PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:21 AM ET

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Thomas B. Mock

Named as an officer, director or promoter on SEC Form D filings · TX · Mar 3, 2009 → Jul 12, 2018

10deals (issuers)
$108.8Mreported sold
1,650investors
13Form D filings
2009–2018years 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

Thomas B. Mock is listed as an executive officer on 13 SEC Form D filings by 10 issuers between Mar 2009 and Jul 2018. Largest by amount reported sold: Preferred Income Partners IV, LLC (Dallas, TX — other real estate — 2009–2010; $40.7M reported sold to 663 investors), Rainier Income & Growth Fund III LLC (Dallas, TX — pooled investment fund — 2009; $29.3M reported sold to 453 investors), Preferred Income Fund V, L.P. (Dallas, TX — other real estate — 2010–2011; $24.8M reported sold to 383 investors), Rainier Belden Park Investors, LP (Dallas, TX — other real estate — 2018; $3.75M reported sold to 45 investors), Rainier Capital Complex Investors, LP (Dallas, TX — other real estate — 2018; $2.55M reported sold to 18 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, over about 9 years. Across those companies the filings report $108.8M sold in total.

Listed alongside Timothy C Nichols (13 shared filings), J Kenneth Dunn (10 shared filings), Daniel S Lovell (6 shared filings), Rainier Realty Investments, L.P. (5 shared filings, management entity), RRI GP, LLC (4 shared filings, management entity) and 11 others.

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

All 10 issuers belong to the sponsor group Rainier (35 issuers, $217.7M reported sold, 2009–2025).

What this means A sponsor group is one team that sets up a new company for each deal. Rainier has 35 companies on file and $217.7M 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) — 9 bankruptcy cases matching the name listed in Key records below.

What this means 9 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 13 public filings for Thomas B. Mock and found 9 differences, 3 worth asking the sponsor about: 4 filings report more than 10% of the money raised going to insiders; Thomas B. Mock appears on 3 deals that stopped filing before reaching their target; 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 Thomas B. Mock has not run yet — it is joining a line of 52,427 names; searches run around the clock at the hosts' allowed rate. Searched so far: 641 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 Thomas B. Mock..

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

9 cases: 9 closed (disposition not in docket feed)

Thomas A Mock and Dawn M Mock closed
United States Bankruptcy Court, W.D. Wisconsin · No. 1-20-11899 · Filed Jul 24, 2020 · Closed Nov 6, 2020
Role of Thomas A Mock and Dawn M Mock: Debtor · Outcome: Case closed 2020-11-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 22 federal dockets); court in WI (not a filing state); middle initial differs
Thomas B Mock and Rosemarie H Newark Mock closed
United States Bankruptcy Court, E.D. Washington · No. 18-02998 · Filed Oct 31, 2018 · Closed Feb 15, 2019
Role of Thomas B Mock and Rosemarie H Newark Mock: Debtor · Outcome: Case closed 2019-02-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 22 federal dockets); court in WA (not a filing state)
Thomas G. Mock and Thomas G. Mock closed
United States Bankruptcy Court, E.D. Pennsylvania · No. 16-15386 · Filed Jul 29, 2016 · Closed Nov 22, 2016
Role of Thomas G. Mock and Thomas G. Mock: Debtor · Outcome: Case closed 2016-11-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 22 federal dockets); court in PA (not a filing state); middle initial differs
Thomas J. Mock and Melissa K. Mock closed
United States Bankruptcy Court, S.D. Iowa · No. 07-02802 · Filed Aug 23, 2007 · Closed Nov 28, 2007
Role of Thomas J. Mock and Melissa K. Mock: Debtor · Outcome: Case closed 2007-11-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 22 federal dockets); court in IA (not a filing state); middle initial differs
Thomas M. Mock and Tracy B. Mock closed
United States Bankruptcy Court, D. South Carolina · No. 07-01317 · Filed Mar 13, 2007 · Closed Jan 29, 2009
Role of Thomas M. Mock and Tracy B. Mock: Debtor · Outcome: Case closed 2009-01-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 22 federal dockets); court in SC (not a filing state); middle initial differs
Thomas G. Mock closed
United States Bankruptcy Court, E.D. Pennsylvania · No. 98-25219 · Filed Oct 21, 1998 · Closed Feb 23, 1999
Role of Thomas G. Mock: Debtor · Outcome: Case closed 1999-02-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 22 federal dockets); court in PA (not a filing state); middle initial differs
THOMAS MOCK closed
United States Bankruptcy Court, M.D. Tennessee · No. 3:94-bk-03762 · Filed Jun 6, 1994 · Closed Oct 20, 1994
Role of THOMAS MOCK: Debtor · Outcome: Case closed 1994-10-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 22 federal dockets); court in TN (not a filing state)
Thomas L. Mock and Karen G. Mock closed
United States Bankruptcy Court, N.D. Ohio · No. 91-33812 · Filed Oct 1, 1991 · Closed Mar 5, 1992
Role of Thomas L. Mock and Karen G. Mock: Debtor · Outcome: Case closed 1992-03-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 22 federal dockets); court in OH (not a filing state); middle initial differs
Thomas R. Mock, JR. closed
United States Bankruptcy Court, S.D. Georgia · No. 90-60139 · Filed Mar 13, 1990 · Closed Jul 19, 1990
Role of Thomas R. Mock, JR.: Debtor · Outcome: Case closed 1990-07-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 22 federal dockets); court in GA (not a filing state); middle initial differs
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

9 differences found between the filings for Thomas B. Mock — 3 worth asking about (compared 13 filings on Oct 24, 2026)

