Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:41 AM ET

Sponsor Check › Person

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Richard Winter

Named as an officer, director or promoter on SEC Form D filings · CA, NY · Oct 24, 2011 → Jun 25, 2015

15deals (issuers)

$46.3Mreported sold

301investors

17Form D filings

2011–2015years on file

Follow this person Look further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:25 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Richard Winter is listed as an executive officer and director on 17 SEC Form D filings by 15 issuers between Sep 2011 and Jun 2015. Largest by amount reported sold: Solar Credits Opportunities Fund, LLC (New York, NY — pooled investment fund — 2014; $11M reported sold to 11 investors), Solar Credits Opportunities Fund II, LLC (New York, NY — pooled investment fund — 2015; $6.44M reported sold to 25 investors), AUSAF ABS I, LLC (New York, NY — pooled investment fund — 2013; $4.33M reported sold to 42 investors), AUSAF ABS III, LLC (New York, NY — pooled investment fund — 2013; $3.75M reported sold to 22 investors), AUSAF VI, LLC (New York, NY — pooled investment fund — 2011; $3.25M reported sold to 40 investors) and 10 more (all listed below).

What this means That is a lot of deals — 15 separate companies raised money with this person listed as executive officer and director, over about 4 years. Across those companies the filings report $46.3M sold in total.

Listed alongside John Tartaglia (16 shared filings), THOMAS GUBA (13 shared filings), AURIGA CAPITAL MANAGEMENT (7 shared filings, management entity), Shannon Smith (3 shared filings), Gary Korn (1 shared filing) and 4 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 15 issuers belong to the sponsor group Ausaf (19 issuers, $60.4M reported sold, 2011–2019).

What this means A sponsor group is one team that sets up a new company for each deal. Ausaf has 19 companies on file and $60.4M 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) — 23 bankruptcy cases matching the name listed in Key records below.

What this means 23 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 17 public filings for Richard Winter and found 8 differences, 2 worth asking the sponsor about: Richard Winter appears on 7 deals that stopped filing before reaching their target; 13 Form Ds were filed more than 15 days after the first sale; and more below.

What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.

What the community is saying

Community search for Richard Winter has not run yet — it is joining a line of 58,952 names; searches run around the clock at the hosts' allowed rate. Searched so far: 667 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, 2:25 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 Richard Winter..

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

23 cases: 22 closed (disposition not in docket feed), 1 open

Richard A Winter and Linda Diane Winter closed

United States Bankruptcy Court, S.D. Ohio · No. 2:24-bk-50953 · Filed Mar 18, 2024 · Closed Jul 17, 2024

Role of Richard A Winter and Linda Diane Winter: Debtor · Outcome: Case closed 2024-07-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 2 people with this name in Form D filings; court in OH (not a filing state)

Richard J. Winter open

United States Bankruptcy Court, S.D. Georgia · No. 19-10733 · Filed Jun 10, 2019

Role of Richard J. Winter: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 2 people with this name in Form D filings; court in GA (not a filing state)

Richard A. Winter closed

United States Bankruptcy Court, E.D. Wisconsin · No. 12-25341 · Filed Apr 18, 2012 · Closed Aug 10, 2012

Role of Richard A. Winter: Debtor · Outcome: Case closed 2012-08-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 2 people with this name in Form D filings; court in WI (not a filing state)

Richard H Winter and Kristin A Winter closed

United States Bankruptcy Court, E.D. California · No. 10-94328 · Filed Nov 2, 2010 · Closed Feb 18, 2011

Role of Richard H Winter and Kristin A Winter: Debtor · Outcome: Case closed 2011-02-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (CA)

Richard J. Winter closed

United States Bankruptcy Court, S.D. Georgia · No. 06-10744 · Filed Jun 9, 2006 · Closed Oct 17, 2006

Role of Richard J. Winter: Debtor · Outcome: Case closed 2006-10-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 2 people with this name in Form D filings; court in GA (not a filing state)

