of Indefinite · 72 investors · min. $10,000,000 · role: Executive Officer, Promoter (Vice-Chairman of the General Partner of the Partnership) EDGAR ↗
  • Feb 16, 2011 · D/A · $115,349,990 sold of Indefinite · 69 investors · min. $10,000,000 · role: Executive Officer, Promoter (Vice-Chairman of the General Partner of the Partnership) EDGAR ↗
  • May 13, 2009 · D/A · $59,297,440 sold of Indefinite · 15 investors · min. $10,000,000 · role: Executive Officer, Promoter (Vice-Chairman of the General Partner of the Partnership) EDGAR ↗

Raised $455.4M from 117 investors as of the latest filing. Richard is listed as executive officer, promoter 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.

ES
Pooled Investment Fund · group: Ellington

Ellington Strategic Mortgage Fund, L.P.

Old Greenwich, CT · Mar 1, 2011 → Feb 19, 2019 · 9 filings
  • Feb 19, 2019 · D/A · $934,067,526 sold of Indefinite · 16 investors · min. $1,000,000 · role: Executive Officer (Vice-Chairman of General Partner of Issuer) EDGAR ↗
  • Feb 16, 2018 · D/A · $837,467,526 sold of Indefinite · 16 investors · min. $1,000,000 · role: Executive Officer (Vice-Chairman of General Partner of Issuer) EDGAR ↗
  • Feb 16, 2017 · D/A · $695,767,526 sold of Indefinite · 16 investors · min. $1,000,000 · role: Executive Officer (Vice-Chairman of General Partner of Issuer) EDGAR ↗
  • Feb 29, 2016 · D/A · $680,067,526 sold of Indefinite · 15 investors · min. $1,000,000 · role: Executive Officer (Vice-Chairman of General Partner of Issuer) EDGAR ↗
  • Feb 27, 2015 · D/A · $652,048,350 sold of Indefinite · 14 investors · min. $1,000,000 · role: Executive Officer (Vice-Chairman of General Partner of Issuer) EDGAR ↗
  • Feb 28, 2014 · D/A · $648,748,350 sold of Indefinite · 13 investors · min. $1,000,000 · role: Executive Officer (Vice-Chairman of General Partner of Issuer) EDGAR ↗
  • Mar 1, 2013 · D/A · $639,948,350 sold of Indefinite · 12 investors · min. $1,000,000 · role: Executive Officer (Vice-Chairman of the General Partner of the Issuer) EDGAR ↗
  • Mar 1, 2012 · D/A · $250,940,000 sold of Indefinite · 14 investors · min. $1,000,000 · role: Executive Officer (Vice-Chairman of the General Partner of the Issuer) EDGAR ↗
  • Mar 1, 2011 · D/A · $243,977,820 sold of Indefinite · 11 investors · min. $1,000,000 · role: Executive Officer (Vice-Chairman of the General Partner of the Issuer) EDGAR ↗

Raised $1.28B from 54 investors as of the latest filing. Richard 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.

ES
Pooled Investment Fund · group: Ellington

Ellington Strategic Mortgage Institutional Fund, L.P.

Old Greenwich, CT · Mar 1, 2011 → Feb 19, 2019 · 9 filings
  • Feb 19, 2019 · D/A · $485,776,482 sold of Indefinite · 11 investors · min. $1,000,000 · role: Executive Officer (Vice-Chairman of General Partner of Issuer) EDGAR ↗
  • Feb 16, 2018 · D/A · $356,697,777 sold of Indefinite · 11 investors · min. $1,000,000 · role: Executive Officer (Vice-Chairman of General Partner of Issuer) EDGAR ↗
  • Feb 16, 2017 · D/A · $356,697,777 sold of Indefinite · 11 investors · min. $1,000,000 · role: Executive Officer (Vice-Chairman of General Partner of Issuer) EDGAR ↗
  • Feb 29, 2016 · D/A · $341,297,777 sold of Indefinite · 10 investors · min. $1,000,000 · role: Executive Officer (Vice-Chairman of General Partner of Issuer) EDGAR ↗
  • Feb 27, 2015 · D/A · $320,297,777 sold of Indefinite · 9 investors · min. $1,000,000 · role: Executive Officer (Vice-Chairman of General Partner of Issuer) EDGAR ↗
  • Feb 28, 2014 · D/A · $320,297,777 sold of Indefinite · 8 investors · min. $1,000,000 · role: Executive Officer (Vice-Chairman of General Partner of Issuer) EDGAR ↗
  • Mar 1, 2013 · D/A · $293,697,777 sold of Indefinite · 7 investors · min. $1,000,000 · role: Executive Officer (Vice-Chairman of the General Partner of the Issuer) EDGAR ↗
  • Mar 1, 2012 · D/A · $202,210,000 sold of Indefinite · 7 investors · min. $1,000,000 · role: Executive Officer (Vice-Chairman of the General Partner of the Issuer) EDGAR ↗
  • Mar 1, 2011 · D/A · $254,352,121 sold of Indefinite · 5 investors · min. $1,000,000 · role: Executive Officer (Vice-Chairman of the General Partner of the Issuer) EDGAR ↗

