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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:26 AM ET

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Steven E. Hartman

Named as an officer, director or promoter on SEC Form D filings · CA · Feb 18, 2009 → Nov 26, 2014

10deals (issuers)
$1.65Breported sold
113investors
15Form D filings
2009–2014years 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 E. Hartman is listed as an executive officer, director, and promoter on 15 SEC Form D filings by 10 issuers between Feb 2009 and Nov 2014. Largest by amount reported sold: LEVINE LEICHTMAN CAPITAL PARTNERS V, L.P. (Beverly Hills, CA — pooled investment fund — 2013–2014; $1.33B reported sold to 55 investors), Levine Leichtman Capital Partners Deep Value Fund II, L.P. (Beverly Hills, CA — pooled investment fund — 2012; $170M reported sold to 6 investors), Levine Leichtman Capital Partners SBIC Fund, L.P. (Beverly Hills, CA — pooled investment fund — 2011; $69.5M reported sold to 9 investors), PWC Holding Corp (Lake Forest, CA — industry reported as "Other" — 2009–2011; $67.5M reported sold to 5 investors), LEVINE LEICHTMAN CAPITAL PARTNERS V AMICUS FUND, L.P. (Beverly Hills, CA — pooled investment fund — 2013–2014; $6.46M reported sold to 16 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, director, and promoter, over about 5 years. Across those companies the filings report $1.65B sold in total.

Listed alongside LAUREN B. LEICHTMAN (14 shared filings), ARTHUR E. LEVINE (12 shared filings), STEPHEN J. HOGAN (12 shared filings), Levine Leichtman Capital Partners, Inc. (10 shared filings, management entity), LLCP Partners V GP, LLC (6 shared filings, management entity) and 14 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.

9 of the issuers belong to the sponsor group Levine Leichtman (26 issuers, $18.4B reported sold, 2011–2026).

What this means A sponsor group is one team that sets up a new company for each deal. Levine Leichtman has 26 companies on file and $18.4B 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, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — 10 bankruptcy cases matching the name listed in Key records below.

What this means 10 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 15 public filings for Steven E. Hartman and found 13 differences, 3 worth asking the sponsor about: Steven E. Hartman appears on 5 deals that stopped filing before reaching their target; Paid seller listed without a CRD number: Enpro Partners Inc; 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 E. Hartman has not run yet — it is joining a line of 33,123 names; searches run around the clock at the hosts' allowed rate. Searched so far: 638 names.

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

Key records

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

1. Lawsuits

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

What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:17 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

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: 48 regulators (FINRA, NASAA, 37 states) — crawled Oct 24, 2026, 8:48 AM ET

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 E. Hartman..