Worth asking · Feb 15, 2011 – Jul 12, 2018

4 filings report more than 10% of the money raised going to insiders

43% of the money raised went to insiders — Rainier Carrollton Investors, LP · 536% of the money raised went to insiders — Net Lease Retail Investors LP · 11% of the money raised went to insiders — Rainier Capital Complex Investors, LP · 14% of the money raised went to insiders — Rainier Stony Creek Investors, LP

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 · Aug 9, 2013 ↗Rainier Carrollton Investors, LP — PartnerFacts page ↗Form D · Feb 15, 2011 ↗Net Lease Retail Investors LP — PartnerFacts page ↗
Sources
Worth asking · Feb 15, 2011 – Aug 9, 2013

Thomas B. Mock appears on 3 deals that stopped filing before reaching their target

Rainier Carrollton Investors, LP (last filing Aug 9, 2013; $800,000 sold of $2,771,909); Preferred Income Fund V, L.P. (last filing Jun 6, 2011; $24,828,231 sold of $62,500,000); Net Lease Retail Investors LP (last filing Feb 15, 2011; $280,000 sold of $62,500,000). 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.

Rainier Carrollton Investors, LP — PartnerFacts page ↗Preferred Income Fund V, L.P. — PartnerFacts page ↗Net Lease Retail Investors LP — PartnerFacts page ↗
Sources
Worth asking · Jan 7, 2011 – Jul 12, 2018

6 Form Ds were filed more than 15 days after the first sale

Form D filed 69 days after the first sale — Rainier Stony Creek Investors, LP · Form D filed 136 days after the first sale — Rainier 32 East Investors, LP · Form D filed 144 days after the first sale — Rainier Irving VZ Investors, LP · Form D filed 220 days after the first sale — Rainier Belden Park Investors, LP · Form D filed 30 days after the first sale — Rainier Capital Complex Investors, LP · and 1 more

What this means Late notices are common and carry no penalty by themselves. A pattern of late paperwork is worth asking the sponsor about.

Form D · Jun 5, 2018 ↗Rainier Stony Creek Investors, LP — PartnerFacts page ↗Form D · Jun 4, 2018 ↗Rainier 32 East Investors, LP — PartnerFacts page ↗
Sources
Note · Nov 15, 2006 – Aug 9, 2013

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 — Rainier Carrollton Investors, LP (latest filing Aug 9, 2013) · No amendment in the last 12 months on an offering that may still be open — Preferred Income Fund V, L.P. (latest filing Jun 6, 2011) · No amendment in the last 12 months on an offering that may still be open — Net Lease Retail Investors LP (latest filing Feb 15, 2011) · No amendment in the last 12 months on an offering that may still be open — Preferred Income Partners IV, LLC (latest filing Mar 3, 2010) · No amendment in the last 12 months on an offering that may still be open — Rainier Income & Growth Fund III LLC (latest filing Mar 26, 2009)

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 · Aug 9, 2013 ↗Rainier Carrollton Investors, LP — PartnerFacts page ↗Form D/A · Jun 6, 2011 ↗Preferred Income Fund V, L.P. — PartnerFacts page ↗
Sources
Note · Jun 7, 2010 – Jan 10, 2011

Offering amount changed between filings — Preferred Income Fund V, L.P.

The Jun 7, 2010 filing says $50,000,000 offered; the Jan 10, 2011 Form D/A says $62,500,000.

What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.

Form D (earlier) · Jun 7, 2010 ↗Form D/A (later) · Jan 10, 2011 ↗Preferred Income Fund V, L.P. — PartnerFacts page ↗
Sources
Note · Jan 10, 2011 – Jun 6, 2011

Minimum investment changed between filings — Preferred Income Fund V, L.P.

The Jan 10, 2011 filing lists a minimum of $25,000; the Jun 6, 2011 Form D/A lists $14,000.

What this means A different minimum usually means the offering terms changed. Check which terms apply to you.

Form D/A (earlier) · Jan 10, 2011 ↗Form D/A (later) · Jun 6, 2011 ↗Preferred Income Fund V, L.P. — PartnerFacts page ↗
Sources
Note · Mar 3, 2009 – Mar 3, 2010

Minimum investment changed between filings — Preferred Income Partners IV, LLC

The Mar 3, 2009 filing lists a minimum of $25,000; the Mar 3, 2010 Form D/A lists $10,000.

What this means A different minimum usually means the offering terms changed. Check which terms apply to you.

Form D (earlier) · Mar 3, 2009 ↗Form D/A (later) · Mar 3, 2010 ↗Preferred Income Partners IV, LLC — PartnerFacts page ↗
Sources
Note · Mar 3, 2009 – Mar 3, 2010

Industry group changed between filings — Preferred Income Partners IV, LLC

"Investing" (Mar 3, 2009); then "Other Real Estate" (Mar 3, 2010).

What this means The issuer described its business differently on different forms. Often it is just a different box ticked; sometimes the deal itself changed. Ask which business your money is in.

Form D · Mar 3, 2009 ↗Form D/A · Mar 3, 2010 ↗Preferred Income Partners IV, LLC — PartnerFacts page ↗
Sources
Note · Mar 3, 2009 – Mar 3, 2010

Reported revenue range changed between filings — Preferred Income Partners IV, LLC

"$1 - $1,000,000" (Mar 3, 2009); then "$1,000,001 - $5,000,000" (Mar 3, 2010).

What this means This is the size band the issuer picks for itself on the form. A change can mean the business grew or shrank — or that it chose not to say. Ask for current numbers.

