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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 5:00 AM ET

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Steven Lockshin

Named as an officer, director or promoter on SEC Form D filings · MD · Jul 16, 2010 → Sep 23, 2015

6deals (issuers)
$5.64Breported sold
2,042investors
27Form D filings
2010–2015years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:22 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Steven Lockshin is listed as an executive officer and director on 27 SEC Form D filings by 6 issuers between Jul 2010 and Sep 2015. Largest by amount reported sold: Windermere Equity Fund Series (Potomac, MD — pooled investment fund — 2010–2015; $1.91B reported sold to 377 investors), Windermere Equity Fund Series (Potomac, MD — pooled investment fund — 2010–2014; $1.91B reported sold to 334 investors), CMS IRONWOOD MULTI STRATEGY FUND LLC (Potomac, MD — pooled investment fund — 2010–2014; $1.17B reported sold to 685 investors), CMS/BARLOW LONG SHORT EQUITY FUND LLC (Potomac, MD — pooled investment fund — 2010–2014; $385.7M reported sold to 492 investors), WINDERMERE OPPORTUNISTIC FUND SERIES OF WINDERMERE JUPITER FUND LLC (Potomac, MD — pooled investment fund — 2010–2014; $222M reported sold to 126 investors) and 1 more (all listed below).

What this means A repeat sponsor — 6 separate companies raised money with this person listed as executive officer and director, over about 5 years. Across those companies the filings report $5.64B sold in total.

Listed alongside Convergent Wealth Advisors, LLC (27 shared filings, management entity), David Elliott (27 shared filings), David Zier (27 shared filings), Vernon Kozlen (27 shared filings), Chris Gibbons (25 shared filings) and 4 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.

All 6 issuers belong to the sponsor group Ironwood (14 issuers, $13.36B reported sold, 2009–2026).

What this means A sponsor group is one team that sets up a new company for each deal. Ironwood has 14 companies on file and $13.36B 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 (AZ, CA, DE, TX, WA) — none found.

What this means Nothing turned up where we looked (3 sources). That does not prove there is nothing — it means none was found in those sources on that date.

We compared 27 public filings for Steven Lockshin and found 14 differences, 10 worth asking the sponsor about: Amount sold went down between filings; Investor count went down between filings; and more below.

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

What the community is saying

Community search for Steven Lockshin has not run yet — it is joining a line of 4,085 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, 2:22 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: AZ, CA, DE, TX, WA (crawled Oct 23, 2026)

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 Lockshin..

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

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

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, 2:22 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.

4. Differences between public sources

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

14 differences found between the filings for Steven Lockshin — 10 worth asking about (compared 27 filings on Oct 24, 2026)

Worth asking · Jul 18, 2013 – Jul 18, 2014

Amount sold went down between filings — CMS IRONWOOD MULTI STRATEGY FUND LLC

The Jul 18, 2013 filing says $1,174,953,753 sold; the Jul 18, 2014 Form D/A says $613,747,878 sold — $561,205,875 less.

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

Form D/A (earlier) · Jul 18, 2013 ↗Form D/A (later) · Jul 18, 2014 ↗CMS IRONWOOD MULTI STRATEGY FUND LLC — PartnerFacts page ↗
Sources
Worth asking · Jul 16, 2010 – Jul 20, 2011

Amount sold went down between filings — CMS IRONWOOD MULTI STRATEGY FUND LLC

The Jul 16, 2010 filing says $741,406,116 sold; the Jul 20, 2011 Form D/A says $608,194,878 sold — $133,211,238 less.

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

Form D/A (earlier) · Jul 16, 2010 ↗Form D/A (later) · Jul 20, 2011 ↗CMS IRONWOOD MULTI STRATEGY FUND LLC — PartnerFacts page ↗
Sources
Worth asking · Jul 16, 2010 – Jul 15, 2011

Amount sold went down between filings — Jupiter Fund Plus Series of Windermere Jupiter Fund LLC

The Jul 16, 2010 filing says $40,950,024 sold; the Jul 15, 2011 Form D/A says $37,220,148 sold — $3,729,876 less.

