Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:28 AM ET

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Robert Davis

Named as an officer, director or promoter on SEC Form D filings · CT, CA · Sep 14, 2009 → Jul 29, 2025

21deals (issuers)

$1.65Breported sold

210investors

37Form D filings

2009–2025years 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, 2:19 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Robert Davis is listed as an executive officer, director, and promoter on 37 SEC Form D filings by 21 issuers between Sep 2009 and Jul 2025. Largest by amount reported sold: Littlejohn Fund IV, L.P. (Greenwich, CT — pooled investment fund — 2009–2010; $1.34B reported sold to 70 investors), Littlejohn Opportunities Offshore Fund Ltd (Greenwich, CT — pooled investment fund — 2013–2018; $99.1M reported sold to 17 investors), Littlejohn Opportunities Fund LP (Greenwich, CT — pooled investment fund — 2011–2018; $91M reported sold to 92 investors), LJ BRODER CO-INVEST, LLC (Greenwich, CT — industry reported as "Other" — 2014; $73.2M reported sold to 9 investors), LJ SM Co-Invest, L.P. (Greenwich, CT — pooled investment fund — 2018; $34.4M reported sold to 9 investors) and 16 more (all listed below).

What this means That is a lot of deals — 21 separate companies raised money with this person listed as executive officer, director, and promoter, over about 16 years. Across those companies the filings report $1.65B sold in total.

Listed alongside Michael Klein (36 shared filings), Richard Maybaum (36 shared filings), Brian E. Ramsay (21 shared filings), Kenneth Warren (21 shared filings), Angus C. Littlejohn, Jr. (17 shared filings) and 18 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: Littlejohn (28 issuers, $1.72B reported sold, 2009–2026) and Santa Clara Scf (2 issuers, $0 reported sold, 2018–2020).

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) — 5 court cases matching the name, 10 SEC releases, 2 state regulator orders, 9 bankruptcy cases matching the name listed in Key records below.

What this means 26 records came back, including 1 court case still open — open cases can take years and cost money. 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 37 public filings for Robert Davis and found 16 differences, 3 worth asking the sponsor about: 4 regulator actions name the subject or team members; 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 Davis has not run yet — it is joining a line of 54,747 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

5 cases: 1 open, 4 closed (disposition not in docket feed)

Robert Davis, Jr. v. United States open

District Court, C.D. California · No. 2:26-cv-08046 · Filed Jul 22, 2026

Role of Robert Davis, Jr.: Plaintiff · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗

same full name (a name found in 2994 federal dockets); 24 people with this name in Form D filings; court in the person's filing state (CA)

Robert W. Davis v. Curtin Maritime Corporation closed

District Court, C.D. California · No. 2:20-cv-10580 · Filed Nov 19, 2020 · Closed Jul 8, 2021

Role of Robert W. Davis: Plaintiff · Outcome: Terminated 2021-07-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 2994 federal dockets); 24 people with this name in Form D filings; court in the person's filing state (CA)

Robert Davis v. Johnson and Johnson closed

District Court, C.D. California · No. 2:19-cv-03302 · Filed Apr 24, 2019 · Closed Jun 18, 2019 · Nature of suit: Personal Inj. Prod. Liability · Cause: 28:1441 Notice of Removal

Role of Robert Davis: Plaintiff · Outcome: Terminated 2019-06-18 — FJC Integrated Database disposition: Remanded to state court Docket on CourtListener ↗

same full name (a name found in 2994 federal dockets); 24 people with this name in Form D filings; court in the person's filing state (CA)

Securities and Exchange Commission v. Robert S. Davis Jr. closed

District Court, C.D. California · No. 2:18-cv-10481 · Filed Dec 18, 2018 · Closed Feb 18, 2020 · Nature of suit: 850 Securities/Commodities · Cause: 15:78m(a) Securities Exchange Act

Role of Robert S. Davis Jr.: Defendant · Outcome: Terminated 2020-02-18 — FJC Integrated Database disposition: Statistical closing Docket on CourtListener ↗

same full name (a name found in 2994 federal dockets); 24 people with this name in Form D filings; court in the person's filing state (CA)