Form D · Mar 3, 2009 ↗Form D/A · Mar 3, 2010 ↗Preferred Income Partners IV, LLC — PartnerFacts 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

4 of 10 offerings report sales commissions totalling $13,350,000; 1 reports finder's fees totalling $55,000; 7 report proceeds to related persons totalling $2,892,500. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Jul 12, 2018 D
Rainier Capital Complex Investors, LP
File 021-316732
$0$0$273,000 (est.)
The General Partner will receive an Acquisition Fee for acquisition of the property
None listed on this filingEDGAR ↗
Jun 5, 2018 D
Rainier Stony Creek Investors, LP
File 021-313839
$0$55,000 (est.)$328,000 (est.)
The General Partner will receive an Acquisition Fee for acquisition of the property
None listed on this filingEDGAR ↗
Jun 4, 2018 D
Rainier 32 East Investors, LP
File 021-313782
$0$0$100,000 (est.)
The General Partner will receive (i) an organizational fee for organization of Issuer, including entity formation, legal, printing and other offering costs; and (ii) an Acquisition Fee for acquisition of the property
None listed on this filingEDGAR ↗
May 29, 2018 D
Rainier Irving VZ Investors, LP
File 021-313376
$0$0$195,000 (est.)
The General Partner will (i) be reimbursed for costs and expenses relating to entity formation, legal, printing and diligence costs; and (ii) receive an Acquisition Fee for acquisition of the property
None listed on this filingEDGAR ↗
May 21, 2018 D
Rainier Belden Park Investors, LP
File 021-312883
$0$0$150,000 (est.)
The General Partner of Issuer will receive (i) up to $150,000 to cover costs relating to entity formation, legal, printing and other offering costs; and (ii) Administrative Fee for management, accounting and reporting responsibilities
None listed on this filingEDGAR ↗
Aug 9, 2013 D
Rainier Carrollton Investors, LP
File 021-201078
$0$0$346,500
The General Partner will receive an Acquisition Fee in an amount equal to 5% of the purchase price of the property purchased.
None listed on this filingEDGAR ↗
Jun 6, 2011 D/A
Preferred Income Fund V, L.P.
File 021-143065
$3,250,000 (est.)$0$0Bradley Levin BrokerCheck CRD 2457718 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Daniel P. Benson BrokerCheck CRD 5533157 ↗
via Madison Avenue Securities Inc. (CRD 23224 ↗)

David B. Root Jr. BrokerCheck CRD 1270361 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Demetrius Felder BrokerCheck CRD 3026253 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Edward G. Benz Jr. BrokerCheck CRD 1577698 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Edward J. Sokolowski BrokerCheck CRD 2221001 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Eric E. Elek BrokerCheck CRD 3062911 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Jonathan Maxson BrokerCheck CRD 5403589 ↗
via Madison Avenue Securities Inc. (CRD 23224 ↗)

Kris T. Maksimovich BrokerCheck CRD 4185617 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Bryn T. Henry BrokerCheck CRD 4465166 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Lewis Brown no CRD number reported
via Commonwealth Financial Network (CRD 8032 ↗)

Mark S. Sparhawk BrokerCheck CRD 1550276 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

James M. Johnson BrokerCheck CRD 827560 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Everett N. Gilliss BrokerCheck CRD 4064036 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Richard J. Gopin BrokerCheck CRD 2027499 ↗
via Madison Avenue Securities Inc. (CRD 23224 ↗)

Richard W. Preston BrokerCheck CRD 2396186 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Robert S. Condon BrokerCheck CRD 823679 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Arlo J. Stoll BrokerCheck CRD 2863903 ↗
via Pacific West Securities, Inc. (CRD 6390 ↗)

Adam Robinson BrokerCheck CRD 2409443 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Andrew M. Lohse BrokerCheck CRD 4557184 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Arni J. Diamond BrokerCheck CRD 2667392 ↗
via Berthel Fisher and Company Financial Services Inc. (CRD 13609 ↗)

Brad W. Bestgen BrokerCheck CRD 4702444 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

William H. Bestgen Jr. BrokerCheck CRD 20533 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Bruce R. Hosler BrokerCheck CRD 2581041 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Charles T. Cammack Jr. BrokerCheck CRD 2143498 ↗
via Berthel, Fisher and Company Financial Services Inc. (CRD 13609 ↗)

Larry G. Burkholder BrokerCheck CRD 4002938 ↗
via Indepdendent Financial Group LLC (CRD 7717 ↗)

Daniel J. Wiersma BrokerCheck CRD 2126442 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

David R. Geake BrokerCheck CRD 23224 ↗
via Madison Avenue Securities (CRD 23224 ↗)

David N. Navarro BrokerCheck CRD 1527259 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Christopher Busby BrokerCheck CRD 2599944 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Christopher Goetz BrokerCheck CRD 2585194 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Dimitry Tikhonov BrokerCheck CRD 5451809 ↗
via Madison Avenue Securities Inc. (CRD 23224 ↗)

Donna M. Stevenson BrokerCheck CRD 2856535 ↗
via Pacific West Securities Inc. (CRD 6390 ↗)

Douglas K. Perry BrokerCheck CRD 2260883 ↗
via Pacific West Securities Inc. (CRD 6390 ↗)

Eric J. Reinhold BrokerCheck CRD 2384288 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Frances L. Makino BrokerCheck CRD 1418541 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Gary L. Imel BrokerCheck CRD 254765 ↗
via Madison Avenue Securities Inc. (CRD 23224 ↗)

Gerald Loftin BrokerCheck CRD 2514109 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Gregory F. Partalis BrokerCheck CRD 1197074 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

James C. Durnin BrokerCheck CRD 2717955 ↗
via Berthel Fisher and Company Financial Services (CRD 13609 ↗)

Jacob J. Short BrokerCheck CRD 1873314 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

James Crawford Jr. BrokerCheck CRD 1327638 ↗
via Pacific West Securities Inc. (CRD 6390 ↗)

John E. Ledford BrokerCheck CRD 2960837 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

