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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 4:59 AM ET

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Steven Brown

Named as an officer, director or promoter on SEC Form D filings · CA · Mar 17, 2016 → Aug 25, 2026

10deals (issuers)
$2.88Breported sold
316investors
49Form D filings
2016–2026years on file
Follow this personLook further ↓PDF

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

The short version

Steven Brown is listed as an executive officer and director on 49 SEC Form D filings by 10 issuers between Aug 2015 and Aug 2026. Largest by amount reported sold: Guggenheim Partners Opportunistic Investment Grade Securities Fund, LLC (Santa Monica, CA — pooled investment fund — 2025–2026; $1.38B reported sold to 62 investors), Guggenheim Partners Opportunistic Investment Grade Securities Offshore Fund, Ltd. (Santa Monica, CA — pooled investment fund — 2020–2026; $556M reported sold to 17 investors), Guggenheim Partners Opportunistic Investment Grade Securities Fund 2015, LLC (Santa Monica, CA — pooled investment fund — 2018–2024; $312.7M reported sold to 39 investors), Guggenheim Partners Opportunistic Investment Grade Securities Private Pensions Fund, LLC (Santa Monica, CA — pooled investment fund — 2018–2021; $237M reported sold to 1 investors), Guggenheim Partners Opportunistic Investment Grade Securities Fund 2015, Ltd. (Santa Monica, CA — pooled investment fund — 2018–2019; $113.2M reported sold to 13 investors) and 5 more (all listed below).

What this means That is a lot of deals — 10 separate companies raised money with this person listed as executive officer and director, over about 11 years. Across those companies the filings report $2.88B sold in total.

Listed alongside Anne Walsh (45 shared filings), Adam Bloch (26 shared filings), B. Scott Minerd (21 shared filings), William Shaw (10 shared filings), Scott B. Minerd (9 shared filings) and 19 others.

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

The issuers belong to 2 sponsor groups: Guggenheim (52 issuers, $13.85B reported sold, 2009–2026) and Barclays Wealth Advisor (37 issuers, $4.33B 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 (AZ, CA, DE, TX, WA) — 2 SEC releases, 31 bankruptcy cases matching the name listed in Key records below.

What this means 33 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 49 public filings for Steven Brown and found 12 differences, 4 worth asking the sponsor about: Investor count went down between filings; Form D filed 1,525 days after the first sale; 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 Steven Brown has not run yet — it is joining a line of 3,453 names; searches run around the clock at the hosts' allowed rate. Searched so far: 27 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).

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, 2:17 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

2 SEC releases

Steven Fitzgerald Brown Litigation release
SEC · Aug 31, 2021 · Parties as named in the release: Steven Fitzgerald Brown Read the release ↗
person name, state, middle initial differs; common name
Steven Fitzgerald Brown Litigation release
SEC · Sep 3, 2020 · Parties as named in the release: Steven Fitzgerald Brown Read the release ↗
person name, state, middle initial differs; common name
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 Steven Brown..

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 are not covered.

3. Bankruptcies

31 cases: 1 open, 30 closed (disposition not in docket feed)

