PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 2:14 AM ET

Sponsor Check › Person

STEPHEN PRINCE

Related person on Form D filings · address states/countries as listed: NY, Cayman Islands (as filed: E9) · listed Jul 11, 2018 → Apr 7, 2026

14issuers
42Form D filings
2018–2026years listed

Data last updated: Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 12:02 AM ET · SEC enforcement last checked: not yet

Privacy: business-related public information only. Residential addresses are never shown; only the state from the filing.

Key records

The five facts investors ask about first. Each section states what was searched and when. Items still in human review are not shown.

1. Lawsuits

None found in sources searched.

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30) — federal district + bankruptcy courts; live RECAP re-check pending. State courts: not yet searched. PACER: not searched. · Last checked Oct 24, 2026, 12:02 AM ET.

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

2. Regulatory actions

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. — not yet searched; State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states: not yet searched.

Not yet searched.

No SEC search has run yet for this person.

3. Bankruptcies

None found in sources searched.

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 12:02 AM ET.

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

4. Differences between public sources

Comparisons are made for sponsors and sponsor groups, not individual people.

5. Money to insiders and sales commissions

7 of 14 offerings report sales commissions totalling $2,304,484; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)

SourceOffering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell it
EDGAR ↗Apr 7, 2026 D/A
File 021-181277
$0$0$0None listed on this filing
EDGAR ↗Apr 7, 2026 D/A
File 021-142506
$20,000$0$0 (est.)James River Securities Corp. BrokerCheck CRD 38477 ↗
EDGAR ↗Feb 19, 2026 D/A
File 021-538826
$0$0$0None listed on this filing
EDGAR ↗Apr 1, 2025 D/A
File 021-442714
$0$0$0None listed on this filing
EDGAR ↗Apr 1, 2025 D/A
File 021-442717
$0$0$0None listed on this filing
EDGAR ↗Apr 1, 2025 D/A
File 021-142504
$71,946$0$0 (est.)James River Securities Corp. BrokerCheck CRD 38477 ↗
EDGAR ↗Apr 1, 2025 D/A
File 021-181276
$378,475$0$0 (est.)Butler Capital Investments, LLC BrokerCheck CRD 114242 ↗
EDGAR ↗Oct 5, 2022 D/A
File 021-400572
$400,000 (est.)$0$0Morgan Stanley & Co. International plc no CRD number reported
Mann Mann Jensen Partners LP BrokerCheck CRD 137389 ↗
AA Advisors Europe Limited no CRD number reported
via Global Alliance Securities LLC (CRD 167164 ↗)
EDGAR ↗Jul 8, 2022 D/A
File 021-220784
$0$0$0
Issuer's confidential offering materials fully discuss management fees entiled by the manager.
None listed on this filing
EDGAR ↗Apr 30, 2020 D
File 021-366047
$0$0$0MANN MANN JENSEN PARTNERS LP BrokerCheck CRD 137389 ↗
EDGAR ↗Apr 30, 2020 D
File 021-366048
$0$0$0MANN MANN JENSEN PARTNERS LP BrokerCheck CRD 137389 ↗
EDGAR ↗Mar 1, 2019 D/A
File 021-302060
$366,563 (est.)$0$0Merrill Lynch, Pierce, Fenner & Smith Incorporated BrokerCheck CRD 7691 ↗
Merrill Lynch International BrokerCheck CRD 162416 ↗
Park Hill Group LLC BrokerCheck CRD 135898 ↗
EDGAR ↗Mar 1, 2019 D/A
File 021-302058
$880,000 (est.)$0$0Merrill Lynch, Pierce, Fenner & Smith Incorporated BrokerCheck CRD 7691 ↗
Merrill Lynch International BrokerCheck CRD 162416 ↗
Park Hill Group LLC BrokerCheck CRD 135898 ↗
EDGAR ↗Mar 1, 2019 D/A
File 021-302059
$187,500$0$0Merrill Lynch, Pierce, Fenner & Smith Incorporated BrokerCheck CRD 7691 ↗
Merrill Lynch International BrokerCheck CRD 162416 ↗
Park Hill Group LLC BrokerCheck CRD 135898 ↗
GreensLedge Capital Markets LLC BrokerCheck CRD 151026 ↗

