Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:27 AM ET

Sponsor Check › Person

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Stephen Kaplan

Named as an officer, director or promoter on SEC Form D filings · CA · Oct 20, 2009 → May 7, 2019

72deals (issuers)

$65.24Breported sold

3,600investors

200Form D filings

2009–2019years on file

Follow this person Look further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:18 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Stephen Kaplan is listed as an executive officer and director on 200 SEC Form D filings by 72 issuers between Oct 2009 and May 2019. Largest by amount reported sold: Oaktree Opportunities Fund Xb, L.P. (Los Angeles, CA — pooled investment fund — 2014–2015; $6.61B reported sold to 247 investors), OAKTREE EXPANDED HIGH YIELD FUND, L.P. (Los Angeles, CA — pooled investment fund — 2010–2014; $5.53B reported sold to 127 investors), Oaktree Opportunities Fund IX, L.P. (Los Angeles, CA — pooled investment fund — 2011–2013; $4.1B reported sold to 162 investors), Oaktree Opportunities Fund VIII, L.P. (Los Angeles, CA — pooled investment fund — 2010; $3.98B reported sold to 213 investors), Oaktree Opportunities Fund VIII AIF (Delaware), L.P. (Los Angeles, CA — pooled investment fund — 2011; $3.71B reported sold to 263 investors) and 67 more (all listed below).

What this means That is a lot of deals — 72 separate companies raised money with this person listed as executive officer and director, over about 10 years. Across those companies the filings report $65.24B sold in total.

Listed alongside Bruce A. Karsh (190 shared filings), David M. Kirchheimer (190 shared filings), John B. Frank (190 shared filings), Sheldon Stone (190 shared filings), Howard S. Marks (186 shared filings) and 64 others.

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

The issuers belong to 3 sponsor groups: Oaktree (322 issuers, $132.91B reported sold, 2009–2026), Ten Sheridan (10 issuers, $92.3M reported sold, 2019–2024) and Townsquare (3 issuers, $67.2M reported sold, 2010–2022).

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

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — 1 SEC release, 10 bankruptcy cases matching the name listed in Key records below.

What this means 11 records came back. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.

We compared the newest 50 of 200 public filings for Stephen Kaplan and found 10 differences, 8 worth asking the sponsor about: Amount sold went down between filings; Investor count went down between filings; and more below.

What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.

What the community is saying

Community search for Stephen Kaplan has not run yet — it is joining a line of 33,371 names; searches run around the clock at the hosts' allowed rate. Searched so far: 638 names.

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

Key records

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

1. Lawsuits

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

What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:18 AM ET.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

1 SEC release

Stephen H. Kaplan Administrative proceeding

SEC · Dec 19, 2002 · Parties as named in the release: Stephen H. Kaplan Read the release ↗

same full name in the release title; 4 people with this name in Form D filings; the person's filing state is not named

What was searched

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Stephen Kaplan..

State securities regulators: Securities regulators searched (64,910 actions): FINRA (38,350 actions, 1995–2026), NASAA (31 actions, 2000–2026; listing starts 1997), AK Division of Banking and Securities (273 actions, 1971–2025), AL Securities Commission (880 actions, 2001–2026), AR Securities Department (1,305 actions, 1998–2026), AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), CO Division of Securities (731 actions, 2001–2026; older years from the Internet Archive (snapshot of 2026-05-02)), CT Department of Banking Securities Division (940 actions, 2006–2026; older years from the Internet Archive (snapshot of 2026-04-22)), DC DISB Securities Bureau (25 actions, 2012–2026), DE DOJ Investor Protection Unit (257 actions, 1987–2026), FL Office of Financial Regulation (49 actions, 2018–2026), GA Secretary of State Securities Division (65 actions, 2015–2026; listing starts 2012), HI DCCA Securities Enforcement Branch (26 actions, 2012–2026), ID Department of Finance Securities Bureau (663 actions, 1994–2026), IL Secretary of State Securities Department (4,122 actions, 2003–2023), KS Insurance Department Securities Division (58 actions), KY Department of Financial Institutions (342 actions, 2005–2026), LA Office of Financial Institutions Securities Division (13 actions, 2010–2025; listing starts 2008), MA Secretary of the Commonwealth Securities Division (125 actions, 2012–2025; live site blocks automated access — loaded from the Internet Archive snapshot of 2026-02-04), MD Attorney General Securities Division (1,054 actions, 2004–2026), ME Office of Securities (539 actions, 2000–2026), MI LARA Corporations, Securities & Commercial Licensing Bureau (201 actions), MO Secretary of State Securities Division (919 actions, 1998–2026), MS Secretary of State Securities Division (209 actions, 1995–2026), MT Commissioner of Securities and Insurance (597 actions, 2000–2026), NC Secretary of State Securities Division (265 actions, 2004–2024), ND Securities Department (711 actions, 1990–2026; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2026-01-06), NH Bureau of Securities Regulation (402 actions, 2002–2026), NM Regulation and Licensing Department Securities Division (90 actions, 2010–2025), NV Secretary of State Securities Division (118 actions, 2018–2026), NY Attorney General Investor Protection Bureau (44 actions, 2012–2026), OH Division of Securities (327 actions, 1993–2006), OK Department of Securities (2,531 actions, 1998–2026), OR Division of Financial Regulation (589 actions, 1988–2026), PA Department of Banking and Securities (1,448 actions, 2008–2024; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2024-08-09), RI DBR Securities Division (98 actions, 2005–2025), SC Attorney General Securities Division (540 actions, 2006–2026), SD Division of Insurance – Securities Regulation (106 actions, 2017–2026), TN Department of Commerce and Insurance Securities Division (405 actions, 1992–2026), TX State Securities Board (936 actions, 1999–2026), UT Division of Securities (772 actions, 2000–2026; older years from the Internet Archive (snapshot of 2010-05-27)), VT DFR Securities Division (137 actions, 2010–2026), WA DFI (2,039 actions, 2001–2026), WI DFI Division of Securities (1,072 actions, 1998–2026), WV Securities Commission (State Auditor) (64 actions), WY Secretary of State Compliance Division (6 actions, 2016–2024) — last crawled Oct 24, 2026, 8:48 AM ET. No machine-readable public listing today for IA, IN, MN, NE, NJ, VA (see docs/state-regulators.md).