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

Form D (earlier) · Jul 16, 2010 ↗Form D/A (later) · Jul 15, 2011 ↗Jupiter Fund Plus Series of Windermere Jupiter Fund LLC — PartnerFacts page ↗
Sources
Worth asking · Jul 18, 2013 – Sep 23, 2015

Investor count went down between filings — Windermere Equity Fund Series

The Jul 18, 2013 filing reports 208 investors; the Sep 23, 2015 Form D/A reports 136 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) · Jul 18, 2013 ↗Form D/A (later) · Sep 23, 2015 ↗Windermere Equity Fund Series — PartnerFacts page ↗
Sources
Worth asking · Jul 18, 2013 – May 20, 2014

Investor count went down between filings — Windermere Equity Fund Series

The Jul 18, 2013 filing reports 207 investors; the May 20, 2014 Form D/A reports 124 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) · Jul 18, 2013 ↗Form D/A (later) · May 20, 2014 ↗Windermere Equity Fund Series — PartnerFacts page ↗
Sources
Worth asking · Jul 16, 2010 – Jul 15, 2011

Investor count went down between filings — Jupiter Fund Plus Series of Windermere Jupiter Fund LLC

The Jul 16, 2010 filing reports 28 investors; the Jul 15, 2011 Form D/A reports 26 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 (earlier) · Jul 16, 2010 ↗Form D/A (later) · Jul 15, 2011 ↗Jupiter Fund Plus Series of Windermere Jupiter Fund LLC — PartnerFacts page ↗
Sources
Worth asking · Feb 1, 2010 – Jul 16, 2010

Form D filed 165 days after the first sale — Windermere Equity Fund Series

The filing says the first sale was Feb 1, 2010. The Form D was filed Jul 16, 2010 — 165 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 150 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 · Jul 16, 2010 ↗Windermere Equity Fund Series — PartnerFacts page ↗
Sources
Worth asking · Dec 1, 2009 – Jul 16, 2010

Form D filed 227 days after the first sale — Windermere Equity Fund Series

The filing says the first sale was Dec 1, 2009. The Form D was filed Jul 16, 2010 — 227 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 212 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 16, 2010 ↗Windermere Equity Fund Series — PartnerFacts page ↗
Sources
Worth asking · Sep 1, 2007 – Jul 16, 2010

Form D filed 1,049 days after the first sale — Jupiter Fund Plus Series of Windermere Jupiter Fund LLC

The filing says the first sale was Sep 1, 2007. The Form D was filed Jul 16, 2010 — 1,049 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 1,034 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 16, 2010 ↗Jupiter Fund Plus Series of Windermere Jupiter Fund LLC — PartnerFacts page ↗
Sources
Worth asking · May 20, 2014 – Jul 18, 2016

5 people are no longer listed on a later amendment

Steven Lockshin is no longer listed on the Jul 18, 2016 amendment — Windermere Equity Fund Series · Steven Lockshin is no longer listed on the Jul 20, 2015 amendment — CMS IRONWOOD MULTI STRATEGY FUND LLC · Steven Lockshin is no longer listed on the Jul 17, 2015 amendment — WINDERMERE OPPORTUNISTIC FUND SERIES OF WINDERMERE JUPITER FUND LLC · Steven Lockshin is no longer listed on the Jul 17, 2015 amendment — CMS/BARLOW LONG SHORT EQUITY FUND LLC · Steven Lockshin is no longer listed on the Jun 8, 2015 amendment — Windermere Equity Fund Series

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

Form D/A · Sep 23, 2015 ↗Form D/A · Jul 18, 2016 ↗Steven Lockshin — PartnerFacts page ↗Windermere Equity Fund Series — PartnerFacts page ↗
Sources
Note · Sep 1, 2007 – Jul 15, 2011