Advanced Group 16-114 LP v. Robert Davis closed

District Court, C.D. California · No. 8:16-cv-02028 · Filed Nov 8, 2016 · Closed Nov 15, 2016 · Nature of suit: 290 Real Property: Other · Cause: 28:1441 Notice of Removal

Role of Robert Davis: Defendant · Outcome: Terminated 2016-11-15 — FJC Integrated Database disposition: Remanded to state court Docket on CourtListener ↗

same full name (a name found in 2994 federal dockets); 24 people with this name in Form D filings; court in the person's filing state (CA)

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, 2:19 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

10 SEC releases; 2 state regulator orders

Robert S. "Lute" Davis, Jr. Administrative proceeding

SEC · Jan 27, 2020 · Parties as named in the release: Robert S. "Lute" Davis, Jr. Read the release ↗

person name, state, middle initial differs; common name

Robert S. Davis, Jr., et al. Litigation release

SEC · May 22, 2019 · Parties as named in the release: Robert S. Davis, Jr., et al. Read the release ↗

same full name in the release title; 24 people with this name in Form D filings; the person's filing state is named in the release

Robert S. "Lute" Davis, Jr., et al., Jordan E. Goodman., Alan H. New, et al. Litigation release

SEC · Dec 19, 2018 · Parties as named in the release: Robert S. "Lute" Davis, Jr., et al., Jordan E. Goodman., Alan H. New, et al. Read the release ↗

person name, middle initial differs; common name

Robert W. Davis (CPA) Administrative proceeding

SEC · Dec 5, 2017 · Parties as named in the release: Robert W. Davis (CPA) Read the release ↗

same full name in the release title; 24 people with this name in Form D filings; the person's filing state is not named

Agreed Order TX · Texas State Securities Board (TSSB)

Order date Oct 3, 2016 · Regulator: Texas State Securities Board (TSSB) · ENF-17-CDO-1748 · Parties (regulator's caption): Old Security Financial Group Inc. ; Donald Anthony MacKenzie; and Robert S. Davis Jr.

Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗

same full name in the order; 24 people with this name in Form D filings; regulator in TX (not a filing state)

Robert W. Davis and Randall D. Imhoff Litigation release

SEC · Aug 27, 2010 · Parties as named in the release: Robert W. Davis and Randall D. Imhoff Read the release ↗

same full name in the release title; 24 people with this name in Form D filings; the person's filing state is not named

Stipulation and Consent CO · Colorado Department of Regulatory Agencies, Division of Securities

Order date May 29, 2009 · Regulator: Colorado Department of Regulatory Agencies, Division of Securities · Parties (regulator's caption): Southwest Opportunity Partners, LLC, and Robert Davis

Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗

same full name in the order; 24 people with this name in Form D filings; regulator in CO (not a filing state)

Neil D. Silver and Robert Kenneth Davis Administrative proceeding

SEC · Nov 18, 2005 · Parties as named in the release: Neil D. Silver and Robert Kenneth Davis Read the release ↗

person name, middle initial differs; common name

Scott Gershon, Paul Cifaldi, Neil Silver and Robert Davis Litigation release

SEC · Oct 20, 2005 · Parties as named in the release: Scott Gershon, Paul Cifaldi, Neil Silver and Robert Davis Read the release ↗

same full name in the release title; 24 people with this name in Form D filings; the person's filing state is not named

Douglas R. Damon, Robert M. Davis, and Kenneth C. Klovitz Administrative proceeding

SEC · May 7, 1997 · Parties as named in the release: Douglas R. Damon, Robert M. Davis, and Kenneth C. Klovitz Read the release ↗

same full name in the release title; 24 people with this name in Form D filings; the person's filing state is not named

Douglas R. Damon, Robert M. Davis and Kenneth C. Kolovitz Litigation release

SEC · May 29, 1996 · Parties as named in the release: Douglas R. Damon, Robert M. Davis and Kenneth C. Kolovitz Read the release ↗

same full name in the release title; 24 people with this name in Form D filings; the person's filing state is not named

Douglas r. Damon, Robert M. Davis and Kenneth C. Kolovitz Litigation release

SEC · Jan 16, 1996 · Parties as named in the release: Douglas r. Damon, Robert M. Davis and Kenneth C. Kolovitz Read the release ↗

same full name in the release title; 24 people with this name in Form D filings; the person's filing state is not named

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 Davis..