John F. Schatz BrokerCheck CRD 830300 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Jonathan C. Wolff BrokerCheck CRD 1203730 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Joseph A. Leonczyk BrokerCheck CRD 2911492 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Joseph Sullivan BrokerCheck CRD 1722599 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Kathleen M. Kojis BrokerCheck CRD 2137099 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Kevin C. Koslofski BrokerCheck CRD 3033810 ↗
via Berthel Fisher and Company Financial Services (CRD 13609 ↗)

Kevin C. McCarthey BrokerCheck CRD 1702715 ↗
via Madison Avenue Securities Inc. (CRD 23224 ↗)

Mark A. Cline BrokerCheck CRD 3206962 ↗
via Great Nation Investment Corporation (CRD 19981 ↗)

Matthew A. Bell BrokerCheck CRD 3091864 ↗
via WFG Investments Inc. (CRD 22704 ↗)

Michelle A. Reynolds BrokerCheck CRD 2717803 ↗
via Berthel Fisher and Company Financial Services Inc. (CRD 13609 ↗)

Carl N. Johnson III BrokerCheck CRD 1144288 ↗
via Berthel Fisher and Company Financial Services, Inc. (CRD 13609 ↗)

Mitchell E. Glicksman BrokerCheck CRD 2580633 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Neal M. Woodard BrokerCheck CRD 5461015 ↗
via Pacific West Securities Inc. (CRD 6390 ↗)

Noah C. Greenbaum BrokerCheck CRD 5596246 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Noel R. Vincent BrokerCheck CRD 1370987 ↗
via Madison Avenue Securities Inc. (CRD 23224 ↗)

Paul G. Cooper BrokerCheck CRD 1419323 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Richard J. Gopin BrokerCheck CRD 2027499 ↗
via Madison Avenue Securities Inc. (CRD 23224 ↗)

Robert E. Leib BrokerCheck CRD 1267444 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Rosemary Taverna BrokerCheck CRD 1244454 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Royd R. Arch BrokerCheck CRD 2931927 ↗
via Pacific West Securities Inc. (CRD 6390 ↗)

Russell L. Bacon BrokerCheck CRD 4542974 ↗
via Pacific West Securities Inc. (CRD 6390 ↗)

Stephen F. White BrokerCheck CRD 1034497 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Steven M. Netzel BrokerCheck CRD 2863170 ↗
via Madison Avenue Securities Inc. (CRD 23224 ↗)

Steven D. Meahan BrokerCheck CRD 1234042 ↗
via Pacific West Securities Inc. (CRD 6390 ↗)

Theodore S. Kerr BrokerCheck CRD 2490934 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Thomas C. Virostek BrokerCheck CRD 1998826 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Timothy J. Kissling BrokerCheck CRD 2515918 ↗
via Madison Avenue Securities Inc. (CRD 23224 ↗)

Tonya R. Bains BrokerCheck CRD 1785768 ↗
via Cambridge Investment Research Inc. (CRD 39543 ↗)

Velada E. Michael Blank BrokerCheck CRD 4834212 ↗
via Pacific West Securities, Inc. (CRD 6390 ↗)

Vincent A. Virga BrokerCheck CRD 5070668 ↗
via Madison Avenue Securities Inc. (CRD 23224 ↗)

William L. Danner BrokerCheck CRD 3236323 ↗
via Madison Avenue Securities Inc. (CRD 23224 ↗)

William A. Gibbs III BrokerCheck CRD 1544505 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

William H. Worthington BrokerCheck CRD 3075384 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Steve J. Cummings BrokerCheck CRD 2274017 ↗
via Berthel Fisher and Company Financial Services, Inc. (CRD 13609 ↗)

Douglas R. Mavilia BrokerCheck CRD 4520301 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Robert J. Nicotra BrokerCheck CRD 2329968 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Aaron G. Kirsch BrokerCheck CRD 4382602 ↗
via Pacific West Securities Inc. (CRD 6390 ↗)

Adam Robinson BrokerCheck CRD 2409443 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Andrea M. Stackland Winterer BrokerCheck CRD 4211332 ↗
via Commowealth Financial Network (CRD 8032 ↗)

Anthony T. Pace BrokerCheck CRD 2115209 ↗
via M Holdings Securities Inc. (CRD 43285 ↗)

Arthur M. Connor BrokerCheck CRD 52437 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Cameron W. Benson BrokerCheck CRD 5412206 ↗
via Madison Avenue Securities Inc. (CRD 23224 ↗)

Chadwick R. Payne BrokerCheck CRD 4401703 ↗
via Madison Avenue Securities Inc. (CRD 23224 ↗)

David W. Young III BrokerCheck CRD 2423111 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Gary A. Pinkerton BrokerCheck CRD 4452995 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Holly M Nicholas MS BrokerCheck CRD 3086117 ↗
via WFG Investments Inc. (CRD 22704 ↗)

Jeffrey S. Boettcher BrokerCheck CRD 4001659 ↗
via Berthel Fisher and Company Financial Services Inc. (CRD 13609 ↗)

Joan B. Birdsell BrokerCheck CRD 5676446 ↗
via Berthel Fisher and Company Financial Services Inc. (CRD 13609 ↗)

John A. Ferrante II BrokerCheck CRD 2617378 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

John E. Hoffman BrokerCheck CRD 1582096 ↗
via Indepdendent Financial Group LLC (CRD 7717 ↗)

John K. Lee BrokerCheck CRD 2948622 ↗
via Independent Financial Group LLC (CRD 7717 ↗)

Marta L. Shen BrokerCheck CRD 2863929 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Max K. Aten BrokerCheck CRD 3225482 ↗
via WFG Investments Inc. (CRD 22704 ↗)

Michael Manning BrokerCheck CRD 1385785 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Michael A. McDougall BrokerCheck CRD 1497015 ↗
via Pacific West Securities Inc. (CRD 6390 ↗)