3. Bankruptcies

10 cases: 10 closed (disposition not in docket feed)

Stephen Kaplan and Nancy Lynn Kaplan closed

United States Bankruptcy Court, M.D. Florida · No. 8:16-bk-06596 · Filed Jul 31, 2016 · Closed Mar 1, 2022

Role of Stephen Kaplan and Nancy Lynn Kaplan: Debtor · Outcome: Case closed 2022-03-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 16 federal dockets); 4 people with this name in Form D filings; court in FL (not a filing state)

Stephen M. Kaplan closed

United States Bankruptcy Court, N.D. New York · No. 12-30638 · Filed Apr 4, 2012 · Closed Aug 1, 2012

Role of Stephen M. Kaplan: Debtor · Outcome: Case closed 2012-08-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 16 federal dockets); 4 people with this name in Form D filings; court in NY (not a filing state)

Stephen J Kaplan closed

United States Bankruptcy Court, N.D. Illinois · No. 12-12722 · Filed Mar 29, 2012 · Closed Jul 27, 2012

Role of Stephen J Kaplan: Debtor · Outcome: Case closed 2012-07-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 16 federal dockets); 4 people with this name in Form D filings; court in IL (not a filing state)

Stephen B Kaplan closed

United States Bankruptcy Court, M.D. Florida · No. 6:09-bk-11035 · Filed Jul 30, 2009 · Closed Dec 8, 2009

Role of Stephen B Kaplan: Debtor · Outcome: Case closed 2009-12-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 16 federal dockets); 4 people with this name in Form D filings; court in FL (not a filing state)

Stephen H Kaplan closed

United States Bankruptcy Court, D. Massachusetts · No. 06-11545 · Filed May 24, 2006 · Closed Jan 18, 2007

Role of Stephen H Kaplan: Debtor · Outcome: Case closed 2007-01-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 16 federal dockets); 4 people with this name in Form D filings; court in MA (not a filing state)

Stephen P. Kaplan closed

United States Bankruptcy Court, N.D. Ohio · No. 03-16429 · Filed May 16, 2003 · Closed Sep 13, 2007

Role of Stephen P. Kaplan: Debtor · Outcome: Case closed 2007-09-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 16 federal dockets); 4 people with this name in Form D filings; court in OH (not a filing state)

Stephen Kaplan closed

United States Bankruptcy Court, S.D. New York · No. 99-10946 · Filed Oct 20, 1999 · Closed Feb 25, 2002

Role of Stephen Kaplan: Debtor · Outcome: Case closed 2002-02-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 16 federal dockets); 4 people with this name in Form D filings; court in NY (not a filing state)

Stephen E. Kaplan and Sunnye S. Kaplan closed

United States Bankruptcy Court, N.D. Texas · No. 98-32229 · Filed Mar 10, 1998 · Closed Sep 28, 2006

Role of Stephen E. Kaplan and Sunnye S. Kaplan: Debtor · Outcome: Case closed 2006-09-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 16 federal dockets); 4 people with this name in Form D filings; court in TX (not a filing state)

Stephen J. Kaplan closed

United States Bankruptcy Court, S.D. New York · No. 97-41934 · Filed Mar 26, 1997 · Closed Aug 6, 2004

Role of Stephen J. Kaplan: Debtor · Outcome: Case closed 2004-08-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 16 federal dockets); 4 people with this name in Form D filings; court in NY (not a filing state)

Stephen B. Kaplan and Teresa G. Kaplan closed

United States Bankruptcy Court, M.D. Florida · No. 6:91-bk-05602 · Filed Oct 22, 1991 · Closed Feb 21, 1992

Role of Stephen B. Kaplan and Teresa G. Kaplan: Debtor · Outcome: Case closed 1992-02-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 16 federal dockets); 4 people with this name in Form D filings; court in FL (not a filing state)

What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:18 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

4. Differences between public sources

Comparisons cover issuers and sponsor groups — see the issuer pages under Deals

10 differences found between the filings for Stephen Kaplan — 8 worth asking about (compared the newest 50 of 200 filings on Oct 24, 2026; older filings not covered)

Worth asking · Dec 2, 2016

Amount sold went down between filings — OAKTREE EMPLOYEE INVESTMENT FUND, L.P.