Steven C Brown open
United States Bankruptcy Court, C.D. California · No. 8:25-bk-10749 · Filed Mar 25, 2025
Role of Steven C Brown: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same full name (a name found in 1271 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (CA)
Steven C Brown closed
United States Bankruptcy Court, N.D. California · No. 24-10486 · Filed Sep 12, 2024 · Closed Dec 18, 2024
Role of Steven C Brown: Debtor · Outcome: Case closed 2024-12-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1271 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (CA)
Steven L. Brown and Myra M. Brown closed
United States Bankruptcy Court, S.D. California · No. 21-04183 · Filed Oct 28, 2021 · Closed Feb 2, 2022
Role of Steven L. Brown and Myra M. Brown: Debtor · Outcome: Case closed 2022-02-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1271 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (CA)
Steven R Brown closed
United States Bankruptcy Court, N.D. California · No. 18-42529 · Filed Oct 29, 2018 · Closed Mar 4, 2019
Role of Steven R Brown: Debtor · Outcome: Case closed 2019-03-04 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1271 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (CA)
Steven P. Brown and Sara F. Brown closed
United States Bankruptcy Court, W.D. New York · No. 2-18-20719 · Filed Jul 10, 2018 · Closed Mar 1, 2019
Role of Steven P. Brown and Sara F. Brown: Debtor · Outcome: Case closed 2019-03-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1271 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (NY)
Steven J. Brown and Rochelle M. Brown closed
United States Bankruptcy Court, E.D. California · No. 18-11493 · Filed Apr 16, 2018 · Closed Aug 20, 2018
Role of Steven J. Brown and Rochelle M. Brown: Debtor · Outcome: Case closed 2018-08-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1271 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (CA)
STEVEN BROWN closed
United States Bankruptcy Court, E.D. California · No. 17-12921 · Filed Jul 31, 2017 · Closed Nov 17, 2017
Role of STEVEN BROWN: Debtor · Outcome: Case closed 2017-11-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1271 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (CA)
Steven Brown and Shiretta Brown closed
United States Bankruptcy Court, E.D. New York · No. 1-17-43026 · Filed Jun 9, 2017 · Closed Sep 20, 2017
Role of Steven Brown and Shiretta Brown: Debtor · Outcome: Case closed 2017-09-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1271 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (NY)
Steven D. Brown and Mariah A.C. Brown closed
United States Bankruptcy Court, N.D. New York · No. 15-60808 · Filed May 29, 2015 · Closed Sep 9, 2015
Role of Steven D. Brown and Mariah A.C. Brown: Debtor · Outcome: Case closed 2015-09-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1271 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (NY)
Steven R. Brown closed
United States Bankruptcy Court, S.D. New York · No. 15-10596 · Filed Mar 12, 2015 · Closed Jun 9, 2015
Role of Steven R. Brown: Debtor · Outcome: Case closed 2015-06-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1271 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (NY)
Steven Brown and Kathleen Brown closed
United States Bankruptcy Court, N.D. California · No. 14-11572 · Filed Nov 7, 2014 · Closed Feb 17, 2015
Role of Steven Brown and Kathleen Brown: Debtor · Outcome: Case closed 2015-02-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1271 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (CA)
Steven L. Brown closed
United States Bankruptcy Court, C.D. California · No. 2:14-bk-20661 · Filed May 30, 2014 · Closed Sep 16, 2014
Role of Steven L. Brown: Debtor · Outcome: Case closed 2014-09-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1271 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (CA)
Steven Brown closed
United States Bankruptcy Court, C.D. California · No. 2:14-bk-16139 · Filed Mar 31, 2014 · Closed Jul 15, 2014
Role of Steven Brown: Debtor · Outcome: Case closed 2014-07-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1271 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (CA)
STEVEN W. BROWN closed
United States Bankruptcy Court, E.D. California · No. 13-17406 · Filed Nov 20, 2013 · Closed Mar 7, 2014
Role of STEVEN W. BROWN: Debtor · Outcome: Case closed 2014-03-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1271 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (CA)
Steven M Brown closed
United States Bankruptcy Court, S.D. California · No. 12-14492 · Filed Oct 30, 2012 · Closed Feb 8, 2013
Role of Steven M Brown: Debtor · Outcome: Case closed 2013-02-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1271 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (CA)
Steven W Brown and Susan E Brown closed
United States Bankruptcy Court, C.D. California · No. 1:12-bk-18870 · Filed Oct 5, 2012 · Closed Nov 15, 2012
Role of Steven W Brown and Susan E Brown: Debtor · Outcome: Case closed 2012-11-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1271 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (CA)
Steven L Brown and Belinda M Chacon-Brown closed
United States Bankruptcy Court, C.D. California · No. 2:12-bk-29696 · Filed Jun 5, 2012 · Closed Jul 18, 2017
Role of Steven L Brown and Belinda M Chacon-Brown: Debtor · Outcome: Case closed 2017-07-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1271 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (CA)
Steven J Brown closed
United States Bankruptcy Court, C.D. California · No. 1:12-bk-14300 · Filed May 9, 2012 · Closed Aug 22, 2012
Role of Steven J Brown: Debtor · Outcome: Case closed 2012-08-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1271 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (CA)
Steven G Brown and Kathleen P Brown closed
United States Bankruptcy Court, E.D. New York · No. 8-12-72605 · Filed Apr 27, 2012 · Closed Aug 7, 2012
Role of Steven G Brown and Kathleen P Brown: Debtor · Outcome: Case closed 2012-08-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1271 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (NY)
Steven Brown and Kathleen Ann Brown closed
United States Bankruptcy Court, E.D. California · No. 12-27084 · Filed Apr 11, 2012 · Closed Jul 27, 2012
Role of Steven Brown and Kathleen Ann Brown: 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 1271 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (CA)
Steven P Brown closed
United States Bankruptcy Court, C.D. California · No. 2:12-bk-22160 · Filed Apr 5, 2012 · Closed Jul 20, 2012
Role of Steven P Brown: Debtor · Outcome: Case closed 2012-07-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1271 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (CA)
Steven A. Brown closed
United States Bankruptcy Court, C.D. California · No. 2:11-bk-44641 · Filed Aug 15, 2011 · Closed Dec 22, 2011
Role of Steven A. Brown: Debtor · Outcome: Case closed 2011-12-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1271 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (CA)
Steven Brown closed
United States Bankruptcy Court, N.D. New York · No. 11-61663 · Filed Jul 29, 2011 · Closed Nov 8, 2011
Role of Steven Brown: Debtor · Outcome: Case closed 2011-11-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1271 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (NY)
Steven R. Brown closed
United States Bankruptcy Court, S.D. California · No. 10-19945 · Filed Nov 10, 2010 · Closed Feb 11, 2011
Role of Steven R. Brown: Debtor · Outcome: Case closed 2011-02-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1271 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (CA)
Steven Brown and Sylvia Rodriguez Brown closed
United States Bankruptcy Court, C.D. California · No. 2:10-bk-49853 · Filed Sep 20, 2010 · Closed Jun 28, 2011
Role of Steven Brown and Sylvia Rodriguez Brown: Debtor · Outcome: Case closed 2011-06-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1271 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (CA)
Steven Brown closed
United States Bankruptcy Court, S.D. New York · No. 10-13482 · Filed Jun 30, 2010 · Closed Mar 6, 2012
Role of Steven Brown: Debtor · Outcome: Case closed 2012-03-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1271 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (NY)
Steven S. Brown closed
United States Bankruptcy Court, N.D. New York · No. 10-30198 · Filed Jan 29, 2010 · Closed May 14, 2010
Role of Steven S. Brown: Debtor · Outcome: Case closed 2010-05-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1271 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (NY)
Steven Brown closed
United States Bankruptcy Court, C.D. California · No. 2:10-bk-12705 · Filed Jan 26, 2010 · Closed May 24, 2010
Role of Steven Brown: Debtor · Outcome: Case closed 2010-05-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1271 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (CA)
Steven Brown closed
United States Bankruptcy Court, S.D. New York · No. 09-17179 · Filed Dec 7, 2009 · Closed Mar 22, 2010
Role of Steven Brown: Debtor · Outcome: Case closed 2010-03-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1271 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (NY)
Steven C. Brown closed
United States Bankruptcy Court, S.D. California · No. 09-15850 · Filed Oct 19, 2009 · Closed Jan 22, 2010
Role of Steven C. Brown: Debtor · Outcome: Case closed 2010-01-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1271 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (CA)
Steven R. Brown and Lynn M. Brown closed
United States Bankruptcy Court, W.D. New York · No. 2-08-21912 · Filed Jul 30, 2008 · Closed Dec 31, 2013
Role of Steven R. Brown and Lynn M. Brown: Debtor · Outcome: Case closed 2013-12-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1271 federal dockets); 16 people with this name in Form D filings; court in the person's filing state (NY)
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, 2:17 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.