Raised $807.1M from 19 investors as of the latest filing. Richard 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.

EM
Pooled Investment Fund · group: Ellington

Ellington Mortgage Opportunities Partners, LLC

Old Greenwich, CT · Jul 15, 2009 → Oct 30, 2018 · 10 filings
  • Oct 30, 2018 · D/A · $85,466,425 sold of Indefinite · 34 investors · min. $5,000,000 · role: Executive Officer, Promoter (Vice-Chairman of managing member of Issuer) EDGAR ↗
  • Oct 30, 2017 · D/A · $85,466,425 sold of Indefinite · 34 investors · min. $5,000,000 · role: Executive Officer, Promoter (Vice-Chairman of managing member of Issuer) EDGAR ↗
  • Oct 31, 2016 · D/A · $78,566,426 sold of Indefinite · 32 investors · min. $5,000,000 · role: Executive Officer, Promoter (Vice-Chairman of managing member of Issuer) EDGAR ↗
  • Oct 30, 2015 · D/A · $58,366,426 sold of Indefinite · 30 investors · min. $5,000,000 · role: Executive Officer, Promoter (Vice-Chairman of managing member of Issuer) EDGAR ↗
  • Oct 31, 2014 · D/A · $52,816,425 sold of Indefinite · 24 investors · min. $5,000,000 · role: Executive Officer, Promoter (Vice-Chairman of managing member of Issuer) EDGAR ↗
  • Oct 31, 2013 · D/A · $32,105,076 sold of Indefinite · 20 investors · min. $5,000,000 · role: Executive Officer, Promoter (Vice-Chairman of the managing member of the Issuer) EDGAR ↗
  • Nov 2, 2012 · D/A · $26,028,870 sold of Indefinite · 14 investors · min. $5,000,000 · role: Executive Officer, Promoter (Vice-Chairman of the managing member of the Issuer) EDGAR ↗
  • Nov 4, 2011 · D/A · $15,777,092 sold of Indefinite · 10 investors · min. $5,000,000 · role: Executive Officer, Promoter (Vice-Chairman of the managing member of the Issuer) EDGAR ↗
  • Nov 5, 2010 · D/A · $12,511,556 sold of Indefinite · 9 investors · min. $5,000,000 · role: Executive Officer, Promoter (Vice-Chairman of the managing member of the Issuer) EDGAR ↗
  • Jul 15, 2009 · D · $5,138,115 sold of Indefinite · 3 investors · min. $5,000,000 · role: Executive Officer, Promoter (Vice-Chairman of the managing member of the Issuer) EDGAR ↗

Raised $105.5M from 40 investors as of the latest filing. Richard is listed as executive officer, promoter 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.

EP
Pooled Investment Fund · group: Ellington

Ellington Private Opportunities Partners II LP

Old Greenwich, CT · Jun 18, 2018
  • Jun 18, 2018 · D · $68,500,000 sold of Indefinite · 32 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗

Raised $110M from 100 investors as of the latest filing. Richard 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.

EP
Pooled Investment Fund · group: Ellington

Ellington Private Opportunities Fund II LP

Old Greenwich, CT · Jun 18, 2018
  • Jun 18, 2018 · D · $28,250,000 sold of Indefinite · 12 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗

Raised $42.7M from 39 investors as of the latest filing. Richard 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.