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

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

Appears on these filings

SourceIssuerRoleFiledFormOfferingSoldInvestorsMin. investment
EDGAR ↗Westbourne River Event FundDirectorApr 7, 2026D/AIndefinite
similar: $155,000–$5,250,000
$922,741,298113
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Westbourne River Event Fund L.P.Director
DIRECTOR OF GENERAL PARTNER
Apr 7, 2026D/AIndefinite
similar: $155,000–$5,250,000
$72,151,00034
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Tetragon Credit Income V L.P.Director
DIRECTOR OF THE GENERAL PARTNER OF THE ISSUERS
Feb 19, 2026D/AIndefinite
similar: $155,000–$5,250,000
$118,500,00010
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Acasta Energy Evolution FundDirectorApr 1, 2025D/AIndefinite
similar: $155,000–$5,250,000
$16,125,10017
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Acasta Energy Evolution Fund LPDirector
DIRECTOR OF THE GENERAL PARTNER OF THE ISSUER
Apr 1, 2025D/AIndefinite
similar: $155,000–$5,250,000
$1,100,0002
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Westbourne River Event FundDirectorApr 1, 2025D/AIndefinite
similar: $155,000–$5,250,000
$872,441,298113
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Westbourne River Event Fund L.P.Director
DIRECTOR OF GENERAL PARTNER
Apr 1, 2025D/AIndefinite
similar: $155,000–$5,250,000
$72,151,00034
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Acasta Global FundDirectorApr 1, 2025D/AIndefinite
similar: $155,000–$5,250,000
$1,141,994,573385
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Acasta Global Fund LPDirector
DIRECTOR OF GENERAL PARTNER
Apr 1, 2025D/AIndefinite
similar: $155,000–$5,250,000
$300,704,974134
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Tetragon Credit Income V L.P.Director
DIRECTOR OF THE GENERAL PARTNER OF THE ISSUERS
Feb 20, 2025DIndefinite
similar: $155,000–$5,250,000
$00
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Acasta Energy Evolution FundDirectorMar 27, 2024D/AIndefinite
similar: $155,000–$5,250,000
$15,825,10016
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Acasta Energy Evolution Fund LPDirector
DIRECTOR OF THE GENERAL PARTNER OF THE ISSUER
Mar 27, 2024D/AIndefinite
similar: $155,000–$5,250,000
$1,100,0002
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Westbourne River Event FundDirectorMar 27, 2024D/AIndefinite
similar: $155,000–$5,250,000
$872,441,298113
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Westbourne River Event Fund L.P.Director
DIRECTOR OF GENERAL PARTNER
Mar 27, 2024D/AIndefinite
similar: $155,000–$5,250,000
$72,151,00034
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Acasta Global FundDirectorMar 27, 2024D/AIndefinite
similar: $155,000–$5,250,000
$1,068,620,102361
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Acasta Global Fund LPDirector
DIRECTOR OF GENERAL PARTNER
Mar 27, 2024D/AIndefinite
similar: $155,000–$5,250,000
$254,599,974122
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Acasta Energy Evolution FundDirectorApr 27, 2023D/AIndefinite
similar: $155,000–$5,250,000
$13,325,10014
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Acasta Energy Evolution Fund LPDirector
DIRECTOR OF THE GENERAL PARTNER OF THE ISSUER
Apr 27, 2023D/AIndefinite
similar: $155,000–$5,250,000
$1,100,0002
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Tetragon Credit Income IV L.P.Executive Officer
Director of General Partner of Issuers
Oct 5, 2022D/AIndefinite
similar: $155,000–$5,250,000
$130,247,36818
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Polygon Global Equities FundDirectorJul 8, 2022D/AIndefinite
similar: $155,000–$5,250,000
$34,087,20012
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Westbourne River Event Fund L.P.Director
"Director of Issuer's General Partner: Polygon Equities GP Limited (""General Partner"")"
Jul 8, 2022D/AIndefinite
similar: $155,000–$5,250,000
$72,151,00033
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Westbourne River Event FundDirectorJul 8, 2022D/AIndefinite
similar: $155,000–$5,250,000
$852,241,198112
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Acasta Energy Evolution FundDirectorApr 20, 2022DIndefinite
similar: $155,000–$5,250,000
$9,400,1009
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Acasta Energy Evolution Fund LPDirector
DIRECTOR OF THE GENERAL PARTNER OF THE ISSUER
Apr 20, 2022DIndefinite
similar: $155,000–$5,250,000
$200,0002
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Westbourne River Event Fund L.P.Director
"Director of Issuer's General Partner: Polygon Equities GP Limited (""General Partner"")"
Jul 8, 2021D/AIndefinite
similar: $155,000–$5,250,000
$72,151,00033
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Westbourne River Event FundDirectorJul 8, 2021D/AIndefinite
similar: $155,000–$5,250,000
$852,241,198112
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Polygon Global Equities FundDirectorJul 8, 2021D/AIndefinite
similar: $155,000–$5,250,000
$34,087,20012
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Tetragon Credit Income IV L.P.Executive Officer
Director of General Partner of Issuers
May 25, 2021DIndefinite
similar: $155,000–$5,250,000
$00
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Polygon Global Equities FundDirectorJul 8, 2020D/AIndefinite
similar: $155,000–$5,250,000
$24,955,5848
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Westbourne River Event Fund L.P.Director
"Director of Issuer's General Partner: Polygon Equities GP Limited (""General Partner"")"
Jul 8, 2020D/AIndefinite
similar: $155,000–$5,250,000
$74,265,64031
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Westbourne River Event FundDirectorJul 8, 2020D/AIndefinite
similar: $155,000–$5,250,000
$882,030,14981
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Tetragon Credit Partners Opportunity FundDirectorApr 30, 2020DIndefinite
similar: $155,000–$5,250,000
$00
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Tetragon Credit Partners Opportunity Fund LPDirector
DIRECTOR OF THE GENERAL PARTNER OF THE ISSUER
Apr 30, 2020DIndefinite
similar: $155,000–$5,250,000
$00
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Polygon Global Equities FundDirectorJul 12, 2019D/AIndefinite
similar: $155,000–$5,250,000
$24,955,5848
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Westbourne River Event Fund L.P.Director
"Director of Issuer's General Partner: Polygon Equities GP Limited (""General Partner"")"
Jul 12, 2019D/AIndefinite
similar: $155,000–$5,250,000
$74,265,64031
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Westbourne River Event FundDirectorJul 12, 2019D/AIndefinite
similar: $155,000–$5,250,000
$830,610,62381
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Tetragon Credit Income III (Onshore Feeder) L.P.Executive Officer
Director of General Partner of Issuer
Mar 1, 2019D/AIndefinite
similar: $155,000–$5,250,000
$54,650,0003
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Tetragon Credit Income III (Offshore Feeder) L.P.Executive Officer
Director of General Partner of Issuer
Mar 1, 2019D/AIndefinite
similar: $155,000–$5,250,000
$231,400,00035
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Tetragon Credit Income III L.P.Executive Officer
Director of General Partner of Issuer
Mar 1, 2019D/AIndefinite
similar: $155,000–$5,250,000
$429,500,0005
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Westbourne River Event Fund L.P.Director
"Director of Issuer's General Partner: Polygon Equities GP Limited (""General Partner"")"
Jul 11, 2018D/AIndefinite
similar: $155,000–$5,250,000
$74,265,64031
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Westbourne River Event FundDirectorJul 11, 2018D/AIndefinite
similar: $155,000–$5,250,000
$770,793,92777
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Polygon Global Equities FundDirectorJul 11, 2018D/AIndefinite
similar: $155,000–$5,250,000
$24,955,5848
similar: 4–27
$100,000
similar: $1,000–$100,000