4. Differences between public sources

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

12 differences found between the filings for Steven Brown — 4 worth asking about (compared 49 filings on Oct 24, 2026)

Worth asking · Aug 26, 2019 – Aug 25, 2020

Investor count went down between filings — Guggenheim Partners Opportunistic Investment Grade Securities Fund 2015, LLC

The Aug 26, 2019 filing reports 36 investors; the Aug 25, 2020 Form D/A reports 35 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) · Aug 26, 2019 ↗Form D/A (later) · Aug 25, 2020 ↗Guggenheim Partners Opportunistic Investment Grade Securities Fund 2015, LLC — PartnerFacts page ↗
Sources
Worth asking · Jun 22, 2022 – Aug 25, 2026

Form D filed 1,525 days after the first sale — CELAYA HOLDINGS LLC

The filing says the first sale was Jun 22, 2022. The Form D was filed Aug 25, 2026 — 1,525 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 1,510 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.

Form D · Aug 25, 2026 ↗CELAYA HOLDINGS LLC — PartnerFacts page ↗
Sources
Worth asking · Apr 1, 2015 – Jul 31, 2019

Form D filed 1,582 days after the first sale — Guggenheim Partners Opportunistic Investment Grade Securities Fund 2015, LLC

The filing says the first sale was Apr 1, 2015. The Form D was filed Jul 31, 2019 — 1,582 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 1,567 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.

Form D · Jul 31, 2019 ↗Guggenheim Partners Opportunistic Investment Grade Securities Fund 2015, LLC — PartnerFacts page ↗
Sources
Worth asking · Aug 5, 2015 – Sep 3, 2015

Steven Brown is no longer listed on the Sep 3, 2015 amendment — Cardinal AlternativeFocus HBK Fund II L.P.

Steven Brown appears on the Aug 5, 2015 Form D/A (executive officer) but not on the Sep 3, 2015 Form D/A for the same offering.

What this means People leave, and the issuer must list only current officers, directors and promoters. It is still worth asking why this person left and who replaced them.

Form D/A · Aug 5, 2015 ↗Form D/A · Sep 3, 2015 ↗Steven Brown — PartnerFacts page ↗Cardinal AlternativeFocus HBK Fund II L.P. — PartnerFacts page ↗
Sources
Note · Sep 1, 2014 – Sep 11, 2024

7 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 — Guggenheim Partners Opportunistic Investment Grade Securities Fund 2015, LLC (latest filing Sep 11, 2024) · No amendment in the last 12 months on an offering that may still be open — Guggenheim Core Plus Fund, Ltd. (latest filing Mar 17, 2023) · No amendment in the last 12 months on an offering that may still be open — Guggenheim Core Plus Fund, LLC (latest filing Jan 10, 2023) · No amendment in the last 12 months on an offering that may still be open — Guggenheim Partners Opportunistic Investment Grade Securities Private Pensions Fund, LLC (latest filing Aug 24, 2021) · No amendment in the last 12 months on an offering that may still be open — Guggenheim Partners Opportunistic Investment Grade Securities Fund 2015, Ltd. (latest filing Oct 18, 2019) · and 2 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/A · Sep 11, 2024 ↗Guggenheim Partners Opportunistic Investment Grade Securities Fund 2015, LLC — PartnerFacts page ↗Form D/A · Mar 17, 2023 ↗Guggenheim Core Plus Fund, Ltd. — PartnerFacts page ↗
Sources
Note · Aug 5, 2015 – Mar 17, 2016

Steven Brown is written 2 different ways on the filings

listed as "Steven H. Brown" on 2 filings (from Aug 5, 2015), and "Steven Brown" on 47 filings (from Mar 17, 2016).

What this means Same person, written differently — a middle name or suffix left off, or spelled another way. It is normal, but check that the full legal name matches your subscription documents.

Form D/A · Aug 5, 2015 ↗Form D · Mar 17, 2016 ↗Steven Brown — PartnerFacts page ↗
Sources
Note · Sep 9, 2010 – Nov 14, 2022

Same name, different state: "Steven A. Brown" (MO) is a separate record

This page covers filings where the address state is CA. A separate record, "Steven A. Brown" with address state MO, is listed on 6 filings — most recently by Double Eagle St. Clair Investors LLC (Nov 14, 2022). Both records have filings in the same period (Mar 17, 2016 to Nov 14, 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.

Steven A. Brown (MO) — PartnerFacts page ↗Form D · Nov 14, 2022 ↗Double Eagle St. Clair Investors LLC — PartnerFacts page ↗Steven Brown (CA) — this page ↗
Sources
Note · Aug 25, 2011 – Dec 21, 2020

Same name, different state: "Steven L Brown" (AZ) is a separate record

This page covers filings where the address state is CA. A separate record, "Steven L Brown" with address state AZ, is listed on 20 filings — most recently by Trinity Capital Inc. (Dec 21, 2020). Both records have filings in the same period (Mar 17, 2016 to Dec 21, 2020).

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.

Steven L Brown (AZ) — PartnerFacts page ↗Form D · Dec 21, 2020 ↗Trinity Capital Inc. — PartnerFacts page ↗Steven Brown (CA) — this page ↗
Sources
Note · Sep 8, 2011 – Dec 11, 2019

Same name, different state: "Steven Brown" (NY) is a separate record

This page covers filings where the address state is CA. A separate record, "Steven Brown" with address state NY, is listed on 12 filings — most recently by Pergament Multi-Strategy Opportunities, LP (Dec 11, 2019). Both records have filings in the same period (Mar 17, 2016 to Dec 11, 2019).

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.

