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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:50 AM ET

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Robert B. Karn III

Named as an officer, director or promoter on SEC Form D filings · MO · Jan 14, 2010 → Apr 12, 2021

3deals (issuers)
$8.89Mreported sold
29investors
17Form D filings
2010–2021years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:21 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Robert B. Karn III is listed as a director on 17 SEC Form D filings by 3 issuers between Jan 2010 and Apr 2021: KCM SMALL CAP CORE FUND LLC (St Louis, MO — pooled investment fund — 2013–2020; $6.3M reported sold to 1 investors), KENNEDY CAPITAL MANAGEMENT, INC. (St Louis, MO — investing — 2010–2021; $2.34M reported sold to 27 investors) and KCM MID CAP VALUE FUND LLC (St Louis, MO — pooled investment fund — 2014; $250K reported sold to 1 investors).

What this means A repeat sponsor — 3 separate companies raised money with this person listed as director, over about 11 years. Across those companies the filings report $8.89M sold in total.

Listed alongside Richard Ernest Oliver (17 shared filings), Don Cobin (15 shared filings), Richard Henry Sinise (14 shared filings), Frank Andrew Latuda, Jr. (10 shared filings), John M. Hillhouse (9 shared filings) and 15 others.

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

All 3 issuers belong to the sponsor group Kennedy (3 issuers, $2.06M reported sold, 2010–2021).

What this means A sponsor group is one team that sets up a new company for each deal. Kennedy has 3 companies on file and $2.06M 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) — 13 court cases matching the name, 1 state regulator order, 7 bankruptcy cases matching the name listed in Key records below.

What this means 21 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 Robert B. Karn III and found 3 differences: Robert B. Karn III appears on 1 deal that stopped filing before reaching its target; Form D filed 17 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 Robert B. Karn III has not run yet — it is joining a line of 61,702 names; searches run around the clock at the hosts' allowed rate. Searched so far: 721 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

13 cases: 5 dismissed, 4 judgment, 4 closed (disposition not in docket feed)