Every row is a Form D or D/A on which the issuer listed this name as a related person. Related-person names are matched on first + last name and the address state on the filing; records that share a name but could not be tied together by a second identifier are listed separately below.

"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); 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.

Other listings under the same name

Separate person records under the same name, not combined with this page. Each line says whether it is listed on an issuer this record is also listed on (a second identifier); where it is not, it could be the same person or a different one.

  • Stephen Prince — address state UT, 1 issuer, Feb 11, 2025 → Feb 11, 2025 · no shared issuer found

Connections as of Oct 23, 2026, 5:45 PM ET

Listed alongside — 16 names on the same filings (3 management entities, 13 people)

People and management entities the issuers listed as related persons on the same Form D filings as STEPHEN PRINCE. Source: the EDGAR rows in the table above.

  • Tetragon Credit Income Partners III Ltd. entity — 3 shared filings (3 issuers) · role as listed: Executive Officer
  • Tetragon Credit Income Partners IV Ltd. entity — 2 shared filings (1 issuer) · role as listed: Executive Officer
  • TETRAGON CREDIT INCOME PARTNERS V LTD. entity — 2 shared filings (1 issuer) · role as listed: Promoter
  • Bradford E. Willmore — 33 shared filings (7 issuers) · role as listed: Director · also listed on 1 other issuer
  • Simon Edwards — 33 shared filings (7 issuers) · role as listed: Director · also listed on 1 other issuer
  • GREGORY CHENG — 30 shared filings (7 issuers) · role as listed: Director · also listed on 1 other issuer
  • Reade Griffith — 23 shared filings (8 issuers) · roles as listed: Director, Executive Officer · also listed on 6 other issuers
  • MICHAEL HUMPHRIES — 12 shared filings (4 issuers) · role as listed: Director
  • James Frischling — 9 shared filings (7 issuers) · roles as listed: Executive Officer, Director · also listed on 16 other issuers
  • Alan Bozian — 9 shared filings (7 issuers) · roles as listed: Executive Officer, Director · also listed on 3 other issuers
  • Thomas Glenn Mitchell — 5 shared filings (4 issuers) · role as listed: Executive Officer · also listed on 3 other issuers
  • Reade E. Griffth — 5 shared filings (1 issuer) · role as listed: Director
  • Deron J. Haley — 3 shared filings (3 issuers) · role as listed: Director · also listed on 7 other issuers
  • William Shaw — 2 shared filings (1 issuer) · role as listed: Director · also listed on 82 other issuers
  • T. Glenn Mitchell — 2 shared filings (2 issuers) · role as listed: Director · also listed on 24 other issuers
  • DAGMARA MICHALCZUK — 2 shared filings (1 issuer) · role as listed: Director

Other offering types (Regulation A and Regulation Crowdfunding)

None found in sources searched.

Sources searched: SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 · Last checked Oct 23, 2026, 8:41 PM ET.

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