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

9 cases: 9 closed (disposition not in docket feed)

Robert J. Davis closed

United States Bankruptcy Court, S.D. California · No. 21-04192 · Filed Oct 28, 2021 · Closed Feb 14, 2022

Role of Robert J. Davis: Debtor · Outcome: Case closed 2022-02-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 2994 federal dockets); 24 people with this name in Form D filings; court in the person's filing state (CA)

Robert C Davis and Miriam M Davis closed

United States Bankruptcy Court, S.D. California · No. 19-06228 · Filed Oct 16, 2019 · Closed Jan 21, 2020

Role of Robert C Davis and Miriam M Davis: Debtor · Outcome: Case closed 2020-01-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 2994 federal dockets); 24 people with this name in Form D filings; court in the person's filing state (CA)

Robert E Davis, Sr closed

United States Bankruptcy Court, C.D. California · No. 6:18-bk-11047 · Filed Feb 9, 2018 · Closed May 22, 2018

Role of Robert E Davis, Sr: Debtor · Outcome: Case closed 2018-05-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 2994 federal dockets); 24 people with this name in Form D filings; court in the person's filing state (CA)

Robert M Davis and Candace J Davis closed

United States Bankruptcy Court, C.D. California · No. 2:15-bk-19605 · Filed Jun 16, 2015 · Closed Jul 11, 2019

Role of Robert M Davis and Candace J Davis: Debtor · Outcome: Case closed 2019-07-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 2994 federal dockets); 24 people with this name in Form D filings; court in the person's filing state (CA)

ROBERT P. DAVIS closed

United States Bankruptcy Court, E.D. California · No. 15-11581 · Filed Apr 23, 2015 · Closed Aug 21, 2015

Role of ROBERT P. DAVIS: Debtor · Outcome: Case closed 2015-08-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 2994 federal dockets); 24 people with this name in Form D filings; court in the person's filing state (CA)

Robert W Davis and Gail M Davis closed

United States Bankruptcy Court, D. Connecticut · No. 15-20069 · Filed Jan 15, 2015 · Closed May 20, 2015

Role of Robert W Davis and Gail M Davis: Debtor · Outcome: Case closed 2015-05-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 2994 federal dockets); 24 people with this name in Form D filings; court in the person's filing state (CT)

Robert M. Davis and Denise L. Davis closed

United States Bankruptcy Court, S.D. California · No. 14-00071 · Filed Jan 7, 2014 · Closed Apr 14, 2014

Role of Robert M. Davis and Denise L. Davis: Debtor · Outcome: Case closed 2014-04-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 2994 federal dockets); 24 people with this name in Form D filings; court in the person's filing state (CA)

Robert G. Davis and Lynn M. Davis closed

United States Bankruptcy Court, S.D. California · No. 13-10381 · Filed Oct 23, 2013 · Closed Mar 14, 2014

Role of Robert G. Davis and Lynn M. Davis: Debtor · Outcome: Case closed 2014-03-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 2994 federal dockets); 24 people with this name in Form D filings; court in the person's filing state (CA)

Robert Davis closed

United States Bankruptcy Court, N.D. California · No. 13-11100 · Filed May 30, 2013 · Closed May 28, 2014

Role of Robert Davis: Debtor · Outcome: Case closed 2014-05-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 2994 federal dockets); 24 people with this name in Form D filings; court in the person's filing state (CA)

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, 2:19 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

16 differences found between the filings for Robert Davis — 3 worth asking about (compared 37 filings on Oct 24, 2026)