Steven Brown (NY) — PartnerFacts page ↗Form D/A · Dec 11, 2019 ↗Pergament Multi-Strategy Opportunities, LP — PartnerFacts page ↗Steven Brown (CA) — this page ↗
Sources
Note · May 26, 2011 – Jun 1, 2012

Same name, different state: "Steven R. Brown" (VA) is a separate record

This page covers filings where the address state is CA. A separate record, "Steven R. Brown" with address state VA, is listed on 2 filings — most recently by SOUTH49 SOLUTIONS, INC (Jun 1, 2012). The two records do not overlap in time: this page runs Mar 17, 2016 to Aug 25, 2026; the other runs May 26, 2011 to Jun 1, 2012.

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.

Steven R. Brown (VA) — PartnerFacts page ↗Form D/A · Jun 1, 2012 ↗SOUTH49 SOLUTIONS, INC — PartnerFacts page ↗Steven Brown (CA) — this page ↗
Sources
Note · Jul 29, 2009 – Dec 7, 2011

Same name, different state: "Steven Brown" (A0) is a separate record

This page covers filings where the address state is CA. A separate record, "Steven Brown" with address state A0, is listed on 3 filings — most recently by Azcan RPG Corp. (Dec 7, 2011). The two records do not overlap in time: this page runs Mar 17, 2016 to Aug 25, 2026; the other runs Jul 29, 2009 to Dec 7, 2011.

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.

Steven Brown (A0) — PartnerFacts page ↗Form D · Dec 7, 2011 ↗Azcan RPG Corp. — PartnerFacts page ↗Steven Brown (CA) — this page ↗
Sources
Note · Aug 11, 2014 – Mar 21, 2016

4 address changes between filings

Address moved from George Town, Grand Cayman, Cayman Islands (as filed: E9) to Grand Cayman, Cayman Islands (as filed: E9) — Cardinal AlternativeFocus HBK Fund II L.P. · Address moved from Grand Cayman, Cayman Islands (as filed: E9) to George Town, Grand Cayman, Cayman Islands (as filed: E9) — Cardinal AlternativeFocus HBK Fund II L.P. · Address moved from San Diego, CA to Grand Cayman, Cayman Islands (as filed: E9) — Brandes Investment Partners Trust · Address moved from George Town, Grand Cayman, Cayman Islands (as filed: E9) to Grand Cayman, Cayman Islands (as filed: E9) — Cardinal AlternativeFocus HBK Fund II L.P.

What this means Businesses move. If you were told one city and the forms say another, ask which is current.

Form D/A · Sep 3, 2015 ↗Form D/A · Mar 21, 2016 ↗Cardinal AlternativeFocus HBK Fund II L.P. — PartnerFacts page ↗Form D/A · Aug 5, 2015 ↗
Sources
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. As of Oct 24, 2026.

5. Money to insiders

8 of 12 offerings report sales commissions totalling $5,920,083; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Aug 25, 2026 D
CELAYA HOLDINGS LLC
File 021-595197
$0$0$0None listed on this filingEDGAR ↗
May 15, 2026 D/A
Guggenheim Partners Opportunistic Investment Grade Securities Offshore Fund, Ltd.
File 021-365154
$122,500 (est.)$0$0Guggenheim Funds Distributors, LLC BrokerCheck CRD 39805 ↗
via Guggenheim Funds Distributors, LLC (CRD 39805 ↗)

ABG, LLC BrokerCheck CRD 167190 ↗
via ABG, LLC (CRD 167190 ↗)

Kelson Capital LLC BrokerCheck CRD 149477 ↗
via Kelson Capital LLC (CRD 149477 ↗)

Guggenheim Securities, LLC BrokerCheck CRD 40638 ↗
via Guggenheim Securities, LLC (CRD 40638 ↗)
EDGAR ↗
May 15, 2026 D/A
Guggenheim Partners Opportunistic Investment Grade Securities Fund, LLC
File 021-536763
$480,019 (est.)$0$0 (est.)ABG, LLC BrokerCheck CRD 167190 ↗
via ABG, LLC (CRD 167190 ↗)

Kelson Capital LLC BrokerCheck CRD 149477 ↗
via Kelson Capital LLC (CRD 149477 ↗)

Guggenheim Fund Distributors, LLC BrokerCheck CRD 39805 ↗
via Guggenheim Fund Distributors, LLC (CRD 39805 ↗)
EDGAR ↗
Dec 11, 2024 D
CELAYA HOLDINGS LLC
File 021-531787
$0$0$0None listed on this filingEDGAR ↗
Sep 11, 2024 D/A
Guggenheim Partners Opportunistic Investment Grade Securities Fund 2015, LLC
File 021-247335
$1,695,696 (est.)$0$0GUGGENHEIM SECURITIES, LLC BrokerCheck CRD 40638 ↗
via GUGGENHEIM SECURITIES, LLC (CRD 40638 ↗)

Guggenheim Funds Distributors, LLC BrokerCheck CRD 39805 ↗
via Guggenheim Funds Distributors, LLC (CRD 39805 ↗)
EDGAR ↗
Mar 17, 2023 D/A
Guggenheim Core Plus Fund, Ltd.
File 021-261297
$69,884 (est.)$0$0Guggenheim Funds Distributors, LLC BrokerCheck CRD 39805 ↗
via Guggenheim Funds Distributors, LLC (CRD 39805 ↗)
EDGAR ↗
Jan 10, 2023 D/A
Guggenheim Core Plus Fund, LLC
File 021-259431
$126,323 (est.)$0$0Guggenheim Funds Distributors, LLC BrokerCheck CRD 39805 ↗
via Guggenheim Funds Distributors, LLC (CRD 39805 ↗)
EDGAR ↗
Aug 24, 2021 D/A
Guggenheim Partners Opportunistic Investment Grade Securities Private Pensions Fund, LLC
File 021-247322
$0$0$0Guggenheim Funds Distributors, LLC BrokerCheck CRD 39805 ↗
via Guggenheim Funds Distributors, LLC (CRD 39805 ↗)
EDGAR ↗
Oct 18, 2019 D/A
Guggenheim Partners Opportunistic Investment Grade Securities Fund 2015, Ltd.
File 021-247321
$599,799 (est.)$0$0Guggenheim Funds Distributors, LLC BrokerCheck CRD 39805 ↗
via Guggenheim Funds Distributors, LLC (CRD 39805 ↗)
EDGAR ↗
Jul 31, 2019 D
Guggenheim Partners Opportunistic Investment Grade Securities Fund 2015, LLC
File 021-345476
$1,915,506 (est.)$0$0GUGGENHEIM SECURITIES, LLC BrokerCheck CRD 40638 ↗
via GUGGENHEIM SECURITIES, LLC (CRD 40638 ↗)