Richard P Winter closed

United States Bankruptcy Court, D. Idaho · No. 05-22275 · Filed Dec 16, 2005 · Closed Oct 30, 2006

Role of Richard P Winter: Debtor · Outcome: Case closed 2006-10-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 2 people with this name in Form D filings; court in ID (not a filing state)

Richard J. Winter and Lorraine M. Winter closed

United States Bankruptcy Court, D. Vermont · No. 05-11306 · Filed Sep 6, 2005 · Closed Dec 27, 2005

Role of Richard J. Winter and Lorraine M. Winter: Debtor · Outcome: Case closed 2005-12-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 2 people with this name in Form D filings; court in VT (not a filing state)

Richard T. Winter and Judy A. Winter closed

United States Bankruptcy Court, S.D. Georgia · No. 05-11195 · Filed Apr 6, 2005 · Closed Aug 18, 2010

Role of Richard T. Winter and Judy A. Winter: Debtor · Outcome: Case closed 2010-08-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 2 people with this name in Form D filings; court in GA (not a filing state)

Richard M Winter and Alisia Winter closed

United States Bankruptcy Court, C.D. California · No. 6:05-bk-12845 · Filed Mar 25, 2005 · Closed Jul 22, 2005

Role of Richard M Winter and Alisia Winter: Debtor · Outcome: Case closed 2005-07-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (CA)

Richard Winter and Rebecca Winter closed

United States Bankruptcy Court, N.D. Mississippi · No. 04-17653 · Filed Nov 29, 2004 · Closed Apr 28, 2008

Role of Richard Winter and Rebecca Winter: Debtor · Outcome: Case closed 2008-04-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 2 people with this name in Form D filings; court in MS (not a filing state)

Richard Winter and Patricia Winter closed

United States Bankruptcy Court, D. Colorado · No. 03-32010 · Filed Nov 4, 2003 · Closed Apr 7, 2004

Role of Richard Winter and Patricia Winter: Debtor · Outcome: Case closed 2004-04-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 2 people with this name in Form D filings; court in CO (not a filing state)

Richard Winter and Linda Winter closed

United States Bankruptcy Court, S.D. Texas · No. 03-31914 · Filed Feb 4, 2003 · Closed Jun 28, 2005

Role of Richard Winter and Linda Winter: Debtor · Outcome: Case closed 2005-06-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 2 people with this name in Form D filings; court in TX (not a filing state)

Richard L. Winter closed

United States Bankruptcy Court, E.D. Wisconsin · No. 02-22244 · Filed Feb 28, 2002 · Closed Jun 18, 2002

Role of Richard L. Winter: Debtor · Outcome: Case closed 2002-06-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 2 people with this name in Form D filings; court in WI (not a filing state)

Richard Winter and Linda Winter closed

United States Bankruptcy Court, S.D. Texas · No. 02-31193 · Filed Feb 4, 2002 · Closed Jul 25, 2003

Role of Richard Winter and Linda Winter: Debtor · Outcome: Case closed 2003-07-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 2 people with this name in Form D filings; court in TX (not a filing state)

Richard M. Winter and Michelle L. Winter closed

United States Bankruptcy Court, W.D. New York · No. 1-01-15136 · Filed Aug 17, 2001 · Closed Apr 27, 2006

Role of Richard M. Winter and Michelle L. Winter: Debtor · Outcome: Case closed 2006-04-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (NY)

Richard A Winter and Kathleen D Winter closed

United States Bankruptcy Court, C.D. California · No. 6:99-bk-22118 · Filed Jul 14, 1999 · Closed Nov 12, 1999

Role of Richard A Winter and Kathleen D Winter: Debtor · Outcome: Case closed 1999-11-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (CA)

Richard C Winter closed

United States Bankruptcy Court, N.D. Illinois · No. 98-23746 · Filed Jul 31, 1998 · Closed Dec 18, 1998

Role of Richard C Winter: Debtor · Outcome: Case closed 1998-12-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 2 people with this name in Form D filings; court in IL (not a filing state)

