PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:53 AM ET

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Robert J. Caruso

Named as an officer, director or promoter on SEC Form D filings · NY, Cayman Islands (as filed: E9) · Nov 30, 2011 → Feb 4, 2015

6deals (issuers)
$1.97Breported sold
321investors
9Form D filings
2011–2015years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:20 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Robert J. Caruso is listed as an executive officer, director, and promoter on 9 SEC Form D filings by 6 issuers between Oct 2009 and Feb 2015. Largest by amount reported sold: Baxter Street Fund, L.P. (New York, NY — pooled investment fund — 2012; $1.01B reported sold to 116 investors), Cooper Square Fund, L.P. (New York, NY — pooled investment fund — 2011–2012; $928.5M reported sold to 157 investors), Latigo Advisors Onshore Fund, L.P. (New York, NY — pooled investment fund — 2009–2010; $25.4M reported sold to 19 investors), Pretium Advisors Offshore Fund, Ltd. (Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2010; $1.65M reported sold to 4 investors), Mission Markets, Inc. (New York, NY — other technology — 2013–2015; $1.51M reported sold to 23 investors) and 1 more (all listed below).

What this means A repeat sponsor — 6 separate companies raised money with this person listed as executive officer, director, and promoter, over about 6 years. Across those companies the filings report $1.97B sold in total.

Listed alongside George S. Loening (5 shared filings), David Sabath (3 shared filings), David Ford (2 shared filings), Duncan Goldie-Scot (2 shared filings), James R. Berman (2 shared filings) and 14 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.

The issuers belong to 2 sponsor groups: Astor Place (44 issuers, $22.35B reported sold, 2010–2026) and Pretium (59 issuers, $13.79B reported sold, 2009–2026).

What this means This person is listed across more than one sponsor team; each group page shows that team's full track record.

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) — 20 bankruptcy cases matching the name listed in Key records below.

What this means 20 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 9 public filings for Robert J. Caruso and found 14 differences, 6 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 Robert J. Caruso has not run yet — it is joining a line of 42,988 names; searches run around the clock at the hosts' allowed rate. Searched so far: 641 names.

Community comments are quoted as written by their authors. Sources searched: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

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

What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:20 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 Robert J. Caruso..

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

20 cases: 2 open, 18 closed (disposition not in docket feed)