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

3. Bankruptcies

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

Steven Hartman closed
United States Bankruptcy Court, S.D. Ohio · No. 3:14-bk-32296 · Filed Jun 25, 2014 · Closed Nov 19, 2014
Role of Steven Hartman: Debtor · Outcome: Case closed 2014-11-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 58 federal dockets); 2 people with this name in Form D filings; court in OH (not a filing state)
Steven Hartman and Alisa Hartman closed
United States Bankruptcy Court, E.D. California · No. 10-48007 · Filed Oct 22, 2010 · Closed Feb 11, 2011
Role of Steven Hartman and Alisa Hartman: 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 58 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (CA); middle initial differs
Steven Hartman closed
United States Bankruptcy Court, E.D. Michigan · No. 04-35263 · Filed Dec 16, 2004 · Closed Apr 26, 2005
Role of Steven Hartman: Debtor · Outcome: Case closed 2005-04-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 58 federal dockets); 2 people with this name in Form D filings; court in MI (not a filing state)
Steven Hartman closed
United States Bankruptcy Court, E.D. Missouri · No. 03-54001 · Filed Oct 17, 2003 · Closed Feb 4, 2004
Role of Steven Hartman: Debtor · Outcome: Case closed 2004-02-04 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 58 federal dockets); 2 people with this name in Form D filings; court in MO (not a filing state)
Steven E. Hartman closed
United States Bankruptcy Court, D. Kansas · No. 02-10509 · Filed Feb 11, 2002 · Closed Jul 10, 2002
Role of Steven E. Hartman: Debtor · Outcome: Case closed 2002-07-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 58 federal dockets); 2 people with this name in Form D filings; court in KS (not a filing state)
Steven Hartman closed
United States Bankruptcy Court, S.D. New York · No. 02-22143 · Filed Jan 31, 2002 · Closed May 28, 2002
Role of Steven Hartman: Debtor · Outcome: Case closed 2002-05-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 58 federal dockets); 2 people with this name in Form D filings; court in NY (not a filing state)
STEVEN HARTMAN closed
United States Bankruptcy Court, D. Nevada · No. 97-30014 · Filed Jan 6, 1997 · Closed Dec 4, 2000
Role of STEVEN HARTMAN: Debtor · Outcome: Case closed 2000-12-04 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 58 federal dockets); 2 people with this name in Form D filings; court in NV (not a filing state)
Steven E. Hartman and Jo Ann M. Hartman closed
United States Bankruptcy Court, E.D. Wisconsin · No. 96-28976 · Filed Oct 31, 1996 · Closed May 21, 1999
Role of Steven E. Hartman and Jo Ann M. Hartman: Debtor · Outcome: Case closed 1999-05-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 58 federal dockets); 2 people with this name in Form D filings; court in WI (not a filing state)
Steven Hartman closed
United States Bankruptcy Court, E.D. Michigan · No. 95-47532 · Filed Jul 19, 1995 · Closed Mar 14, 1996
Role of Steven Hartman: Debtor · Outcome: Case closed 1996-03-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 58 federal dockets); 2 people with this name in Form D filings; court in MI (not a filing state)
Steven Hartman closed
United States Bankruptcy Court, N.D. Illinois · No. 91-02704 · Filed Feb 7, 1991 · Closed Aug 15, 1991
Role of Steven Hartman: Debtor · Outcome: Case closed 1991-08-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 58 federal dockets); 2 people with this name in Form D filings; court in IL (not a filing state)
What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:17 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

13 differences found between the filings for Steven E. Hartman — 3 worth asking about (compared 15 filings on Oct 24, 2026)

Note · Nov 12, 2002 – May 30, 2003

Bankruptcy case: Levine Leichtman Capital Partners, Inc. v. Rabinowitz — filed Nov 12, 2002

United States Bankruptcy Court, C.D. California docket "Levine Leichtman Capital Partners, Inc. v. Rabinowitz" filed Nov 12, 2002, closed May 30, 2003. Levine Leichtman Capital Partners, Inc. (listed on the same filings) is listed as Plaintiff ("Levine Leichtman Capital Partners, Inc."). 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.

Docket · United States Bankruptcy Court, C.D. California ↗Levine Leichtman Capital Partners, Inc. — PartnerFacts page ↗
Sources
Note · Nov 12, 2002 – Feb 13, 2003

Bankruptcy case: F Unsecure v. Levine Leichtman Cap Part Lp — filed Nov 12, 2002

United States Bankruptcy Court, C.D. California docket "F Unsecure v. Levine Leichtman Cap Part Lp" filed Nov 12, 2002, closed Feb 13, 2003. Levine Leichtman Capital Partners, Inc. (listed on the same filings) is listed as Party ("F Unsecure v. Levine Leichtman Cap Part Lp"). Our match estimate: 60%.

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.

Docket · United States Bankruptcy Court, C.D. California ↗Levine Leichtman Capital Partners, Inc. — PartnerFacts page ↗
Sources
Note · Oct 1, 2001 – Mar 6, 2002

Bankruptcy case: Levine Leichtman Capital Partners Lp v. Gmac Commercial Credit Llc — filed Oct 1, 2001

United States Bankruptcy Court, C.D. California docket "Levine Leichtman Capital Partners Lp v. Gmac Commercial Credit Llc" filed Oct 1, 2001, closed Mar 6, 2002. LEVINE LEICHTMAN CAPITAL PARTNERS V, L.P. (related issuer) is listed as Party ("Levine Leichtman Capital Partners Lp v. Gmac Commercial Credit Llc"). Our match estimate: 60%.

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.

