Sponsor Check › Person
Named as an officer, director or promoter on SEC Form D filings · Cayman Islands (as filed: E9), United Kingdom (as filed: X0) · Oct 14, 2011 → Oct 2, 2025
Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:17 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET
Sam Ellis is listed as an executive officer and director on 373 SEC Form D filings by 104 issuers between Oct 2011 and Oct 2025. Largest by amount reported sold: Apollo Multi Asset Credit Replacement (Offshore), Ltd. (New York, NY — pooled investment fund — 2014–2025; $8.55B reported sold to 181 investors), Apollo Offshore Credit Strategies Fund Ltd. (Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2021–2025; $5.69B reported sold to 248 investors), TACONIC OPPORTUNITY OFFSHORE FUND LTD (Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2012–2017; $4.52B reported sold to 610 investors), SPF Securitized Products Master Fund Ltd. (George Town, Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2012–2015; $2.77B reported sold to 2 investors), Apollo Offshore Structured Credit Recovery Fund IV Ltd. (Purchase, NY — pooled investment fund — 2017–2018; $2.36B reported sold to 50 investors) and 99 more (all listed below).
What this means That is a lot of deals — 104 separate companies raised money with this person listed as executive officer and director, over about 14 years. Across those companies the filings report $45.94B sold in total.
Listed alongside Tammy Jennissen (88 shared filings), Stephane Lachance (86 shared filings), Capital Integration Systems LLC (71 shared filings, management entity), Matthew C. Brown (71 shared filings), Abali Hoilett (47 shared filings) and 179 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Sam. Each name links to their own page.
The issuers belong to 4 sponsor groups: Credit Suisse (40 issuers, $4.08B reported sold, 2011–2026), Cais (202 issuers, $40.6B reported sold, 2009–2026), Riverview (107 issuers, $30.65B reported sold, 2009–2026) and Ils (16 issuers, $8.69B 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 (AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, LA, ME, MO, MS, MT, NASAA, NC, NH, NM, OR, RI, TX, WA) — 1 court case matching the name, 3 bankruptcy cases matching the name listed in Key records below.
What this means 4 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 the newest 50 of 373 public filings for Sam Ellis and found 13 differences, 6 worth asking the sponsor about: 6 offerings reported less sold on a later filing than an earlier one; 7 offerings reported fewer investors on a later filing; 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.
Community search for Sam Ellis has not run yet — it is #7,359 of 21,408 in line; searches run around the clock at the hosts' allowed rate. Searched so far: 351 names.
Community comments are quoted as written by their authors. Sources searched: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).
Five things investors ask first. Items still in human review are counted, not shown.
1 case: 1 open
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, 2:17 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.
None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: NV (crawled Oct 23, 2026)
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 Sam Ellis..
State securities regulators: Securities regulators searched (3,318 actions): AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002), DE DOJ Investor Protection Unit (257 actions, 1987–2026), TX State Securities Board (586 actions, 2006–2026), WA DFI (2,039 actions, 2001–2026) — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first — last crawled Oct 23, 2026, 9:57 PM ET. No machine-readable public listing today for IA, IN, KS, MI, NE, NV (see docs/state-regulators.md).
3 cases: 3 closed (disposition not in docket feed)
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, 2:17 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.
Comparisons cover issuers and sponsor groups — see the issuer pages under Deals
13 differences found between the filings for Sam Ellis — 6 worth asking about (compared the newest 50 of 373 filings on Oct 24, 2026; older filings not covered)
United States Bankruptcy Court, N.D. New York docket "Richard C. Breeden, Esq. v. Lotito" filed Mar 25, 1998, closed Aug 21, 2000. Michael Lotito (listed on the same filings) is listed as Defendant ("Lotito"). Our match estimate: 70%.
What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.
Amount sold went down between filings — Apollo Multi Asset Credit Replacement (Offshore), Ltd. · Amount sold went down between filings — SFP VALUE REALIZATION FUND L.P. · Amount sold went down between filings — SFP VALUE REALIZATION FUND L.P. · Amount sold went down between filings — Apollo Total Return Fund Enhanced (Offshore) Ltd. · Amount sold went down between filings — SFP Japan Special Opportunities Fund L.P. · and 1 more
What this means Amounts sold normally only go up. Ask the sponsor what happened on each.
Investor count went down between filings — Apollo Offshore Credit Strategies Fund Ltd. · Investor count went down between filings — Apollo Multi Asset Credit Replacement (Offshore), Ltd. · Investor count went down between filings — Apollo Multi Asset Credit Replacement (Offshore), Ltd. · Investor count went down between filings — SFP VALUE REALIZATION FUND L.P. · Investor count went down between filings — Apollo Total Return Fund Enhanced (Offshore) Ltd. · and 2 more
What this means Investor counts normally only grow. Ask the sponsor what happened on each.
Paid seller listed without a CRD number: Evans & Partners Pty Ltd. — CAIS Millennium Intl. Ltd. · Paid seller listed without a CRD number: Ord Minnett Ltd. — CAIS Millennium Intl. Ltd. · Paid seller listed without a CRD number: Wentworth Global Securities Pty Ltd — CAIS Millennium Intl. Ltd. · Paid seller listed without a CRD number: Canaccord Genuity (Australia) — CAIS Millennium Intl. Ltd. · Paid seller listed without a CRD number: Canaccord Genuity (Australia) — CAIS Third Point Offshore Fund Ltd. · and 8 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.
The filing says the first sale was Jan 1, 2021. The Form D was filed Nov 16, 2021 — 319 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 304 days past that.
What this means The notice went in months after money was taken in. Late notices are common and carry no penalty by themselves, but it is fair to ask the sponsor why the paperwork lagged.
The filing says the first sale was Jun 1, 2005. The Form D was filed Jun 11, 2020 — 5,489 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 5,474 days past that.
What this means The notice went in months after money was taken in. Late notices are common and carry no penalty by themselves, but it is fair to ask the sponsor why the paperwork lagged.
The filing says the first sale was Sep 28, 2018. The Form D was filed Oct 17, 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.
No amendment in the last 12 months on an offering that may still be open — Apollo Total Return Fund Enhanced (Offshore) Ltd. (latest filing Dec 28, 2020) · No amendment in the last 12 months on an offering that may still be open — SFP Japan Special Opportunities Fund L.P. (latest filing Jun 3, 2020) · No amendment in the last 12 months on an offering that may still be open — SFP Japan Special Opportunities Fund Ltd. (latest filing Jun 3, 2020) · No amendment in the last 12 months on an offering that may still be open — Apollo Offshore Structured Credit Recovery Fund IV Ltd. (latest filing Oct 19, 2018) · No amendment in the last 12 months on an offering that may still be open — Taiga Special Opportunities LP (latest filing Oct 17, 2018) · and 3 more
What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.