Robert Caruso open
United States Bankruptcy Court, D. New Jersey · No. 25-18850 · Filed Aug 22, 2025
Role of Robert Caruso: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same full name (a name found in 57 federal dockets); 2 people with this name in Form D filings; court in NJ (not a filing state)
Robert Caruso open
United States Bankruptcy Court, D. Massachusetts · No. 25-10499 · Filed Mar 14, 2025
Role of Robert Caruso: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same full name (a name found in 57 federal dockets); 2 people with this name in Form D filings; court in MA (not a filing state)
Robert Caruso closed
United States Bankruptcy Court, S.D. New York · No. 23-22847 · Filed Nov 14, 2023 · Closed Aug 27, 2024
Role of Robert Caruso: Debtor · Outcome: Case closed 2024-08-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 57 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (NY)
Robert J. Caruso closed
United States Bankruptcy Court, M.D. Florida · No. 3:20-bk-01205 · Filed Apr 2, 2020 · Closed Nov 23, 2020
Role of Robert J. Caruso: Debtor · Outcome: Case closed 2020-11-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 57 federal dockets); 2 people with this name in Form D filings; court in FL (not a filing state)
Robert A. Caruso, Jr. closed
United States Bankruptcy Court, N.D. New York · No. 18-60712 · Filed May 24, 2018 · Closed Oct 2, 2018
Role of Robert A. Caruso, Jr.: Debtor · Outcome: Case closed 2018-10-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 57 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Robert A Caruso closed
United States Bankruptcy Court, S.D. New York · No. 15-23780 · Filed Dec 18, 2015 · Closed Jan 19, 2021
Role of Robert A Caruso: Debtor · Outcome: Case closed 2021-01-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 57 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Robert J Caruso, Jr. closed
United States Bankruptcy Court, W.D. Michigan · No. 15-06079 · Filed Nov 5, 2015 · Closed Mar 15, 2016
Role of Robert J Caruso, Jr.: Debtor · Outcome: Case closed 2016-03-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 57 federal dockets); 2 people with this name in Form D filings; court in MI (not a filing state)
Robert J. Caruso and Jessica S. Caruso closed
United States Bankruptcy Court, D. Massachusetts · No. 14-42311 · Filed Oct 23, 2014 · Closed Feb 6, 2015
Role of Robert J. Caruso and Jessica S. Caruso: Debtor · Outcome: Case closed 2015-02-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 57 federal dockets); 2 people with this name in Form D filings; court in MA (not a filing state)
Robert J Caruso closed
United States Bankruptcy Court, E.D. New York · No. 8-13-73788 · Filed Jul 22, 2013 · Closed Feb 19, 2016
Role of Robert J Caruso: Debtor · Outcome: Case closed 2016-02-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 57 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (NY)
Robert Caruso closed
United States Bankruptcy Court, N.D. California · No. 12-56167 · Filed Aug 20, 2012 · Closed Aug 17, 2016
Role of Robert Caruso: Debtor · Outcome: Case closed 2016-08-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 57 federal dockets); 2 people with this name in Form D filings; court in CA (not a filing state)
Robert J. Caruso, Sr. and Kathleen Crockett Caruso closed
United States Bankruptcy Court, N.D. Texas · No. 09-36275 · Filed Sep 24, 2009 · Closed Jan 25, 2010
Role of Robert J. Caruso, Sr.: Debtor · Outcome: Case closed 2010-01-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 57 federal dockets); 2 people with this name in Form D filings; court in TX (not a filing state)
Robert Caruso closed
United States Bankruptcy Court, S.D. Florida. · No. 08-13761 · Filed Mar 28, 2008 · Closed Jul 29, 2008
Role of Robert Caruso: Debtor · Outcome: Case closed 2008-07-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 57 federal dockets); 2 people with this name in Form D filings; court in FL (not a filing state)
Robert J. Caruso closed
United States Bankruptcy Court, D. New Jersey · No. 06-22153 · Filed Dec 5, 2006 · Closed Mar 15, 2007
Role of Robert J. Caruso: Debtor · Outcome: Case closed 2007-03-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 57 federal dockets); 2 people with this name in Form D filings; court in NJ (not a filing state)
Robert M. Caruso closed
United States Bankruptcy Court, W.D. New York · No. 2-06-20611 · Filed Apr 26, 2006 · Closed Jun 24, 2008
Role of Robert M. Caruso: Debtor · Outcome: Case closed 2008-06-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 57 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Heather M. Caruso and Robert Caruso, II closed
United States Bankruptcy Court, D. Maine · No. 03-11942 · Filed Oct 10, 2003 · Closed Jan 22, 2004
Role of Robert Caruso, II: Debtor · Outcome: Case closed 2004-01-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 57 federal dockets); 2 people with this name in Form D filings; court in ME (not a filing state)
Robert Caruso closed
United States Bankruptcy Court, D. New Jersey · No. 03-35643 · Filed Aug 4, 2003 · Closed May 15, 2008
Role of Robert Caruso: Debtor · Outcome: Case closed 2008-05-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 57 federal dockets); 2 people with this name in Form D filings; court in NJ (not a filing state)
Robert Caruso closed
United States Bankruptcy Court, D. New Jersey · No. 97-28285 · Filed Jul 15, 1997 · Closed Nov 10, 1998
Role of Robert Caruso: Debtor · Outcome: Case closed 1998-11-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 57 federal dockets); 2 people with this name in Form D filings; court in NJ (not a filing state)
Robert Caruso closed
United States Bankruptcy Court, D. New Jersey · No. 96-20366 · Filed Jan 18, 1996 · Closed Apr 30, 1997
Role of Robert Caruso: Debtor · Outcome: Case closed 1997-04-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 57 federal dockets); 2 people with this name in Form D filings; court in NJ (not a filing state)
Robert Caruso closed
United States Bankruptcy Court, D. New Jersey · No. 95-20547 · Filed Jan 23, 1995 · Closed Feb 2, 1996
Role of Robert Caruso: Debtor · Outcome: Case closed 1996-02-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 57 federal dockets); 2 people with this name in Form D filings; court in NJ (not a filing state)
Robert J. Caruso and Joyce A. Caruso closed
United States Bankruptcy Court, D. Massachusetts · No. 91-16380 · Filed Jul 26, 1991 · Closed Jun 5, 1992
Role of Robert J. Caruso and Joyce A. Caruso: Debtor · Outcome: Case closed 1992-06-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 57 federal dockets); 2 people with this name in Form D filings; court in MA (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, 2:20 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