Guggenheim Funds Distributors, LLC BrokerCheck CRD 39805 ↗
via Guggenheim Funds Distributors, LLC (CRD 39805 ↗)
EDGAR ↗
Aug 25, 2015 D/A
Brandes Investment Partners Trust
File 021-223766
$0$0$0Guggenheim Funds Distributors, LLC BrokerCheck CRD 39805 ↗
via Guggenheim Funds Distributors, LLC (CRD 39805 ↗)

Guggenheim Funds Distributors, LLC BrokerCheck CRD 39805 ↗
via Guggenheim Funds Distributors, LLC (CRD 39805 ↗)
EDGAR ↗
Aug 5, 2015 D/A
Cardinal AlternativeFocus HBK Fund II L.P.
File 021-191674
$910,356 (est.)$0$0Barclays Capital Inc. BrokerCheck CRD 19714 ↗
via Barclays Capital Inc. (CRD 19714 ↗)

Guggenheim Funds Distributors, LLC BrokerCheck CRD 39805 ↗
via Guggenheim Funds Distributors, LLC (CRD 39805 ↗)
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 10

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

CH
Other

CELAYA HOLDINGS LLC

Manhattan Beach, CA · Dec 11, 2024 → Aug 25, 2026 · 2 filings
  • Aug 25, 2026 · D · $3,200,249 sold of $5,122,500 · 22 investors · min. $7,500 · role: Director (Manager of manager-managed LLC) EDGAR ↗
  • Dec 11, 2024 · D · $500,000 sold of $500,000 · 1 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $3.2M from 22 investors (62% of the $5.12M target) as of the latest filing. Steven is listed as director on 2 filings for this deal.

Latest filing on EDGAR ↗
Sources

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.

GP
Pooled Investment Fund · group: Guggenheim

Guggenheim Partners Opportunistic Investment Grade Securities Fund, LLC

Santa Monica, CA · Jan 30, 2025 → May 15, 2026 · 3 filings
  • May 15, 2026 · D/A · $362,506,993 sold of Indefinite · 12 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Oct 14, 2025 · D/A · $362,506,993 sold of Indefinite · 12 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗
  • Jan 30, 2025 · D · $0 sold of Indefinite · 0 investors · min. $1,000,000 · role: Executive Officer EDGAR ↗

Raised $1.38B from 62 investors as of the latest filing. Steven is listed as executive officer on 3 filings for this deal.

Latest filing on EDGAR ↗
Sources

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.

GP
Pooled Investment Fund · group: Guggenheim

Guggenheim Partners Opportunistic Investment Grade Securities Offshore Fund, Ltd.

Santa Monica, CA · Apr 16, 2020 → May 15, 2026 · 9 filings
  • May 15, 2026 · D/A · $556,033,911 sold of Indefinite · 17 investors · min. $5,000,000 · role: Executive Officer (Mr. Brown is Portfolio Manager and Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 14, 2025 · D/A · $556,033,911 sold of Indefinite · 17 investors · min. $5,000,000 · role: Executive Officer (Mr. Brown is Portfolio Manager and Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Apr 11, 2025 · D/A · $556,033,911 sold of Indefinite · 17 investors · min. $5,000,000 · role: Executive Officer (Mr. Brown is Portfolio Manager and Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Apr 15, 2024 · D/A · $556,033,911 sold of Indefinite · 17 investors · min. $5,000,000 · role: Executive Officer (Mr. Brown is Portfolio Manager and Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Aug 22, 2023 · D/A · $556,033,911 sold of Indefinite · 17 investors · min. $5,000,000 · role: Executive Officer (Mr. Brown is Portfolio Manager and Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Aug 23, 2022 · D/A · $556,033,911 sold of Indefinite · 17 investors · min. $5,000,000 · role: Executive Officer (Mr. Brown is Portfolio Manager and Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Aug 24, 2021 · D/A · $552,033,911 sold of Indefinite · 14 investors · min. $5,000,000 · role: Executive Officer (Mr. Brown is Portfolio Manager and Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Aug 25, 2020 · D/A · $247,033,911 sold of Indefinite · 12 investors · min. $5,000,000 · role: Executive Officer (Mr. Brown is Portfolio Manager and Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Apr 16, 2020 · D · $247,033,911 sold of Indefinite · 12 investors · min. $5,000,000 · role: Executive Officer (Mr. Brown is Portfolio Manager and Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗

Raised $556M from 17 investors as of the latest filing. Steven is listed as executive officer on 9 filings for this deal.

Latest filing on EDGAR ↗
Sources

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.