Sam Ellis is no longer listed on the Sep 10, 2026 amendment — Apollo Offshore Credit Strategies Fund Ltd. · Sam Ellis is no longer listed on the Jun 18, 2026 amendment — SFP Value Realization Fund Ltd · Sam Ellis is no longer listed on the Apr 2, 2026 amendment — Apollo Multi Asset Credit Replacement (Offshore), Ltd. · Sam Ellis is no longer listed on the Jan 22, 2026 amendment — SFP VALUE REALIZATION FUND L.P. · Sam Ellis is no longer listed on the Jun 1, 2021 amendment — CAIS SCULPTOR MASTER FUND LTD. · and 4 more
What this means People leave; the issuer lists only current officers, directors and promoters. Ask why and who replaced them.
The Oct 2, 2017 filing says an indefinite amount offered; the Oct 19, 2018 Form D/A says $2,500,000,000.
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.
This page covers filings where the address state is E9 or X0. A separate record, "Sam Ellis" with address state TX, is listed on 1 filing — most recently by Chiplytics Inc. (Mar 11, 2022). Both records have filings in the same period (Mar 11, 2022).
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.
Address moved from George Town, Grand Cayman, Cayman Islands (as filed: E9) to Grand Cayman, Cayman Islands (as filed: E9) — Apollo Multi Asset Credit Replacement (Offshore), Ltd. · Address moved from Grand Cayman, Cayman Islands (as filed: E9) to George Town, Grand Cayman, Cayman Islands (as filed: E9) — Apollo Multi Asset Credit Replacement (Offshore), Ltd. · Address moved from George Town, Grand Cayman, Cayman Islands (as filed: E9) to Singapore, Singapore (as filed: U0) — Sinfonietta L.P. · Address moved from New York, NY to Grand Cayman, Cayman Islands (as filed: E9) — Apollo Multi Asset Credit Replacement (Offshore), Ltd. · Address moved from George Town, Grand Cayman, Cayman Islands (as filed: E9) to Grand Cayman, Cayman Islands (as filed: E9) — SFP VALUE REALIZATION FUND L.P.
What this means Businesses move. If you were told one city and the forms say another, ask which is current.
Cayman Islands (as filed: E9) on 105 filings (Jul 26, 2012 to Oct 2, 2025); United Kingdom (as filed: X0) on 1 filing (Oct 17, 2018).
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.
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. We compared the newest 50 of 373 filings (work cap); older filings are not covered here. As of Oct 24, 2026.
58 of 105 offerings report sales commissions totalling $63,105,304; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)
| Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it | Source |
|---|---|---|---|---|---|
| Oct 2, 2025 D/A Apollo Multi Asset Credit Replacement (Offshore), Ltd. File 021-212748 | $0 | $0 | $0 Certain management fees will be paid to Apollo MAC Replacement Management, LLC, an entity that may be indirectlycontrolled by certain individuals listed in Item 3 above, as described in the Issuer's Confidential Private PlacementMemorandum. | None listed on this filing | EDGAR ↗ |
| Sep 12, 2025 D/A Apollo Offshore Credit Strategies Fund Ltd. File 021-421368 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jun 12, 2025 D/A SFP Value Realization Fund Ltd File 021-368724 | $0 | $0 | $0 The fund charges a management fee that is described in the offering documents. | None listed on this filing | EDGAR ↗ |
| Jan 22, 2025 D/A SFP VALUE REALIZATION FUND L.P. File 021-63357 | $0 | $0 | $0 The fund charges a management fee that is described in the offering documents. | None listed on this filing | EDGAR ↗ |
| Dec 28, 2020 D/A Apollo Total Return Fund Enhanced (Offshore) Ltd. File 021-253600 | $0 | $0 | $0 Certain management fees will be paid to Apollo Total Return Enhanced Management LLC, an entity that may be indirectly controlled by certain individuals listed in Item 3 above, as described in the Issuer's Confidential Private Placement Memorandum. | None listed on this filing | EDGAR ↗ |
| Jun 8, 2020 D/A CAIS DES Oculus Ltd. File 021-163232 | $329,298 (est.) | $0 | $0 | Jefferies LLC BrokerCheck CRD 2347 ↗ USCA Securities LLC BrokerCheck CRD 103789 ↗ HighTower Securities, LLC BrokerCheck CRD 116681 ↗ Macquarie Capital (USA) Inc. BrokerCheck CRD 36368 ↗ | EDGAR ↗ |
| Jun 8, 2020 D/A CAIS Millennium Intl. Ltd. File 021-163214 | $4,737,027 (est.) | $0 | $0 | D. A. Davidson & Co. BrokerCheck CRD 199 ↗ Jefferies LLC BrokerCheck CRD 2347 ↗ Stephens Inc. BrokerCheck CRD 3496 ↗ Dominick & Dominick, LLC BrokerCheck CRD 7344 ↗ Summit Equities, LLC BrokerCheck CRD 11039 ↗ USCA Securities LLC BrokerCheck CRD 103789 ↗ HighTower Securities, LLC BrokerCheck CRD 116681 ↗ Evans & Partners Pty Ltd. no CRD number reported Macquarie Capital (USA) Inc. BrokerCheck CRD 36368 ↗ Ord Minnett Ltd. no CRD number reported Arete Wealth Management, LLC BrokerCheck CRD 44856 ↗ Wentworth Global Securities Pty Ltd no CRD number reported Rose Capital Advisors BrokerCheck CRD 173054 ↗ Spire Securities, LLC BrokerCheck CRD 144131 ↗ Canaccord Genuity (Australia) no CRD number reported Wunderlich Securities, Inc. BrokerCheck CRD 2543 ↗ Kestra Investment Services, LLC BrokerCheck CRD 42046 ↗ Capital One Securities Inc. BrokerCheck CRD 44158 ↗ Snowden Account Services Inc. BrokerCheck CRD 149794 ↗ Triad Advisors, Inc. BrokerCheck CRD 25803 ↗ Monarch Capital Group, LLC BrokerCheck CRD 47815 ↗ MD Global Partners LLC BrokerCheck CRD 140988 ↗ Maxim Group LLC BrokerCheck CRD 120708 ↗ Axiom Capital Management, Inc. BrokerCheck CRD 26580 ↗ First Republic Securities Company, LLC BrokerCheck CRD 105108 ↗ Purshe Kaplan Sterling Investments BrokerCheck CRD 35747 ↗ Robert W. Baird & Co. Incorporated BrokerCheck CRD 8158 ↗ B. Riley Wealth Management BrokerCheck CRD 2543 ↗ BB&T Securities, LLC BrokerCheck CRD 142785 ↗ Rockefeller Financial LLC BrokerCheck CRD 291361 ↗ | EDGAR ↗ |