The Dec 2, 2016 filing says $6,489,132 sold; the Dec 2, 2016 Form D/A says $525,000 sold — $5,964,132 less.

What this means Amounts sold normally only go up as a raise continues. A drop can mean investors were refunded, a figure was corrected, or an earlier number was wrong. Ask the sponsor which it was.

Form D/A (earlier) · Dec 2, 2016 ↗Form D/A (later) · Dec 2, 2016 ↗OAKTREE EMPLOYEE INVESTMENT FUND, L.P. — PartnerFacts page ↗

Sources

Form D/A (earlier) · Dec 2, 2016 ↗ (Dec 2, 2016)
Form D/A (later) · Dec 2, 2016 ↗ (Dec 2, 2016)
OAKTREE EMPLOYEE INVESTMENT FUND, L.P. — PartnerFacts page ↗ (Sep 17, 2026)

Worth asking · Dec 4, 2015

Amount sold went down between filings — OAKTREE EMPLOYEE INVESTMENT FUND, L.P.

The Dec 4, 2015 filing says $22,450,000 sold; the Dec 4, 2015 Form D/A says $6,489,132 sold — $15,960,868 less.

What this means Amounts sold normally only go up as a raise continues. A drop can mean investors were refunded, a figure was corrected, or an earlier number was wrong. Ask the sponsor which it was.

Form D/A (earlier) · Dec 4, 2015 ↗Form D/A (later) · Dec 4, 2015 ↗OAKTREE EMPLOYEE INVESTMENT FUND, L.P. — PartnerFacts page ↗

Sources

Form D/A (earlier) · Dec 4, 2015 ↗ (Dec 4, 2015)
Form D/A (later) · Dec 4, 2015 ↗ (Dec 4, 2015)
OAKTREE EMPLOYEE INVESTMENT FUND, L.P. — PartnerFacts page ↗ (Sep 17, 2026)

Worth asking · Dec 4, 2015

Amount sold went down between filings — OAKTREE EMPLOYEE INVESTMENT FUND, L.P.

The Dec 4, 2015 filing says $6,489,132 sold; the Dec 4, 2015 Form D/A says $525,000 sold — $5,964,132 less.

What this means Amounts sold normally only go up as a raise continues. A drop can mean investors were refunded, a figure was corrected, or an earlier number was wrong. Ask the sponsor which it was.

Form D/A (earlier) · Dec 4, 2015 ↗Form D/A (later) · Dec 4, 2015 ↗OAKTREE EMPLOYEE INVESTMENT FUND, L.P. — PartnerFacts page ↗

Sources

Form D/A (earlier) · Dec 4, 2015 ↗ (Dec 4, 2015)
Form D/A (later) · Dec 4, 2015 ↗ (Dec 4, 2015)
OAKTREE EMPLOYEE INVESTMENT FUND, L.P. — PartnerFacts page ↗ (Sep 17, 2026)

Worth asking · Dec 2, 2016

Investor count went down between filings — OAKTREE EMPLOYEE INVESTMENT FUND, L.P.

The Dec 2, 2016 filing reports 40 investors; the Dec 2, 2016 Form D/A reports 11 investors.

What this means Investor counts normally only grow. A smaller number can mean investors left or were refunded, or a count was corrected. Ask the sponsor what happened.

Form D/A (earlier) · Dec 2, 2016 ↗Form D/A (later) · Dec 2, 2016 ↗OAKTREE EMPLOYEE INVESTMENT FUND, L.P. — PartnerFacts page ↗

Sources

Form D/A (earlier) · Dec 2, 2016 ↗ (Dec 2, 2016)
Form D/A (later) · Dec 2, 2016 ↗ (Dec 2, 2016)
OAKTREE EMPLOYEE INVESTMENT FUND, L.P. — PartnerFacts page ↗ (Sep 17, 2026)

Worth asking · Dec 30, 2014 – Dec 30, 2015

Investor count went down between filings — Oaktree Value Equity Fund (Delaware), L.P.

The Dec 30, 2014 filing reports 73 investors; the Dec 30, 2015 Form D/A reports 62 investors.

What this means Investor counts normally only grow. A smaller number can mean investors left or were refunded, or a count was corrected. Ask the sponsor what happened.