No amendment in the last 12 months on an offering that may still be open — Jupiter Fund Plus Series of Windermere Jupiter Fund LLC (latest filing Jul 15, 2011)

The latest filing for this offering is dated Jul 15, 2011 (first sale Sep 1, 2007). It reports $37,220,148 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D/A · Jul 15, 2011 ↗Jupiter Fund Plus Series of Windermere Jupiter Fund LLC — PartnerFacts page ↗
Sources
Note · Feb 10, 2023

Same name, different state: "Steven Lockshin" (UT) is a separate record

This page covers filings where the address state is MD. A separate record, "Steven Lockshin" with address state UT, is listed on 3 filings — most recently by Vanilla Technologies Inc. (Feb 10, 2023). The two records do not overlap in time: this page runs Jul 16, 2010 to Sep 23, 2015; the other has one filing dated Feb 10, 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 Lockshin (UT) — PartnerFacts page ↗Form D · Feb 10, 2023 ↗Vanilla Technologies Inc. — PartnerFacts page ↗Steven Lockshin (MD) — this page ↗
Sources
Note · Aug 30, 2019 – Jul 15, 2020

Same name, different state: "Steven Lockshin" (CA) is a separate record

This page covers filings where the address state is MD. A separate record, "Steven Lockshin" with address state CA, is listed on 6 filings — most recently by JustInvest LLC (Jul 15, 2020). The two records do not overlap in time: this page runs Jul 16, 2010 to Sep 23, 2015; the other runs Aug 30, 2019 to Jul 15, 2020.

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 Lockshin (CA) — PartnerFacts page ↗Form D/A · Jul 15, 2020 ↗JustInvest LLC — PartnerFacts page ↗Steven Lockshin (MD) — this page ↗
Sources
Note · Jul 16, 2010 – Jul 20, 2011

6 address changes between filings

Address moved from Rockville, MD to Potomac, MD — CMS IRONWOOD MULTI STRATEGY FUND LLC · Address moved from Rockville, MD to Potomac, MD — Windermere Equity Fund Series · Address moved from Rockville, MD to Potomac, MD — WINDERMERE OPPORTUNISTIC FUND SERIES OF WINDERMERE JUPITER FUND LLC · Address moved from Rockville, MD to Potomac, MD — CMS/BARLOW LONG SHORT EQUITY FUND LLC · Address moved from Rockville, MD to Potomac, MD — Windermere Equity Fund Series · and 1 more

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

Form D/A · Jul 16, 2010 ↗Form D/A · Jul 20, 2011 ↗CMS IRONWOOD MULTI STRATEGY FUND LLC — PartnerFacts page ↗Form D · Jul 16, 2010 ↗
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

None reported on 6 offerings — no sales commissions, finder's fees or proceeds to insiders

Per-offering detail
Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Sep 23, 2015 D/A
Windermere Equity Fund Series
File 021-145100
$0$0$0None listed on this filingEDGAR ↗
Jul 18, 2014 D/A
CMS IRONWOOD MULTI STRATEGY FUND LLC
File 021-39031
$0$0$0None listed on this filingEDGAR ↗
Jul 17, 2014 D/A
CMS/BARLOW LONG SHORT EQUITY FUND LLC
File 021-52456
$0$0$0None listed on this filingEDGAR ↗
Jul 17, 2014 D/A
WINDERMERE OPPORTUNISTIC FUND SERIES OF WINDERMERE JUPITER FUND LLC
File 021-53057
$0$0$0None listed on this filingEDGAR ↗
May 20, 2014 D/A
Windermere Equity Fund Series
File 021-145099
$0$0$0None listed on this filingEDGAR ↗
Jul 15, 2011 D/A
Jupiter Fund Plus Series of Windermere Jupiter Fund LLC
File 021-145098
$0$0$0None listed on this filingEDGAR ↗