Karn v. Life Insurance Company of North America dismissed
District Court, N.D. Georgia · No. 1:20-cv-01423 · Filed Apr 1, 2020 · Closed Oct 5, 2020 · Nature of suit: 791 Employee Retirement Income Security Act
Role of Karn: Plaintiff · Outcome: Terminated 2020-10-05 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 44 federal dockets); surname only in the caption; court in GA (not a filing state)
APPLIED RESEARCH ASSOCIATES, INC. v. KARN CHARUHAS CHAPMAN & TWOHEY PC dismissed
District Court, District of Columbia · No. 1:15-cv-01818 · Filed Oct 26, 2015 · Closed Jun 13, 2017 · Nature of suit: 190 Contract: Other · Cause: 28:1332 Diversity-Breach of Contract
Role of KARN CHARUHAS CHAPMAN & TWOHEY PC: Defendant · Outcome: Terminated 2017-06-13 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 44 federal dockets); surname only in the caption; court in DC (not a filing state)
Karn v. National Credit Systems Incorporated judgment
District Court, D. Arizona · No. 2:14-cv-02480 · Filed Nov 7, 2014 · Closed Aug 4, 2015 · Nature of suit: 890 Other Statutes: Other Statutory Actions · Cause: 15:1692 Fair Debt Collection Act
Role of Karn: Plaintiff · Outcome: Terminated 2015-08-04 — FJC Integrated Database disposition: Other; judgment for plaintiff Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 44 federal dockets); surname only in the caption; court in AZ (not a filing state)
SPCP Group, LLC v. Karn dismissed
District Court, W.D. Missouri · No. 6:07-cv-03425 · Filed Nov 19, 2007 · Closed Nov 30, 2010 · Nature of suit: 140 Negotiable instruments
Role of Karn: Defendant · Outcome: Terminated 2010-11-30 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 44 federal dockets); surname only in the caption; court in the person's filing state (MO)
Karn v. Charter Communications VI judgment
District Court, D. Nebraska · No. 4:04-cv-03205 · Filed May 28, 2004 · Closed Jun 30, 2004 · Nature of suit: 410 Antitrust
Role of Karn: Plaintiff · Outcome: Terminated 2004-06-30 — FJC Integrated Database disposition: Judgment on motion before trial Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 44 federal dockets); surname only in the caption; court in NE (not a filing state)
Karn v. Wink Inc. closed
District Court, D. Montana · No. 2:02-cv-00086 · Filed Aug 6, 2002 · Closed Sep 4, 2002
Role of Karn: Plaintiff · Outcome: Terminated 2002-09-04 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 44 federal dockets); surname only in the caption; court in MT (not a filing state)
Alpine Industries v. Karn dismissed
District Court, C.D. California · No. 2:97-cv-04816 · Filed Jul 2, 1997 · Closed Jul 2, 1998 · Nature of suit: 190 Other contract actions
Role of Karn: Defendant · Outcome: Terminated 1998-07-02 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 44 federal dockets); surname only in the caption; court in CA (not a filing state)
Alpine Industries v. Karn closed
District Court, D. Minnesota · No. 4:96-cv-01056 · Filed Oct 28, 1996 · Closed Jun 27, 1997 · Nature of suit: 190 Other contract actions
Role of Karn: Defendant · Outcome: Terminated 1997-06-27 — FJC Integrated Database disposition: Transfer to another district Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 44 federal dockets); surname only in the caption; court in MN (not a filing state)
UA Insurance Fund v. Karn dismissed
District Court, N.D. Ohio · No. 1:95-cv-00858 · Filed Apr 17, 1995 · Closed Jan 25, 1996 · Nature of suit: 791 Employee Retirement Income Security Act
Role of Karn: Defendant · Outcome: Terminated 1996-01-25 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 44 federal dockets); surname only in the caption; court in OH (not a filing state)
KARN v. WVS FINANCIAL CORP. closed
District Court, W.D. Pennsylvania · No. 2:94-cv-01483 · Filed Aug 31, 1994 · Closed Mar 28, 1995 · Nature of suit: 410 Antitrust
Role of KARN: Plaintiff · Outcome: Terminated 1995-03-28 — FJC Integrated Database disposition: Remanded to state court Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 44 federal dockets); surname only in the caption; court in PA (not a filing state)
KARN v. WVS FINANCIAL CORP judgment
District Court, W.D. Pennsylvania · No. 2:94-cv-00986 · Filed Jun 13, 1994 · Closed Apr 7, 1995 · Nature of suit: 410 Antitrust
Role of KARN: Plaintiff · Outcome: Terminated 1995-04-07 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for defendant Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 44 federal dockets); surname only in the caption; court in PA (not a filing state)
Karn Meats Inc v. Rally's Inc judgment
District Court, S.D. Ohio · No. 2:93-cv-01111 · Filed Nov 30, 1993 · Closed Sep 5, 1995 · Nature of suit: 190 Other contract actions
Role of Karn Meats Inc: Plaintiff · Outcome: Terminated 1995-09-05 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for defendant Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 44 federal dockets); surname only in the caption; court in OH (not a filing state)
Bissell and Karn Inc v. Vallejo Dev Company closed
District Court, E.D. California · No. 2:92-cv-00980 · Filed Jun 19, 1992 · Closed Mar 11, 1998 · Nature of suit: 220 Foreclosure
Role of Bissell and Karn Inc: Plaintiff · Outcome: Terminated 1998-03-11 — FJC Integrated Database disposition: Statistical closing Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 44 federal dockets); surname only in the caption; court in CA (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, 2:21 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