NP
Pooled Investment Fund · group: Ellington

NM PERA Ellington Enhanced Income Fund A LLC

Old Greenwich, CT · Dec 13, 2016
  • Dec 13, 2016 · D · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer, Promoter (Vice-Chairman of Managing Member of Issuer) EDGAR ↗

No sales reported yet as of the latest filing. Richard is listed as executive officer, promoter.

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.

EQ
Pooled Investment Fund · group: Ellington

ELLINGTON QUANTITATIVE EQUITY PARTNERS, LP

Old Greenwich, CT · Jul 22, 2010 → Jul 25, 2016 · 7 filings
  • Jul 25, 2016 · D/A · $10,639,083 sold of Indefinite · 15 investors · min. $5,000,000 · role: Executive Officer, Promoter (Vice-Chairman of General Partner of Issuer) EDGAR ↗
  • Jul 23, 2015 · D/A · $10,639,083 sold of Indefinite · 15 investors · min. $5,000,000 · role: Executive Officer, Promoter (Vice-Chairman of General Partner of Issuer) EDGAR ↗
  • Jul 23, 2014 · D/A · $10,639,083 sold of Indefinite · 15 investors · min. $5,000,000 · role: Executive Officer, Promoter (Vice-Chairman of General Partner of Issuer) EDGAR ↗
  • Jul 23, 2013 · D/A · $10,639,083 sold of Indefinite · 15 investors · min. $5,000,000 · role: Executive Officer, Promoter (Vice-Chairman of the General Partner of the Issuer) EDGAR ↗
  • Jul 23, 2012 · D/A · $0 sold of Indefinite · 0 investors · min. $5,000,000 · role: Executive Officer, Promoter (Vice-Chairman of the General Partner of the Issuer) EDGAR ↗
  • Jul 22, 2011 · D/A · $0 sold of Indefinite · 0 investors · min. $5,000,000 · role: Executive Officer, Promoter (Vice-Chairman of the General Partner of the Issuer) EDGAR ↗
  • Jul 22, 2010 · D · $0 sold of Indefinite · 0 investors · min. $5,000,000 · role: Executive Officer, Promoter (Vice-Chairman of the General Partner of the Issuer) EDGAR ↗

Raised $10.6M from 15 investors as of the latest filing. Richard is listed as executive officer, promoter 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.

EO
Pooled Investment Fund · group: Ellington

EPO Onshore Partners LP

Old Greenwich, CT · May 26, 2016
  • May 26, 2016 · D · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer (Vice-Chairman) EDGAR ↗

No sales reported yet as of the latest filing. Richard 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.

EO
Pooled Investment Fund · group: Ellington

EPO Offshore Fund LP

Old Greenwich, CT · May 25, 2016
  • May 25, 2016 · D · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer (Vice-Chairman) EDGAR ↗

No sales reported yet as of the latest filing. Richard 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.

EQ
Pooled Investment Fund · group: Ellington

Ellington Quantitative Equity Enhanced Partners, LP

Old Greenwich, CT · Jun 1, 2011
  • Jun 1, 2011 · D · $0 sold of Indefinite · 0 investors · min. $5,000,000 · role: Executive Officer, Promoter (Vice-Chairman of the General Partner of the Partnership) EDGAR ↗

No sales reported yet as of the latest filing. Richard is listed as executive officer, promoter.

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.

EE
Pooled Investment Fund · group: Ellington

ELLINGTON EQUITY INVESTMENT PARTNERS, LP

Old Greenwich, CT · Jun 15, 2010
  • Jun 15, 2010 · D · $1,000,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Executive Officer, Promoter (Vice-Chairman of the General Partner of the Issuer) EDGAR ↗

Raised $1M from 1 investor as of the latest filing. Richard is listed as executive officer, promoter.

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.

Other pages with the same name (2)

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

People around Richard 20

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

EM
Management entity

Ellington Management Group, L.L.C.

Executive Officer, Promoter · 17 shared filings (6 issuers) · also on 25 other issuers

Ellington Management Group, L.L.C. is on 31 issuers in total — a repeat sponsor. Their page lists every one.