Worth asking · Nov 18, 2005 – Jan 27, 2020

4 regulator actions name the subject or team members

Regulator action: Robert S. "Lute" Davis, Jr. (Jan 27, 2020) · Regulator action: Robert S. Davis, Jr., et al. (May 22, 2019) · Regulator action: Robert S. "Lute" Davis, Jr., et al., Jordan E. Goodman., Alan H. New, et al. (Dec 19, 2018) · Regulator action: Neil D. Silver and Robert Kenneth Davis (Nov 18, 2005)

What this means A regulator filed or announced an action naming this person or company (or someone on the same filings). Read the release; ask the sponsor what it was and how it ended.

Robert S. "Lute" Davis, Jr. ↗Robert S. Davis, Jr., et al. ↗Robert S. "Lute" Davis, Jr., et al., Jordan E. Goodman., Alan H. New, et al. ↗Neil D. Silver and Robert Kenneth Davis ↗

Sources

Robert S. "Lute" Davis, Jr. ↗ (Jan 27, 2020)
Robert S. Davis, Jr., et al. ↗ (May 22, 2019)
Robert S. "Lute" Davis, Jr., et al., Jordan E. Goodman., Alan H. New, et al. ↗ (Dec 19, 2018)
Neil D. Silver and Robert Kenneth Davis ↗ (Nov 18, 2005)

Worth asking · Feb 28, 2017 – Feb 14, 2018

Investor count went down between filings — Littlejohn Opportunities Fund LP

The Feb 28, 2017 filing reports 92 investors; the Feb 14, 2018 Form D/A reports 60 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) · Feb 28, 2017 ↗Form D/A (later) · Feb 14, 2018 ↗Littlejohn Opportunities Fund LP — PartnerFacts page ↗

Sources

Form D/A (earlier) · Feb 28, 2017 ↗ (Feb 28, 2017)
Form D/A (later) · Feb 14, 2018 ↗ (Feb 14, 2018)
Littlejohn Opportunities Fund LP — PartnerFacts page ↗ (Feb 14, 2018)

Worth asking · Jul 29, 2025

6 paid sellers are listed without a CRD number

Paid seller listed without a CRD number: Finex Hong Kong Limited — Littlejohn Fund VII-A, L.P. · Paid seller listed without a CRD number: GENCAP GLOBAL ADVISORS DMCC — Littlejohn Fund VII-A, L.P. · Paid seller listed without a CRD number: Allen Partners — Littlejohn Fund VII-A, L.P. · Paid seller listed without a CRD number: Finex Hong Kong Limited — Littlejohn Fund VII, L.P. · Paid seller listed without a CRD number: GENCAP GLOBAL ADVISORS DMCC — Littlejohn Fund VII, L.P. · and 1 more

What this means Without a CRD number we cannot look a seller up on BrokerCheck. Ask who they are and whether they are registered.

Form D · Jul 29, 2025 ↗BrokerCheck search: Finex Hong Kong Limited ↗Littlejohn Fund VII-A, L.P. — PartnerFacts page ↗BrokerCheck search: GENCAP GLOBAL ADVISORS DMCC ↗

Sources

Form D · Jul 29, 2025 ↗ (Jul 29, 2025)
BrokerCheck search: Finex Hong Kong Limited ↗
Littlejohn Fund VII-A, L.P. — PartnerFacts page ↗ (Jul 29, 2025)
BrokerCheck search: GENCAP GLOBAL ADVISORS DMCC ↗
BrokerCheck search: Allen Partners ↗
Form D · Jul 29, 2025 ↗ (Jul 29, 2025)
Littlejohn Fund VII, L.P. — PartnerFacts page ↗ (Jul 29, 2025)

Note · Dec 21, 2017 – Jan 9, 2018

Form D filed 19 days after the first sale — LJ SM Co-Invest, L.P.