Docket · United States Bankruptcy Court, C.D. California ↗LEVINE LEICHTMAN CAPITAL PARTNERS V, L.P. — PartnerFacts page ↗
Sources
Note · Feb 18, 2009

12% of the money raised went to insiders — PWC Holding Corp

The Feb 18, 2009 Form D reports $25,181,458 sold and $3,066,000 of the proceeds used for payments to officers, directors or promoters.

What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.

Form D · Feb 18, 2009 ↗PWC Holding Corp — PartnerFacts page ↗
Sources
Worth asking · Jan 5, 2012 – Nov 26, 2014

Steven E. Hartman appears on 5 deals that stopped filing before reaching their target

LEVINE LEICHTMAN CAPITAL PARTNERS EUROPE, L.P. (last filing Nov 26, 2014; $0 sold of $118,750,000); LLCP CO-INVESTMENT FUND, L.P. (last filing Oct 14, 2014; $0 sold of $250,000,000); LEVINE LEICHTMAN CAPITAL PARTNERS V AMICUS FUND, L.P. (last filing May 21, 2014; $6,455,697 sold of $50,000,000); Levine Leichtman Capital Partners Deep Value II Parallel Fund, L.L.C. (last filing Jan 5, 2012; $2,000,000 sold of $800,000,000); Levine Leichtman Capital Partners Deep Value Fund II, L.P. (last filing Jan 5, 2012; $170,000,000 sold of $800,000,000). Each has no filing in more than two years and reported under half its target sold.

What this means An issuer whose last filing is more than two years old and reported under half its target sold. The raise may have closed early or quietly stopped. Ask what happened to each.

LEVINE LEICHTMAN CAPITAL PARTNERS EUROPE, L.P. — PartnerFacts page ↗LLCP CO-INVESTMENT FUND, L.P. — PartnerFacts page ↗LEVINE LEICHTMAN CAPITAL PARTNERS V AMICUS FUND, L.P. — PartnerFacts page ↗Levine Leichtman Capital Partners Deep Value II Parallel Fund, L.L.C. — PartnerFacts page ↗
Sources
Worth asking · Jul 29, 2013

Paid seller listed without a CRD number: Enpro Partners Inc. — LEVINE LEICHTMAN CAPITAL PARTNERS V, L.P.

Enpro Partners Inc. is listed as receiving sales compensation on 1 filing (Jul 29, 2013) with no FINRA CRD number given.

What this means People paid to sell securities normally hold a FINRA registration with a CRD number. Without one we cannot look them up on BrokerCheck. Ask who they are and whether they are registered.

Form D/A · Jul 29, 2013 ↗BrokerCheck search: Enpro Partners Inc. ↗LEVINE LEICHTMAN CAPITAL PARTNERS V, L.P. — PartnerFacts page ↗
Sources
Worth asking · Jul 29, 2013

Paid seller listed without a CRD number: Saudi Fransi Capital Company — LEVINE LEICHTMAN CAPITAL PARTNERS V, L.P.

Saudi Fransi Capital Company is listed as receiving sales compensation on 1 filing (Jul 29, 2013) with no FINRA CRD number given.

What this means People paid to sell securities normally hold a FINRA registration with a CRD number. Without one we cannot look them up on BrokerCheck. Ask who they are and whether they are registered.

Form D/A · Jul 29, 2013 ↗BrokerCheck search: Saudi Fransi Capital Company ↗LEVINE LEICHTMAN CAPITAL PARTNERS V, L.P. — PartnerFacts page ↗
Sources
Note · Oct 31, 2011 – Dec 2, 2011

Form D filed 32 days after the first sale — PWC Holding Corp

The filing says the first sale was Oct 31, 2011. The Form D was filed Dec 2, 2011 — 32 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 17 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.