Richard J. Winter and Tiana v. Winter closed

United States Bankruptcy Court, S.D. California · No. 96-08100 · Filed Jun 13, 1996 · Closed Oct 8, 1996

Role of Richard J. Winter and Tiana: Plaintiff · Outcome: Case closed 1996-10-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (CA)

Richard D. Winter closed

United States Bankruptcy Court, M.D. Georgia · No. 96-50086 · Filed Jan 9, 1996 · Closed Feb 18, 1999

Role of Richard D. Winter: Debtor · Outcome: Case closed 1999-02-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 2 people with this name in Form D filings; court in GA (not a filing state)

Richard A. Winter and Denise A. Winter closed

United States Bankruptcy Court, E.D. Wisconsin · No. 95-22504 · Filed Apr 25, 1995 · Closed Aug 2, 1995

Role of Richard A. Winter and Denise A. Winter: Debtor · Outcome: Case closed 1995-08-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 2 people with this name in Form D filings; court in WI (not a filing state)

Richard M. Winter and Suzan J. Winter closed

United States Bankruptcy Court, M.D. Florida · No. 8:90-bk-00544 · Filed Jan 19, 1990 · Closed Jan 30, 1991

Role of Richard M. Winter and Suzan J. Winter: Debtor · Outcome: Case closed 1991-01-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 2 people with this name in Form D filings; court in FL (not a filing state)

Richard Winter closed

United States Bankruptcy Court, C.D. California · No. 1:88-bk-26932 · Filed Dec 23, 1988 · Closed Sep 6, 1989

Role of Richard Winter: Debtor · Outcome: Case closed 1989-09-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (CA)

RICHARD D WINTER closed

United States Bankruptcy Court, E.D. Washington · No. 85-02657 · Filed Nov 6, 1985 · Closed Jul 18, 1986

Role of RICHARD D WINTER: Debtor · Outcome: Case closed 1986-07-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 2 people with this name in Form D filings; court in WA (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, 2:25 AM ET.

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

4. Differences between public sources

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

8 differences found between the filings for Richard Winter — 2 worth asking about (compared 17 filings on Oct 24, 2026)

Worth asking · Mar 26, 2013 – Jun 25, 2015

Richard Winter appears on 7 deals that stopped filing before reaching their target

Solar Credits Opportunities Fund II, LLC (last filing Jun 25, 2015; $6,438,753 sold of $35,000,000); Pasture Raised Capital, LLC (last filing May 12, 2015; $1,235,000 sold of $3,000,000); Solar Credits Opportunities Fund, LLC (last filing Mar 21, 2014; $11,000,000 sold of $200,000,000); Solar Credits Opportunities CL Fund, LLC (last filing Mar 21, 2014; $3,000,000 sold of $200,000,000); AUSAF ABS III, LLC (last filing Dec 3, 2013; $3,750,000 sold of $10,000,000); AUSAF ABS I, LLC (last filing Mar 28, 2013; $4,332,800 sold of $10,000,000); and 1 more. Each has no filing in more than two years and reported under half its target sold.

What this means An issuer whose last filing is more than two years old and reported under half its target sold. The raise may have closed early or quietly stopped. Ask what happened to each.

Solar Credits Opportunities Fund II, LLC — PartnerFacts page ↗Pasture Raised Capital, LLC — PartnerFacts page ↗Solar Credits Opportunities Fund, LLC — PartnerFacts page ↗Solar Credits Opportunities CL Fund, LLC — PartnerFacts page ↗

Sources

Solar Credits Opportunities Fund II, LLC — PartnerFacts page ↗ (Jun 25, 2015)
Pasture Raised Capital, LLC — PartnerFacts page ↗ (May 12, 2015)
Solar Credits Opportunities Fund, LLC — PartnerFacts page ↗ (Mar 21, 2014)
Solar Credits Opportunities CL Fund, LLC — PartnerFacts page ↗ (Mar 21, 2014)
AUSAF ABS III, LLC — PartnerFacts page ↗ (Dec 3, 2013)
AUSAF ABS I, LLC — PartnerFacts page ↗ (Mar 28, 2013)