The filing says the first sale was Dec 21, 2017. The Form D was filed Jan 9, 2018 — 19 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 4 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 · Jan 9, 2018 ↗LJ SM Co-Invest, L.P. — PartnerFacts page ↗

Sources

Form D · Jan 9, 2018 ↗ (Jan 9, 2018)
LJ SM Co-Invest, L.P. — PartnerFacts page ↗ (Jan 9, 2018)

Note · Jun 30, 2015 – Aug 28, 2015

Form D filed 59 days after the first sale — Faraday Holdings, LLC

The filing says the first sale was Jun 30, 2015. The Form D was filed Aug 28, 2015 — 59 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 44 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 · Aug 28, 2015 ↗Faraday Holdings, LLC — PartnerFacts page ↗

Sources

Form D · Aug 28, 2015 ↗ (Aug 28, 2015)
Faraday Holdings, LLC — PartnerFacts page ↗ (Aug 28, 2015)

Note · Jan 30, 2013 – Feb 14, 2018

No amendment in the last 12 months on an offering that may still be open — Littlejohn Opportunities Offshore Fund Ltd (latest filing Feb 14, 2018)

The latest filing for this offering is dated Feb 14, 2018 (first sale Jan 30, 2013). It reports $99,089,899 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.

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

Form D/A · Feb 14, 2018 ↗Littlejohn Opportunities Offshore Fund Ltd — PartnerFacts page ↗

Sources

Form D/A · Feb 14, 2018 ↗ (Feb 14, 2018)
Littlejohn Opportunities Offshore Fund Ltd — PartnerFacts page ↗ (Feb 14, 2018)

Note · Jan 1, 2011 – Feb 14, 2018

No amendment in the last 12 months on an offering that may still be open — Littlejohn Opportunities Fund LP (latest filing Feb 14, 2018)

The latest filing for this offering is dated Feb 14, 2018 (first sale Jan 1, 2011). It reports $91,038,000 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.

Form D/A · Feb 14, 2018 ↗Littlejohn Opportunities Fund LP — PartnerFacts page ↗

Sources

Form D/A · Feb 14, 2018 ↗ (Feb 14, 2018)
Littlejohn Opportunities Fund LP — PartnerFacts page ↗ (Feb 14, 2018)

Note · May 11, 2010 – Nov 3, 2010

Offering amount lowered between filings — Littlejohn Fund IV, L.P.

The May 11, 2010 filing says $1,350,000,000 offered; the Nov 3, 2010 Form D/A says $1,343,830,000.

What this means The target raise got smaller. That can mean the plan shrank or the sponsor stopped early. Ask what changed in the deal.

Form D/A (earlier) · May 11, 2010 ↗Form D/A (later) · Nov 3, 2010 ↗Littlejohn Fund IV, L.P. — PartnerFacts page ↗

Sources

Form D/A (earlier) · May 11, 2010 ↗ (May 11, 2010)
Form D/A (later) · Nov 3, 2010 ↗ (Nov 3, 2010)
Littlejohn Fund IV, L.P. — PartnerFacts page ↗ (Nov 3, 2010)

Note · Dec 18, 2009 – May 11, 2010

Offering amount changed between filings — Littlejohn Fund IV, L.P.

The Dec 18, 2009 filing says $1,323,529,412 offered; the May 11, 2010 Form D/A says $1,350,000,000.

What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.

Form D/A (earlier) · Dec 18, 2009 ↗Form D/A (later) · May 11, 2010 ↗Littlejohn Fund IV, L.P. — PartnerFacts page ↗

Sources

Form D/A (earlier) · Dec 18, 2009 ↗ (Dec 18, 2009)
Form D/A (later) · May 11, 2010 ↗ (May 11, 2010)
Littlejohn Fund IV, L.P. — PartnerFacts page ↗ (Nov 3, 2010)

Note · Sep 14, 2009 – Jan 14, 2011

Robert Davis is written 2 different ways on the filings

listed as "Robert Davis" on 21 filings (from Sep 14, 2009), and "Robert E. Davis" on 16 filings (from Jan 14, 2011).