14 differences found between the filings for Robert J. Caruso — 6 worth asking about (compared 9 filings on Oct 24, 2026)

Worth asking · Oct 13, 2010 – Oct 13, 2011

Amount sold went down between filings — Pretium Advisors Offshore Fund, Ltd.

The Oct 13, 2010 filing says $1,650,000 sold; the Oct 13, 2011 Form D/A says $776,059 sold — $873,941 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) · Oct 13, 2010 ↗Form D/A (later) · Oct 13, 2011 ↗Pretium Advisors Offshore Fund, Ltd. — PartnerFacts page ↗
Sources
Worth asking · Oct 13, 2010 – Oct 13, 2011

Amount sold went down between filings — Latigo Advisors Onshore Fund, L.P.

The Oct 13, 2010 filing says $25,350,165 sold; the Oct 13, 2011 Form D/A says $15,418,953 sold — $9,931,212 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) · Oct 13, 2010 ↗Form D/A (later) · Oct 13, 2011 ↗Latigo Advisors Onshore Fund, L.P. — PartnerFacts page ↗
Sources
Worth asking · Oct 13, 2010 – Oct 13, 2011

Investor count went down between filings — Pretium Advisors Offshore Fund, Ltd.

The Oct 13, 2010 filing reports 4 investors; the Oct 13, 2011 Form D/A reports 2 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) · Oct 13, 2010 ↗Form D/A (later) · Oct 13, 2011 ↗Pretium Advisors Offshore Fund, Ltd. — PartnerFacts page ↗
Sources
Worth asking · Oct 13, 2010 – Oct 13, 2011

Investor count went down between filings — Latigo Advisors Onshore Fund, L.P.

The Oct 13, 2010 filing reports 19 investors; the Oct 13, 2011 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) · Oct 13, 2010 ↗Form D/A (later) · Oct 13, 2011 ↗Latigo Advisors Onshore Fund, L.P. — PartnerFacts page ↗
Sources
Note · Oct 17, 2014

Robert J. Caruso appears on 1 deal that stopped filing before reaching its target

Impact Republic, LLC (last filing Oct 17, 2014; $550,000 sold of $5,000,000). 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.

Impact Republic, LLC — PartnerFacts page ↗
Sources
Worth asking · Jan 3, 2011 – Feb 4, 2015

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

Form D filed 96 days after the first sale — Mission Markets, Inc. · Form D filed 103 days after the first sale — Mission Markets, Inc. · Form D filed 111 days after the first sale — Baxter Street Fund, L.P. · Form D filed 331 days after the first sale — Cooper Square Fund, L.P.

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 · Feb 4, 2015 ↗Mission Markets, Inc. — PartnerFacts page ↗Form D · Sep 3, 2013 ↗Form D · Dec 21, 2012 ↗
Sources
Note · Oct 31, 2014 – Feb 4, 2015

No amendment in the last 12 months on an offering that may still be open — Mission Markets, Inc. (latest filing Feb 4, 2015)

The latest filing for this offering is dated Feb 4, 2015 (first sale Oct 31, 2014). It reports $160,000 sold of $1,000,000 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 · Feb 4, 2015 ↗Mission Markets, Inc. — PartnerFacts page ↗
Sources
Note · Oct 3, 2014 – Oct 17, 2014

No amendment in the last 12 months on an offering that may still be open — Impact Republic, LLC (latest filing Oct 17, 2014)