| Jun 8, 2020 D/A CAIS Third Point Offshore Fund Ltd. File 021-163176 | $990,148 (est.) | $0 | $0 | Jefferies LLC BrokerCheck CRD 2347 ↗ Dominick & Dominick, LLC BrokerCheck CRD 7344 ↗ Summit Equities, LLC BrokerCheck CRD 11039 ↗ USCA Securties LLC BrokerCheck CRD 103789 ↗ HighTower Securities, LLC BrokerCheck CRD 116681 ↗ Spire Securities, LLC BrokerCheck CRD 144131 ↗ Canaccord Genuity (Australia) no CRD number reported Evans & Partners Pty Ltd. no CRD number reported I Investment Management Pte Ltd no CRD number reported Macquarie Capital (USA) Inc. BrokerCheck CRD 36368 ↗ Wentworth Global Securities Pty Ltd no CRD number reported Wunderlich Securities Inc. BrokerCheck CRD 2543 ↗ Lucerne Australia Pty Ltd t/a Lucerne Investment Partners no CRD number reported Maxim Group LLC BrokerCheck CRD 120708 ↗ First Republic Securities Company, LLC BrokerCheck CRD 105108 ↗ | EDGAR ↗ |
| Jun 8, 2020 D/A CAIS SCULPTOR MASTER FUND LTD. File 021-217071 | $80,872 (est.) | $0 | $0 | D. A. Davidson & Co. BrokerCheck CRD 199 ↗ Summit Equities, LLC BrokerCheck CRD 11039 ↗ Dominick & Dominick LLC BrokerCheck CRD 7344 ↗ Macquarie Capital (USA) Inc. BrokerCheck CRD 36368 ↗ Arete Wealth Management LLC BrokerCheck CRD 44856 ↗ Wunderlich Securities Inc. BrokerCheck CRD 2543 ↗ | EDGAR ↗ |
| Jun 3, 2020 D/A SFP Japan Special Opportunities Fund Ltd. File 021-240857 | $0 | $0 | $0 The fund charges a management fee that is described in the fund's offering documents. | None listed on this filing | EDGAR ↗ |
| Jun 3, 2020 D/A SFP Japan Special Opportunities Fund L.P. File 021-240858 | $0 | $0 | $0 The fund charges a management fee that is described in the fund's offering documents. | None listed on this filing | EDGAR ↗ |
| Jul 19, 2019 D/A Sinfonietta L.P. File 021-291117 | $0 | $0 | $0 The fund charges a management fee that is described in the fund's offering documents. | None listed on this filing | EDGAR ↗ |
| Oct 19, 2018 D/A Apollo Offshore Structured Credit Recovery Fund IV Ltd. File 021-295829 | $0 | $0 | $0 Certain management fees will be paid to Apollo Structured Credit Recovery Management IV LLC, an entity that may be indirectly controlled by certain individuals listed in Item 3 above, as described in the Issuer's Confidential Private Placement Memorandum. | None listed on this filing | EDGAR ↗ |
| Oct 17, 2018 D Taiga Special Opportunities LP File 021-323737 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jun 12, 2018 D/A CAIS AllBlue Ltd. File 021-163243 | $399,800 (est.) | $0 | $0 | Jefferies LLC BrokerCheck CRD 2347 ↗ Dominick & Dominick, LLC BrokerCheck CRD 7344 ↗ USCA Securities LLC BrokerCheck CRD 103789 ↗ HighTower Securities, LLC BrokerCheck CRD 116681 ↗ Evans & Partners Pty Ltd. no CRD number reported Richmond Asset Mgmt Ltd no CRD number reported Ord Minnett Limited no CRD number reported Wunderlich Securities, Inc. BrokerCheck CRD 2543 ↗ | EDGAR ↗ |
| Jun 12, 2018 D/A CAIS BlueTrend Fund Ltd. File 021-163240 | $265,100 (est.) | $0 | $0 | Jefferies LLC BrokerCheck CRD 2347 ↗ Dominick & Dominick, LLC BrokerCheck CRD 7344 ↗ USCA Securities LLC BrokerCheck CRD 103789 ↗ HighTower Securities, LLC BrokerCheck CRD 116681 ↗ H. Bruderer Vermongensverwalturg no CRD number reported | EDGAR ↗ |
| Jun 12, 2018 D/A CAIS Kingdon Offshore Ltd. File 021-163502 | $188,100 (est.) | $0 | $0 | Jefferies LLC BrokerCheck CRD 2347 ↗ USCA Securities LLC BrokerCheck CRD 103789 ↗ HighTower Securities, LLC BrokerCheck CRD 116681 ↗ | EDGAR ↗ |
| May 23, 2018 D/A Taconic Offshore Fund 1.5 Ltd. File 021-87100 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jan 17, 2018 D/A Ashbridge Transformational Secondaries Fund I, LP File 021-255297 | $2,163,290 | $0 | $0 | Morgan Stanley Smith Barney LLC BrokerCheck CRD 149777 ↗ | EDGAR ↗ |
| Jan 17, 2018 D/A Ashbridge Transformational Secondaries Fund I (Cayman), LP File 021-255309 | $763,256 | $0 | $0 | Morgan Stanley Smith Barney LLC BrokerCheck CRD 149777 ↗ | EDGAR ↗ |
| Dec 18, 2017 D/A Taconic Sidecar Offshore Fund SPC Segregated Portfolio III File 021-276475 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Dec 11, 2017 D/A TACONIC OPPORTUNITY OFFSHORE FUND LTD File 021-87101 | $121,157 (est.) | $0 | $0 | J.P. Morgan Securities LLC BrokerCheck CRD 79 ↗ | EDGAR ↗ |
| Oct 6, 2017 D/A Riverview Global Macro Fund LP File 021-137409 | $11,992,156 (est.) | $0 | $0 | Morgan Stanley Smith Barney LLC BrokerCheck CRD 149777 ↗ Morgan Stanley & Co. International Limited no CRD number reported Bank Morgan Stanley AG no CRD number reported UBS Financial Services Inc. BrokerCheck CRD 8174 ↗ | EDGAR ↗ |
| Oct 6, 2017 D/A Riverview Global Macro Fund (Cayman) L.P. File 021-137398 | $5,398,035 (est.) | $0 | $0 | Morgan Stanley Smith Barney LLC BrokerCheck CRD 149777 ↗ Morgan Stanley & Co. International Limited no CRD number reported Bank Morgan Stanley AG no CRD number reported | EDGAR ↗ |