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 · Sep 14, 2009 ↗Form D · Jan 14, 2011 ↗Robert Davis — PartnerFacts page ↗

Sources

Note · Jun 2, 2009 – Jan 23, 2023

Same name, different state: "Robert Davis" (MA or NY) is a separate record

This page covers filings where the address state is CT or CA. A separate record, "Robert Davis" with address state MA or NY, is listed on 20 filings — most recently by LovePop, Inc. (Jan 23, 2023). Both records have filings in the same period (Sep 14, 2009 to Jan 23, 2023).

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 Davis (MA,NY) — PartnerFacts page ↗Form D · Jan 23, 2023 ↗LovePop, Inc. — PartnerFacts page ↗Robert Davis (CT,CA) — this page ↗

Sources

Robert Davis (MA,NY) — PartnerFacts page ↗ (Jan 23, 2023)
Form D · Jan 23, 2023 ↗ (Jan 23, 2023)
LovePop, Inc. — PartnerFacts page ↗ (Jan 23, 2023)
Robert Davis (CT,CA) — this page ↗ (Jul 29, 2025)

Note · May 4, 2009 – Jun 2, 2015

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

This page covers filings where the address state is CT or CA. A separate record, "Robert C Davis" with address state NJ, is listed on 30 filings — most recently by Countervailing Private Equity Fund, LP (Jun 2, 2015). Both records have filings in the same period (Sep 14, 2009 to Jun 2, 2015).

Robert C Davis (NJ) — PartnerFacts page ↗Form D · Jun 2, 2015 ↗Countervailing Private Equity Fund, LP — PartnerFacts page ↗Robert Davis (CT,CA) — this page ↗

Sources

Robert C Davis (NJ) — PartnerFacts page ↗ (Jun 2, 2015)
Form D · Jun 2, 2015 ↗ (Jun 2, 2015)
Countervailing Private Equity Fund, LP — PartnerFacts page ↗ (Jun 2, 2015)
Robert Davis (CT,CA) — this page ↗ (Jul 29, 2025)

Note · Sep 11, 2009 – Feb 1, 2012

Same name, different state: "Robert C. Davis" (ME) is a separate record

This page covers filings where the address state is CT or CA. A separate record, "Robert C. Davis" with address state ME, is listed on 3 filings — most recently by BORDER BANCSHARES INC (Feb 1, 2012). Both records have filings in the same period (Sep 14, 2009 to Feb 1, 2012).

Robert C. Davis (ME) — PartnerFacts page ↗Form D · Feb 1, 2012 ↗BORDER BANCSHARES INC — PartnerFacts page ↗Robert Davis (CT,CA) — this page ↗

Sources

Robert C. Davis (ME) — PartnerFacts page ↗ (Feb 1, 2012)
Form D · Feb 1, 2012 ↗ (Feb 1, 2012)
BORDER BANCSHARES INC — PartnerFacts page ↗ (Feb 1, 2012)
Robert Davis (CT,CA) — this page ↗ (Jul 29, 2025)

Note · May 15, 2009

Same name, different state: "Robert B. Jr. Davis" (AL) is a separate record

This page covers filings where the address state is CT or CA. A separate record, "Robert B. Jr. Davis" with address state AL, is listed on 1 filing — most recently by Falcon Protein Products Inc (May 15, 2009). The two records do not overlap in time: this page runs Sep 14, 2009 to Jul 29, 2025; the other has one filing dated May 15, 2009.

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.

Robert B. Jr. Davis (AL) — PartnerFacts page ↗Form D · May 15, 2009 ↗Falcon Protein Products Inc — PartnerFacts page ↗Robert Davis (CT,CA) — this page ↗

Sources

Robert B. Jr. Davis (AL) — PartnerFacts page ↗ (May 15, 2009)
Form D · May 15, 2009 ↗ (May 15, 2009)
Falcon Protein Products Inc — PartnerFacts page ↗ (May 15, 2009)
Robert Davis (CT,CA) — this page ↗ (Jul 29, 2025)

Note · Feb 2, 2009

Same name, different state: "Robert E. Davis" (DC) is a separate record

This page covers filings where the address state is CT or CA. A separate record, "Robert E. Davis" with address state DC, is listed on 1 filing — most recently by FMW Realty Investors I, LLC (Feb 2, 2009). The two records do not overlap in time: this page runs Sep 14, 2009 to Jul 29, 2025; the other has one filing dated Feb 2, 2009.