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 6

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

WE
Pooled Investment Fund · group: Ironwood

Windermere Equity Fund Series

Potomac, MD · Jul 16, 2010 → Sep 23, 2015 · 5 filings
  • Sep 23, 2015 · D/A · $1,395,958,434 sold of Indefinite · 136 investors · min. $500,000 · role: Executive Officer, Director (Director of Issuer and Chairman of Convergent Wealth Advisors, LLC, Manager) EDGAR ↗
  • Jul 18, 2013 · D/A · $611,072,935 sold of Indefinite · 208 investors · min. $500,000 · role: Executive Officer, Director (Director of Issuer and Chairman of Convergent Wealth Advisors, LLC, Manager) EDGAR ↗
  • Jul 13, 2012 · D/A · $518,917,155 sold of Indefinite · 196 investors · min. $500,000 · role: Executive Officer, Director (Director of Issuer and CEO of Convergent Wealth Advisors, LLC, Manager) EDGAR ↗
  • Jul 15, 2011 · D/A · $354,903,597 sold of Indefinite · 159 investors · min. $500,000 · role: Executive Officer, Director (Director of Issuer and CEO of Convergent Wealth Advisors, LLC, Manager) EDGAR ↗
  • Jul 16, 2010 · D · $116,525,500 sold of Indefinite · 69 investors · min. $500,000 · role: Executive Officer, Director (Director of Issuer and CEO of Convergent Wealth Advisors, LLC, Manager) EDGAR ↗

Raised $1.91B from 377 investors as of the latest filing. Steven is listed as executive officer, director on 5 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.

CI
Pooled Investment Fund · group: Ironwood

CMS IRONWOOD MULTI STRATEGY FUND LLC

Potomac, MD · Jul 16, 2010 → Jul 18, 2014 · 5 filings
  • Jul 18, 2014 · D/A · $613,747,878 sold of Indefinite · 685 investors · min. $500,000 · role: Executive Officer, Director (Director of Issuer and Chairman of Convergent Wealth Advisors, LLC, Co-Manager) EDGAR ↗
  • Jul 18, 2013 · D/A · $1,174,953,753 sold of Indefinite · 680 investors · min. $500,000 · role: Executive Officer, Director (Director of Issuer and Chairman of Convergent Wealth Advisors, LLC, Co-Manager) EDGAR ↗
  • Jul 13, 2012 · D/A · $610,588,878 sold of Indefinite · 674 investors · min. $500,000 · role: Executive Officer, Director (Director of Issuer and CEO of Convergent Wealth Advisors, LLC, Co-Manager) EDGAR ↗
  • Jul 20, 2011 · D/A · $608,194,878 sold of Indefinite · 669 investors · min. $500,000 · role: Executive Officer, Director (Director of Issuer and CEO of Convergent Wealth Advisors, LLC, Co-Manager) EDGAR ↗
  • Jul 16, 2010 · D/A · $741,406,116 sold of Indefinite · 437 investors · min. $500,000 · role: Executive Officer, Director (Director of Issuer and CEO of Convergent Wealth Advisors, LLC, Co-Manager) EDGAR ↗

Raised $1.17B from 685 investors as of the latest filing. Steven is listed as executive officer, director on 5 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.