Worth asking · Sep 1, 2009 – Jun 25, 2015

13 Form Ds were filed more than 15 days after the first sale

Form D filed 223 days after the first sale — Solar Credits Opportunities Fund II, LLC · Form D filed 74 days after the first sale — Pasture Raised Capital, LLC · Form D filed 130 days after the first sale — AUSAF SREC I, LLC · Form D filed 84 days after the first sale — Solar Credits Opportunities CL Fund, LLC · Form D filed 84 days after the first sale — Solar Credits Opportunities Fund, LLC · and 8 more

What this means Late notices are common and carry no penalty by themselves. A pattern of late paperwork is worth asking the sponsor about.

Form D · Jun 25, 2015 ↗Solar Credits Opportunities Fund II, LLC — PartnerFacts page ↗Form D · May 12, 2015 ↗Pasture Raised Capital, LLC — PartnerFacts page ↗

Sources

Form D · Jun 25, 2015 ↗ (Jun 25, 2015)
Solar Credits Opportunities Fund II, LLC — PartnerFacts page ↗ (Jun 25, 2015)
Form D · May 12, 2015 ↗ (May 12, 2015)
Pasture Raised Capital, LLC — PartnerFacts page ↗ (May 12, 2015)
Form D · Jul 1, 2014 ↗ (Jul 1, 2014)
AUSAF SREC I, LLC — PartnerFacts page ↗ (Jul 1, 2014)
Form D · Mar 21, 2014 ↗ (Mar 21, 2014)
Solar Credits Opportunities CL Fund, LLC — PartnerFacts page ↗ (Mar 21, 2014)

Note · Dec 14, 2011 – Jun 25, 2015

8 offerings have no amendment in the last 12 months and may still be open

No amendment in the last 12 months on an offering that may still be open — Solar Credits Opportunities Fund II, LLC (latest filing Jun 25, 2015) · No amendment in the last 12 months on an offering that may still be open — Pasture Raised Capital, LLC (latest filing May 12, 2015) · No amendment in the last 12 months on an offering that may still be open — AUSAF SREC I, LLC (latest filing Jul 1, 2014) · No amendment in the last 12 months on an offering that may still be open — Solar Credits Opportunities CL Fund, LLC (latest filing Mar 21, 2014) · No amendment in the last 12 months on an offering that may still be open — Solar Credits Opportunities Fund, LLC (latest filing Mar 21, 2014) · and 3 more

What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.

Form D · Jun 25, 2015 ↗Solar Credits Opportunities Fund II, LLC — PartnerFacts page ↗Form D · May 12, 2015 ↗Pasture Raised Capital, LLC — PartnerFacts page ↗

Sources

Form D · Jun 25, 2015 ↗ (Jun 25, 2015)
Solar Credits Opportunities Fund II, LLC — PartnerFacts page ↗ (Jun 25, 2015)
Form D · May 12, 2015 ↗ (May 12, 2015)
Pasture Raised Capital, LLC — PartnerFacts page ↗ (May 12, 2015)
Form D · Jul 1, 2014 ↗ (Jul 1, 2014)
AUSAF SREC I, LLC — PartnerFacts page ↗ (Jul 1, 2014)
Form D · Mar 21, 2014 ↗ (Mar 21, 2014)
Solar Credits Opportunities CL Fund, LLC — PartnerFacts page ↗ (Mar 21, 2014)

Note · Sep 20, 2011 – Jul 3, 2012

Richard Winter's role changed at Quadriga Secured Opportunity Fund I LP: director → executive officer, director

The Sep 20, 2011 filing lists Richard Winter as director; the Jul 3, 2012 Form D/A lists executive officer, director.

