Sponsor Check › Person
Related person on Form D filings · address state as listed: NY · listed Mar 16, 2009 → Jul 10, 2026
Data last updated: Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 23, 2026, 11:56 PM ET · SEC enforcement last checked: not yet
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Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30) — federal district + bankruptcy courts; live RECAP re-check pending. State courts: not yet searched. PACER: not searched. · Last checked Oct 23, 2026, 11:56 PM ET.
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Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Last checked Oct 23, 2026, 11:56 PM ET.
State courts: not yet searched. 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.
Comparisons are made for sponsors and sponsor groups, not individual people.
3 of 14 offerings report sales commissions totalling $11,914,018; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)
| Source | Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it |
|---|---|---|---|---|---|
| EDGAR ↗ | Jul 10, 2026 D File 021-590364 | $0 (est.) | $0 (est.) | $0 (est.) None, although the investment adviser receives a management fee and the general partner receives a carried interest. | None listed on this filing |
| EDGAR ↗ | Oct 7, 2025 D File 021-560061 | $0 (est.) | $0 (est.) | $0 (est.) None, although the investment adviser receives a management fee and the general partner receives a carried interest. | None listed on this filing |
| EDGAR ↗ | Feb 13, 2025 D File 021-538238 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Mar 23, 2018 D/A File 021-156882 | $11,445,429 (est.) | $0 | $0 (est.) | C. P. Eaton and Associates BrokerCheck CRD 31170 ↗ Legg Mason Investor Services, LLC BrokerCheck CRD 109064 ↗ Credit Suisse First Boston LLC BrokerCheck CRD 15654 ↗ HSBC Bank USA, National Association BrokerCheck CRD 19585 ↗ Citigroup Global Markets Inc no CRD number reported via Affiliate of Citigroup is CITI DISTRIBUTION SERVICES INC (CRD 29244 ↗) Maybridge Partners Inc no CRD number reported Merrill Lynch, Pierce, Fenner & Smith Incorporated BrokerCheck CRD 7691 ↗ Delta National Bank and Trust Company no CRD number reported Morgan Keegan and Company no CRD number reported BluePointe Capital Management LLC no CRD number reported |
| EDGAR ↗ | Mar 23, 2018 D/A File 021-157587 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Mar 23, 2018 D/A File 021-252969 | $282,589 (est.) | $0 | $0 | Morgan Stanley Smith Barney MSSB BrokerCheck CRD 149777 ↗ |
| EDGAR ↗ | Feb 10, 2016 D File 021-257188 | $0 | $0 | $0 | n/a no CRD number reported |
| EDGAR ↗ | Mar 13, 2014 D/A File 021-156885 | $186,000 (est.) | $0 | $0 (est.) | Merrill Lynch, Pierce, Fenner & Smith Incorporated BrokerCheck CRD 7691 ↗ |
| EDGAR ↗ | Mar 17, 2009 D/A File 021-116105 | $0 | $0 | $0 Directors of the fund are not paid. Investment management fee payable to the fund's investment adviser varies greatly from year to year, depending on performance and total assets and is not listed here | None listed on this filing |
| EDGAR ↗ | Mar 17, 2009 D/A File 021-116692 | $0 | $0 | $0 Directors of the fund are not paid. Investment management fee payable to the fund's investment adviser varies greatly from year to year, depending on performance and total assets and is not listed here | None listed on this filing |
| EDGAR ↗ | Mar 17, 2009 D File 021-128052 | $0 | $0 | $0 """Directors of the fund are not paid. Investment management fee payable to the fund's investment adviser varies greatly from year to year, depending on performance and total assets and is not listed here.""" | Maybridge Partners, Inc. no CRD number reported C.P. Eaton and Associates BrokerCheck CRD 31170 ↗ |
| EDGAR ↗ | Mar 17, 2009 D File 021-128039 | $0 | $0 | $0 Directors of the fund are not paid. Investment management fee payable to the fund's investment adviser varies greatly from year to year, depending on performance and total assets and is not listed here. | None listed on this filing |
| EDGAR ↗ | Mar 16, 2009 D/A File 021-103470 | $0 | $0 | $0 Directors of the fund are not paid. Investment management fee payable to the fund's investment adviser varies greatly from year to year, depending on performance and total assets and is not listed here | None listed on this filing |
| EDGAR ↗ | Mar 16, 2009 D File 021-127987 | $0 | $0 | $0 Directors of the fund are not paid. Investment management fee payable to the fund's investment adviser varies greatly from year to year, depending on performance and total assets and is not listed here | None listed on this filing |
As reported by the issuer on Form D (Items 12–15), 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).