1 state regulator order

Individuals Barred or Suspended FINRA · Financial Industry Regulatory Authority (FINRA)
Order date not stated in the index entry we read · Regulator: Financial Industry Regulatory Authority (FINRA) · Parties (regulator's caption): Susan Mae Karn (CRD #5218398, Registered Representative, Wimbledon, North Dakota)
As listed by the regulator: Susan Mae Karn (CRD #5218398, Registered Representative, Wimbledon, North Dakota) submitted a Letter of Acceptance, Waiver and Consent in which she was fined $5,000 and suspended from association with any FINRA member in any capacity for six months. Without admitting or denying the findings, Karn consented to the described sanctions and to the entry of findings that she allowed a customer to sign relatives’ names on life insurance applications, and before Karn submitted them for processing, she signed the insurance applications and certified that she had witnessed each of the proposed signatures on the insurance applications. FINRA found that when the firm questioned Karn about the authenticity of the client’s signature, Karn initially stated it was the client’s original signature, but when questioned further, admitted she had signed the client’s name and in doing so, Karn misled her firm during its internal investigation into a customer complaint. The suspension is in effect from Marc Order / docket ↗ Regulator's list ↗
same rare surname (1 person in Form D filings); different first name (mae); nationwide regulator (FINRA) — the state is not a signal; middle initial differs
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 Robert B. Karn III..

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

7 cases: 7 closed (disposition not in docket feed)

Robert Dale Karn closed
United States Bankruptcy Court, E.D. Missouri · No. 12-10511 · Filed May 15, 2012 · Closed Dec 4, 2012
Role of Robert Dale Karn: Debtor · Outcome: Case closed 2012-12-04 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 44 federal dockets); different first name (dale); court in the person's filing state (MO)
Robert Strong and Karn Strong closed
United States Bankruptcy Court, C.D. California · No. 6:08-bk-21111 · Filed Aug 27, 2008 · Closed Jan 28, 2009
Role of Robert Strong and Karn Strong: Debtor · Outcome: Case closed 2009-01-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 44 federal dockets); surname only in the caption; court in CA (not a filing state)
Monogram Credit Card Bank v. Karn closed
United States Bankruptcy Court, D. Maryland · No. 03-03037 · Filed Jun 6, 2003 · Closed Jun 23, 2004
Role of Karn: Defendant · Outcome: Case closed 2004-06-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 44 federal dockets); surname only in the caption; court in MD (not a filing state)
Robert J. Karn closed
United States Bankruptcy Court, W.D. Pennsylvania · No. 02-24632 · Filed Apr 29, 2002 · Closed Aug 21, 2002
Role of Robert J. Karn: Debtor · Outcome: Case closed 2002-08-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 44 federal dockets); first name matches; court in PA (not a filing state); middle initial differs
Peter G. H. Crooks and Karn M. Crooks closed
United States Bankruptcy Court, N.D. Georgia · No. 97-75347 · Filed Aug 28, 1997 · Closed Dec 12, 1997
Role of Peter G. H. Crooks and Karn M. Crooks: Debtor · Outcome: Case closed 1997-12-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 44 federal dockets); surname only in the caption; court in GA (not a filing state)
Robert W. Karn, II closed
United States Bankruptcy Court, E.D. Pennsylvania · No. 92-24299 · Filed Nov 13, 1992 · Closed Mar 31, 1993
Role of Robert W. Karn, II: Debtor · Outcome: Case closed 1993-03-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 44 federal dockets); first name matches; court in PA (not a filing state); middle initial differs
Robert Karn and Jennifer Karn closed
United States Bankruptcy Court, S.D. Ohio · No. 3:92-bk-30809 · Filed Feb 18, 1992 · Closed Feb 8, 1995
Role of Robert Karn and Jennifer Karn: Debtor · Outcome: Case closed 1995-02-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 44 federal dockets); first name matches; court in OH (not a filing state); middle initial differs
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, 2:21 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

3 differences found between the filings for Robert B. Karn III (compared 17 filings on Oct 24, 2026)

Note · Apr 12, 2021

Robert B. Karn III appears on 1 deal that stopped filing before reaching its target

KENNEDY CAPITAL MANAGEMENT, INC. (last filing Apr 12, 2021; $2,344,185 sold of $12,726,000). 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.

KENNEDY CAPITAL MANAGEMENT, INC. — PartnerFacts page ↗
Sources
Note · Sep 30, 2011 – Oct 17, 2011

Form D filed 17 days after the first sale — KENNEDY CAPITAL MANAGEMENT, INC.