| Jul 13, 2017 D/A ARCHVIEW MASTER FUND LTD File 021-127186 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jul 13, 2017 D/A ARCHVIEW OFFSHORE FUND LTD. File 021-145066 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jun 16, 2017 D/A Babson Capital Floating Rate Income Offshore Fund, Ltd. File 021-179993 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jun 9, 2017 D/A Riverview Select Mortgage Fund LP File 021-174488 | $2,641,816 (est.) | $0 | $0 | Morgan Stanley Smith Barney LLC BrokerCheck CRD 149777 ↗ | EDGAR ↗ |
| Jun 9, 2017 D/A Riverview Select Mortgage Fund (Cayman) LP File 021-192138 | $1,476,593 (est.) | $0 | $0 | Morgan Stanley Smith Barney LLC BrokerCheck CRD 149777 ↗ | EDGAR ↗ |
| May 25, 2017 D/A Archview ERISA Master Fund Ltd. File 021-239998 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| May 25, 2017 D/A Archview ERISA Fund Ltd. File 021-239997 | $0 | $0 | $0 | KELSON CAPITAL LLC BrokerCheck CRD 149477 ↗ | EDGAR ↗ |
| Mar 22, 2017 D/A Taconic Sidecar Offshore Fund SPC Segregated Portfolio II File 021-259752 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Dec 16, 2016 D/A CIFC Tactical Income Fund (Cayman) Ltd. File 021-208070 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Sep 22, 2016 D/A Apollo Credit Short Opportunities Fund (Offshore) Ltd. File 021-223896 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Sep 2, 2016 D/A RIVERVIEW STRATEGIC OPPORTUNITIES FUND II (CAYMAN) LP File 021-254275 | $1,129,560 (est.) | $0 | $0 | MORGAN STANLEY SMITH BARNEY LLC BrokerCheck CRD 149777 ↗ | EDGAR ↗ |
| Sep 2, 2016 D/A RIVERVIEW STRATEGIC OPPORTUNITIES FUND II LP File 021-254272 | $6,269,710 (est.) | $0 | $0 | MORGAN STANLEY SMITH BARNEY LLC BrokerCheck CRD 149777 ↗ | EDGAR ↗ |
| Aug 22, 2016 D/A Guggenheim Private Debt Fund 2.0, Ltd. File 021-256830 | $683,000 (est.) | $0 | $0 | Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ Guggenheim Fund Distributors, LLC BrokerCheck CRD 39805 ↗ | EDGAR ↗ |
| Aug 19, 2016 D/A Credit Suisse Systematic Trading Volatility Fund, Ltd. File 021-183262 | $0 | $0 | $0 Customary advisory fees are paid by the Issuer to the Investment Manager as provided for in the Issuer's offering materials. | None listed on this filing | EDGAR ↗ |
| Jan 11, 2016 D/A Sterling Ridge Fund Ltd. File 021-209674 | $1,375 | $0 | $0 | Seawinds Brokerage, LLC BrokerCheck CRD 166846 ↗ York Stockbrokers, Inc. BrokerCheck CRD 102740 ↗ | EDGAR ↗ |
| Oct 7, 2015 D/A CIFC Senior Secured Corporate Loan Fund (Cayman) Ltd. File 021-225977 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Sep 15, 2015 D/A Apollo Offshore Structured Credit Recovery Fund III Ltd. File 021-213246 | $0 | $0 | $0 Certain management fees will be paid to Apollo Structured Credit Recovery Management III LLC, an entity that may be indirectly controlled by certain individuals listed in Item 3 above, as described in the Issuer's Confidential Private Placement Memorandum | None listed on this filing | EDGAR ↗ |
| Jul 2, 2015 D/A BlackGold Opportunity HedgeFocus Fund Ltd File 021-200218 | $560,939 | $0 | $0 | Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ | EDGAR ↗ |
| Jul 2, 2015 D/A York Multi-Strategy HedgeFocus Fund Ltd File 021-220266 | $99,288 | $0 | $0 | Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ | EDGAR ↗ |
| Jul 2, 2015 D/A Tide Point HedgeFocus Fund Ltd File 021-220259 | $45,463 | $0 | $0 | Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ | EDGAR ↗ |
| Jul 2, 2015 D/A SPF HedgeFocus Fund Ltd File 021-222320 | $78,177 | $0 | $0 | Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ | EDGAR ↗ |
| Jun 30, 2015 D Susa HedgeFocus Fund Ltd File 021-242813 | $0 | $0 | $0 | Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ | EDGAR ↗ |
| Jun 22, 2015 D/A Doonbeg HedgeFocus Fund Ltd File 021-198385 | $171,784 (est.) | $0 | $0 | Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ | EDGAR ↗ |
| Jun 22, 2015 D/A Millennium International HedgeFocus Fund Ltd File 021-198373 | $1,379,067 (est.) | $0 | $0 | Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ | EDGAR ↗ |
| Jun 22, 2015 D/A York Credit Opportunities HedgeFocus Fund Ltd File 021-198380 | $418,457 (est.) | $0 | $0 | Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ | EDGAR ↗ |
| Jun 12, 2015 D/A SPF Securitized Products Master Fund Ltd. File 021-171269 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jun 12, 2015 D/A SPF Securitized Products Intermediate Fund Ltd. File 021-179839 | $0 | $0 | $0 Customary advisory fees are paid by the Issuer to the Investment Manager as provided for in the Issuer's offering materials. | None listed on this filing | EDGAR ↗ |
| Jun 12, 2015 D/A SPF Securitized Products Fund Ltd. File 021-179840 | $0 | $0 | $0 Customary advisory fees are paid by the subsidiary investing vehicle of the Issuer to the Investment Manager as provided for in the Issuer's offering materials. | None listed on this filing | EDGAR ↗ |
| May 8, 2015 D/A Apollo Offshore Energy Opportunity Fund Ltd. File 021-236470 | $60,000 (est.) | $0 | $0 Certain management fees will be paid to Apollo Energy Opportunity Management LLC, an entity that may be indirectly controlled by certain individuals listed above, as described in the Issuer's Subscription Booklet. | Mirae Asset Securities no CRD number reported | EDGAR ↗ |
| Mar 23, 2015 D CIFC CLO Warehouse Fund 2014-I Feeder Ltd. File 021-236433 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Feb 11, 2015 D Canyon Balanced HedgeFocus Fund Ltd File 021-233892 | $0 | $0 | $0 | Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ | EDGAR ↗ |