The latest filing for this offering is dated Oct 17, 2014 (first sale Oct 3, 2014). It reports $550,000 sold of $5,000,000 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 · Oct 17, 2014 ↗Impact Republic, LLC — PartnerFacts page ↗
Sources
Note · May 23, 2013 – Sep 3, 2013

No amendment in the last 12 months on an offering that may still be open — Mission Markets, Inc. (latest filing Sep 3, 2013)

The latest filing for this offering is dated Sep 3, 2013 (first sale May 23, 2013). It reports $1,508,581 sold of $2,016,000 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 · Sep 3, 2013 ↗Mission Markets, Inc. — PartnerFacts page ↗
Sources
Worth asking · Oct 13, 2010 – Nov 19, 2013

4 people are no longer listed on a later amendment

Robert J. Caruso is no longer listed on the Nov 19, 2013 amendment — Baxter Street Fund, L.P. · Robert J. Caruso is no longer listed on the Nov 19, 2013 amendment — Cooper Square Fund, L.P. · Robert J. Caruso is no longer listed on the Oct 13, 2011 amendment — Pretium Advisors Offshore Fund, Ltd. · Robert J. Caruso is no longer listed on the Oct 13, 2011 amendment — Latigo Advisors Onshore Fund, L.P.

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

Form D · Dec 21, 2012 ↗Form D/A · Nov 19, 2013 ↗Robert J. Caruso — PartnerFacts page ↗Baxter Street Fund, L.P. — PartnerFacts page ↗
Sources
Note · Oct 14, 2009 – Oct 17, 2014

Robert J. Caruso is written 3 different ways on the filings

listed as "Robert Caruso" on 2 filings (from Oct 14, 2009), and "Robert J. Caruso" on 6 filings (from Oct 13, 2010), and "Robert Joseph Caruso" on the Oct 17, 2014 filing.

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

Form D · Oct 14, 2009 ↗Form D/A · Oct 13, 2010 ↗Form D · Oct 17, 2014 ↗Robert J. Caruso — PartnerFacts page ↗
Sources
Note · Nov 15, 2012 – Sep 4, 2019

Same name, different state: "Robert Caruso" (NJ) is a separate record

This page covers filings where the address state is NY or E9. A separate record, "Robert Caruso" with address state NJ, is listed on 3 filings — most recently by SOCAP Global, PBC (Sep 4, 2019). Both records have filings in the same period (Nov 15, 2012 to Feb 4, 2015).

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.

Robert Caruso (NJ) — PartnerFacts page ↗Form D · Sep 4, 2019 ↗SOCAP Global, PBC — PartnerFacts page ↗Robert J. Caruso (NY,E9) — this page ↗
Sources
Note · Jan 28, 2020 – Jan 28, 2021

Address moved from Grand Cayman, Cayman Islands (as filed: E9) to New York, NY — Pretium Advisors Offshore Fund, Ltd.

The people listed on the Jan 28, 2020 filing give Grand Cayman, Cayman Islands (as filed: E9); on the Jan 28, 2021 filing they give New York, NY. The address now on file (Citco Fund Svcs (Cayman Islands) Ltd, 89 Nexus Way, 2nd Floor, Grand Cayman, Cayman Islands (as filed: E9)) is a registered-agent or shared-office address used by 53 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 · Jan 28, 2020 ↗Form D/A · Jan 28, 2021 ↗Pretium Advisors Offshore Fund, Ltd. — PartnerFacts page ↗
Sources
Note · Oct 14, 2009 – Feb 4, 2015

Robert J. Caruso is listed with 2 different address states: NY, E9

NY on 8 filings (Oct 14, 2009 to Feb 4, 2015); Cayman Islands (as filed: E9) on 1 filing (Oct 13, 2010).