ES
Management entity

E/S MBS GP I LLC

Executive Officer · 9 shared filings (1 issuer)

Listed on the same filings as Richard Brounstein. Their page shows their other deals.

ES
Management entity

E/S MBS GP II LLC

Executive Officer · 9 shared filings (1 issuer)

Listed on the same filings as Richard Brounstein. Their page shows their other deals.

EG
Management entity

ECOP GP LLC

Executive Officer, Promoter · 9 shared filings (1 issuer)

Listed on the same filings as Richard Brounstein. Their page shows their other deals.

EM
Management entity

EEI MM LLC

Executive Officer, Promoter · 3 shared filings (1 issuer)

Listed on the same filings as Richard Brounstein. Their page shows their other deals.

EG
Management entity

EPO GP LLC

Promoter · 2 shared filings (2 issuers)

Listed on the same filings as Richard Brounstein. Their page shows their other deals.

EG
Management entity

EPO II GP LLC

Promoter · 2 shared filings (2 issuers)

Listed on the same filings as Richard Brounstein. Their page shows their other deals.

EC
Management entity

Ellington Capital Management, L.L.C.

Executive Officer, Promoter · 1 shared filing (1 issuer)

Listed on the same filings as Richard Brounstein. Their page shows their other deals.

XG
Management entity

XQP GP LLC

Executive Officer, Promoter · 1 shared filing (1 issuer)

Listed on the same filings as Richard Brounstein. Their page shows their other deals.

NM
Management entity

NMP MM LLC

Executive Officer, Promoter · 1 shared filing (1 issuer)

Listed on the same filings as Richard Brounstein. Their page shows their other deals.

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

Laurence Penn

Executive Officer, Promoter · 58 shared filings (14 issuers) · also on 29 other issuers

Laurence Penn is on 43 issuers in total — a repeat sponsor. Their page lists every one.

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

Michael W. Vranos

Executive Officer, Promoter · 55 shared filings (13 issuers) · also on 26 other issuers

Michael W. Vranos is on 39 issuers in total — a repeat sponsor. Their page lists every one.

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

Olivier Cojot-Goldberg

Executive Officer, Promoter · 46 shared filings (13 issuers)

Olivier Cojot-Goldberg is on 13 issuers in total — a repeat sponsor. Their page lists every one.

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

Olivier Cojot

Executive Officer, Promoter · 9 shared filings (3 issuers) · also on 10 other issuers

Olivier Cojot is on 13 issuers in total — a repeat sponsor. Their page lists every one.

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

Priscilla Murray Brown

Director · 4 shared filings (2 issuers) · also on 8 other issuers

Priscilla Murray Brown is on 10 issuers in total — a repeat sponsor. Their page lists every one.

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

Geoff W. Ruddick

Director · 3 shared filings (1 issuer) · also on 7 other issuers

Geoff W. Ruddick is on 8 issuers in total — a repeat sponsor. Their page lists every one.

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

Edward Stromberg

Executive Officer · 2 shared filings (2 issuers)

Listed on the same filings as Richard Brounstein. Their page shows their other deals.

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

Geoff Ruddick

Director · 1 shared filing (1 issuer) · also on 13 other issuers

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

The team behind the deals

E
Sponsor group

Ellington

54 issuers · 236 filings · $6.37B reported sold · 2009–2026

One team, 54 deal companies. Richard Brounstein 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 Richard Brounstein.

Same business address

37 other issuers file from the same address

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. 6 of the 14 issuers this person is listed on match a Form ADV adviser (searched 24,962 advisers as of Oct 2, 2026): Ellington Mortgage Opportunities Partners, LLC, ELLINGTON CREDIT OPPORTUNITIES FUND LTD, Ellington Private Opportunities Partners II LP, Ellington Private Opportunities Fund II LP, EPO Onshore Partners LP, EPO Offshore Fund LP.

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 Richard Brounstein 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 Richard Brounstein is listed on: none on file. No website or social profile named in Ellington Strategic Mortgage Institutional Fund, L.P.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #40,066 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 (Old Greenwich, CT). 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) ↗Connecticut Judicial Branch case look-up ↗

Securities regulators

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

Business registries

Connecticut Secretary of State business search ↗OpenCorporates ↗

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