The filing says the first sale was Sep 30, 2011. The Form D was filed Oct 17, 2011 — 17 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 2 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Form D · Oct 17, 2011 ↗KENNEDY CAPITAL MANAGEMENT, INC. — PartnerFacts page ↗
Sources
Note · Jan 1, 2010 – Apr 12, 2021

14 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 — KENNEDY CAPITAL MANAGEMENT, INC. (latest filing Apr 12, 2021) · No amendment in the last 12 months on an offering that may still be open — KENNEDY CAPITAL MANAGEMENT, INC. (latest filing Jul 8, 2020) · No amendment in the last 12 months on an offering that may still be open — KENNEDY CAPITAL MANAGEMENT, INC. (latest filing Jul 1, 2019) · No amendment in the last 12 months on an offering that may still be open — KENNEDY CAPITAL MANAGEMENT, INC. (latest filing Jul 5, 2018) · No amendment in the last 12 months on an offering that may still be open — KCM SMALL CAP CORE FUND LLC (latest filing Dec 20, 2017) · and 9 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 · Apr 12, 2021 ↗KENNEDY CAPITAL MANAGEMENT, INC. — PartnerFacts page ↗Form D · Jul 8, 2020 ↗Form D · Jul 1, 2019 ↗
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. As of Oct 24, 2026.

5. Money to insiders

0 of 17 offerings report sales commissions; 0 report finder's fees; 6 report proceeds to related persons totalling $85,298. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Apr 12, 2021 D
KENNEDY CAPITAL MANAGEMENT, INC.
File 021-395425
$0$0$0None listed on this filingEDGAR ↗
Jul 8, 2020 D
KENNEDY CAPITAL MANAGEMENT, INC.
File 021-370393
$0$0$0None listed on this filingEDGAR ↗
Apr 2, 2020 D
KCM SMALL CAP CORE FUND LLC
File 021-364231
$0$0$823 (est.)
The Issuer pays a .9 percent annual management fee to Kennedy Capital Management, Inc. (the Issuer's manager and investment adviser).
None listed on this filingEDGAR ↗
Jul 1, 2019 D
KENNEDY CAPITAL MANAGEMENT, INC.
File 021-343196
$0$0$0None listed on this filingEDGAR ↗
Apr 1, 2019 D
KCM SMALL CAP CORE FUND LLC
File 021-336166
$0$0$165 (est.)
The Issuer pays a one percent annual management fee to Kennedy Capital Management, Inc. (the Issuer's manager and investment adviser).
None listed on this filingEDGAR ↗
Jan 16, 2019 D
KCM SMALL CAP CORE FUND LLC
File 021-330666
$0$0$10,000 (est.)
The Issuer pays a one percent annual management fee to Kennedy Capital Management, Inc. (the Issuer's manager and investment adviser).
None listed on this filingEDGAR ↗
Jul 5, 2018 D
KENNEDY CAPITAL MANAGEMENT, INC.
File 021-316106
$0$0$0None listed on this filingEDGAR ↗
Dec 20, 2017 D
KCM SMALL CAP CORE FUND LLC
File 021-301329
$0$0$9,060 (est.)
The Issuer pays a one percent annual management fee to Kennedy Capital Management, Inc. (the Issuer's manager and investment adviser).
None listed on this filingEDGAR ↗
Apr 7, 2017 D
KENNEDY CAPITAL MANAGEMENT, INC.
File 021-284299
$0$0$0None listed on this filingEDGAR ↗
Apr 13, 2016 D
KENNEDY CAPITAL MANAGEMENT, INC.
File 021-261167
$0$0$0None listed on this filingEDGAR ↗
Apr 7, 2015 D
KENNEDY CAPITAL MANAGEMENT, INC.
File 021-237412
$0$0$0None listed on this filingEDGAR ↗
May 28, 2014 D
KCM MID CAP VALUE FUND LLC
File 021-218136
$0$0$2,250 (est.)
The issuer pays a 0.90 percent management fee to Kennedy Capital Management, Inc. (the issuer's manager and investment adviser).
None listed on this filingEDGAR ↗
Apr 8, 2014 D
KENNEDY CAPITAL MANAGEMENT, INC.
File 021-215082
$0$0$0None listed on this filingEDGAR ↗
Sep 20, 2013 D
KCM SMALL CAP CORE FUND LLC
File 021-203250
$0$0$63,000 (est.)
The Issuer pays a one percent annual management fee to Kennedy Capital Management, Inc. (the Issuer's manager and investment adviser).
None listed on this filingEDGAR ↗
Apr 8, 2013 D
KENNEDY CAPITAL MANAGEMENT, INC.
File 021-194630
$0$0$0None listed on this filingEDGAR ↗
Oct 17, 2011 D
KENNEDY CAPITAL MANAGEMENT, INC.
File 021-167382
$0$0$0None listed on this filingEDGAR ↗
Jan 14, 2010 D
KENNEDY CAPITAL MANAGEMENT, INC.
File 021-110074
$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 3