| Oct 21, 2014 D/A HedgeForum Eminence, Ltd. File 021-185642 | $49,613 | $0 | $0 | Citigroup Global Markets Inc. BrokerCheck CRD 7059 ↗ via Citigroup Global Markets Inc. (CRD 7059 ↗) | EDGAR ↗ |
| Oct 21, 2014 D/A HedgeForum Metacapital, Ltd. File 021-206749 | $1,642,635 | $0 | $0 | Citigroup Global Markets Inc. BrokerCheck CRD 7059 ↗ via Citigroup Global Markets Inc. (CRD 7059 ↗) | EDGAR ↗ |
| Oct 21, 2014 D/A HedgeForum Glenview, Ltd. File 021-220925 | $565,125 | $0 | $0 | Citigroup Global Markets Inc. BrokerCheck CRD 7059 ↗ via Citigroup Global Markets Inc. (CRD 7059 ↗) | EDGAR ↗ |
| Oct 9, 2014 D/A CAIS JAT Capital Offshore Fund Ltd. File 021-163228 | $30,069 | $0 | $0 | US Capital Advisors, LLC BrokerCheck CRD 103789 ↗ Evans & Partners Pty Ltd. no CRD number reported Julius Baer no CRD number reported Macquarie no CRD number reported | EDGAR ↗ |
| Oct 9, 2014 D/A CAIS Highbridge Capital Institutional Fund Ltd. File 021-163504 | $41,002 | $0 | $0 | US Capital Advisors, LLC BrokerCheck CRD 103789 ↗ HighTower Securities, LLC BrokerCheck CRD 116681 ↗ | EDGAR ↗ |
| Oct 2, 2014 D/A CAIS BALESTRA GLOBAL LTD. File 021-172341 | $65,362 | $0 | $0 | Jefferies LLC BrokerCheck CRD 2347 ↗ Dominick & Dominick, LLC BrokerCheck CRD 7344 ↗ US Capital Advisors, LLC BrokerCheck CRD 103789 ↗ HighTower Securities, LLC BrokerCheck CRD 116681 ↗ Joel Isaacson & Co. BrokerCheck CRD 152450 ↗ | EDGAR ↗ |
| Sep 24, 2014 D/A Finisterre Sovereign Debt HedgeFocus Fund Ltd File 021-175592 | $358,662 (est.) | $0 | $0 | Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ | EDGAR ↗ |
| Sep 24, 2014 D/A York Total Return HedgeFocus Fund Ltd File 021-175597 | $31,348 (est.) | $0 | $0 | Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ | EDGAR ↗ |
| Sep 24, 2014 D/A Gavea Global Macro HedgeFocus Fund Ltd File 021-175599 | $183,725 (est.) | $0 | $0 | Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ | EDGAR ↗ |
| Sep 24, 2014 D/A CS Armajaro Commodities Fund Ltd File 021-175868 | $31,301 (est.) | $0 | $0 | Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ | EDGAR ↗ |
| Sep 24, 2014 D/A PWP Tokum Healthcare HedgeFocus Fund Ltd. File 021-193719 | $5,880 (est.) | $0 | $0 | Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ | EDGAR ↗ |
| Sep 24, 2014 D/A Absolute Return Capital HedgeFocus Fund Ltd File 021-193699 | $174,240 (est.) | $0 | $0 | Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ | EDGAR ↗ |
| Sep 24, 2014 D/A OZOSII HedgeFocus Fund Ltd File 021-193711 | $173,686 (est.) | $0 | $0 | Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ | EDGAR ↗ |
| Sep 24, 2014 D/A HG Global Macro 90 HedgeFocus Fund Ltd File 021-193793 | $27,488 (est.) | $0 | $0 | Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ | EDGAR ↗ |
| Sep 24, 2014 D MKP Opportunity HedgeFocus Fund Ltd File 021-225258 | $244,733 (est.) | $0 | $0 | Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ | EDGAR ↗ |
| Aug 4, 2014 D/A Apollo Credit Strategies Fund LP File 021-155516 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jul 14, 2014 D/A MAVERICK SEED PARTNERS, L.P. File 021-163000 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jul 1, 2014 D/A HedgeForum Pentwater, Ltd. File 021-198476 | $0 | $0 | $0 | Citigroup Global Markets Inc. BrokerCheck CRD 7059 ↗ via Citigroup Global Markets Inc. (CRD 7059 ↗) | EDGAR ↗ |
| Jun 6, 2014 D/A ILS Property & Casualty Master Fund Ltd. File 021-179126 | $0 | $0 | $0 | Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ | EDGAR ↗ |
| Apr 3, 2014 D/A AIP STRATEGIC OPPORTUNITIES FUND I LP File 021-210138 | $3,330,300 | $0 | $0 | MORGAN STANLEY SMITH BARNEY LLC BrokerCheck CRD 149777 ↗ | EDGAR ↗ |
| Apr 3, 2014 D/A AIP STRATEGIC OPPORTUNITIES FUND I (CAYMAN) LP File 021-210139 | $560,100 | $0 | $0 | MORGAN STANLEY SMITH BARNEY LLC BrokerCheck CRD 149777 ↗ | EDGAR ↗ |
| Mar 27, 2014 D Emso Saguaro Ltd. File 021-214371 | $43,454 (est.) | $0 | $0 | Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ | EDGAR ↗ |
| Mar 27, 2014 D Kirkoswald Emerging Markets Fund Ltd File 021-214373 | $2,476,277 (est.) | $0 | $0 | Citigroup Global Markets Inc. BrokerCheck CRD 7059 ↗ Morgan Stanley Smith Barney LLC BrokerCheck CRD 149777 ↗ | EDGAR ↗ |
| Mar 27, 2014 D Kirkoswald Emerging Markets Fund (US) Ltd File 021-214376 | $4,502,167 (est.) | $0 | $0 | Citigroup Global Markets Inc. BrokerCheck CRD 7059 ↗ Morgan Stanley Smith Barney LLC BrokerCheck CRD 149777 ↗ | EDGAR ↗ |
| Feb 6, 2014 D/A HedgeForum Chilton Global Natural Resources, Ltd. File 021-93748 | $1,203,242 | $0 | $0 | Citigroup Global Markets Inc. BrokerCheck CRD 7059 ↗ via Citigroup Global Markets Inc. (CRD 7059 ↗) Morgan Stanley Smith Barney LLC BrokerCheck CRD 149777 ↗ via Morgan Stanley Smith Barney LLC (CRD 149777 ↗) | EDGAR ↗ |
| Feb 6, 2014 D/A HedgeForum Gavea, Ltd. File 021-127633 | $1,337,293 | $0 | $0 | Citigroup Global Markets Inc. BrokerCheck CRD 7059 ↗ via Citigroup Global Markets Inc. (CRD 7059 ↗) Morgan Stanley Smith Barney LLC BrokerCheck CRD 149777 ↗ via Morgan Stanley Smith Barney LLC (CRD 149777 ↗) | EDGAR ↗ |
| Feb 6, 2014 D/A HedgeForum GoldenTree, Ltd. File 021-127631 | $944,008 | $0 | $0 | Citigroup Global Markets Inc. BrokerCheck CRD 7059 ↗ via Citigroup Global Markets Inc. (CRD 7059 ↗) Morgan Stanley Smith Barney LLC BrokerCheck CRD 149777 ↗ via Morgan Stanley Smith Barney LLC (CRD 149777 ↗) | EDGAR ↗ |
| Feb 6, 2014 D/A HedgeForum WTN, Ltd. File 021-174908 | $8,750 | $0 | $0 | Citigroup Global Markets Inc. BrokerCheck CRD 7059 ↗ via Citigroup Global Markets Inc. (CRD 7059 ↗) | EDGAR ↗ |