GP
Pooled Investment Fund · group: Guggenheim

Guggenheim Partners Opportunistic Investment Grade Securities Fund 2015, LLC

Santa Monica, CA · Sep 6, 2018 → Sep 11, 2024 · 9 filings
  • Sep 11, 2024 · D/A · $312,711,046 sold of Indefinite · 39 investors · min. No minimum reported · role: Executive Officer (Mr. Brown is Portfolio Manager and Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Aug 21, 2024 · D/A · $312,711,046 sold of Indefinite · 39 investors · min. No minimum reported · role: Executive Officer (Mr. Brown is Portfolio Manager and Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Aug 22, 2023 · D/A · $312,711,046 sold of Indefinite · 39 investors · min. No minimum reported · role: Executive Officer (Mr. Brown is Portfolio Manager and Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Aug 23, 2022 · D/A · $312,711,046 sold of Indefinite · 39 investors · min. No minimum reported · role: Executive Officer (Mr. Brown is Portfolio Manager and Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Aug 24, 2021 · D/A · $308,211,046 sold of Indefinite · 37 investors · min. No minimum reported · role: Executive Officer (Mr. Brown is Portfolio Manager and Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Aug 25, 2020 · D/A · $306,211,046 sold of Indefinite · 35 investors · min. No minimum reported · role: Executive Officer (Mr. Brown is Portfolio Manager and Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Aug 26, 2019 · D/A · $305,211,046 sold of Indefinite · 36 investors · min. No minimum reported · role: Executive Officer (Mr. Brown is Portfolio Manager and Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Jul 31, 2019 · D · $305,211,046 sold of Indefinite · 36 investors · min. No minimum reported · role: Executive Officer (Mr. Brown is Portfolio Manager and Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Sep 6, 2018 · D/A · $237,930,879 sold of Indefinite · 29 investors · min. No minimum reported · role: Executive Officer (Mr. Brown is Portfolio Manager and Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗

Raised $312.7M from 39 investors as of the latest filing. Steven is listed as executive officer on 9 filings for this deal.

Latest filing on EDGAR ↗
Sources

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.

GC
Pooled Investment Fund · group: Guggenheim

Guggenheim Core Plus Fund, Ltd.

Santa Monica, CA · Apr 14, 2016 → Mar 17, 2023 · 10 filings
  • Mar 17, 2023 · D/A · $62,000,000 sold of Indefinite · 2 investors · min. $100,000 · role: Executive Officer (Mr. Brown is Portfolio Manager and Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Mar 18, 2022 · D/A · $62,000,000 sold of Indefinite · 2 investors · min. $100,000 · role: Executive Officer (Mr. Brown is Portfolio Manager and Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Jan 11, 2022 · D/A · $62,000,000 sold of Indefinite · 2 investors · min. $100,000 · role: Executive Officer (Mr. Brown is Portfolio Manager and Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Jan 12, 2021 · D/A · $55,500,000 sold of Indefinite · 2 investors · min. $100,000 · role: Executive Officer (Mr. Brown is Portfolio Manager and Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Mar 17, 2020 · D/A · $55,500,000 sold of Indefinite · 2 investors · min. $100,000 · role: Executive Officer (Mr. Brown is Portfolio Manager and Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Mar 18, 2019 · D/A · $49,500,000 sold of Indefinite · 2 investors · min. $100,000 · role: Executive Officer (Mr. Brown is a Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Mar 15, 2018 · D/A · $39,000,000 sold of Indefinite · 2 investors · min. $100,000 · role: Executive Officer (Mr. Brown is a Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Sep 8, 2017 · D/A · $39,000,000 sold of Indefinite · 2 investors · min. $100,000 · role: Executive Officer (Mr. Brown is a Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Mar 15, 2017 · D/A · $39,000,000 sold of Indefinite · 2 investors · min. $100,000 · role: Executive Officer (Mr. Brown is a Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Apr 14, 2016 · D · $13,000,000 sold of Indefinite · 1 investors · min. $100,000 · role: Executive Officer (Mr. Brown is a Director of the Investment Advisor of the Issuer.) EDGAR ↗

Raised $62M from 2 investors as of the latest filing. Steven is listed as executive officer on 10 filings for this deal.

Latest filing on EDGAR ↗
Sources

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.

GC
Pooled Investment Fund · group: Guggenheim

Guggenheim Core Plus Fund, LLC

Santa Monica, CA · Mar 17, 2016 → Jan 10, 2023 · 8 filings
  • Jan 10, 2023 · D/A · $96,425,000 sold of Indefinite · 5 investors · min. No minimum reported · role: Executive Officer (Mr. Brown is Portfolio Manager and Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Jan 11, 2022 · D/A · $96,425,000 sold of Indefinite · 5 investors · min. No minimum reported · role: Executive Officer (Mr. Brown is Portfolio Manager and Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Jan 12, 2021 · D/A · $95,200,000 sold of Indefinite · 5 investors · min. No minimum reported · role: Executive Officer (Mr. Brown is Portfolio Manager and Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Mar 17, 2020 · D/A · $95,200,000 sold of Indefinite · 5 investors · min. No minimum reported · role: Executive Officer (Mr. Brown is Portfolio Manager and Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Mar 18, 2019 · D/A · $95,200,000 sold of Indefinite · 5 investors · min. No minimum reported · role: Executive Officer (Mr. Brown is a Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Mar 15, 2018 · D/A · $83,500,000 sold of Indefinite · 5 investors · min. No minimum reported · role: Executive Officer (Mr. Brown is a Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Mar 15, 2017 · D/A · $62,000,000 sold of Indefinite · 4 investors · min. No minimum reported · role: Executive Officer (Mr. Brown is a Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Mar 17, 2016 · D · $33,000,000 sold of Indefinite · 2 investors · min. No minimum reported · role: Executive Officer (Mr. Brown is a Director of the Investment Advisor of the Issuer.) EDGAR ↗

Raised $96.4M from 5 investors as of the latest filing. Steven is listed as executive officer on 8 filings for this deal.

Latest filing on EDGAR ↗
Sources

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.

GP
Pooled Investment Fund · group: Guggenheim

Guggenheim Partners Opportunistic Investment Grade Securities Private Pensions Fund, LLC

Santa Monica, CA · Sep 6, 2018 → Aug 24, 2021 · 4 filings
  • Aug 24, 2021 · D/A · $236,976,432 sold of Indefinite · 1 investors · min. No minimum reported · role: Executive Officer (Mr. Brown is Portfolio Manager and Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Aug 25, 2020 · D/A · $236,976,432 sold of Indefinite · 1 investors · min. No minimum reported · role: Executive Officer (Mr. Brown is Portfolio Manager and Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Sep 5, 2019 · D/A · $236,976,432 sold of Indefinite · 1 investors · min. No minimum reported · role: Executive Officer (Mr. Brown is Portfolio Manager and Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Sep 6, 2018 · D/A · $236,976,432 sold of Indefinite · 1 investors · min. No minimum reported · role: Executive Officer (Mr. Brown is Portfolio Manager and Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗

Raised $237M from 1 investor as of the latest filing. Steven is listed as executive officer on 4 filings for this deal.