Form D/A (earlier) · Dec 30, 2014 ↗Form D/A (later) · Dec 30, 2015 ↗Oaktree Value Equity Fund (Delaware), L.P. — PartnerFacts page ↗

Sources

Form D/A (earlier) · Dec 30, 2014 ↗ (Dec 30, 2014)
Form D/A (later) · Dec 30, 2015 ↗ (Dec 30, 2015)
Oaktree Value Equity Fund (Delaware), L.P. — PartnerFacts page ↗ (Jan 22, 2024)

Worth asking · Dec 4, 2015

Investor count went down between filings — OAKTREE EMPLOYEE INVESTMENT FUND, L.P.

The Dec 4, 2015 filing reports 40 investors; the Dec 4, 2015 Form D/A reports 11 investors.

What this means Investor counts normally only grow. A smaller number can mean investors left or were refunded, or a count was corrected. Ask the sponsor what happened.

Form D/A (earlier) · Dec 4, 2015 ↗Form D/A (later) · Dec 4, 2015 ↗OAKTREE EMPLOYEE INVESTMENT FUND, L.P. — PartnerFacts page ↗

Sources

Form D/A (earlier) · Dec 4, 2015 ↗ (Dec 4, 2015)
Form D/A (later) · Dec 4, 2015 ↗ (Dec 4, 2015)
OAKTREE EMPLOYEE INVESTMENT FUND, L.P. — PartnerFacts page ↗ (Sep 17, 2026)

Worth asking · Apr 8, 2014 – May 7, 2019

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

Form D filed 597 days after the first sale — OAKTREE EMPLOYEE INVESTMENT FUND, L.P. · Form D filed 835 days after the first sale — OAKTREE EMPLOYEE INVESTMENT FUND, L.P. · Form D filed 363 days after the first sale — OAKTREE EMPLOYEE INVESTMENT FUND, L.P. · Form D filed 919 days after the first sale — OAKTREE EMPLOYEE INVESTMENT FUND, L.P. · Form D filed 81 days after the first sale — OAKTREE EMPLOYEE INVESTMENT FUND, L.P. · and 5 more

What this means Late notices are common and carry no penalty by themselves. A pattern of late paperwork is worth asking the sponsor about.

Form D · Oct 14, 2016 ↗OAKTREE EMPLOYEE INVESTMENT FUND, L.P. — PartnerFacts page ↗Form D · Oct 14, 2016 ↗Form D · Oct 13, 2016 ↗

Sources

Form D · Oct 14, 2016 ↗ (Oct 14, 2016)
OAKTREE EMPLOYEE INVESTMENT FUND, L.P. — PartnerFacts page ↗ (Sep 17, 2026)
Form D · Oct 14, 2016 ↗ (Oct 14, 2016)
Form D · Oct 13, 2016 ↗ (Oct 13, 2016)
Form D · Oct 13, 2016 ↗ (Oct 13, 2016)
Form D · Sep 19, 2016 ↗ (Sep 19, 2016)
Form D · Sep 19, 2016 ↗ (Sep 19, 2016)
Form D · Sep 19, 2016 ↗ (Sep 19, 2016)

Note · Oct 23, 2013 – Oct 24, 2016

18 offerings have no amendment in the last 12 months and may still be open

No amendment in the last 12 months on an offering that may still be open — OAKTREE EMPLOYEE INVESTMENT FUND, L.P. (latest filing Oct 24, 2016) · No amendment in the last 12 months on an offering that may still be open — OAKTREE EMPLOYEE INVESTMENT FUND, L.P. (latest filing Oct 14, 2016) · No amendment in the last 12 months on an offering that may still be open — OAKTREE EMPLOYEE INVESTMENT FUND, L.P. (latest filing Oct 14, 2016) · No amendment in the last 12 months on an offering that may still be open — OAKTREE EMPLOYEE INVESTMENT FUND, L.P. (latest filing Oct 13, 2016) · No amendment in the last 12 months on an offering that may still be open — OAKTREE EMPLOYEE INVESTMENT FUND, L.P. (latest filing Oct 13, 2016) · and 13 more

What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.

Form D · Oct 24, 2016 ↗OAKTREE EMPLOYEE INVESTMENT FUND, L.P. — PartnerFacts page ↗Form D · Oct 14, 2016 ↗Form D · Oct 14, 2016 ↗

Sources

Form D · Oct 24, 2016 ↗ (Oct 24, 2016)
OAKTREE EMPLOYEE INVESTMENT FUND, L.P. — PartnerFacts page ↗ (Sep 17, 2026)
Form D · Oct 14, 2016 ↗ (Oct 14, 2016)
Form D · Oct 14, 2016 ↗ (Oct 14, 2016)
Form D · Oct 13, 2016 ↗ (Oct 13, 2016)
Form D · Oct 13, 2016 ↗ (Oct 13, 2016)
Form D · Sep 19, 2016 ↗ (Sep 19, 2016)
Form D · Sep 19, 2016 ↗ (Sep 19, 2016)