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 · Oct 14, 2009 ↗Form D/A · Oct 13, 2010 ↗
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

None reported on 7 offerings — no sales commissions, finder's fees or proceeds to insiders

Per-offering detail
Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Feb 4, 2015 D
Mission Markets, Inc.
File 021-233423
$0$0$0None listed on this filingEDGAR ↗
Oct 17, 2014 D
Impact Republic, LLC
File 021-226686
$0$0$0None listed on this filingEDGAR ↗
Sep 3, 2013 D
Mission Markets, Inc.
File 021-202190
$0$0$0None listed on this filingEDGAR ↗
Dec 21, 2012 D
Baxter Street Fund, L.P.
File 021-188834
$0$0$0None listed on this filingEDGAR ↗
Nov 29, 2012 D/A
Cooper Square Fund, L.P.
File 021-169396
$0$0$0None listed on this filingEDGAR ↗
Oct 13, 2010 D/A
Latigo Advisors Onshore Fund, L.P.
File 021-135291
$0$0$0
The fund charges a management fee that is described in the fund's offering documents.
None listed on this filingEDGAR ↗
Oct 13, 2010 D/A
Pretium Advisors Offshore Fund, Ltd.
File 021-135266
$0$0$0
The fund charges a management fee that is described in the fund's offering documents.
None listed on this filingEDGAR ↗

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

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

Deals 6

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

MM
Other Technology

Mission Markets, Inc.

New York, NY · Sep 3, 2013 → Feb 4, 2015 · 2 filings
  • Feb 4, 2015 · D · $160,000 sold of $1,000,000 · 1 investors · min. $10,000 · role: Director EDGAR ↗
  • Sep 3, 2013 · D · $1,508,581 sold of $2,016,000 · 15 investors · min. $10,000 · role: Director EDGAR ↗

Raised $1.51M from 23 investors (100% of the $1M target) as of the latest filing. Robert is listed as director on 2 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Other Technology / 506(b) (17,390 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.

IR
Other

Impact Republic, LLC

New York, NY · Oct 17, 2014
  • Oct 17, 2014 · D · $550,000 sold of $5,000,000 · 2 investors · min. No minimum reported · role: Executive Officer, Director, Promoter EDGAR ↗

Raised $550K from 2 investors (11% of the $5M target) as of the latest filing. Robert is listed as executive officer, director, 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: Other / 506(b) (18,678 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.

BS
Pooled Investment Fund · group: Astor Place

Baxter Street Fund, L.P.

New York, NY · Dec 21, 2012
  • Dec 21, 2012 · D · $9,000,000 sold of Indefinite · 3 investors · min. No minimum reported · role: Executive Officer (Member of the General Partner of the Issuer) EDGAR ↗

Raised $1.01B from 116 investors as of the latest filing. Robert 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.

CS
Pooled Investment Fund · group: Astor Place

Cooper Square Fund, L.P.

New York, NY · Nov 30, 2011 → Nov 29, 2012 · 2 filings
  • Nov 29, 2012 · D/A · $26,379,091 sold of Indefinite · 37 investors · min. No minimum reported · role: Executive Officer (Member of the General Partner of the Issuer) EDGAR ↗
  • Nov 30, 2011 · D · $17,811,187 sold of Indefinite · 22 investors · min. No minimum reported · role: Executive Officer (Member of the General Partner of the Issuer) EDGAR ↗

Raised $928.5M from 157 investors as of the latest filing. Robert is listed as executive officer on 2 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

PA
Pooled Investment Fund · group: Pretium

Pretium Advisors Offshore Fund, Ltd.

Grand Cayman, Cayman Islands (as filed: E9) · Oct 13, 2010
  • Oct 13, 2010 · D/A · $1,650,000 sold of Indefinite · 4 investors · min. $100,000 · role: Director EDGAR ↗

Raised $1.65M from 4 investors 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.

LA
Pooled Investment Fund · group: Pretium

Latigo Advisors Onshore Fund, L.P.

New York, NY · Oct 14, 2009 → Oct 13, 2010 · 2 filings
  • Oct 13, 2010 · D/A · $25,350,165 sold of Indefinite · 19 investors · min. No minimum reported · role: Executive Officer (Member of SEGOC, LLC) EDGAR ↗
  • Oct 14, 2009 · D · $12,654,825 sold of Indefinite · 16 investors · min. No minimum reported · role: Executive Officer (Member of Select Platform Expansion Carry, LLC) EDGAR ↗

Raised $25.4M from 19 investors as of the latest filing. Robert is listed as executive officer on 2 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

Other pages with the same name (1)

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

  • Robert Caruso — NJ, 2 issuers, Nov 15, 2012 → Sep 4, 2019 · no shared issuer

People around Robert 19

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

SL
Management entity

SEG Latigo GP, LLC

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Robert J. Caruso. Their page shows their other deals.