| Source | Issuer | Role | Filed | Form | Offering | Sold | Investors | Min. investment |
|---|---|---|---|---|---|---|---|---|
| EDGAR ↗ | Emphatic Partner Capital Genesis L.P. group: Emphatic | Executive Officer Manager of Emphatic Partner Capital GP I LLC, General Partner | Jul 10, 2026 | D | Indefinite similar: $155,000–$5,250,000 | $2,500,000 | 3 similar: 4–27 | $15,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Emphatic Partner Capital I L.P. group: Emphatic | Executive Officer Manager of Emphatic Partner Capital GP I LLC, General Partner | Oct 7, 2025 | D | Indefinite similar: $155,000–$5,250,000 | $0 | 0 similar: 4–27 | $100,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Circulate Capital, LLC | Director | Feb 13, 2025 | D | $16,000 similar: $763,000–$10,000,000 | $16,000 | 2 similar: 4–23 | No minimum reported similar: $10,000–$78,388 |
| EDGAR ↗ | EnTrustPermal Multi-Client Solutions, LLC group: Entrust | Executive Officer | Mar 23, 2018 | D/A | Indefinite | $24,580,000 | 24 | $250,000 |
| EDGAR ↗ | PRUDENCE CRANDALL FUND I LLC group: Entrust | Executive Officer Robert Kaplan, CIO of Permal Asset Management Inc., Managing Member of of the Issuer. | Mar 23, 2018 | D/A | Indefinite similar: $155,000–$5,250,000 | $150,000,000 | 1 similar: 4–27 | No minimum reported similar: $1,000–$100,000 |
| EDGAR ↗ | EnTrust Global Investment Partners LP group: Entrust | Executive Officer Robert Kaplan, CIO of Permal Asset Management Inc., Managing Member of Permal GP LLC, General Partner of the Issuer. | Mar 23, 2018 | D/A | Indefinite similar: $155,000–$5,250,000 | $155,384,104 | 312 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | EnTrust Global Investment Partners LP group: Entrust | Executive Officer Robert Kaplan, CIO of Permal Asset Management Inc., Managing Member of Permal GP LLC, General Partner of the Issuer. | Mar 16, 2017 | D/A | Indefinite similar: $155,000–$5,250,000 | $154,334,104 | 312 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | EnTrustPermal Multi-Client Solutions, LLC group: Entrust | Executive Officer | Mar 16, 2017 | D/A | Indefinite | $24,580,000 | 22 | $250,000 |
| EDGAR ↗ | PRUDENCE CRANDALL FUND I LLC group: Entrust | Executive Officer Robert Kaplan, CIO of Permal Asset Management Inc., Managing Member of of the Issuer. | Mar 16, 2017 | D/A | Indefinite similar: $155,000–$5,250,000 | $150,000,000 | 1 similar: 4–27 | No minimum reported similar: $1,000–$100,000 |
| EDGAR ↗ | EnTrustPermal Multi-Client Solutions, LLC group: Entrust | Executive Officer | Mar 14, 2016 | D/A | Indefinite | $23,630,000 | 21 | $250,000 |
| EDGAR ↗ | PRUDENCE CRANDALL FUND I LLC group: Entrust | Executive Officer Robert Kaplan, CIO of Permal Asset Management Inc., Managing Member of of the Issuer. | Mar 14, 2016 | D/A | Indefinite similar: $155,000–$5,250,000 | $150,000,000 | 1 similar: 4–27 | No minimum reported similar: $1,000–$100,000 |
| EDGAR ↗ | EnTrust Global Investment Partners LP group: Entrust | Executive Officer Robert Kaplan, CIO of Permal Asset Management Inc., Managing Member of Permal GP LLC, General Partner of the Issuer. | Mar 14, 2016 | D/A | Indefinite similar: $155,000–$5,250,000 | $154,334,104 | 312 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | StimMed LLC | Director | Feb 10, 2016 | D | $1,500,000 similar: $2,000,000–$19,999,994 | $0 | 0 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | EnTrustPermal Multi-Client Solutions, LLC group: Entrust | Executive Officer | Dec 14, 2015 | D | Indefinite | $23,630,000 | 20 | $250,000 |
| EDGAR ↗ | EnTrust Global Investment Partners LP group: Entrust | Executive Officer Robert Kaplan, CIO of Permal Asset Management Inc., Managing Member of Permal GP LLC, General Partner of the Issuer. | Mar 16, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $149,854,104 | 305 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | PRUDENCE CRANDALL FUND I LLC group: Entrust | Executive Officer Robert Kaplan, CIO of Permal Asset Management Inc., Managing Member of of the Issuer. | Mar 16, 2015 | D/A | Indefinite similar: $155,000–$5,250,000 | $150,000,000 | 1 similar: 4–27 | No minimum reported similar: $1,000–$100,000 |
| EDGAR ↗ | PRUDENCE CRANDALL FUND I LLC group: Entrust | Executive Officer Robert Kaplan, CIO of Permal Asset Management Inc., Managing Member of of the Issuer. | Mar 14, 2014 | D/A | Indefinite similar: $155,000–$5,250,000 | $150,000,000 | 1 similar: 4–27 | No minimum reported similar: $1,000–$100,000 |
| EDGAR ↗ | PRUDENCE CRANDALL FUND I LLC group: Entrust | Executive Officer Robert Kaplan, CIO of Permal Asset Management Inc., Managing Member of of the Issuer. | Mar 14, 2014 | D/A | Indefinite similar: $155,000–$5,250,000 | $150,000,000 | 1 similar: 4–27 | No minimum reported similar: $1,000–$100,000 |