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

Form D · Sep 20, 2011 ↗Form D/A · Jul 3, 2012 ↗Richard Winter — PartnerFacts page ↗Quadriga Secured Opportunity Fund I LP — PartnerFacts page ↗

Sources

Form D · Sep 20, 2011 ↗ (Sep 20, 2011)
Form D/A · Jul 3, 2012 ↗ (Jul 3, 2012)
Richard Winter — PartnerFacts page ↗
Quadriga Secured Opportunity Fund I LP — PartnerFacts page ↗ (Mar 26, 2013)

Note · Aug 31, 2026

Same name, different state: "Richard David Winter" (NY) is a separate record

This page covers filings where the address state is CA or NY. A separate record, "Richard David Winter" with address state NY, is listed on 1 filing — most recently by NY DRS Finco VII, LLC (Aug 31, 2026). The two records do not overlap in time: this page runs Oct 24, 2011 to Jun 25, 2015; the other has one filing dated Aug 31, 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 David Winter (NY) — PartnerFacts page ↗Form D · Aug 31, 2026 ↗NY DRS Finco VII, LLC — PartnerFacts page ↗Richard Winter (CA,NY) — this page ↗

Sources

Richard David Winter (NY) — PartnerFacts page ↗ (Aug 31, 2026)
Form D · Aug 31, 2026 ↗ (Aug 31, 2026)
NY DRS Finco VII, LLC — PartnerFacts page ↗ (Aug 31, 2026)
Richard Winter (CA,NY) — this page ↗ (Jun 25, 2015)

Note · Jul 3, 2012 – Mar 26, 2013

Address moved from San Francisco, CA to New York, NY — Quadriga Secured Opportunity Fund I LP

The people listed on the Jul 3, 2012 filing give San Francisco, CA; on the Mar 26, 2013 filing they give New York, NY. The address now on file (50 California Street, Suite 500, San Francisco, CA) is a registered-agent or shared-office address used by 94 issuers.

What this means A registered agent's address is a mailbox, not where the team works. Ask where the business actually operates.

Form D/A · Jul 3, 2012 ↗Form D/A · Mar 26, 2013 ↗Quadriga Secured Opportunity Fund I LP — PartnerFacts page ↗

Sources

Form D/A · Jul 3, 2012 ↗ (Jul 3, 2012)
Form D/A · Mar 26, 2013 ↗ (Mar 26, 2013)
Quadriga Secured Opportunity Fund I LP — PartnerFacts page ↗ (Mar 26, 2013)

Note · Sep 20, 2011 – Jul 3, 2012

Address moved from San Diego, CA to San Francisco, CA — Quadriga Secured Opportunity Fund I LP

The people listed on the Sep 20, 2011 filing give San Diego, CA; on the Jul 3, 2012 filing they give San Francisco, CA. The address now on file (50 California Street, Suite 500, San Francisco, CA) is a registered-agent or shared-office address used by 94 issuers.

What this means A registered agent's address is a mailbox, not where the team works. Ask where the business actually operates.

Form D · Sep 20, 2011 ↗Form D/A · Jul 3, 2012 ↗Quadriga Secured Opportunity Fund I LP — PartnerFacts page ↗

Sources

Form D · Sep 20, 2011 ↗ (Sep 20, 2011)
Form D/A · Jul 3, 2012 ↗ (Jul 3, 2012)
Quadriga Secured Opportunity Fund I LP — PartnerFacts page ↗ (Mar 26, 2013)

Note · Sep 20, 2011 – Jun 25, 2015

Richard Winter is listed with 2 different address states: CA, NY

CA on 2 filings (Sep 20, 2011 to Jul 3, 2012); NY on 15 filings (Oct 24, 2011 to Jun 25, 2015).

What this means The address on a Form D is usually the company's, not the person's home, so this often just reflects different companies. It can also mean a move. Nothing wrong by itself.

Form D · Sep 20, 2011 ↗Form D · Oct 24, 2011 ↗

Sources

Form D · Sep 20, 2011 ↗ (Sep 20, 2011)
Form D · Oct 24, 2011 ↗ (Oct 24, 2011)

What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. As of Oct 24, 2026.