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.

Robert E. Davis (DC) — PartnerFacts page ↗Form D · Feb 2, 2009 ↗FMW Realty Investors I, LLC — PartnerFacts page ↗Robert Davis (CT,CA) — this page ↗

Sources

Robert E. Davis (DC) — PartnerFacts page ↗ (Feb 2, 2009)
Form D · Feb 2, 2009 ↗ (Feb 2, 2009)
FMW Realty Investors I, LLC — PartnerFacts page ↗ (Feb 2, 2009)
Robert Davis (CT,CA) — this page ↗ (Jul 29, 2025)

Note · Sep 14, 2009 – Jul 29, 2025

Robert Davis is listed with 2 different address states: CT, CA

CT on 36 filings (Sep 14, 2009 to Jul 29, 2025); CA on 1 filing (Aug 28, 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 14, 2009 ↗Form D · Aug 28, 2015 ↗

Sources

Form D · Sep 14, 2009 ↗ (Sep 14, 2009)
Form D · Aug 28, 2015 ↗ (Aug 28, 2015)

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

2 of 21 offerings report sales commissions totalling $8,305,205; 0 report finder's fees; 1 reports proceeds to related persons totalling $110,610,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)	Sales commissions	Finder's fees	To insiders	Paid to sell it	Source
Jul 29, 2025 D Littlejohn Fund VII-A, L.P. File 021-553028	$0	$0	$0 (est.) The management fees and performance-based distributions (if any) payable by the Issuer to the investment manager and the general partner, which are affiliates of the Issuer, are disclosed in the Issuer's confidential offering materials.	Finex Hong Kong Limited no CRD number reported GENCAP GLOBAL ADVISORS DMCC no CRD number reported Raymond James & Associates, Inc. BrokerCheck CRD 705 ↗ Allen Partners no CRD number reported	EDGAR ↗
Jul 29, 2025 D Littlejohn Fund VII, L.P. File 021-553026	$0	$0	$0 (est.) The management fees and performance-based distributions (if any) payable by the Issuer to the investment manager and the general partner, which are affiliates of the Issuer, are disclosed in the Issuer's confidential offering materials.	Finex Hong Kong Limited no CRD number reported GENCAP GLOBAL ADVISORS DMCC no CRD number reported Raymond James & Associates, Inc. BrokerCheck CRD 705 ↗ Allen Partners no CRD number reported	EDGAR ↗
Jun 6, 2025 D LJ Ranger Co-Invest, L.P. File 021-548331	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Jun 11, 2024 D LJ Shield Co-Invest, L.P. File 021-515704	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Jan 6, 2023 D LJ Avalon Co-Invest, L.P. File 021-469897	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Oct 25, 2022 D LJ Perimeter Co-Invest, L.P. File 021-462790	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Aug 6, 2020 D Santa Clara SCF II, L.P. File 021-372718	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Apr 26, 2019 D/A Littlejohn Executive Fund VI, L.P. File 021-311334	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Jun 19, 2018 D Santa Clara SCF, L.P. File 021-314903	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
May 1, 2018 D Littlejohn Fund VI-A, L.P. File 021-311337	$0 (est.)	$0 (est.)	$0 (est.) The management fees and performance-based distributions (if any) payable by the Issuer to the investment manager and the general partner, which are affiliates of the Issuer, are disclosed in the Issuer's confidential offering materials.	None listed on this filing	EDGAR ↗
May 1, 2018 D Littlejohn Fund VI, L.P. File 021-311340	$0 (est.)	$0 (est.)	$0 (est.) The management fees and performance-based distributions (if any) payable by the Issuer to the investment manager and the general partner, which are affiliates of the Issuer, are disclosed in the Issuer's confidential offering materials.	None listed on this filing	EDGAR ↗
Feb 14, 2018 D/A Littlejohn Opportunities Fund LP File 021-153793	$0	$0	$0 (est.) The management fees and performance-based distributions (if any) payable by the Issuer to the investment manager and the general partner of the master fund, which are affiliates of the Issuer, are disclosed in the Issuer's confidential offering materials.	None listed on this filing	EDGAR ↗
Feb 14, 2018 D/A Littlejohn Opportunities Offshore Fund Ltd File 021-191568	$0	$0	$0 (est.) The management fees and performance-based distributions (if any) payable by the Issuer to the investment manager and the general partner of the master fund, which are affiliates of the Issuer, are disclosed in the Issuer's confidential offering materials.	None listed on this filing	EDGAR ↗
Jan 9, 2018 D LJ SM Co-Invest, L.P. File 021-302697	$0	$0	$0 (est.)	None listed on this filing	EDGAR ↗
Oct 27, 2016 D Littlejohn Opportunities Fund II (Feeder), L.P. File 021-273336	$0	$0	$0 (est.)	None listed on this filing	EDGAR ↗
Oct 27, 2016 D Littlejohn Opportunities Fund II, L.P. File 021-273335	$0	$0	$0 (est.)	None listed on this filing	EDGAR ↗
Aug 28, 2015 D Faraday Holdings, LLC File 021-246613	$0	$0	$0	None listed on this filing	EDGAR ↗
Jul 22, 2014 D Littlejohn Executive Fund V, L.P. File 021-221578	$0	$0	$0	None listed on this filing	EDGAR ↗
Apr 4, 2014 D Littlejohn Fund V, L.P. File 021-214919	$2,600,000 (est.)	$0	$0	Not Applicable no CRD number reported via Park Hill Group LLC (CRD 135898 ↗)	EDGAR ↗
Jan 15, 2014 D LJ BRODER CO-INVEST, LLC File 021-210183	$0	$0	$0	None listed on this filing	EDGAR ↗
Nov 3, 2010 D/A Littlejohn Fund IV, L.P. File 021-134413	$5,705,205 (est.)	$0	$110,610,000 (est.)	Park Hill Group LLC BrokerCheck CRD 135898 ↗	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 21