| Feb 5, 2014 D/A HedgeForum CFM, Ltd. File 021-167274 | $0 | $0 | $0 | Citigroup Global Markets Inc. BrokerCheck CRD 7059 ↗ via Citigroup Global Markets Inc. (CRD 7059 ↗) Morgan Stanley Smith Barney LLC BrokerCheck CRD 149777 ↗ via Morgan Stanley Smith Barney LLC (CRD 149777 ↗) | EDGAR ↗ |
| Jan 31, 2014 D/A HedgeForum Caxton, Ltd. File 021-167256 | $9,650 | $0 | $0 | Citigroup Global Markets Inc. BrokerCheck CRD 7059 ↗ via Citigroup Global Markets Inc. (CRD 7059 ↗) Morgan Stanley Smith Barney LLC BrokerCheck CRD 149777 ↗ via Morgan Stanley Smith Barney LLC (CRD 149777 ↗) | EDGAR ↗ |
| Jan 31, 2014 D/A HedgeForum Canyon, Ltd. File 021-82310 | $470,501 | $0 | $0 | Citigroup Global Markets Inc. BrokerCheck CRD 7059 ↗ via Citigroup Global Markets Inc. (CRD 7059 ↗) Morgan Stanley Smith Barney LLC BrokerCheck CRD 149777 ↗ via Morgan Stanley Smith Barney LLC (CRD 149777 ↗) | EDGAR ↗ |
| Jan 31, 2014 D/A HedgeForum Artha Emerging Markets, Ltd. File 021-110388 | $205,775 | $0 | $0 | Citigroup Global Markets Inc. BrokerCheck CRD 7059 ↗ via Citigroup Global Markets Inc. (CRD 7059 ↗) Morgan Stanley Smith Barney LLC BrokerCheck CRD 149777 ↗ via Morgan Stanley Smith Barney LLC (CRD 149777 ↗) | EDGAR ↗ |
| Jan 31, 2014 D/A HedgeForum Brevan Howard, Ltd. File 021-145390 | $1,593,125 | $0 | $0 | Citigroup Global Markerts Inc. BrokerCheck CRD 7059 ↗ via Citigroup Global Markets Inc. (CRD 7059 ↗) Morgan Stanley Smith Barney LLC BrokerCheck CRD 149777 ↗ via Morgan Stanley Smith Barney LLC (CRD 149777 ↗) | EDGAR ↗ |
| Jan 31, 2014 D/A HedgeForum BlueCrest, Ltd. File 021-185641 | $4,200 | $0 | $0 | Citigroup Global Markets Inc. BrokerCheck CRD 7059 ↗ via Citigroup Global Markets Inc. (CRD 7059 ↗) | EDGAR ↗ |
| Dec 6, 2013 D/A ILS Property & Casualty Feeder Fund Ltd. File 021-188031 | $0 | $0 | $0 | n/a BrokerCheck CRD 000 ↗ via Credit Suisse Securities (USA) LLC (CRD 816 ↗) | EDGAR ↗ |
| Oct 18, 2013 D/A HedgeForum ACQ, Ltd. File 021-185640 | $0 | $0 | $0 | Citigroup Global Markets Inc. BrokerCheck CRD 7059 ↗ via Citigroup Global Markets Inc. (CRD 7059 ↗) | EDGAR ↗ |
| Oct 11, 2013 D/A GUGGENHEIM PRIVATE DEBT FUND LTD File 021-182135 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Sep 16, 2013 D/A MKP Opportunity HedgeFocus Fund Ltd File 021-193798 | $0 | $0 | $0 | Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ | EDGAR ↗ |
| Aug 22, 2013 D/A Credit Suisse Systematic Trading CTA 2.0 Fund, Ltd. File 021-183261 | $0 | $0 | $0 Customary advisory fees are paid by the Issuer to the Investment Manager as provided for in the Issuer's offering materials. | None listed on this filing | EDGAR ↗ |
| Jul 26, 2013 D/A CAIS Paulson Advantage Plus Ltd. File 021-163199 | $0 | $0 | $0 | Hightower Securities, LLC BrokerCheck CRD 116681 ↗ Jefferies & Company, Inc. BrokerCheck CRD 2347 ↗ USCA Securities LLC BrokerCheck CRD 103789 ↗ | EDGAR ↗ |
| Jul 26, 2013 D/A CAIS Paulson International Ltd. File 021-163185 | $0 | $0 | $0 | Hightower Securities, LLC BrokerCheck CRD 116681 ↗ Jefferies & Company, Inc. BrokerCheck CRD 2347 ↗ USCA Securities LLC BrokerCheck CRD 103789 ↗ | EDGAR ↗ |
| Jul 26, 2013 D/A CAIS Perella Weinberg Partners Xerion Offshore Fund Ltd. File 021-163180 | $0 | $0 | $0 | Hightower Securities, LLC BrokerCheck CRD 116681 ↗ Jefferies & Company, Inc. BrokerCheck CRD 2347 ↗ USCA Securities LLC BrokerCheck CRD 103789 ↗ | EDGAR ↗ |
| Jul 26, 2013 D/A CAIS WTN Fund Ltd. File 021-163171 | $0 | $0 | $0 | Hightower Securities, LLC BrokerCheck CRD 116681 ↗ Jefferies & Company, Inc. BrokerCheck CRD 2347 ↗ USCA Securities LLC BrokerCheck CRD 103789 ↗ | EDGAR ↗ |
| Mar 6, 2013 D Taconic Sidecar Offshore Fund SPC File 021-192847 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jan 30, 2013 D/A HedgeForum Ivory, Ltd. File 021-167258 | $4,500 | $0 | $0 | Citigroup Global Markets Inc. BrokerCheck CRD 7059 ↗ via Citigroup Global Markets Inc. (CRD 7059 ↗) Morgan Stanley Smith Barney LLC BrokerCheck CRD 149777 ↗ via Morgan Stanley Smith Barney LLC (CRD 149777 ↗) | EDGAR ↗ |
| Jan 22, 2013 D/A HedgeForum Beach Point, Ltd. File 021-167245 | $0 | $0 | $0 | Citigroup Global Markets Inc. BrokerCheck CRD 7059 ↗ via Citigroup Global Markets Inc. (CRD 7059 ↗) Morgan Stanley Smith Barney LLC BrokerCheck CRD 149777 ↗ via Morgan Stanley Smith Barney LLC (CRD 149777 ↗) | EDGAR ↗ |
| Apr 25, 2012 D Binnacle Offshore Fund Ltd. File 021-177222 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Feb 2, 2012 D VSAP II Feeder, L.P. File 021-172838 | $308,500 (est.) | $0 | $0 | Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ | EDGAR ↗ |
| Oct 28, 2011 D/A HedgeForum Fortress Macro, Ltd. File 021-124977 | $35,125 | $0 | $0 | Citigroup Global Markets Inc. BrokerCheck CRD 7059 ↗ via Citigroup Global Markets Inc. (CRD 7059 ↗) Morgan Stanley Smith Barney LLC BrokerCheck CRD 149777 ↗ via Morgan Stanley Smith Barney LLC (CRD 149777 ↗) | EDGAR ↗ |
| Oct 14, 2011 D HedgeForum Brevan Howard Multi-Strategy, Ltd. File 021-167254 | $0 | $0 | $0 | Citigroup Global Markets Inc. BrokerCheck CRD 7059 ↗ via Citigroup Global Markets Inc. (CRD 7059 ↗) Morgan Stanley Smith Barney LLC BrokerCheck CRD 149777 ↗ via Morgan Stanley Smith Barney LLC (CRD 149777 ↗) | EDGAR ↗ |
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).
Every issuer that named Sam Ellis on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.