Form D · Dec 2, 2011 ↗PWC Holding Corp — PartnerFacts page ↗
Sources
Note · Feb 1, 2011 – Nov 26, 2014

5 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 — LEVINE LEICHTMAN CAPITAL PARTNERS EUROPE, L.P. (latest filing Nov 26, 2014) · No amendment in the last 12 months on an offering that may still be open — MTS HOLDING, LLC (latest filing Apr 11, 2012) · No amendment in the last 12 months on an offering that may still be open — Levine Leichtman Capital Partners Deep Value Fund II, L.P. (latest filing Jan 5, 2012) · No amendment in the last 12 months on an offering that may still be open — Levine Leichtman Capital Partners Deep Value II Parallel Fund, L.L.C. (latest filing Jan 5, 2012) · No amendment in the last 12 months on an offering that may still be open — Levine Leichtman Capital Partners SBIC Fund, L.P. (latest filing Feb 8, 2011)

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 · Nov 26, 2014 ↗LEVINE LEICHTMAN CAPITAL PARTNERS EUROPE, L.P. — PartnerFacts page ↗Form D · Apr 11, 2012 ↗MTS HOLDING, LLC — PartnerFacts page ↗
Sources
Note · May 15, 2013 – May 21, 2014

Offering amount lowered between filings — LEVINE LEICHTMAN CAPITAL PARTNERS V AMICUS FUND, L.P.

The May 15, 2013 filing says $50,000,000 offered; the May 21, 2014 Form D/A says $6,455,697.

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.

Form D (earlier) · May 15, 2013 ↗Form D/A (later) · May 21, 2014 ↗LEVINE LEICHTMAN CAPITAL PARTNERS V AMICUS FUND, L.P. — PartnerFacts page ↗
Sources
Note · Jul 29, 2013 – May 21, 2014

Offering amount lowered between filings — LEVINE LEICHTMAN CAPITAL PARTNERS V, L.P.

The Jul 29, 2013 filing says $1,500,000,000 offered; the May 21, 2014 Form D/A says $1,328,571,429.

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.

Form D/A (earlier) · Jul 29, 2013 ↗Form D/A (later) · May 21, 2014 ↗LEVINE LEICHTMAN CAPITAL PARTNERS V, L.P. — PartnerFacts page ↗
Sources
Note · Feb 18, 2009 – Feb 8, 2011

Steven E. Hartman is written 2 different ways on the filings

listed as "Steven Evan Hartman" on 2 filings (from Feb 18, 2009), and "Steven E. Hartman" on 13 filings (from Feb 8, 2011).

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 · Feb 18, 2009 ↗Form D · Feb 8, 2011 ↗Steven E. Hartman — PartnerFacts page ↗
Sources
Note · Feb 21, 2019 – Jul 5, 2023

Same name, different state: "Steven Hartman" (CA or NC or NJ) is a separate record

This page covers filings where the address state is CA. A separate record, "Steven Hartman" with address state CA or NC or NJ, is listed on 15 filings — most recently by Bryn Pharma, Inc. (Aug 14, 2025). The two records do not overlap in time: this page runs Feb 18, 2009 to Nov 26, 2014; the other runs Feb 21, 2019 to Jul 5, 2023.

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 Hartman (CA,NC,NJ) — PartnerFacts page ↗Form D · Aug 14, 2025 ↗Bryn Pharma, Inc. — PartnerFacts page ↗Steven E. Hartman (CA) — this page ↗
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