Every issuer that named Robert Davis 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: Littlejohn

Littlejohn Fund VII-A, L.P.

Greenwich, CT · Jul 29, 2025

Jul 29, 2025 · D · $0 sold of Indefinite · 0 investors · min. No minimum reported · role: Executive Officer (Executive Officer of the GP of the GP) EDGAR ↗

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

Robert Davis

The short version

What the community is saying

Key records

1. Lawsuits

2. Regulatory actions

3. Bankruptcies

4. Differences between public sources

4 regulator actions name the subject or team members

Investor count went down between filings — Littlejohn Opportunities Fund LP

6 paid sellers are listed without a CRD number

Form D filed 19 days after the first sale — LJ SM Co-Invest, L.P.

Form D filed 59 days after the first sale — Faraday Holdings, LLC

No amendment in the last 12 months on an offering that may still be open — Littlejohn Opportunities Offshore Fund Ltd (latest filing Feb 14, 2018)

No amendment in the last 12 months on an offering that may still be open — Littlejohn Opportunities Fund LP (latest filing Feb 14, 2018)

Offering amount lowered between filings — Littlejohn Fund IV, L.P.

Offering amount changed between filings — Littlejohn Fund IV, L.P.

Robert Davis is written 2 different ways on the filings

Same name, different state: "Robert Davis" (MA or NY) is a separate record

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

Same name, different state: "Robert C. Davis" (ME) is a separate record

Same name, different state: "Robert B. Jr. Davis" (AL) is a separate record

Same name, different state: "Robert E. Davis" (DC) is a separate record

Robert Davis is listed with 2 different address states: CT, CA

5. Money to insiders

Deals 21

People around Robert 23

The team behind the deals

34 other issuers file from the same address

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

Change history

Request a correction

Add a response

Monitor this person