CB
Pooled Investment Fund · group: Ironwood

CMS/BARLOW LONG SHORT EQUITY FUND LLC

Potomac, MD · Jul 16, 2010 → Jul 17, 2014 · 5 filings
  • Jul 17, 2014 · D/A · $385,684,841 sold of Indefinite · 492 investors · min. $500,000 · role: Executive Officer, Director (Director of Issuer and Chairman of Convergent Wealth Advisors, LLC, Manager) EDGAR ↗
  • Aug 2, 2013 · D/A · $385,684,841 sold of Indefinite · 487 investors · min. $500,000 · role: Executive Officer, Director (Director of Issuer and Chairman of Convergent Wealth Advisors, LLC, Manager) EDGAR ↗
  • Jul 13, 2012 · D/A · $385,434,841 sold of Indefinite · 487 investors · min. $500,000 · role: Executive Officer, Director (Director of Issuer and CEO of Convergent Wealth Advisors, LLC, Manager) EDGAR ↗
  • Jul 15, 2011 · D/A · $382,284,841 sold of Indefinite · 480 investors · min. $500,000 · role: Executive Officer, Director (Director of Issuer and CEO of Convergent Wealth Advisors, LLC, Manager) EDGAR ↗
  • Jul 16, 2010 · D/A · $367,983,841 sold of Indefinite · 469 investors · min. $500,000 · role: Executive Officer, Director (Director of Issuer and CEO of Convergent Wealth Advisors, LLC, Manager) EDGAR ↗

Raised $385.7M from 492 investors as of the latest filing. Steven is listed as executive officer, director on 5 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.

WO
Pooled Investment Fund · group: Ironwood

WINDERMERE OPPORTUNISTIC FUND SERIES OF WINDERMERE JUPITER FUND LLC

Potomac, MD · Jul 16, 2010 → Jul 17, 2014 · 5 filings
  • Jul 17, 2014 · D/A · $220,838,782 sold of Indefinite · 126 investors · min. $500,000 · role: Executive Officer, Director (Director of Issuer and Chairman of Convergent Wealth Advisors, LLC, Manager) EDGAR ↗
  • Jul 18, 2013 · D/A · $197,791,514 sold of Indefinite · 120 investors · min. $500,000 · role: Executive Officer, Director (Director of Issuer and Chairman of Convergent Wealth Advisors, LLC, Manager) EDGAR ↗
  • Jul 13, 2012 · D/A · $174,081,165 sold of Indefinite · 108 investors · min. $500,000 · role: Executive Officer, Director (Director of Issuer and CEO of Convergent Wealth Advisors, LLC, Manager) EDGAR ↗
  • Jul 15, 2011 · D/A · $143,797,386 sold of Indefinite · 93 investors · min. $500,000 · role: Executive Officer, Director (Director of Issuer and CEO of Convergent Wealth Advisors, LLC, Manager) EDGAR ↗
  • Jul 16, 2010 · D/A · $89,934,780 sold of Indefinite · 61 investors · min. $500,000 · role: Executive Officer, Director (Director of Issuer and CEO of Convergent Wealth Advisors, LLC, Manager) EDGAR ↗

Raised $222M from 126 investors as of the latest filing. Steven is listed as executive officer, director on 5 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.

WE
Pooled Investment Fund · group: Ironwood

Windermere Equity Fund Series

Potomac, MD · Jul 16, 2010 → May 20, 2014 · 5 filings
  • May 20, 2014 · D/A · $754,999,446 sold of Indefinite · 124 investors · min. $500,000 · role: Executive Officer, Director (Director of Issuer and Chairman of Convergent Wealth Advisors, LLC, Manager) EDGAR ↗
  • Jul 18, 2013 · D/A · $593,939,759 sold of Indefinite · 207 investors · min. $500,000 · role: Executive Officer, Director (Director of Issuer and Chairman of Convergent Wealth Advisors, LLC, Manager) EDGAR ↗
  • Jul 13, 2012 · D/A · $496,887,941 sold of Indefinite · 196 investors · min. $500,000 · role: Executive Officer, Director (Director of Issuer and CEO of Convergent Wealth Advisors, LLC, Manager) EDGAR ↗
  • Jul 15, 2011 · D/A · $358,915,790 sold of Indefinite · 159 investors · min. $500,000 · role: Executive Officer, Director (Director of Issuer and CEO of Convergent Wealth Advisors, LLC, Manager) EDGAR ↗
  • Jul 16, 2010 · D · $157,352,500 sold of Indefinite · 79 investors · min. $500,000 · role: Executive Officer, Director (Director of Issuer and CEO of Convergent Wealth Advisors, LLC, Manager) EDGAR ↗

Raised $1.91B from 334 investors as of the latest filing. Steven is listed as executive officer, director on 5 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.