Michelle L. Mabry BrokerCheck CRD 1987030 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Michael R. Weber BrokerCheck CRD 1401941 ↗
via Commonwealth Financial Network (CRD 8032 ↗)
EDGAR ↗
Feb 15, 2011 D
Net Lease Retail Investors LP
File 021-155368
$3,250,000 (est.)$0$1,500,000 (est.)
General Partner will receive reimbursement up to 3% of Gross Proceeds for organization, offering and wholesale fee expenses
Dale Rubin BrokerCheck CRD 1304312 ↗
via Capital Analysts Incorporated (CRD 5478 ↗)

Lawrence Kronick BrokerCheck CRD 275819 ↗
via Capital Analysts Incorporated (CRD 5478 ↗)

Robert H. DeNouden BrokerCheck CRD 2457728 ↗
via Berthel Fisher and Company Financial Services Inc. (CRD 13609 ↗)

Gregory G. Randall BrokerCheck CRD 2143449 ↗
via Capital Analysts Incorporated (CRD 5478 ↗)

Karyn Pistone BrokerCheck CRD 859379 ↗
via Capital Analysts Incorporated (CRD 5478 ↗)

James M. Lamont BrokerCheck CRD 2846228 ↗
via Indepdendent Financial Group LLC (CRD 7717 ↗)
EDGAR ↗
Mar 3, 2010 D/A
Preferred Income Partners IV, LLC
File 021-127380
$3,250,000 (est.)$0$0E. Neil Gillis BrokerCheck CRD 4064036 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Robert Hoey BrokerCheck CRD 1930990 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

J. Michael Johnson BrokerCheck CRD 4553653 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

James Lamont BrokerCheck CRD 2846228 ↗
via Independent Financial Group (CRD 7717 ↗)

Michelle Mabry BrokerCheck CRD 81987030 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Steven Meahan BrokerCheck CRD 1234042 ↗
via Pacific West Securities (CRD 6390 ↗)

William J. O'Brien BrokerCheck CRD 1075392 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Roy J. Schieffer BrokerCheck CRD 1218125 ↗
via Independent Financial Group (CRD 7717 ↗)

Jacob C. Short BrokerCheck CRD 1873314 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Mark Sparhawk BrokerCheck CRD 1550276 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Joseph Sullivan BrokerCheck CRD 1722599 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Addison B. Thompson BrokerCheck CRD 2714143 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Alan J. Dole BrokerCheck CRD 4904989 ↗
via Sanders Morris Harris (CRD 20580 ↗)

Alexander Paoletto BrokerCheck CRD 864081 ↗
via Sanders Morris Harris (CRD 20580 ↗)

Andrew R. Lippman BrokerCheck CRD 1712470 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Ann L. Egan BrokerCheck CRD 726128 ↗
via The Strategic Financial Alliance (CRD 126514 ↗)

Michael Spieler BrokerCheck CRD 5246976 ↗
via The Strategic Financial Alliance (CRD 126514 ↗)

Anthony T. Pace BrokerCheck CRD 2115209 ↗
via M Holdings Securities (CRD 43285 ↗)

William H. Medlin BrokerCheck CRD 3227657 ↗
via Sanders Morris Harris (CRD 20580 ↗)

Bradley A. Levin BrokerCheck CRD 2457718 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Brian W. Armstrong BrokerCheck CRD 3040269 ↗
via First Financial Equity Corporation (CRD 16507 ↗)

Brian G. Greenwood BrokerCheck CRD 1212459 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Bruce C. Worthington BrokerCheck CRD 2193895 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Bryn T. Henry BrokerCheck CRD 4465166 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Charles R. Herrod BrokerCheck CRD 712573 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Cary B. Stamp BrokerCheck CRD 2087021 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Charles G. Peckham BrokerCheck CRD 359140 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Charles P. Brown BrokerCheck CRD 1833265 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Adam Robinson BrokerCheck CRD 2409443 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Charles E. Roberts BrokerCheck CRD 4533614 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Cheryl L. Knight BrokerCheck CRD 1854248 ↗
via Strategic Financial Alliance (CRD 126514 ↗)

Christina S. Nielson BrokerCheck CRD 4866971 ↗
via Omni Brokerage Inc. (CRD 16878 ↗)

Christopher W. Pascale BrokerCheck CRD 2562003 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Jeremy M. Lobo BrokerCheck CRD 2945385 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Craig G. Richman BrokerCheck CRD 1183507 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Douglas McKenna BrokerCheck CRD 1045137 ↗
via Madison Avenue Securities Inc. (CRD 23224 ↗)

Dale Rubin BrokerCheck CRD 1304312 ↗
via Sanders Morris Harris Inc. (CRD 20580 ↗)

Dale E. Wright BrokerCheck CRD 1142615 ↗
via Sanders Morris Harris Inc. (CRD 20580 ↗)

Daniel P. Benson BrokerCheck CRD 5533157 ↗
via Madison Avenue Securities Inc. (CRD 23224 ↗)

Daneil F. Hey SR BrokerCheck CRD 1224254 ↗
via Sanders Morris Harris Inc. (CRD 20580 ↗)

Daniel L. Bonder BrokerCheck CRD 2518757 ↗
via Sanders Morris Harris Inc. (CRD 20580 ↗)

David B. Root JR BrokerCheck CRD 1270361 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

David N. Navarro BrokerCheck CRD 1527259 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

John A. Ferrante II BrokerCheck CRD 2617378 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

David R. Gibbs BrokerCheck CRD 1375737 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

David R. Koehler BrokerCheck CRD 4832628 ↗
via Independent Financial Group LLC (CRD 7717 ↗)

David T. Tracy BrokerCheck CRD 4860924 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Diane E. Rook Johnson BrokerCheck CRD 2709979 ↗
via Pacific West Securities Inc. (CRD 6390 ↗)