Worth asking · Nov 23, 2015 – Dec 22, 2017

18 people are no longer listed on a later amendment

Stephen Kaplan is no longer listed on the Dec 22, 2017 amendment — Oaktree Value Equity Fund (Cayman), L.P. · Stephen Kaplan is no longer listed on the Dec 22, 2017 amendment — Oaktree Value Equity Fund (Delaware), L.P. · Stephen Kaplan is no longer listed on the Dec 15, 2017 amendment — Oaktree Emerging Markets Debt Total Return Fund Corporate Feeder (Cayman), L.P. · Stephen Kaplan is no longer listed on the Dec 15, 2017 amendment — OAKTREE EMERGING MARKETS DEBT TOTAL RETURN FUND PARTNERSHIP FEEDER (CAYMAN), L.P. · Stephen Kaplan is no longer listed on the Apr 21, 2017 amendment — Oaktree Real Estate Debt Fund II Feeder (Cayman), L.P. · and 13 more

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

Form D/A · Dec 21, 2016 ↗Form D/A · Dec 22, 2017 ↗Stephen Kaplan — PartnerFacts page ↗Oaktree Value Equity Fund (Cayman), L.P. — PartnerFacts page ↗

Sources

Form D/A · Dec 21, 2016 ↗ (Dec 21, 2016)
Form D/A · Dec 22, 2017 ↗ (Dec 22, 2017)
Stephen Kaplan — PartnerFacts page ↗
Oaktree Value Equity Fund (Cayman), L.P. — PartnerFacts page ↗ (Jan 22, 2024)
Form D/A · Dec 21, 2016 ↗ (Dec 21, 2016)
Form D/A · Dec 22, 2017 ↗ (Dec 22, 2017)
Oaktree Value Equity Fund (Delaware), L.P. — PartnerFacts page ↗ (Jan 22, 2024)
Form D · Dec 5, 2016 ↗ (Dec 5, 2016)

Note · May 30, 2014

Same name, different state: "Stephen B. Kaplan" (FL) is a separate record

This page covers filings where the address state is CA. A separate record, "Stephen B. Kaplan" with address state FL, is listed on 1 filing — most recently by XOS Technologies Inc (May 30, 2014). Both records have filings in the same period (May 30, 2014).

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.

Stephen B. Kaplan (FL) — PartnerFacts page ↗Form D · May 30, 2014 ↗XOS Technologies Inc — PartnerFacts page ↗Stephen Kaplan (CA) — this page ↗

Sources

Stephen B. Kaplan (FL) — PartnerFacts page ↗ (May 30, 2014)
Form D · May 30, 2014 ↗ (May 30, 2014)
XOS Technologies Inc — PartnerFacts page ↗ (May 30, 2014)
Stephen Kaplan (CA) — this page ↗ (May 7, 2019)

What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. We compared the newest 50 of 200 filings (work cap); older filings are not covered here. As of Oct 24, 2026.