Latest filing on EDGAR ↗
Sources

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.

GP
Pooled Investment Fund · group: Guggenheim

Guggenheim Partners Opportunistic Investment Grade Securities Fund 2015, Ltd.

Santa Monica, CA · Oct 19, 2018 → Oct 18, 2019 · 2 filings
  • Oct 18, 2019 · D/A · $113,150,000 sold of Indefinite · 13 investors · min. $100,000 · role: Executive Officer (Mr. Brown is Portfolio Manager and Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 19, 2018 · D/A · $88,650,000 sold of Indefinite · 11 investors · min. $100,000 · role: Executive Officer (Mr. Brown is Portfolio Manager and Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗

Raised $113.2M from 13 investors as of the latest filing. Steven is listed as executive officer on 2 filings for this deal.

Latest filing on EDGAR ↗
Sources

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.

BI
Pooled Investment Fund

Brandes Investment Partners Trust

San Diego, CA · Aug 25, 2015
  • Aug 25, 2015 · D/A · $9,162,657 sold of Indefinite · 2 investors · min. No minimum reported · role: Executive Officer EDGAR ↗

Raised $9.16M from 2 investors as of the latest filing. Steven is listed as executive officer.

Latest filing on EDGAR ↗
Sources

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(c) (8,096 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.

CA
Pooled Investment Fund · group: Barclays Wealth Advisor

Cardinal AlternativeFocus HBK Fund II L.P.

New York, NY · Aug 5, 2015
  • Aug 5, 2015 · D/A · $69,509,908 sold of Indefinite · 121 investors · min. No minimum reported · role: Executive Officer EDGAR ↗

Raised $107.2M from 153 investors as of the latest filing. Steven is listed as executive officer.

Latest filing on EDGAR ↗
Sources

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.

Other pages with the same name (15)

Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.

  • Steven Brown — IL, 15 issuers, Dec 7, 2010 → Mar 6, 2026 · no shared issuer
  • Steven L Brown — AZ, 12 issuers, Aug 25, 2011 → Dec 21, 2020 · no shared issuer
  • Steven A. Brown — MO, 6 issuers, Sep 9, 2010 → Nov 14, 2022 · no shared issuer
  • Steven Brown — Alberta, Canada (as filed: A0), 2 issuers, Jul 29, 2009 → Dec 7, 2011 · no shared issuer
  • Steven Brown — NY, 2 issuers, Sep 8, 2011 → Dec 11, 2019 · no shared issuer
  • Steven Brown — TX, 2 issuers, Jan 22, 2015 → Jan 22, 2015 · no shared issuer
  • Steven R. Brown — VA, 1 issuer, May 26, 2011 → Jun 1, 2012 · no shared issuer
  • Steven Brown — FL, 1 issuer, Jul 20, 2012 → Jul 20, 2012 · no shared issuer
  • Steven E. Brown — Ontario, Canada (as filed: A6), 1 issuer, Jan 7, 2014 → Jan 7, 2014 · no shared issuer
  • Steven Brown — CO, 1 issuer, Aug 28, 2015 → Aug 28, 2015 · no shared issuer
  • STEVEN BROWN — Quebec, Canada (as filed: A8), 1 issuer, Sep 4, 2018 → Sep 4, 2018 · no shared issuer
  • Steven E. Brown — CT, 1 issuer, May 14, 2025 → May 14, 2026 · no shared issuer
  • Steven D. Brown — VA, 1 issuer, Feb 3, 2010 → Feb 3, 2010 · no shared issuer
  • Steven Brown — MO, 1 issuer, Jan 7, 2022 → Jan 27, 2022 · no shared issuer
  • Steven Brown — VT, 1 issuer, Jul 14, 2022 → Jul 14, 2022 · no shared issuer

People around Steven 24

Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.

AW
No photo found yet (own website and image search run after this page is viewed)
Person

Anne Walsh

Executive Officer · 45 shared filings (7 issuers) · also on 3 other issuers

Anne Walsh is on 10 issuers in total — a repeat sponsor. Their page lists every one.

AB
No photo found yet (own website and image search run after this page is viewed)
Person

Adam Bloch

Executive Officer · 26 shared filings (6 issuers)

Adam Bloch is on 6 issuers in total — a repeat sponsor. Their page lists every one.

BM
No photo found yet (own website and image search run after this page is viewed)
Person

B. Scott Minerd

Executive Officer · 21 shared filings (4 issuers) · also on 17 other issuers

B. Scott Minerd is on 21 issuers in total — a repeat sponsor. Their page lists every one.

WS
No photo found yet (own website and image search run after this page is viewed)
Person

William Shaw

Director · 10 shared filings (3 issuers) · also on 80 other issuers

William Shaw is on 83 issuers in total — a repeat sponsor. Their page lists every one.

SM
No photo found yet (own website and image search run after this page is viewed)
Person

Scott B. Minerd

Executive Officer · 9 shared filings (2 issuers) · also on 4 other issuers

Scott B. Minerd is on 6 issuers in total — a repeat sponsor. Their page lists every one.

PM
No photo found yet (own website and image search run after this page is viewed)
Person

Paras Malde

Director · 7 shared filings (1 issuer) · also on 77 other issuers

Paras Malde is on 78 issuers in total — a repeat sponsor. Their page lists every one.

KS
No photo found yet (own website and image search run after this page is viewed)
Person

Kevin Solomon

Director · 7 shared filings (1 issuer) · also on 96 other issuers

Kevin Solomon is on 97 issuers in total — a repeat sponsor. Their page lists every one.