5. Money to insiders

0 of 15 offerings report sales commissions; 0 report finder's fees; 1 reports proceeds to related persons totalling $75,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)	Sales commissions	Finder's fees	To insiders	Paid to sell it	Source
Jun 25, 2015 D Solar Credits Opportunities Fund II, LLC File 021-242532	$0	$0	$0	None listed on this filing	EDGAR ↗
May 12, 2015 D Pasture Raised Capital, LLC File 021-239682	$0	$0	$75,000 An acquisition fee of $75,000 was paid to the Manager on the asset acquired.	None listed on this filing	EDGAR ↗
Jul 1, 2014 D AUSAF SREC I, LLC File 021-220142	$0	$0	$0	None listed on this filing	EDGAR ↗
Mar 21, 2014 D Solar Credits Opportunities Fund, LLC File 021-214033	$0	$0	$0	None listed on this filing	EDGAR ↗
Mar 21, 2014 D Solar Credits Opportunities CL Fund, LLC File 021-214036	$0	$0	$0	None listed on this filing	EDGAR ↗
Dec 3, 2013 D AUSAF ABS III, LLC File 021-207308	$0	$0	$0	None listed on this filing	EDGAR ↗
Mar 28, 2013 D AUSAF ABS I, LLC File 021-194135	$0	$0	$0	None listed on this filing	EDGAR ↗
Mar 26, 2013 D/A Quadriga Secured Opportunity Fund I LP File 021-166078	$0	$0	$0 (est.)	None listed on this filing	EDGAR ↗
Nov 8, 2011 D AUSAF II, LLC File 021-168357	$0	$0	$0	None listed on this filing	EDGAR ↗
Nov 8, 2011 D AUSAF III, LLC File 021-168359	$0	$0	$0	None listed on this filing	EDGAR ↗
Nov 8, 2011 D AUSAF IV, LLC File 021-168363	$0	$0	$0	None listed on this filing	EDGAR ↗
Nov 8, 2011 D AUSAF V, LLC File 021-168367	$0	$0	$0	None listed on this filing	EDGAR ↗
Nov 8, 2011 D AUSAF VI, LLC File 021-168399	$0	$0	$0	None listed on this filing	EDGAR ↗
Nov 7, 2011 D AUSAF I, LLC File 021-168331	$0	$0	$0	None listed on this filing	EDGAR ↗
Oct 24, 2011 D AUSAF VII, LLC File 021-167725	$0	$0	$0	None listed on this filing	EDGAR ↗

How this is counted

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

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

Deals 15

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

Pooled Investment Fund · group: Ausaf

Solar Credits Opportunities Fund II, LLC

New York, NY · Jun 25, 2015

Jun 25, 2015 · D · $6,438,753 sold of $35,000,000 · 25 investors · min. $100,000 · role: Executive Officer EDGAR ↗

Raised $6.44M from 25 investors (18% of the $35M target) as of the latest filing. Richard is listed as executive officer.

Richard Winter

The short version

What the community is saying

Key records

1. Lawsuits

2. Regulatory actions

3. Bankruptcies

4. Differences between public sources

Richard Winter appears on 7 deals that stopped filing before reaching their target

13 Form Ds were filed more than 15 days after the first sale

8 offerings have no amendment in the last 12 months and may still be open

Richard Winter's role changed at Quadriga Secured Opportunity Fund I LP: director → executive officer, director

Same name, different state: "Richard David Winter" (NY) is a separate record

Address moved from San Francisco, CA to New York, NY — Quadriga Secured Opportunity Fund I LP

Address moved from San Diego, CA to San Francisco, CA — Quadriga Secured Opportunity Fund I LP

Richard Winter is listed with 2 different address states: CA, NY

5. Money to insiders

Deals 15

People around Richard 9

The team behind the deals

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

Registrations and other filings

Business registration (state registry / Secretary of State)

Adviser registration (Form ADV)

Other offering types (Regulation A and Regulation Crowdfunding)

Public profiles and social

Look further

Social and web

Courts

Securities regulators

Business registries

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