S
Management entity

SEGOC, LLC

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Robert J. Caruso. Their page shows their other deals.

LG
Management entity

Latigo GP LLC

Executive Officer · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as Robert J. Caruso. Their page shows their other deals.

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

George S. Loening

Executive Officer · 5 shared filings (3 issuers) · also on 41 other issuers

George S. Loening is on 44 issuers in total — a repeat sponsor. Their page lists every one.

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

David Sabath

Executive Officer, Director · 3 shared filings (2 issuers) · also on 5 other issuers

David Sabath is on 7 issuers in total — a repeat sponsor. Their page lists every one.

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

David Ford

Executive Officer · 2 shared filings (1 issuer) · also on 8 other issuers

David Ford is on 9 issuers in total — a repeat sponsor. Their page lists every one.

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

Michael Jay Van Patten

Executive Officer, Director · 2 shared filings (1 issuer)

Listed on the same filings as Robert J. Caruso. Their page shows their other deals.

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

Duncan Goldie-Scot

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

Listed on the same filings as Robert J. Caruso. Their page shows their other deals.

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

Judith Albert

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

Listed on the same filings as Robert J. Caruso. Their page shows their other deals.

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

James Sorenson

Director · 2 shared filings (1 issuer)

Listed on the same filings as Robert J. Caruso. Their page shows their other deals.

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

Kenneth Henry Marienau

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Robert J. Caruso. Their page shows their other deals.

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

Sarah Johnson Redlich

Director · 2 shared filings (1 issuer)

Listed on the same filings as Robert J. Caruso. Their page shows their other deals.

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

James R. Berman

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Robert J. Caruso. Their page shows their other deals.

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

Grant Jackson

Director · 1 shared filing (1 issuer) · also on 163 other issuers

Grant Jackson is on 164 issuers in total — a repeat sponsor. Their page lists every one.

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

Martin Lang

Director · 1 shared filing (1 issuer) · also on 155 other issuers

Martin Lang is on 156 issuers in total — a repeat sponsor. Their page lists every one.

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

Navroze Mehta

Director · 1 shared filing (1 issuer) · also on 10 other issuers

Navroze Mehta is on 11 issuers in total — a repeat sponsor. Their page lists every one.

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

Jeff Tuller

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Robert J. Caruso. Their page shows their other deals.

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

Darren Christopher Jennings

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

Listed on the same filings as Robert J. Caruso. Their page shows their other deals.

The team behind the deals

AP
Sponsor group

Astor Place

44 issuers · 342 filings · $22.35B reported sold · 2010–2026

One team, 44 deal companies. Robert J. Caruso is listed on 2 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 J. Caruso.

P
Sponsor group

Pretium

59 issuers · 162 filings · $13.79B reported sold · 2009–2026

One team, 59 deal companies. Robert J. Caruso is listed on 2 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 J. Caruso.

Same business address

30 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); 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. 1 of the 6 issuers this person is listed on matches a Form ADV adviser (searched 24,962 advisers as of Oct 2, 2026): Pretium Advisors Offshore Fund, Ltd..

Other offering types (Regulation A and Regulation Crowdfunding)

Searched SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.

Property records none — individuals are not matched

Property records are matched to companies only, never to individuals, so none are matched to Robert J. Caruso 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 6 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Robert J. Caruso is listed on: none on file. No website or social profile named in Cooper Square Fund, L.P.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #73,160 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓

Look further

One-tap searches on sites we do not index ourselves, with the name pre-filled (New York, NY). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

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Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗New York WebCivil Supreme ↗

Securities regulators

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

Business registries

New York Secretary of State business search ↗OpenCorporates ↗

Change history

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