Sponsor Check › Person
Named as an officer, director or promoter on SEC Form D filings · CA, IL · Apr 15, 2016 → Jan 15, 2019
Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:36 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET
Stephen Beck is listed as an executive officer, director, and promoter on 4 SEC Form D filings by 3 issuers between Apr 2016 and Jan 2019: Serra Capital III, LP (Champaign, IL — pooled investment fund — 2016–2017; $32.4M reported sold to 90 investors), Home Bay Technologies Inc. (San Diego, CA — industry reported as "Other" — 2019; $12.2M reported sold to 32 investors) and Serra Capital III (SBIC), L.P. (Champaign, IL — pooled investment fund — 2018; $5.5M reported sold to 23 investors).
What this means A repeat sponsor — 3 separate companies raised money with this person listed as executive officer, director, and promoter, over about 3 years. Across those companies the filings report $50.1M sold in total.
Listed alongside Dennis Beard (3 shared filings), Robert A. Schultz (3 shared filings), Timothy C. Hoerr (3 shared filings), Charles David Hodge (2 shared filings), Joe Zulli (1 shared filing) and 6 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.
2 of the issuers belong to the sponsor group Serra (10 issuers, $116.9M reported sold, 2010–2026).
What this means A sponsor group is one team that sets up a new company for each deal. Serra has 10 companies on file and $116.9M reported sold in total — the group page shows the whole track record in one place.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, OK, OR, PA, RI, SC, SD, TN, TX, VT, WA, WI, WV, WY) — 1 court case matching the name, 21 bankruptcy cases matching the name listed in Key records below.
What this means 22 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 4 public filings for Stephen Beck and found 9 differences: Bankruptcy case: EBC Asset Investment Inc. v. Hoerr; Bankruptcy case: WM Trust High Yield Fund v. Potashner; 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 Stephen Beck has not run yet — it is joining a line of 26,037 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: 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 closed (disposition not in docket feed)
190 Other contract actions
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, 2:36 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: VA (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 Stephen Beck..
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 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE DOJ Investor Protection Unit (257 actions, 1987–2026), TX State Securities Board (586 actions, 2006–2026), WA DFI (2,039 actions, 2001–2026) — last crawled Oct 23, 2026, 9:57 PM ET. No machine-readable public listing today for CO, FL, IA, IN, MN, NE, NJ, NY, OH, UT, VA (see docs/state-regulators.md).
21 cases: 21 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, 2:36 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
9 differences found between the filings for Stephen Beck (compared 4 filings on Oct 24, 2026)
United States Bankruptcy Court, C.D. Illinois docket "EBC Asset Investment Inc. v. Hoerr" filed Oct 24, 2011, closed Apr 5, 2013. Timothy C. Hoerr (listed on the same filings) is listed as Defendant ("Hoerr"). 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.
United States Bankruptcy Court, N.D. California docket "WM Trust High Yield Fund v. Potashner" filed Jun 14, 2005, closed May 11, 2007. Ken Potashner (listed on the same filings) is listed as Defendant ("Potashner"). 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.
United States Bankruptcy Court, N.D. California docket "Official Committee of Unsecured Creditors of Sonic v. Kenneth Potashner" filed Mar 17, 2005, closed Sep 15, 2006. Ken Potashner (listed on the same filings) is listed as Defendant ("Kenneth Potashner"). Our match estimate: 80%.
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.
The filing says the first sale was Dec 19, 2018. The Form D was filed Jan 15, 2019 — 27 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 12 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.
The latest filing for this offering is dated Jan 15, 2019 (first sale Dec 19, 2018). It reports $12,163,606 sold of $14,210,370 offered. No later amendment is in our index as of Oct 24, 2026.
What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.
The latest filing for this offering is dated Nov 15, 2018 (first sale Nov 2, 2018). It reports $5,500,000 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.
What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.
The Apr 15, 2016 filing says $50,000,000 offered; the May 30, 2017 Form D/A says $32,405,000.
What this means The target raise got smaller. That can mean the plan shrank or the sponsor stopped early. Ask what changed in the deal.
This page covers filings where the address state is CA or IL. A separate record, "Stephen Beck" with address state PA, is listed on 2 filings — most recently by TOWER BANCORP INC (Feb 8, 2010). The two records do not overlap in time: this page runs Apr 15, 2016 to Jan 15, 2019; the other runs Jun 12, 2009 to Feb 8, 2010.
What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.
CA on 2 filings (Apr 15, 2016 to Jan 15, 2019); IL on 2 filings (May 30, 2017 to Nov 15, 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. As of Oct 24, 2026.
None reported on 3 offerings — no sales commissions, finder's fees or proceeds to insiders
| Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it | Source |
|---|---|---|---|---|---|
| Jan 15, 2019 D Home Bay Technologies Inc. File 021-330502 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Nov 15, 2018 D Serra Capital III (SBIC), L.P. File 021-325917 | $0 (est.) | $0 (est.) | $0 (est.) The management company will receive management fees in an amount based off of the amount of securities sold. | None listed on this filing | EDGAR ↗ |
| May 30, 2017 D/A Serra Capital III, LP File 021-261507 | $0 | $0 | $0 (est.) | None listed on this filing | 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 Stephen Beck on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.
Raised $12.2M from 32 investors (86% of the $14.2M target) as of the latest filing. Stephen 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: Other / 506(b) (18,678 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $5.5M from 23 investors as of the latest filing. Stephen is listed as executive officer.
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 $32.4M from 90 investors (100% of the $32.4M target) as of the latest filing. Stephen is listed as promoter 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.
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.
Listed on the same filings as Stephen Beck. Their page shows their other deals.
Listed on the same filings as Stephen Beck. Their page shows their other deals.
Robert A. Schultz is on 7 issuers in total — a repeat sponsor. Their page lists every one.
Dennis Beard is on 14 issuers in total — a repeat sponsor. Their page lists every one.
Timothy C. Hoerr is on 15 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Stephen Beck. Their page shows their other deals.
One team, 10 deal companies. Stephen Beck is listed on 2 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 Stephen Beck.
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. 1 of the 3 issuers this person is listed on matches a Form ADV adviser (searched 24,962 advisers as of Oct 2, 2026): Serra Capital III (SBIC), L.P..
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 Stephen Beck 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 3 issuers this person is listed on — nothing matched.
Websites and social links of the issuers Stephen Beck is listed on: none on file. No website or social profile named in Serra Capital III, LP's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #270,638 of 374,652 in line (1,303 issuers searched so far). One-tap searches: Look further ↓
One-tap searches on sites we do not index ourselves, with the name pre-filled (Champaign, IL). Each opens in a new tab; what you find there is not verified by PartnerFacts.
No corrections have been requested for this page.
Free. Logged with status: received → under review → fixed / confirmed with source.
If this is you or your firm, add a sourced explanation next to any fact. Reviewed before publishing.
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