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

KC
Investing · group: Kennedy

KENNEDY CAPITAL MANAGEMENT, INC.

St Louis, MO · Jan 14, 2010 → Apr 12, 2021 · 11 filings
  • Apr 12, 2021 · D · $1,716,916 sold of $1,869,108 · 27 investors · min. $4,756 · role: Director EDGAR ↗
  • Jul 8, 2020 · D · $920,664 sold of $1,881,708 · 22 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jul 1, 2019 · D · $1,681,905 sold of $2,528,283 · 24 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jul 5, 2018 · D · $2,344,185 sold of $3,290,157 · 24 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 7, 2017 · D · $2,055,165 sold of $2,736,517 · 24 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 13, 2016 · D · $102,249 sold of $2,082,850 · 4 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 7, 2015 · D · $1,528,932 sold of $1,762,725 · 19 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 8, 2014 · D · $527,443 sold of $873,250 · 12 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 8, 2013 · D · $1,389,640 sold of $1,559,800 · 11 investors · min. $28,360 · role: Director EDGAR ↗
  • Oct 17, 2011 · D · $1,141,312 sold of $1,376,288 · 25 investors · min. $6,294 · role: Director EDGAR ↗
  • Jan 14, 2010 · D · $893,648 sold of $12,726,000 · 7 investors · min. $1,414 · role: Director EDGAR ↗

Raised $2.34M from 27 investors (100% of the $1.87M target) as of the latest filing. Robert is listed as director 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: Investing / 506(b) (2,521 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.

KS
Pooled Investment Fund · group: Kennedy

KCM SMALL CAP CORE FUND LLC

St Louis, MO · Sep 20, 2013 → Apr 2, 2020 · 5 filings
  • Apr 2, 2020 · D · $91,500 sold of $91,500 · 1 investors · min. $91,500 · role: Director (Position held with Manager of the Issuer.) EDGAR ↗
  • Apr 1, 2019 · D · $16,500 sold of $16,500 · 1 investors · min. $16,500 · role: Director (Position held with Manager of the Issuer.) EDGAR ↗
  • Jan 16, 2019 · D · $1,000,000 sold of $1,000,000 · 1 investors · min. $1,000,000 · role: Director (Position held with Manager of the Issuer.) EDGAR ↗
  • Dec 20, 2017 · D · $906,000 sold of Indefinite · 1 investors · min. $906,000 · role: Director (Position held with Manager of the Issuer.) EDGAR ↗
  • Sep 20, 2013 · D · $6,300,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Director (Position held with the Manager of the Issuer.) EDGAR ↗

Raised $6.3M from 1 investor (100% of the $92K target) as of the latest filing. Robert is listed as director on 5 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

KM
Pooled Investment Fund · group: Kennedy

KCM MID CAP VALUE FUND LLC

St Louis, MO · May 28, 2014
  • May 28, 2014 · D · $250,000 sold of Indefinite · 1 investors · min. $1,000,000 · role: Director (Position held with the Manager of the issuer.) EDGAR ↗

Raised $250K from 1 investor as of the latest filing. Robert is listed as director.

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 Robert 20

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

KC
Management entity

Kennedy Capital Management, Inc.

Executive Officer, Director · 6 shared filings (2 issuers)

Listed on the same filings as Robert B. Karn III. Their page shows their other deals.

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

Richard Ernest Oliver

Executive Officer · 17 shared filings (3 issuers)

Listed on the same filings as Robert B. Karn III. Their page shows their other deals.