Raised $8.55B from 181 investors as of the latest filing. Sam is listed as director on 12 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $5.69B from 248 investors as of the latest filing. Sam is listed as director on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $294.3M from 8 investors as of the latest filing. Sam is listed as director on 6 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $151.4M from 59 investors as of the latest filing. Sam is listed as director on 9 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $230M from 28 investors as of the latest filing. Sam is listed as director on 6 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $16.9M from 81 investors as of the latest filing. Sam is listed as director on 6 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $50.2M from 199 investors as of the latest filing. Sam is listed as director on 9 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $444.4M from 1,520 investors as of the latest filing. Sam is listed as director on 9 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $19.2M from 61 investors as of the latest filing. Sam is listed as director on 9 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $57.8M from 36 investors as of the latest filing. Sam is listed as director on 4 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $150.4M from 26 investors as of the latest filing. Sam is listed as director on 6 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $16M from 1 investor as of the latest filing. Sam is listed as director on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $2.36B from 50 investors (94% of the $2.5B target) as of the latest filing. Sam is listed as director on 2 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $100K from 1 investor as of the latest filing. Sam is listed as director.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $5.31M from 33 investors as of the latest filing. Sam is listed as director on 7 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $35.2M from 120 investors as of the latest filing. Sam is listed as director on 7 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $26.6M from 135 investors as of the latest filing. Sam is listed as director on 7 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $835.4M from 135 investors as of the latest filing. Sam is listed as director on 9 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $204.5M from 22 investors as of the latest filing. Sam is listed as director on 2 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $163.8M from 39 investors as of the latest filing. Sam is listed as director on 2 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $27.7M from 8 investors as of the latest filing. Sam is listed as director on 2 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $4.52B from 610 investors as of the latest filing. Sam is listed as director on 10 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $678.2M from 265 investors as of the latest filing. Sam is listed as director on 5 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $439.3M from 489 investors as of the latest filing. Sam is listed as director on 6 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $133.6M from 10 investors as of the latest filing. Sam is listed as director on 6 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $314M from 61 investors as of the latest filing. Sam is listed as director on 6 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $903.6M from 41 investors as of the latest filing. Sam is listed as director on 6 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $26M from 89 investors as of the latest filing. Sam is listed as director on 6 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $90.7M from 156 investors as of the latest filing. Sam is listed as director on 8 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $65M from 1 investor as of the latest filing. Sam is listed as director on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $100K from 1 investor as of the latest filing. Sam is listed as director on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $36.5M from 3 investors as of the latest filing. Sam is listed as director on 2 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
No sales reported yet as of the latest filing. Sam is listed as director on 4 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $51M from 8 investors as of the latest filing. Sam is listed as director on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $514.4M from 562 investors (100% of the $514.4M target) as of the latest filing. Sam is listed as director on 5 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $93.1M from 127 investors (100% of the $93.1M target) as of the latest filing. Sam is listed as director on 5 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $386.5M from 14 investors (19% of the $2B target) as of the latest filing. Sam is listed as director on 2 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $10M from 1 investor as of the latest filing. Sam is listed as director on 5 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $205.9M from 30 investors as of the latest filing. Sam is listed as director on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $1.32B from 56 investors as of the latest filing. Sam is listed as director on 2 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $1B from 32 investors (100% of the $1B target) as of the latest filing. Sam is listed as director on 4 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $78.7M from 175 investors as of the latest filing. Sam is listed as director on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $22.7M from 56 investors as of the latest filing. Sam is listed as director on 2 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $59.1M from 72 investors as of the latest filing. Sam is listed as director on 2 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $17M from 44 investors as of the latest filing. Sam is listed as director on 2 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $2.54M from 5 investors as of the latest filing. Sam is listed as director.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $26.4M from 60 investors as of the latest filing. Sam is listed as director on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $1.02B from 1,202 investors as of the latest filing. Sam is listed as director on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $149.3M from 48 investors as of the latest filing. Sam is listed as director on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $1.53B from 95 investors as of the latest filing. Sam is listed as director on 4 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $2.77B from 2 investors as of the latest filing. Sam is listed as director on 4 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $1.53B from 1 investor as of the latest filing. Sam is listed as director on 4 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $736.9M from 63 investors (100% of the $736.9M target) as of the latest filing. Sam is listed as director on 2 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $10.9M from 1 investor as of the latest filing. Sam is listed as director.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $20.1M from 43 investors as of the latest filing. Sam is listed as director.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $132.2M from 251 investors as of the latest filing. Sam is listed as director on 2 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $22M from 45 investors as of the latest filing. Sam is listed as director on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $179M from 421 investors as of the latest filing. Sam is listed as director on 2 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $11M from 33 investors as of the latest filing. Sam is listed as director on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $2.33M from 23 investors as of the latest filing. Sam is listed as director on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $14.6M from 71 investors as of the latest filing. Sam is listed as director on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $2.48M from 10 investors as of the latest filing. Sam is listed as director on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $38.8M from 71 investors as of the latest filing. Sam is listed as director on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $86.9M from 72 investors as of the latest filing. Sam is listed as director on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $6.8M from 15 investors as of the latest filing. Sam is listed as director on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $17.2M from 38 investors as of the latest filing. Sam is listed as director on 4 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $28.7M from 66 investors as of the latest filing. Sam is listed as director on 4 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $31M from 65 investors as of the latest filing. Sam is listed as director on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $15.2M from 19 investors as of the latest filing. Sam is listed as director on 4 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $28.4M from 63 investors as of the latest filing. Sam is listed as director on 4 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $1.7B from 70 investors as of the latest filing. Sam is listed as director.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $129.3M from 19 investors as of the latest filing. Sam is listed as director.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $136.8M from 291 investors as of the latest filing. Sam is listed as director on 2 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $2M from 1 investor as of the latest filing. Sam is listed as director on 4 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $76M from 100 investors as of the latest filing. Sam is listed as director on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $425.6M from 481 investors as of the latest filing. Sam is listed as director on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $446M from 440 investors as of the latest filing. Sam is listed as director.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $1.53B from 266 investors as of the latest filing. Sam is listed as director.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $1.46B from 110 investors as of the latest filing. Sam is listed as director.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $121.1M from 349 investors as of the latest filing. Sam is listed as director on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $119.8M from 315 investors as of the latest filing. Sam is listed as director on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $162.4M from 350 investors as of the latest filing. Sam is listed as director on 4 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $178M from 338 investors as of the latest filing. Sam is listed as director, executive officer on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $57.4M from 91 investors as of the latest filing. Sam is listed as director on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $140.3M from 366 investors as of the latest filing. Sam is listed as director on 5 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $131.1M from 325 investors as of the latest filing. Sam is listed as director on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $52.7M from 77 investors as of the latest filing. Sam is listed as director on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $64.1M from 126 investors as of the latest filing. Sam is listed as director on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $89.3M from 244 investors as of the latest filing. Sam is listed as director on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
No sales reported yet as of the latest filing. Sam is listed as director on 2 filings for this deal.
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.
Raised $450K from 1 investor as of the latest filing. Sam is listed as director on 2 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $100M from 3 investors (7% of the $1.4B target) as of the latest filing. Sam is listed as director on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $9.5M from 1 investor as of the latest filing. Sam is listed as director on 2 filings for this deal.