5. Money to insiders

2 of 99 offerings report sales commissions totalling $1,755,000; 0 report finder's fees; 1 reports proceeds to related persons totalling $2,000,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)	Sales commissions	Finder's fees	To insiders	Paid to sell it	Source
May 7, 2019 D WLV INVESTORS QOZ FUND LLC File 021-338985	$0	$0	$0	None listed on this filing	EDGAR ↗
Apr 23, 2019 D WLV MULTI-FAMILY LP File 021-337847	$0	$0	$2,000,000 (est.) An affiliate of the General Partner of the Issuer will receive a $2,000,000 development fee.	None listed on this filing	EDGAR ↗
Dec 21, 2016 D/A Oaktree Value Equity Fund (Delaware), L.P. File 021-212675	$0	$0	$0	None listed on this filing	EDGAR ↗
Dec 21, 2016 D/A Oaktree Value Equity Fund (Cayman), L.P. File 021-212676	$0	$0	$0	None listed on this filing	EDGAR ↗
Dec 5, 2016 D OAKTREE EMERGING MARKETS DEBT TOTAL RETURN FUND PARTNERSHIP FEEDER (CAYMAN), L.P. File 021-275664	$0	$0	$0	None listed on this filing	EDGAR ↗
Dec 5, 2016 D Oaktree Emerging Markets Debt Total Return Fund Corporate Feeder (Cayman), L.P. File 021-275667	$0	$0	$0	None listed on this filing	EDGAR ↗
Dec 2, 2016 D/A OAKTREE EMPLOYEE INVESTMENT FUND, L.P. File 021-41106	$0	$0	$0	None listed on this filing	EDGAR ↗
Dec 2, 2016 D/A OAKTREE EMPLOYEE INVESTMENT FUND, L.P. File 021-212437	$0	$0	$0	None listed on this filing	EDGAR ↗
Oct 24, 2016 D OAKTREE EMPLOYEE INVESTMENT FUND, L.P. File 021-273067	$0	$0	$0	None listed on this filing	EDGAR ↗
Oct 14, 2016 D OAKTREE EMPLOYEE INVESTMENT FUND, L.P. File 021-272494	$0	$0	$0	None listed on this filing	EDGAR ↗
Oct 14, 2016 D OAKTREE EMPLOYEE INVESTMENT FUND, L.P. File 021-272495	$0	$0	$0	None listed on this filing	EDGAR ↗
Oct 13, 2016 D OAKTREE EMPLOYEE INVESTMENT FUND, L.P. File 021-272434	$0	$0	$0	None listed on this filing	EDGAR ↗
Oct 13, 2016 D OAKTREE EMPLOYEE INVESTMENT FUND, L.P. File 021-272436	$0	$0	$0	None listed on this filing	EDGAR ↗
Sep 21, 2016 D OAKTREE EMPLOYEE INVESTMENT FUND, L.P. File 021-271012	$0	$0	$0	None listed on this filing	EDGAR ↗
Sep 19, 2016 D OAKTREE EMPLOYEE INVESTMENT FUND, L.P. File 021-270887	$0	$0	$0	None listed on this filing	EDGAR ↗
Sep 19, 2016 D OAKTREE EMPLOYEE INVESTMENT FUND, L.P. File 021-270888	$0	$0	$0	None listed on this filing	EDGAR ↗
Sep 19, 2016 D OAKTREE EMPLOYEE INVESTMENT FUND, L.P. File 021-270889	$0	$0	$0	None listed on this filing	EDGAR ↗
Sep 19, 2016 D OAKTREE EMPLOYEE INVESTMENT FUND, L.P. File 021-270890	$0	$0	$0	None listed on this filing	EDGAR ↗
Aug 17, 2016 D/A OAKTREE EMPLOYEE INVESTMENT FUND, L.P. File 021-246256	$0	$0	$0	None listed on this filing	EDGAR ↗
Apr 14, 2016 D Oaktree Real Estate Debt Fund II, L.P. File 021-261396	$0 (est.)	$0 (est.)	$0	None listed on this filing	EDGAR ↗
Apr 14, 2016 D Oaktree Real Estate Debt Fund II Feeder (Cayman), L.P. File 021-261399	$0 (est.)	$0 (est.)	$0	None listed on this filing	EDGAR ↗
Mar 2, 2016 D/A Oaktree Strategic Credit Fund B, L.P. File 021-212871	$0	$0	$0	None listed on this filing	EDGAR ↗
Dec 30, 2015 D/A Oaktree Emerging Markets Equity Fund (Delaware), L.P. File 021-179461	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Dec 30, 2015 D/A Oaktree Emerging Markets Equity Fund (Cayman), L.P. File 021-179462	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Dec 16, 2015 D/A OAKTREE EMPLOYEE INVESTMENT FUND, L.P. File 021-217830	$0	$0	$0	None listed on this filing	EDGAR ↗
Dec 4, 2015 D/A OAKTREE EMPLOYEE INVESTMENT FUND, L.P. File 021-180658	$0	$0	$0	None listed on this filing	EDGAR ↗
Dec 4, 2015 D OAKTREE EMPLOYEE INVESTMENT FUND, L.P. File 021-252465	$0	$0	$0	None listed on this filing	EDGAR ↗
Nov 24, 2015 D/A Oaktree Opportunities Fund Xb Feeder (Cayman), L.P. File 021-224624	$0	$0	$0	None listed on this filing	EDGAR ↗
Nov 24, 2015 D/A Oaktree Opportunities Fund Xb, L.P. File 021-224625	$0	$0	$0	None listed on this filing	EDGAR ↗
Nov 24, 2015 D/A Oaktree Opportunities Fund X Feeder (Cayman), L.P. File 021-224626	$0	$0	$0	None listed on this filing	EDGAR ↗
Nov 24, 2015 D/A Oaktree Opportunities Fund X, L.P. File 021-224627	$0	$0	$0	None listed on this filing	EDGAR ↗
Nov 24, 2015 D/A Oaktree Global High Yield Bond Fund, L.P. File 021-228979	$0	$0	$0	None listed on this filing	EDGAR ↗
Nov 23, 2015 D/A Oaktree Real Estate Opportunities Fund VII, L.P. File 021-224609	$0	$0	$0	None listed on this filing	EDGAR ↗
Nov 23, 2015 D/A Oaktree Real Estate Opportunities Fund VII (Feeder), L.P. File 021-224610	$0	$0	$0	None listed on this filing	EDGAR ↗
Nov 23, 2015 D/A Oaktree Private Investment Fund IV, L.P. File 021-224779	$0	$0	$0	None listed on this filing	EDGAR ↗
Jan 21, 2015 D/A OAKTREE MEZZANINE FUND IV (CAYMAN), L.P. File 021-212594	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Jan 21, 2015 D/A Oaktree Mezzanine Fund IV, L.P. File 021-212596	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Jan 16, 2015 D/A Oaktree Principal Fund VI, L.P. File 021-194125	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Jan 16, 2015 D/A Oaktree Principal Fund VI (Feeder), L.P. File 021-194126	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Jan 16, 2015 D/A Oaktree Principal Fund VI (Parallel), L.P. File 021-194127	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Dec 23, 2014 D/A OCM HIGH YIELD TRUST File 021-129367	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Dec 23, 2014 D/A OAKTREE HIGH YIELD BOND FUND, L.P. File 021-94581-6L	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Dec 23, 2014 D/A OAKTREE EXPANDED HIGH YIELD FUND, L.P. File 021-129251	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Jul 3, 2014 D/A OAKTREE EMPLOYEE INVESTMENT FUND, L.P. File 021-199026	$0	$0	$0 (est.)	None listed on this filing	EDGAR ↗
Apr 30, 2014 D/A Oaktree Emerging Market Opportunities Fund, L.P. File 021-194460	$0	$0	$0	None listed on this filing	EDGAR ↗
Apr 30, 2014 D/A Oaktree Real Estate Debt Fund (Cayman), L.P. File 021-195737	$0	$0	$0	None listed on this filing	EDGAR ↗
Apr 29, 2014 D/A Oaktree Real Estate Debt Fund, L.P. File 021-195736	$0	$0	$0	None listed on this filing	EDGAR ↗
Feb 10, 2014 D/A Oaktree Real Estate Opportunities Fund VI, L.P. File 021-177993	$1,270,000	$0	$0 (est.)	Not Applicable no CRD number reported via Barclays Capital Inc. (CRD 19714 ↗)	EDGAR ↗