Douglas G. Hesse BrokerCheck CRD 865552 ↗
via The Strategic Financial Alliance Inc. (CRD 126514 ↗)

Warren D. Prehmus BrokerCheck CRD 1875927 ↗
via The Strategic Financial Alliance Inc. (CRD 126514 ↗)

Dwight A. Smith BrokerCheck CRD 5642031 ↗
via Workman Securities Corporation (CRD 31898 ↗)

Edgar A. Wade BrokerCheck CRD 2282355 ↗
via Workman Securities Corporation (CRD 31898 ↗)

Edward H. Maass BrokerCheck CRD 1067659 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Edward J. Sokolowski BrokerCheck CRD 2221001 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Eric E. Elek BrokerCheck CRD 3062911 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Eric J. Reding SR BrokerCheck CRD 3185806 ↗
via Madison Avenue Securities Inc. (CRD 23224 ↗)

Eugene T. Cindrich BrokerCheck CRD 2444041 ↗
via Advisory Group Equity Services Ltd (CRD 15427 ↗)

Frank W. Kimmel BrokerCheck CRD 1158721 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Gary L. Imel BrokerCheck CRD 254765 ↗
via Madison Avenue Securities Inc. (CRD 23224 ↗)

George M. Bowen BrokerCheck CRD 2919183 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

George H. Gardner III BrokerCheck CRD 1156809 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Gerald H. Denney Jr. BrokerCheck CRD 1463871 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Gerald Loftin BrokerCheck CRD 2514109 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Gilbert N. Greer BrokerCheck CRD 723153 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Greg S. Bowen BrokerCheck CRD 2328903 ↗
via Pacific West Securities Inc. (CRD 6390 ↗)

Douglas K. Perry BrokerCheck CRD 2260883 ↗
via Pacific West Securities Inc. (CRD 6390 ↗)

Gregory G. Randall BrokerCheck CRD 2143449 ↗
via Sanders Morris Harris Inc. (CRD 20580 ↗)

Gregory F. Partalis BrokerCheck CRD 1197074 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

John W. Bowman BrokerCheck CRD 1514826 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

James Mahoney BrokerCheck CRD 4606032 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Nicholas T. Christie BrokerCheck CRD 4285089 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

James K. Duncklee BrokerCheck CRD 2025578 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Jarratt G. Bennett BrokerCheck CRD 18309 ↗
via The Strategic Financial Alliance Inc. (CRD 126514 ↗)

Mark A. Keen BrokerCheck CRD 3178657 ↗
via The Strategic Financial Alliance Inc. (CRD 126514 ↗)

Jay M. Diamond BrokerCheck CRD 1293312 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Jeffrey A. Segal BrokerCheck CRD 1886939 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Seth A. Renaud BrokerCheck CRD 4946831 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Jeffery D. Isaacson BrokerCheck CRD 1974540 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Jeffrey D. Moscaret BrokerCheck CRD 1522650 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

John M. Augustine BrokerCheck CRD 2304923 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Matthew J. Zuleger BrokerCheck CRD 2961391 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

John P Harvey JR BrokerCheck CRD 4227692 ↗
via OMNI Brokerage Inc. (CRD 16878 ↗)

Andrew H. Walker BrokerCheck CRD 4823479 ↗
via Sanders Morris Harris (CRD 20580 ↗)

John R. Peters BrokerCheck CRD 1168518 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

John B. Robinson BrokerCheck CRD 2578458 ↗
via Sanders Morris Harris Inc. (CRD 20580 ↗)

John L. Tyler JR BrokerCheck CRD 4272019 ↗
via CapWest Securities Inc. (CRD 30002 ↗)

Jonathan Maxson BrokerCheck CRD 5403589 ↗
via Madison Avenue Securities Inc. (CRD 23224 ↗)

Jonathan C. Wolff BrokerCheck CRD 1203730 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Joseph A. Leonczyk BrokerCheck CRD 2911492 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Joseph R. Montecarlo BrokerCheck CRD 338324 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Joseph R> Broadbent BrokerCheck CRD 3132498 ↗
via OMNI Brokerage Inc. (CRD 16878 ↗)

Kari L. Kennard BrokerCheck CRD 4179309 ↗
via Pacific West Securities Inc. (CRD 6390 ↗)

Katie W. Brewer BrokerCheck CRD 4841855 ↗
via LPL Financial Corporation (CRD 6413 ↗)

Kenneth J. Elkins BrokerCheck CRD 4438904 ↗
via Sanders Morris Harris Inc. (CRD 20580 ↗)

Kevin C. McCarthy BrokerCheck CRD 1702715 ↗
via Madison Avenue Securities Inc. (CRD 23224 ↗)

Kevin M. OBrien BrokerCheck CRD 1866397 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Kevin P. Moore BrokerCheck CRD 2321372 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Sally W. Munford BrokerCheck CRD 1431493 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Kris T. Maksimovich BrokerCheck CRD 4185617 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Marcus G. Warren BrokerCheck CRD 4522297 ↗
via Madison Avenue Securities Inc. (CRD 23224 ↗)
EDGAR ↗
Mar 26, 2009 D/A
Rainier Income & Growth Fund III LLC
File 021-98552
$3,600,000 (est.)$0$0Alan A. Anderson BrokerCheck CRD 5436043 ↗
via SMH Capital Inc. (CRD 20580 ↗)

Steve Arnold no CRD number reported
via Commonwealth Financial Network (CRD 8032 ↗)

John M. Augustine BrokerCheck CRD 2304923 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Sharon H. Budnik BrokerCheck CRD 723594 ↗
via SMH Capital Inc. (CRD 20580 ↗)