1 of 11 offerings reports sales commissions totalling $1,250,000; 0 report finder's fees; 1 reports proceeds to related persons totalling $3,066,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Nov 26, 2014 D
LEVINE LEICHTMAN CAPITAL PARTNERS EUROPE, L.P.
File 021-229177
$0$0$0 (est.)
The general partner is entitled to a performance allocation. The investment manager is entitled to a management fee. The performance allocation and management fee are fully discussed in the Issuer's confidential offering materials.
None listed on this filingEDGAR ↗
Oct 14, 2014 D
LLCP CO-INVESTMENT FUND, L.P.
File 021-226306
$0$0$0 (est.)
THE GENERAL PARTNER IS ENTITLED TO A PERFORMANCE ALLOCATION. THE INVESTMENT MANAGER IS ENTITLED TO A MANAGEMENT FEE. THE PERFORMANCE ALLOCATION AND MANAGEMENT FEE ARE FULLY DISCUSSED IN THE ISSUER'S CONFIDENTIAL OFFERING MATERIALS.
None listed on this filingEDGAR ↗
May 21, 2014 D/A
LEVINE LEICHTMAN CAPITAL PARTNERS V, L.P.
File 021-193827
$0$0$0 (est.)
Certain persons named in Item 3 or affiliate(s) thereof may receive payments deemed to be made from proceeds of the offering, including management fees, the amounts of which cannot be estimated at this time.
None listed on this filingEDGAR ↗
May 21, 2014 D/A
LEVINE LEICHTMAN CAPITAL PARTNERS V AMICUS FUND, L.P.
File 021-196565
$0$0$0 (est.)
Certain persons named in Item 3 or affiliate(s) thereof may receive payments deemed to be made from proceeds of the offering, including management fees, the amounts of which cannot be estimated at this time.
None listed on this filingEDGAR ↗
Apr 11, 2012 D
MTS HOLDING, LLC
File 021-176526
$0$0$0None listed on this filingEDGAR ↗
Jan 5, 2012 D
Levine Leichtman Capital Partners Deep Value II Parallel Fund, L.L.C.
File 021-171275
$0$0$0
Certain persons named in Item 3 or affiliate(s) thereof may receive payments deemed to be made from the proceeds of the offering, including management and support fees, the amounts of which cannot be estimated at this time.
None listed on this filingEDGAR ↗
Jan 5, 2012 D
Levine Leichtman Capital Partners Deep Value Fund II, L.P.
File 021-171276
$0$0$0 (est.)
Certain persons named in Item 3 or affiliate(s) thereof may receive payments deemed to be made from the proceeds of the offering, including management and support fees, the amounts of which cannot be estimated at this time.
None listed on this filingEDGAR ↗
Dec 2, 2011 D
PWC Holding Corp
File 021-169508
$0$0$0None listed on this filingEDGAR ↗
Feb 8, 2011 D
Levine Leichtman Capital Partners SBIC Fund, L.P.
File 021-155057
$0 (est.)$0 (est.)$0 (est.)
Certain persons named in Item 3 or affiliate(s) thereof may receive payments deemed to be made from the proceeds of the offering. Such fees cannot be estimated at this time.
None listed on this filingEDGAR ↗
Feb 8, 2011 D
LMN-1, LLC
File 021-155007
$0$0$0None listed on this filingEDGAR ↗
Feb 18, 2009 D
PWC Holding Corp
File 021-127010
$1,250,000$0$3,066,000Houlihan Lokey Howard & Zukin Capital Inc. BrokerCheck CRD 17708 ↗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 E. Hartman on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

LL
Investing · group: Levine Leichtman

LEVINE LEICHTMAN CAPITAL PARTNERS EUROPE, L.P.

Beverly Hills, CA · Nov 26, 2014
  • Nov 26, 2014 · D · $0 sold of $118,750,000 · 1 investors · min. No minimum reported · role: Executive Officer, Promoter EDGAR ↗

1 investors reported; no amount sold yet as of the latest filing. Steven is listed as executive officer, promoter.

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: Investing / 506(b) (2,521 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.

LC
Pooled Investment Fund · group: Levine Leichtman

LLCP CO-INVESTMENT FUND, L.P.

Beverly Hills, CA · Oct 14, 2014
  • Oct 14, 2014 · D · $0 sold of $250,000,000 · 0 investors · min. No minimum reported · role: Executive Officer, Promoter EDGAR ↗

No sales reported yet as of the latest filing. Steven is listed as executive officer, promoter.

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.

LL
Pooled Investment Fund · group: Levine Leichtman

LEVINE LEICHTMAN CAPITAL PARTNERS V AMICUS FUND, L.P.

Beverly Hills, CA · May 15, 2013 → May 21, 2014 · 2 filings
  • May 21, 2014 · D/A · $6,455,697 sold of $6,455,697 · 16 investors · min. $1,000,000 · role: Executive Officer (Vice President and Secretary of Levine Leichtman Capital Partners, Inc., the Managing Member of the General Partner of the Issuer) EDGAR ↗
  • May 15, 2013 · D · $2,250,000 sold of $50,000,000 · 6 investors · min. $1,000,000 · role: Executive Officer (Vice President and Secretary of Levine Leichtman Capital Partners, Inc., the Managing Member of the General Partner of the Issuer) EDGAR ↗

Raised $6.46M from 16 investors (100% of the $6.46M target) 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.

LL
Pooled Investment Fund · group: Levine Leichtman

LEVINE LEICHTMAN CAPITAL PARTNERS V, L.P.