Feb 10, 2014 D/A Oaktree Real Estate Opportunities Fund VI (Cayman), L.P. File 021-177994	$485,000	$0	$0 (est.)	Not Applicable no CRD number reported via Barclays Capital Inc. (CRD 19714 ↗)	EDGAR ↗
Feb 3, 2014 D Equity International Services, LLC File 021-211144	$0	$0	$0	None listed on this filing	EDGAR ↗
Jan 16, 2014 D OAKTREE EMPLOYEE INVESTMENT FUND, L.P. File 021-210231	$0	$0	$0 (est.)	None listed on this filing	EDGAR ↗
Nov 27, 2013 D Townsquare Media, LLC File 021-207117	$0	$0	$0	None listed on this filing	EDGAR ↗
Sep 6, 2013 D Oaktree European Dislocation Fund (U.S.), L.P. File 021-202421	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Sep 6, 2013 D Oaktree European Dislocation Fund, L.P. File 021-202422	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Aug 13, 2013 D OAKTREE EMPLOYEE INVESTMENT FUND, L.P. File 021-201233	$0	$0	$0 (est.)	None listed on this filing	EDGAR ↗
Jun 20, 2013 D OAKTREE EMPLOYEE INVESTMENT FUND, L.P. File 021-198328	$0	$0	$0 (est.)	None listed on this filing	EDGAR ↗
Jun 10, 2013 D/A Oaktree Opportunities Fund IX (Cayman), L.P. File 021-170569	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Jun 10, 2013 D/A Oaktree Opportunities Fund IX, L.P. File 021-170570	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Apr 4, 2013 D Oaktree Emerging Market Opportunities Fund (Feeder), L.P. File 021-194461	$0	$0	$0	None listed on this filing	EDGAR ↗
Dec 14, 2012 D Oaktree Private Investment Fund 2012, L.P. File 021-188428	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Aug 13, 2012 D Townsquare Media, LLC File 021-182580	$0	$0	$0	None listed on this filing	EDGAR ↗
Feb 2, 2012 D Oaktree Opportunities Fund IX (Parallel), L.P. File 021-172805	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Feb 2, 2012 D Oaktree Opportunities Fund IX (Parallel 2), L.P. File 021-172806	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Dec 22, 2011 D/A Oaktree Real Estate Opportunities Fund V, L.P. File 021-152341	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Dec 22, 2011 D/A Oaktree Real Estate Opportunities Fund V (Cayman), L.P. File 021-152342	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Dec 1, 2011 D/A Oaktree European Principal Fund III, L.P. File 021-151306	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Dec 1, 2011 D/A Oaktree European Principal Fund III (U.S.), L.P. File 021-151307	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Nov 7, 2011 D Oaktree European Principal Fund III (Cayman), L.P. File 021-168315	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Sep 15, 2011 D Oaktree Opportunities Fund VIII AIF (Delaware), L.P. File 021-165905	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Sep 15, 2011 D Oaktree Opportunities Fund VIII (Parallel) AIF (Delaware), L.P. File 021-165906	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Sep 15, 2011 D Oaktree Huntington Investment Fund AIF (Delaware), L.P. File 021-165907	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Sep 1, 2011 D Townsquare Media, LLC File 021-165298	$0	$0	$0	None listed on this filing	EDGAR ↗
Jun 15, 2011 D Townsquare Media, LLC File 021-161340	$0	$0	$0	None listed on this filing	EDGAR ↗
Mar 15, 2011 D Oaktree Private Investment Fund 2010, L.P. File 021-156710	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Feb 1, 2011 D/A Oaktree Power Opportunities Fund III, L.P. File 021-138356	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Dec 14, 2010 D Oaktree European Principal Fund III (Parallel), L.P. File 021-151837	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Dec 14, 2010 D Oaktree European Principal Fund III (Parallel) Feeder, L.P. File 021-151838	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Dec 2, 2010 D Oaktree European Principal Fund III (Delaware), L.P. File 021-151308	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Nov 17, 2010 D Oaktree Power Opportunities Fund III (Parallel), L.P. File 021-150636	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Nov 1, 2010 D Townsquare Media, LLC File 021-149868	$0	$0	$0	None listed on this filing	EDGAR ↗
Oct 21, 2010 D OAKTREE EMPLOYEE INVESTMENT FUND, L.P. File 021-149372	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Oct 21, 2010 D OAKTREE EMPLOYEE INVESTMENT FUND, L.P. File 021-149373	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Sep 13, 2010 D/A Oaktree Opportunities Fund VIII (Parallel), L.P. File 021-134287	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Sep 2, 2010 D/A Townsquare Media, LLC File 021-146922	$0	$0	$0	None listed on this filing	EDGAR ↗
Jul 27, 2010 D OAKTREE EMPLOYEE INVESTMENT FUND, L.P. File 021-145536	$0 (est.)	$0 (est.)	$0	None listed on this filing	EDGAR ↗
Jun 9, 2010 D/A Oaktree Opportunities Fund VIII (Cayman) Ltd. File 021-131813	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Jun 9, 2010 D/A Oaktree Opportunities Fund VIII, L.P. File 021-131810	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Mar 10, 2010 D/A Oaktree Mezzanine Fund III (Cayman) Ltd. File 021-129161	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Mar 10, 2010 D/A Oaktree Mezzanine Fund III, L.P. File 021-129159	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Mar 9, 2010 D Oaktree Opportunities Fund VIIIb, L.P. File 021-139369	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Mar 9, 2010 D Oaktree Opportunities Fund VIIIb (Parallel), L.P. File 021-139370	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Mar 9, 2010 D Oaktree Opportunities Fund VIIIb (Cayman) Ltd. File 021-139371	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Mar 9, 2010 D/A OAKTREE HIGH INCOME CONVERTIBLE FUND II, L.P. File 021-52821	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Mar 9, 2010 D/A Oaktree High Income Convertible Fund, L.P. File 021-129467	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Mar 9, 2010 D/A OCM CONVERTIBLE TRUST File 021-129867	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Mar 9, 2010 D/A OCM INTERNATIONAL CONVERTIBLE TRUST File 021-129866	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Mar 9, 2010 D/A OAKTREE NON-U.S. CONVERTIBLE FUND, L.P. File 021-94622-4L	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Dec 24, 2009 D Oaktree PPIP Private Fund, L.P. File 021-137191	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Oct 20, 2009 D Oaktree Private Investment Fund 2009, L.P. File 021-135451	$0 (est.)	$0 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗