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

Don Cobin

Director, Executive Officer · 15 shared filings (3 issuers)

Listed on the same filings as Robert B. Karn III. Their page shows their other deals.

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

Richard Henry Sinise

Executive Officer · 14 shared filings (3 issuers)

Listed on the same filings as Robert B. Karn III. Their page shows their other deals.

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

Frank Andrew Latuda, Jr.

Executive Officer, Director · 10 shared filings (3 issuers)

Listed on the same filings as Robert B. Karn III. Their page shows their other deals.

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

John M. Hillhouse

Director · 9 shared filings (3 issuers)

Listed on the same filings as Robert B. Karn III. Their page shows their other deals.

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

Niraj S. Shah

Executive Officer · 9 shared filings (2 issuers)

Listed on the same filings as Robert B. Karn III. Their page shows their other deals.

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

Randall Lee Kirkland

Executive Officer, Director · 8 shared filings (3 issuers)

Listed on the same filings as Robert B. Karn III. Their page shows their other deals.

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

Stephen A. Mace

Executive Officer · 8 shared filings (3 issuers) · also on 4 other issuers

Stephen A. Mace is on 7 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

Samuel T. DeKinder

Director · 8 shared filings (3 issuers)

Listed on the same filings as Robert B. Karn III. Their page shows their other deals.

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

Matthew H. Scanlan

Director · 8 shared filings (2 issuers)

Listed on the same filings as Robert B. Karn III. Their page shows their other deals.

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

James J. Boyne

Director · 7 shared filings (2 issuers)

Listed on the same filings as Robert B. Karn III. Their page shows their other deals.

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

Francis Andrew Latuda, Jr.

Executive Officer, Director · 7 shared filings (2 issuers)

Listed on the same filings as Robert B. Karn III. Their page shows their other deals.

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

Michael Bertz

Director · 7 shared filings (2 issuers)

Listed on the same filings as Robert B. Karn III. Their page shows their other deals.

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

Jena Bjornson

Executive Officer · 4 shared filings (2 issuers)

Listed on the same filings as Robert B. Karn III. Their page shows their other deals.

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

Kimberly D. Wood

Executive Officer, Director · 2 shared filings (2 issuers)

Listed on the same filings as Robert B. Karn III. Their page shows their other deals.

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

Jean Barnard

Director · 2 shared filings (1 issuer)

Listed on the same filings as Robert B. Karn III. Their page shows their other deals.

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

Patricia A. Row

Director · 1 shared filing (1 issuer)

Listed on the same filings as Robert B. Karn III. Their page shows their other deals.

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

James J. Boyce

Director · 1 shared filing (1 issuer)

Listed on the same filings as Robert B. Karn III. Their page shows their other deals.

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

Craig A. Brannam

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Robert B. Karn III. Their page shows their other deals.

The team behind the deals

K
Sponsor group

Kennedy

3 issuers · 17 filings · $2.06M reported sold · 2010–2021

One team, 3 deal companies. Robert B. Karn III is listed on 3 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 Robert B. Karn III.

Registrations and other filings

Business registration (state registry / Secretary of State)

Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); KY (Kentucky Secretary of State — Business Entity Search (sosbes.sos.ky.gov), searched by issuer name, data as of Oct 24, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file).

Adviser registration (Form ADV)

A person is never an adviser firm. 3 of the 3 issuers this person is listed on match a Form ADV adviser (searched 24,962 advisers as of Oct 2, 2026): KENNEDY CAPITAL MANAGEMENT, INC., KCM SMALL CAP CORE FUND LLC, KCM MID CAP VALUE FUND LLC.

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 Robert B. Karn III 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 3 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Robert B. Karn III is listed on: none on file. No website or social profile named in KCM SMALL CAP CORE FUND LLC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #217,294 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 (St Louis, MO). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

LinkedIn people search ↗Instagram ↗X (Twitter) ↗Facebook ↗YouTube ↗Google ↗Google Images ↗Google News ↗Meta Ad Library ↗

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗Missouri Case.net ↗

Securities regulators

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

Business registries

Missouri Secretary of State business search ↗OpenCorporates ↗

Change history

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