Beverly Hills, CA · Mar 22, 2013 → May 21, 2014 · 4 filings
  • May 21, 2014 · D/A · $1,328,571,429 sold of $1,328,571,429 · 55 investors · min. $10,000,000 · role: Executive Officer (Vice President and Secretary of Levine Leichtman Capital Partners, Inc., the Managing Member of the General Partner of the Issuer) EDGAR ↗
  • Jul 29, 2013 · D/A · $1,274,615,732 sold of $1,500,000,000 · 51 investors · min. $10,000,000 · role: Executive Officer (Vice President and Secretary of Levine Leichtman Capital Partners, Inc., the Managing Member of the General Partner of the Issuer) EDGAR ↗
  • Jun 3, 2013 · D/A · $1,003,571,429 sold of $1,500,000,000 · 42 investors · min. $10,000,000 · role: Executive Officer (Vice President and Secretary of Levine Leichtman Capital Partners, Inc., the Managing Member of the General Partner of the Issuer) EDGAR ↗
  • Mar 22, 2013 · D · $361,800,000 sold of $1,500,000,000 · 22 investors · min. $10,000,000 · role: Executive Officer (Vice President and Secretary of Levine Leichtman Capital Partners, Inc., the Managing Member of the General Partner of the Issuer) EDGAR ↗

Raised $1.33B from 55 investors (100% of the $1.33B target) 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.

MH
Manufacturing · group: Levine Leichtman

MTS HOLDING, LLC

Beverly Hills, CA · Apr 11, 2012
  • Apr 11, 2012 · D · $3,280,000 sold of $3,450,000 · 11 investors · min. No minimum reported · role: Executive Officer (Member of Board of Managers of the Issuer) EDGAR ↗

Raised $3.28M from 11 investors (95% of the $3.45M target) 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.

LL
Pooled Investment Fund · group: Levine Leichtman

Levine Leichtman Capital Partners Deep Value Fund II, L.P.

Beverly Hills, CA · Jan 5, 2012
  • Jan 5, 2012 · D · $170,000,000 sold of $800,000,000 · 6 investors · min. $1,000,000 · role: Executive Officer (Vice President and Secretary of Levine Leichtman Capital Partners, Inc., the Managing Member of the General Partner of the Issuer) EDGAR ↗

Raised $170M from 6 investors (21% of the $800M target) 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.

LL
Pooled Investment Fund · group: Levine Leichtman

Levine Leichtman Capital Partners Deep Value II Parallel Fund, L.L.C.

Beverly Hills, CA · Jan 5, 2012
  • Jan 5, 2012 · D · $2,000,000 sold of $800,000,000 · 2 investors · min. $1,000,000 · role: Executive Officer (Vice President and Secretary of Levine Leichtman Capital Partners, Inc., the Managing Member of the Managing Member of the Issuer) EDGAR ↗

Raised $2M from 2 investors (0% of the $800M target) 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.

PH
Other

PWC Holding Corp

Lake Forest, CA · Feb 18, 2009 → Dec 2, 2011 · 2 filings
  • Dec 2, 2011 · D · $67,500,000 sold of $67,500,000 · 3 investors · min. $20,000,000 · role: Director EDGAR ↗
  • Feb 18, 2009 · D · $25,181,458 sold of $25,181,458 · 5 investors · min. $20,000,000 · role: Director EDGAR ↗

Raised $67.5M from 5 investors (100% of the $67.5M 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.

LL
Pooled Investment Fund · group: Levine Leichtman

Levine Leichtman Capital Partners SBIC Fund, L.P.

Beverly Hills, CA · Feb 8, 2011
  • Feb 8, 2011 · D · $69,450,000 sold of $75,000,000 · 9 investors · min. $100,000 · role: Executive Officer, Director, Promoter (Mr. Hartman is a partner and a drector of Levine Leichtman Capital Partners, Inc. and a member of LLCP SBIC GP, LLC.) EDGAR ↗

Raised $69.5M from 9 investors (93% of the $75M target) as of the latest filing. Steven is listed as executive officer, director, promoter.

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.