Michael X. Caggiano BrokerCheck CRD 1934069 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Barbara V. Carter BrokerCheck CRD 851783 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Frank E. Clegg III BrokerCheck CRD 725190 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Mark S. Catrabone BrokerCheck CRD 2340001 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Robert S. Condon BrokerCheck CRD 823679 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Peter R. Dorn BrokerCheck CRD 1089858 ↗
via Berthel Fisher and Company Financial Services (CRD 13609 ↗)

James L. Duncklee BrokerCheck CRD 2025578 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

James C. Durnin BrokerCheck CRD 2717955 ↗
via Berthel Fisher and Company Financial Services (CRD 13609 ↗)

E. Neil Gilliss BrokerCheck CRD 4064036 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Stephen H. Graef BrokerCheck CRD 828229 ↗
via Pacific West Securities Inc. (CRD 6390 ↗)

Brian M. Heitzenrater BrokerCheck CRD 4533204 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Bryn T. Henry BrokerCheck CRD 4465166 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Mel R. Hertz BrokerCheck CRD 707875 ↗
via The Strategic Financial Alliance Inc. (CRD 126514 ↗)

Daniel F. Hey Sr, BrokerCheck CRD 1224254 ↗
via SMH Capital Inc. (CRD 20580 ↗)

J. Michael Johnson BrokerCheck CRD 4553653 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

James M. Lamont BrokerCheck CRD 2846228 ↗
via Independent Financial Group (CRD 7717 ↗)

Bradley A. Levin BrokerCheck CRD 2457718 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Andrew A. Lippman BrokerCheck CRD 1712470 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Kris T. Maksimovich BrokerCheck CRD 4185617 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Jeffrey D. Moscaret BrokerCheck CRD 1522650 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Scott F. Mosley BrokerCheck CRD 4448187 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Matt A. Myers BrokerCheck CRD 344182 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

William O'Brien no CRD number reported
via OMNI Brokerage Inc. (CRD 16878 ↗)

Alexander J. Paoletto BrokerCheck CRD 864081 ↗
via SMH Capital Inc. (CRD 20580 ↗)

Matthew H. Piaker BrokerCheck CRD 4392140 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Craig G. Richman BrokerCheck CRD 1183507 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Richard A. Robb BrokerCheck CRD 1539520 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Charles E. Roberts BrokerCheck CRD 4533614 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Marta L. Shen BrokerCheck CRD 2863929 ↗
via Commonwealth Financial Network (CRD 8032 ↗)

Joshua D. Swayne BrokerCheck CRD 4296721 ↗
via Pacific West Securities Inc. (CRD 6390 ↗)

Robert R. Tweed BrokerCheck CRD 2339324 ↗
via Capwest Securities Inc. (CRD 30002 ↗)
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 Thomas B. Mock on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

RC
Other Real Estate · group: Rainier

Rainier Capital Complex Investors, LP

Dallas, TX · Jul 12, 2018
  • Jul 12, 2018 · D · $2,550,000 sold of $2,550,000 · 18 investors · min. $25,000 · role: Executive Officer (Vice President and Secretary of the General Partner of Issuer) EDGAR ↗

Raised $2.55M from 18 investors (100% of the $2.55M target) as of the latest filing. Thomas 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: Other Real Estate / 506(b) (5,033 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.

RS
Other Real Estate · group: Rainier

Rainier Stony Creek Investors, LP

Dallas, TX · Jun 5, 2018
  • Jun 5, 2018 · D · $2,400,000 sold of $2,400,000 · 48 investors · min. $20,000 · role: Executive Officer (Vice President and Secretary of the General Partner of Issuer) EDGAR ↗

Raised $2.4M from 48 investors (100% of the $2.4M target) as of the latest filing. Thomas 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: Other Real Estate / 506(c) (1,959 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.

R3
Other Real Estate · group: Rainier

Rainier 32 East Investors, LP

Dallas, TX · Jun 4, 2018
  • Jun 4, 2018 · D · $1,800,000 sold of $1,800,000 · 8 investors · min. $50,000 · role: Executive Officer (Vice President and Secretary of the General Partner of Issuer) EDGAR ↗

Raised $1.8M from 8 investors (100% of the $1.8M target) as of the latest filing. Thomas 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: Other Real Estate / 506(b) (5,033 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.

RI
Other Real Estate · group: Rainier

Rainier Irving VZ Investors, LP

Dallas, TX · May 29, 2018
  • May 29, 2018 · D · $2,425,000 sold of $2,425,000 · 14 investors · min. $25,000 · role: Executive Officer (Vice President and Secretary of the General Partner of Issuer) EDGAR ↗

Raised $2.42M from 14 investors (100% of the $2.42M target) as of the latest filing. Thomas 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: Other Real Estate / 506(b) (5,033 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.

RB
Other Real Estate · group: Rainier

Rainier Belden Park Investors, LP

Dallas, TX · May 21, 2018
  • May 21, 2018 · D · $3,750,000 sold of $3,750,000 · 45 investors · min. $10,000 · role: Executive Officer (Vice President of the General Partner of Issuer) EDGAR ↗

Raised $3.75M from 45 investors (100% of the $3.75M target) as of the latest filing. Thomas 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: Other Real Estate / 506(b) (5,033 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.

RC
Other Real Estate · group: Rainier

Rainier Carrollton Investors, LP

Dallas,, TX · Aug 9, 2013
  • Aug 9, 2013 · D · $800,000 sold of $2,771,909 · 11 investors · min. $25,000 · role: Executive Officer (Vice President of the General Partner of Issuer) EDGAR ↗

Raised $800K from 11 investors (29% of the $2.77M target) as of the latest filing. Thomas 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.

PI
Other Real Estate · group: Rainier

Preferred Income Fund V, L.P.