JF
Pooled Investment Fund · group: Ironwood

Jupiter Fund Plus Series of Windermere Jupiter Fund LLC

Potomac, MD · Jul 16, 2010 → Jul 15, 2011 · 2 filings
  • Jul 15, 2011 · D/A · $37,220,148 sold of Indefinite · 26 investors · min. $500,000 · role: Executive Officer, Director (Director of Issuer and CEO of Convergent Wealth Advisors, LLC, Manager) EDGAR ↗
  • Jul 16, 2010 · D · $40,950,024 sold of Indefinite · 28 investors · min. $500,000 · role: Executive Officer, Director (Director of Issuer and CEO of Convergent Wealth Advisors, LLC, Manager) EDGAR ↗

Raised $41M from 28 investors as of the latest filing. Steven is listed as executive officer, 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.

Other pages with the same name (2)

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

  • Steven Lockshin — CA, 3 issuers, Aug 30, 2019 → Jul 15, 2020 · no shared issuer
  • Steven Lockshin — UT, 1 issuer, Feb 10, 2023 → Feb 10, 2023 · no shared issuer

People around Steven 9

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

CW
Management entity

Convergent Wealth Advisors, LLC

Promoter · 27 shared filings (6 issuers) · also on 1 other issuer

Convergent Wealth Advisors, LLC is on 7 issuers in total — a repeat sponsor. Their page lists every one.

IC
Management entity

Ironwood Capital Management Corporation

Promoter · 5 shared filings (1 issuer) · also on 8 other issuers

Ironwood Capital Management Corporation is on 9 issuers in total — a repeat sponsor. Their page lists every one.

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

David Zier

Executive Officer · 27 shared filings (6 issuers) · also on 1 other issuer

David Zier is on 7 issuers in total — a repeat sponsor. Their page lists every one.

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

David Elliott

Executive Officer · 27 shared filings (6 issuers)

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

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

Vernon Kozlen

Director · 27 shared filings (6 issuers)

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

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

Chris Gibbons

Director · 25 shared filings (6 issuers)

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

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

Jonathan Gans

Executive Officer · 5 shared filings (1 issuer) · also on 8 other issuers

Jonathan Gans is on 9 issuers in total — a repeat sponsor. Their page lists every one.

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

Frederick Gans

Executive Officer · 5 shared filings (1 issuer) · also on 6 other issuers

Frederick Gans is on 7 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

Andrew Putterman

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

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

The team behind the deals

I
Sponsor group

Ironwood

14 issuers · 118 filings · $13.36B reported sold · 2009–2026

One team, 14 deal companies. Steven Lockshin is listed on 6 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 Lockshin.

Same business address

1 other issuer file from the same address

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. 6 of the 6 issuers this person is listed on match a Form ADV adviser (searched 24,962 advisers as of Oct 2, 2026): WINDERMERE OPPORTUNISTIC FUND SERIES OF WINDERMERE JUPITER FUND LLC, Windermere Equity Fund Series, CMS IRONWOOD MULTI STRATEGY FUND LLC, CMS/BARLOW LONG SHORT EQUITY FUND LLC, Windermere Equity Fund Series, Jupiter Fund Plus Series of Windermere Jupiter 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 Lockshin 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 6 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Steven Lockshin is listed on: none on file. No website or social profile named in CMS IRONWOOD MULTI STRATEGY FUND LLC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #301,074 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 (Potomac, MD). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

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Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗Maryland Judiciary case search ↗

Securities regulators

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

Business registries

Maryland Secretary of State business search ↗OpenCorporates ↗

Change history

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