JM
No photo found yet (own website and image search run after this page is viewed)
Person

James Michal

Executive Officer · 7 shared filings (4 issuers) · also on 4 other issuers

James Michal is on 8 issuers in total — a repeat sponsor. Their page lists every one.

CL
No photo found yet (own website and image search run after this page is viewed)
Person

Christopher LeBeau

Director · 5 shared filings (3 issuers) · also on 29 other issuers

Christopher LeBeau is on 32 issuers in total — a repeat sponsor. Their page lists every one.

NR
No photo found yet (own website and image search run after this page is viewed)
Person

Nicole Ramroop

Director · 4 shared filings (1 issuer) · also on 42 other issuers

Nicole Ramroop is on 43 issuers in total — a repeat sponsor. Their page lists every one.

RH
No photo found yet (own website and image search run after this page is viewed)
Person

Roger H. Hanson

Director · 4 shared filings (2 issuers) · also on 131 other issuers

Roger H. Hanson is on 133 issuers in total — a repeat sponsor. Their page lists every one.

DS
No photo found yet (own website and image search run after this page is viewed)
Person

Don Seymour

Director · 4 shared filings (2 issuers) · also on 206 other issuers

Don Seymour is on 208 issuers in total — a repeat sponsor. Their page lists every one.

AR
No photo found yet (own website and image search run after this page is viewed)
Person

Amber Ramsey

Director · 3 shared filings (1 issuer) · also on 63 other issuers

Amber Ramsey is on 64 issuers in total — a repeat sponsor. Their page lists every one.

SF
No photo found yet (own website and image search run after this page is viewed)
Person

Sherri Fleming

Director · 2 shared filings (1 issuer) · also on 52 other issuers

Sherri Fleming is on 53 issuers in total — a repeat sponsor. Their page lists every one.

ZW
No photo found yet (own website and image search run after this page is viewed)
Person

Zachary D. Warren

Executive Officer · 2 shared filings (2 issuers) · also on 16 other issuers

Zachary D. Warren is on 18 issuers in total — a repeat sponsor. Their page lists every one.

MK
No photo found yet (own website and image search run after this page is viewed)
Person

MATTHEW KALIL

Executive Officer, Director · 2 shared filings (1 issuer)

Listed on the same filings as Steven Brown. Their page shows their other deals.

RK
No photo found yet (own website and image search run after this page is viewed)
Person

RYAN KALIL

Executive Officer, Director · 2 shared filings (1 issuer)

Listed on the same filings as Steven Brown. Their page shows their other deals.

RH
No photo found yet (own website and image search run after this page is viewed)
Person

Roger Hanson

Director · 2 shared filings (2 issuers) · also on 95 other issuers

Roger Hanson is on 97 issuers in total — a repeat sponsor. Their page lists every one.

LG
No photo found yet (own website and image search run after this page is viewed)
Person

Laren Gillespie

Director · 1 shared filing (1 issuer) · also on 75 other issuers

Laren Gillespie is on 76 issuers in total — a repeat sponsor. Their page lists every one.

CB
No photo found yet (own website and image search run after this page is viewed)
Person

Charles H Brandes

Executive Officer · 1 shared filing (1 issuer) · also on 3 other issuers

Listed on the same filings as Steven Brown. Their page shows their other deals.

BW
No photo found yet (own website and image search run after this page is viewed)
Person

Brent V Woods

Executive Officer · 1 shared filing (1 issuer) · also on 2 other issuers

Listed on the same filings as Steven Brown. Their page shows their other deals.

BA
No photo found yet (own website and image search run after this page is viewed)
Person

BRIAN ALBENZE

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Steven Brown. Their page shows their other deals.

MC
No photo found yet (own website and image search run after this page is viewed)
Person

Michelle Wilson-Clarke

Director · 1 shared filing (1 issuer) · also on 146 other issuers

Michelle Wilson-Clarke is on 147 issuers in total — a repeat sponsor. Their page lists every one.

The team behind the deals

G
Sponsor group

Guggenheim

52 issuers · 233 filings · $13.85B reported sold · 2009–2026

One team, 52 deal companies. Steven Brown is listed on 7 of them.

Sources

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 Steven Brown.

BW
Sponsor group

Barclays Wealth Advisor

37 issuers · 325 filings · $4.33B reported sold · 2009–2026

One team, 37 deal companies. Steven Brown is listed on 1 of them.

Sources

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 Steven Brown.

Same business address

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

A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.

Registrations and other filings

Adviser registration (Form ADV)

A person is never an adviser firm. 1 of the 10 issuers this person is listed on matches a Form ADV adviser (searched 24,962 advisers as of Oct 2, 2026): Guggenheim Partners Opportunistic Investment Grade Securities Fund, LLC.

Other offering types (Regulation A and Regulation Crowdfunding)

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 none — individuals are not matched

Property records are matched to companies only, never to individuals, so none are matched to Steven Brown 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 10 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Steven Brown is listed on: none on file. No website or social profile named in Guggenheim Partners Opportunistic Investment Grade Securities Offshore Fund, Ltd.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #27,201 of 374,652 in line (14 issuers searched so far). One-tap searches: Look further ↓

Look further

One-tap searches on sites we do not index ourselves, with the name pre-filled (Santa Monica, CA). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

LinkedIn people search ↗Instagram ↗X (Twitter) ↗Facebook ↗YouTube ↗Google ↗Google Images ↗Google News ↗Meta Ad Library ↗

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗California — find the county court ↗Los Angeles Superior Court case search ↗New York WebCivil Supreme ↗

Securities regulators

SEC EDGAR full-text search ↗SEC action look-up ↗FINRA BrokerCheck ↗SEC IAPD adviser search ↗

Business registries

California Secretary of State business search ↗New York Secretary of State business search ↗OpenCorporates ↗

Change history

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