Dallas, TX · Jun 7, 2010 → Jun 6, 2011 · 3 filings
  • Jun 6, 2011 · D/A · $24,828,231 sold of $62,500,000 · 383 investors · min. $14,000 · role: Executive Officer (Vice President of the general partner of Issuer) EDGAR ↗
  • Jan 10, 2011 · D/A · $14,311,130 sold of $62,500,000 · 229 investors · min. $25,000 · role: Executive Officer (Vice President of the general partner of Issuer) EDGAR ↗
  • Jun 7, 2010 · D · $1,727,478 sold of $50,000,000 · 22 investors · min. $25,000 · role: Executive Officer (Vice President of the general partner of Issuer) EDGAR ↗

Raised $24.8M from 383 investors (40% of the $62.5M target) as of the latest filing. Thomas 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.

NL
Other Real Estate · group: Rainier

Net Lease Retail Investors LP

Dallas, TX · Feb 15, 2011
  • Feb 15, 2011 · D · $280,000 sold of $62,500,000 · 7 investors · min. $15,000 · role: Executive Officer (Vice President of the General Partner of Issuers) EDGAR ↗

Raised $280K from 7 investors (0% of the $62.5M target) as of the latest filing. Thomas 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.

PI
Other Real Estate · group: Rainier

Preferred Income Partners IV, LLC

Dallas, TX · Mar 3, 2009 → Mar 3, 2010 · 2 filings
  • Mar 3, 2010 · D/A · $40,667,818 sold of $50,000,000 · 663 investors · min. $10,000 · role: Executive Officer EDGAR ↗
  • Mar 3, 2009 · D · $1,190,000 sold of $50,000,000 · 21 investors · min. $25,000 · role: Executive Officer EDGAR ↗

Raised $40.7M from 663 investors (81% of the $50M target) as of the latest filing. Thomas 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.

RI
Pooled Investment Fund · group: Rainier

Rainier Income & Growth Fund III LLC

Dallas, TX · Mar 26, 2009
  • Mar 26, 2009 · D/A · $29,326,463 sold of $50,000,000 · 453 investors · min. $1,000 · role: Executive Officer EDGAR ↗

Raised $29.3M from 453 investors (59% of the $50M target) as of the latest filing. Thomas 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.

People around Thomas 16

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

RR
Management entity

Rainier Realty Investments, L.P.

Promoter · 5 shared filings (5 issuers) · also on 17 other issuers

Rainier Realty Investments, L.P. is on 22 issuers in total — a repeat sponsor. Their page lists every one.

RG
Management entity

RRI GP, LLC

Promoter · 4 shared filings (4 issuers) · also on 21 other issuers

RRI GP, LLC is on 25 issuers in total — a repeat sponsor. Their page lists every one.

PI
Management entity

Preferred Income Fund V GP LLC

Executive Officer · 3 shared filings (1 issuer)

Listed on the same filings as Thomas B. Mock. Their page shows their other deals.

NR
Management entity

NL Retail Investors GP, LLC

Promoter · 1 shared filing (1 issuer)

Listed on the same filings as Thomas B. Mock. Their page shows their other deals.

RC
Management entity

Rainier Carrollton Investors, LP

Promoter · 1 shared filing (1 issuer)

Listed on the same filings as Thomas B. Mock. Their page shows their other deals.

RS
Management entity

Rainier Stony Creek Manager, LLC

Promoter · 1 shared filing (1 issuer)

Listed on the same filings as Thomas B. Mock. Their page shows their other deals.

R3
Management entity

Rainier 32 East Manager, LLC

Promoter · 1 shared filing (1 issuer)

Listed on the same filings as Thomas B. Mock. Their page shows their other deals.

RI
Management entity

Rainier Irving VZ GP, LLC

Promoter · 1 shared filing (1 issuer)

Listed on the same filings as Thomas B. Mock. Their page shows their other deals.

RB
Management entity

Rainier Belden Park Manager, LLC

Promoter · 1 shared filing (1 issuer)

Listed on the same filings as Thomas B. Mock. Their page shows their other deals.

BR
Management entity

B. RRI GP, LLC

Director, Promoter · 1 shared filing (1 issuer)

Listed on the same filings as Thomas B. Mock. Their page shows their other deals.

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

Timothy C Nichols

Executive Officer · 13 shared filings (10 issuers) · also on 13 other issuers

Timothy C Nichols is on 23 issuers in total — a repeat sponsor. Their page lists every one.

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

J Kenneth Dunn

Executive Officer · 10 shared filings (8 issuers) · also on 15 other issuers

J Kenneth Dunn is on 23 issuers in total — a repeat sponsor. Their page lists every one.

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

Daniel S Lovell

Executive Officer · 6 shared filings (6 issuers) · also on 22 other issuers

Daniel S Lovell is on 28 issuers in total — a repeat sponsor. Their page lists every one.

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

Kenneth J. Dunn

Executive Officer · 3 shared filings (2 issuers) · also on 1 other issuer

Listed on the same filings as Thomas B. Mock. Their page shows their other deals.

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

Richard Cole, Jr.

Executive Officer · 3 shared filings (2 issuers)

Listed on the same filings as Thomas B. Mock. Their page shows their other deals.

The team behind the deals

R
Sponsor group

Rainier

35 issuers · 39 filings · $217.7M reported sold · 2009–2025

One team, 35 deal companies. Thomas B. Mock is listed on 10 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 Thomas B. Mock.

Same business address

28 other issuers 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

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)

None of the 10 issuers this person is listed on appears in Form ADV (searched 24,962 advisers as of Oct 2, 2026). A person is never an adviser firm; Form ADV is checked for the issuers and the management companies they are listed with.

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 Thomas B. Mock 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 Thomas B. Mock is listed on: none on file. No website or social profile named in Rainier Income & Growth Fund III LLC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #372,203 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 (Dallas, TX). 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) ↗Texas re:SearchTX court records ↗

Securities regulators

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

Business registries

Texas Secretary of State business search ↗OpenCorporates ↗

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