How this is counted

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

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

Deals 72

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

Residential

WLV INVESTORS QOZ FUND LLC

Santa Monica, CA · May 7, 2019

May 7, 2019 · D · $16,500,000 sold of $16,500,000 · 13 investors · min. No minimum reported · role: Executive Officer (MANAGER OF CO-MANAGER, NALPAK CAPITAL LLC) EDGAR ↗

Raised $16.5M from 13 investors (100% of the $16.5M target) as of the latest filing. Stephen is listed as executive officer.

Stephen Kaplan

The short version

What the community is saying

Key records

1. Lawsuits

2. Regulatory actions

3. Bankruptcies

4. Differences between public sources

Amount sold went down between filings — OAKTREE EMPLOYEE INVESTMENT FUND, L.P.

Amount sold went down between filings — OAKTREE EMPLOYEE INVESTMENT FUND, L.P.

Amount sold went down between filings — OAKTREE EMPLOYEE INVESTMENT FUND, L.P.

Investor count went down between filings — OAKTREE EMPLOYEE INVESTMENT FUND, L.P.

Investor count went down between filings — Oaktree Value Equity Fund (Delaware), L.P.

Investor count went down between filings — OAKTREE EMPLOYEE INVESTMENT FUND, L.P.

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

18 offerings have no amendment in the last 12 months and may still be open

18 people are no longer listed on a later amendment

Same name, different state: "Stephen B. Kaplan" (FL) is a separate record

5. Money to insiders

Deals 72

People around Stephen 40

The team behind the deals

51 other issuers file from the same address (first 50 shown)

Registrations and other filings

Business registration (state registry / Secretary of State)

Adviser registration (Form ADV)

Other offering types (Regulation A and Regulation Crowdfunding)

Public profiles and social

Look further

Social and web

Courts

Securities regulators

Business registries

Change history

Request a correction