L1
Other Health Care · group: Levine Leichtman

LMN-1, LLC

Beverly Hills, CA · Feb 8, 2011
  • Feb 8, 2011 · D · $5,000,000 sold of $5,000,000 · 8 investors · min. $100,000 · role: Executive Officer (Vice President of the Issuer) EDGAR ↗

Raised $5M from 8 investors (100% of the $5M target) 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.

Other pages with the same name (1)

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

  • Steven Hartman — CA, NC, NJ, 2 issuers, Feb 21, 2019 → Jul 5, 2023 · no shared issuer

People around Steven 19

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

LL
Management entity

Levine Leichtman Capital Partners, Inc.

Executive Officer, Promoter · 10 shared filings (6 issuers)

Levine Leichtman Capital Partners, Inc. is on 6 issuers in total — a repeat sponsor. Their page lists every one.

LP
Management entity

LLCP Partners V GP, LLC

Executive Officer · 6 shared filings (2 issuers)

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

LD
Management entity

LLCP Deep Value GP II, LLC

Executive Officer · 2 shared filings (2 issuers)

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

LS
Management entity

LLCP SBIC Manager, LLC

Executive Officer, Promoter · 1 shared filing (1 issuer)

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

LS
Management entity

LLCP SBIC GP, LLC

Executive Officer, Promoter · 1 shared filing (1 issuer)

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

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

LAUREN B. LEICHTMAN

Director, Executive Officer, Promoter · 14 shared filings (9 issuers) · also on 18 other issuers

LAUREN B. LEICHTMAN is on 27 issuers in total — a repeat sponsor. Their page lists every one.

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

STEPHEN J. HOGAN

Executive Officer, Director, Promoter · 12 shared filings (8 issuers) · also on 12 other issuers

STEPHEN J. HOGAN is on 20 issuers in total — a repeat sponsor. Their page lists every one.

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

ARTHUR E. LEVINE

Executive Officer, Director, Promoter · 12 shared filings (8 issuers) · also on 18 other issuers

ARTHUR E. LEVINE is on 26 issuers in total — a repeat sponsor. Their page lists every one.

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

Kimberly Pollack

Director, Promoter · 3 shared filings (2 issuers) · also on 8 other issuers

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

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

Aaron Perlmutter

Promoter, Executive Officer · 2 shared filings (2 issuers) · also on 11 other issuers

Aaron Perlmutter is on 13 issuers in total — a repeat sponsor. Their page lists every one.

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

Joseph Michael Fracassi

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

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

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

Ralph Jack Krimmel

Director · 2 shared filings (1 issuer)

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

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

Jay Burton Livingston

Executive Officer · 2 shared filings (1 issuer)

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

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

Robert A. Poletti

Executive Officer, Promoter · 1 shared filing (1 issuer)

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

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

Joseph J Jaeger

Executive Officer · 1 shared filing (1 issuer)

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

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

Thomas Powell

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

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

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

LAUREN B. LIECHTMAN

Executive Officer, Promoter · 1 shared filing (1 issuer)

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

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

Kevin McKenzie

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

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

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

David Sachs

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

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

The team behind the deals

LL
Sponsor group

Levine Leichtman

26 issuers · 44 filings · $18.4B reported sold · 2011–2026

One team, 26 deal companies. Steven E. Hartman is listed on 9 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 E. Hartman.

Registrations and other filings

Business registration (state registry / Secretary of State)

Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file).

Adviser registration (Form ADV)

A person is never an adviser firm. 6 of the 10 issuers this person is listed on match a Form ADV adviser (searched 24,962 advisers as of Oct 2, 2026): LEVINE LEICHTMAN CAPITAL PARTNERS V, L.P., LEVINE LEICHTMAN CAPITAL PARTNERS V AMICUS FUND, L.P., Levine Leichtman Capital Partners Deep Value Fund II, L.P., Levine Leichtman Capital Partners Deep Value II Parallel Fund, L.L.C., Levine Leichtman Capital Partners SBIC Fund, L.P., LMN-1, 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 E. Hartman 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 E. Hartman is listed on: none on file. No website or social profile named in LEVINE LEICHTMAN CAPITAL PARTNERS V, L.P.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #316,937 of 374,652 in line (1,386 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 (Beverly Hills, CA). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

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Courts

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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 ↗OpenCorporates ↗

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