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.
Raised $5.65M from 20 investors as of the latest filing. Sam is listed as director on 2 filings for this deal.
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.
Raised $32.5M from 22 investors as of the latest filing. Sam is listed as director on 2 filings for this deal.
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.
Raised $1.72M from 3 investors as of the latest filing. Sam is listed as director on 2 filings for this deal.
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.
Raised $3.6M from 26 investors as of the latest filing. Sam is listed as director on 2 filings for this deal.
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.
Raised $10.3M from 2 investors as of the latest filing. Sam is listed as director.
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.
Raised $475K from 3 investors (100% of the $475K target) as of the latest filing. Sam is listed as director on 2 filings for this deal.
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.
Raised $100K from 1 investor (100% of the $100K target) as of the latest filing. Sam is listed as director on 2 filings for this deal.
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.
No sales reported yet as of the latest filing. Sam is listed as director.
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.
Raised $30.9M from 40 investors as of the latest filing. Sam is listed as director.
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.
Raised $10.1M from 23 investors as of the latest filing. Sam is listed as director.
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.
Raised $225K from 2 investors as of the latest filing. Sam is listed as director.
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.
Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.
Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET. Showing the 40 with the most shared filings.
Capital Integration Systems LLC is on 148 issuers in total — a repeat sponsor. Their page lists every one.
Citi Private Advisory, LLC is on 92 issuers in total — a repeat sponsor. Their page lists every one.
Credit Suisse Securities (USA) LLC is on 40 issuers in total — a repeat sponsor. Their page lists every one.
Credit Suisse Asset Management, LLC is on 18 issuers in total — a repeat sponsor. Their page lists every one.
Taconic Capital Advisors L.P. is on 39 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Sam Ellis. Their page shows their other deals.
Listed on the same filings as Sam Ellis. Their page shows their other deals.
Listed on the same filings as Sam Ellis. Their page shows their other deals.
Taconic Capital Advisors UK LLP is on 19 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Sam Ellis. Their page shows their other deals.
Listed on the same filings as Sam Ellis. Their page shows their other deals.
Citigroup Alternative Investments, LLC is on 50 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Sam Ellis. Their page shows their other deals.
Listed on the same filings as Sam Ellis. Their page shows their other deals.
Listed on the same filings as Sam Ellis. Their page shows their other deals.
Babson Capital Management, LLC is on 5 issuers in total — a repeat sponsor. Their page lists every one.
Guggenheim Partners Investment Management, LLC is on 32 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Sam Ellis. Their page shows their other deals.
Taconic Capital Advisors (Hong Kong) Limited is on 7 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Sam Ellis. Their page shows their other deals.
Listed on the same filings as Sam Ellis. Their page shows their other deals.
Listed on the same filings as Sam Ellis. Their page shows their other deals.
Listed on the same filings as Sam Ellis. Their page shows their other deals.
Listed on the same filings as Sam Ellis. Their page shows their other deals.
Listed on the same filings as Sam Ellis. Their page shows their other deals.
D. Taconic Capital Advisors L.P. is on 5 issuers in total — a repeat sponsor. Their page lists every one.
Morgan Stanley AIP GP LP is on 38 issuers in total — a repeat sponsor. Their page lists every one.
Barings, LLC is on 38 issuers in total — a repeat sponsor. Their page lists every one.
Morgan Stanley Alternative Investments Inc. is on 13 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Sam Ellis. Their page shows their other deals.
Listed on the same filings as Sam Ellis. Their page shows their other deals.
Tammy Jennissen is on 142 issuers in total — a repeat sponsor. Their page lists every one.
Stephane Lachance is on 146 issuers in total — a repeat sponsor. Their page lists every one.
Matthew C. Brown is on 153 issuers in total — a repeat sponsor. Their page lists every one.
Abali Hoilett is on 100 issuers in total — a repeat sponsor. Their page lists every one.
Eileen Duff is on 40 issuers in total — a repeat sponsor. Their page lists every one.
Sophia Dilbert is on 104 issuers in total — a repeat sponsor. Their page lists every one.
Omar Wright is on 83 issuers in total — a repeat sponsor. Their page lists every one.
Rafay H. Farooqui is on 46 issuers in total — a repeat sponsor. Their page lists every one.
George Bashforth is on 128 issuers in total — a repeat sponsor. Their page lists every one.
One team, 40 deal companies. Sam Ellis is listed on 18 of them.
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 Sam Ellis.
One team, 202 deal companies. Sam Ellis is listed on 14 of them.
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 Sam Ellis.
One team, 107 deal companies. Sam Ellis is listed on 8 of them.
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 Sam Ellis.
One team, 16 deal companies. Sam Ellis is listed on 7 of them.
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 Sam Ellis.
One team, 99 deal companies. Sam Ellis is listed on 7 of them.
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 Sam Ellis.
A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.
A person is never an adviser firm. 27 of the 104 issuers this person is listed on match a Form ADV adviser (searched 24,962 advisers as of Oct 2, 2026): CIFC Senior Secured Corporate Loan Fund (Cayman) Ltd., Riverview Global Macro Fund (Cayman) L.P., Riverview Global Macro Fund LP, SFP Value Realization Fund Ltd, SPF Securitized Products Fund Ltd., SPF Securitized Products Intermediate Fund Ltd., SPF Securitized Products Master Fund Ltd., Kirkoswald Emerging Markets Fund (US) Ltd, TACONIC OPPORTUNITY OFFSHORE FUND LTD, Taconic Offshore Fund 1.5 Ltd., HedgeForum GoldenTree, Ltd., Sinfonietta L.P., SFP Japan Special Opportunities Fund Ltd., SFP Japan Special Opportunities Fund L.P., Babson Capital Floating Rate Income Offshore Fund, Ltd., Taconic Sidecar Offshore Fund SPC Segregated Portfolio III, Guggenheim Private Debt Fund 2.0, Ltd., Riverview Select Mortgage Fund LP, Taconic Sidecar Offshore Fund SPC Segregated Portfolio II, HedgeForum Gavea, Ltd., HedgeForum Brevan Howard, Ltd., HedgeForum Canyon, Ltd., HedgeForum Chilton Global Natural Resources, Ltd., HedgeForum Artha Emerging Markets, Ltd., GUGGENHEIM PRIVATE DEBT FUND LTD, Taconic Sidecar Offshore Fund SPC, HedgeForum Fortress Macro, Ltd..
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 are matched to companies only, never to individuals, so none are matched to Sam Ellis 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 104 issuers this person is listed on — nothing matched.
Websites and social links of the issuers Sam Ellis is listed on, as found in their SEC filings (Form C, Reg A, Form ADV, EDGAR profile) or on the sponsor's own site; none belongs to the person unless the sponsor's site says so. Checked Oct 24, 2026.
One-tap searches on sites we do not index ourselves, with the name pre-filled (Grand Cayman, E9). Each opens in a new tab; what you find there is not verified by PartnerFacts.
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