| EDGAR ↗ | Permal Macro Partners, L.P. group: Entrust | Executive Officer Robert Kaplan, CIO of Permal Asset Management Inc., Managing Member of Permal GP LLC, General Partner of the Issuer. | Mar 13, 2014 | D/A | Indefinite | $48,994,610 | 52 | $250,000 |
| EDGAR ↗ | EnTrust Global Investment Partners LP group: Entrust | Executive Officer Robert Kaplan, CIO of Permal Asset Management Inc., Managing Member of Permal GP LLC, General Partner of the Issuer. | Mar 13, 2014 | D/A | Indefinite similar: $155,000–$5,250,000 | $116,872,474 | 214 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Permal Macro Partners, L.P. group: Entrust | Executive Officer Robert Kaplan, CIO of Permal Asset Management Inc., Managing Member of Permal GP LLC, General Partner of the Issuer. | Mar 14, 2013 | D/A | Indefinite similar: $155,000–$5,250,000 | $48,994,610 | 48 similar: 4–27 | $250,000 similar: $1,000–$100,000 |
| EDGAR ↗ | EnTrust Global Investment Partners LP group: Entrust | Executive Officer Robert Kaplan, CIO of Permal Asset Management Inc., Managing Member of Permal GP LLC, General Partner of the Issuer. | Mar 14, 2013 | D/A | Indefinite similar: $155,000–$5,250,000 | $108,391,316 | 214 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | PRUDENCE CRANDALL FUND I LLC group: Entrust | Executive Officer Robert Kaplan, CIO of Permal Asset Management Inc., Managing Member of of the Issuer. | Mar 13, 2013 | D/A | Indefinite similar: $155,000–$5,250,000 | $150,000,000 | 1 similar: 4–27 | No minimum reported similar: $1,000–$100,000 |
| EDGAR ↗ | PRUDENCE CRANDALL FUND I LLC group: Entrust | Executive Officer Robert Kaplan, CIO of Permal Asset Management Inc., Managing Member of of the Issuer. | Mar 16, 2012 | D/A | Indefinite similar: $155,000–$5,250,000 | $150,000,000 | 1 similar: 4–27 | No minimum reported similar: $1,000–$100,000 |
| EDGAR ↗ | EnTrust Global Investment Partners LP group: Entrust | Executive Officer Robert Kaplan, CIO of Permal Asset Management Inc., Managing Member of Permal GP LLC, General Partner of the Issuer. | Mar 16, 2012 | D/A | Indefinite similar: $155,000–$5,250,000 | $12,145,936 | 15 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Permal Macro Partners, L.P. group: Entrust | Executive Officer Robert Kaplan, CIO of Permal Asset Management Inc., Managing Member of Permal GP LLC, General Partner of the Issuer. | Mar 15, 2012 | D/A | Indefinite similar: $155,000–$5,250,000 | $46,894,610 | 36 similar: 4–27 | $250,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Permal Canyon IO Ltd. group: Permal | Director | Mar 17, 2009 | D/A | Indefinite similar: $155,000–$5,250,000 | $144,173,795 | 16 similar: 4–27 | $100,000 similar: $1,000–$100,000 |
| EDGAR ↗ | PERMAL CAPITAL STRUCTURE OPPORTUNITIES LTD group: Permal | Director | Mar 17, 2009 | D/A | Indefinite similar: $155,000–$5,250,000 | $49,527,701 | 2 similar: 4–27 | $100,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Permal Starboard Ltd group: Entrust | Director | Mar 17, 2009 | D | Indefinite similar: $155,000–$5,250,000 | $19,642,332 | 1 similar: 4–27 | $100,000 similar: $1,000–$100,000 |
| EDGAR ↗ | P York IE | Director | Mar 17, 2009 | D | Indefinite similar: $155,000–$5,250,000 | $70,381,864 | 2 similar: 4–27 | $100,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Permal Gold Ltd. group: Permal | Director | Mar 16, 2009 | D | Indefinite similar: $155,000–$5,250,000 | $87,280,154 | 5 similar: 4–27 | $100,000 similar: $1,000–$100,000 |
| EDGAR ↗ | Permal Apex Select Ltd group: Permal | Director | Mar 16, 2009 | D/A | Indefinite similar: $155,000–$5,250,000 | $29,030,187 | 3 similar: 4–27 | $100,000 similar: $1,000–$100,000 |
Every row is a Form D or D/A on which the issuer listed this name as a related person. Related-person names are matched on first + last name and the address state on the filing; records that share a name but could not be tied together by a second identifier are listed separately below.
"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); Investing / 506(b) (2,521 filings); Biotechnology / 506(b) (3,253 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.
Not linked to this profile — a second identifier (same issuer, same sponsor group) was not found. Could be the same person or a different one.
People and management entities the issuers listed as related persons on the same Form D filings as Robert Kaplan. Source: the EDGAR rows in the table above.
None found in sources searched.
Sources 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 · Last checked Oct 23, 2026, 8:41 PM ET.
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