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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:39 AM ET

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Thomas Riha

Named as an officer, director or promoter on SEC Form D filings · CA · Oct 9, 2009 → Jun 18, 2010

6deals (issuers)
$262.4Mreported sold
408investors
11Form D filings
2009–2010years 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 Riha is listed as an executive officer on 11 SEC Form D filings by 6 issuers between May 2009 and Jun 2010. Largest by amount reported sold: WNC Institutional Tax Credit Fund 32, L.P. (Irvine, CA — other real estate — 2010; $143M reported sold to 10 investors), WNC Institutional Tax Credit Fund 30, L.P. (Irvine, CA — other real estate — 2009; $77.1M reported sold to 4 investors), WNC Institutional Tax Credit Fund X New York Series 10, L.P. (Irvine, CA — other real estate — 2009; $18.8M reported sold to 1 investors), WNC Tax Credits 38, LLC (Irvine, CA — other real estate — 2010; $15M reported sold to 305 investors), WNC Tax Credits 37, LLC (Irvine, CA — other real estate — 2009–2010; $5.41M reported sold to 87 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. Across those companies the filings report $262.4M sold in total.

Listed alongside David Shafer (11 shared filings), Jennifer E. Cooper (11 shared filings), Kay L. Cooper (11 shared filings), Michael J. Gaber (11 shared filings), WNC & Associates, Inc. (11 shared filings, management entity) and 7 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 6 issuers belong to the sponsor group Wnc Institutional Tax (21 issuers, $1.22B reported sold, 2009–2025).

What this means A sponsor group is one team that sets up a new company for each deal. Wnc Institutional Tax has 21 companies on file and $1.22B 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) — 5 court cases matching the name, 5 bankruptcy cases matching the name listed in Key records below.

What this means 10 records came back. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.

We compared 11 public filings for Thomas Riha and found 8 differences, 3 worth asking the sponsor about: 3 court cases name Thomas Riha; 7 filings report more than 10% of the money raised going to insiders; 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 Riha has not run yet — it is joining a line of 37,915 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

5 cases: 1 closed (disposition not in docket feed), 2 judgment, 2 dismissed

Judy Riha v. Lowes Home Centers, LLC closed
District Court, C.D. California · No. 2:21-cv-01220 · Filed Feb 10, 2021 · Closed Mar 4, 2021
Role of Judy Riha: Plaintiff · Outcome: Terminated 2021-03-04 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 25 federal dockets); different first name (judy); court in the person's filing state (CA)
U.S Bank, NA v. Riha judgment
District Court, N.D. Illinois · No. 1:11-cv-00820 · Filed Feb 5, 2011 · Closed May 10, 2011 · Nature of suit: 220 Foreclosure
Role of Riha: Defendant · Outcome: Terminated 2011-05-10 — FJC Integrated Database disposition: Judgment on default; judgment for plaintiff Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 25 federal dockets); surname only in the caption; court in IL (not a filing state)
Laborers Natl Health v. Riha Construction Co dismissed
District Court, S.D. California · No. 3:93-cv-00433 · Filed Mar 18, 1993 · Closed Mar 23, 1994 · Nature of suit: 791 Employee Retirement Income Security Act
Role of Riha Construction Co: Defendant · Outcome: Terminated 1994-03-23 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 25 federal dockets); surname only in the caption; court in the person's filing state (CA)
CLVT v. Riha Construction Co dismissed
District Court, C.D. California · No. 2:92-cv-07095 · Filed Dec 1, 1992 · Closed Mar 8, 1993 · Nature of suit: 791 Employee Retirement Income Security Act
Role of Riha Construction Co: Defendant · Outcome: Terminated 1993-03-08 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 25 federal dockets); surname only in the caption; court in the person's filing state (CA)
Western Steel & v. Riha Construction Co judgment
District Court, S.D. California · No. 3:91-cv-01391 · Filed Oct 4, 1991 · Closed Mar 12, 1993 · Nature of suit: 130 Miller act
Role of Riha Construction Co: Defendant · Outcome: Terminated 1993-03-12 — FJC Integrated Database disposition: Judgment on court trial; judgment for plaintiff Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 25 federal dockets); surname only in the caption; court in the person's filing state (CA)
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.

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.

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 Riha..

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

5 cases: 5 closed (disposition not in docket feed)

Demke v. Riha Services Inc. closed
United States Bankruptcy Court, N.D. Illinois · No. 20-00143 · Filed Apr 12, 2020 · Closed Nov 13, 2020
Role of Riha Services Inc.: Defendant · Outcome: Case closed 2020-11-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 25 federal dockets); surname only in the caption; court in IL (not a filing state)
Riha Services Inc. closed
United States Bankruptcy Court, N.D. Illinois · No. 20-01601 · Filed Jan 20, 2020 · Closed Nov 20, 2020
Role of Riha Services Inc.: Debtor · Outcome: Case closed 2020-11-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 25 federal dockets); surname only in the caption; court in IL (not a filing state)
RIHA Inc., LLC closed
United States Bankruptcy Court, M.D. Florida · No. 6:14-bk-07672 · Filed Jul 3, 2014 · Closed Sep 9, 2014
Role of RIHA Inc., LLC: Debtor · Outcome: Case closed 2014-09-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 25 federal dockets); surname only in the caption; court in FL (not a filing state)
FIA Card Services NA ( fka MBNA America Bank NA) v. Riha closed
United States Bankruptcy Court, C.D. California · No. 6:09-ap-01173 · Filed Apr 16, 2009 · Closed May 28, 2009
Role of Riha: Defendant · Outcome: Case closed 2009-05-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 25 federal dockets); surname only in the caption; court in the person's filing state (CA)
Thomas Edward Riha closed
United States Bankruptcy Court, N.D. Indiana · No. 04-41179 · Filed Sep 7, 2004 · Closed Dec 21, 2004
Role of Thomas Edward Riha: Debtor · Outcome: Case closed 2004-12-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 25 federal dockets); different first name (edward); court in IN (not a filing state)
What was searched

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

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

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

4. Differences between public sources

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

8 differences found between the filings for Thomas Riha — 3 worth asking about (compared 11 filings on Oct 24, 2026)

Note · Apr 16, 2009 – May 28, 2009

Bankruptcy case: FIA Card Services NA ( fka MBNA America Bank NA) v. Riha — filed Apr 16, 2009

United States Bankruptcy Court, C.D. California docket "FIA Card Services NA ( fka MBNA America Bank NA) v. Riha" filed Apr 16, 2009, closed May 28, 2009. Thomas Riha is listed as Defendant ("Riha"). Our match estimate: 54%.

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Docket · United States Bankruptcy Court, C.D. California ↗
Sources
Worth asking · Oct 4, 1991 – Mar 18, 1993

3 court cases name Thomas Riha — 3 as defendant

By role: defendant in 3. Newest: "Laborers Natl Health v. Riha Construction Co" (District Court, S.D. California, Mar 18, 1993); "CLVT v. Riha Construction Co" (District Court, C.D. California, Dec 1, 1992); "Western Steel & v. Riha Construction Co" (District Court, S.D. California, Oct 4, 1991). Some of these are name matches with a match estimate below 95% — check each docket.

What this means Several court cases name this subject. Some are routine business suits. Ask what each was about and how it ended.

Docket · Laborers Natl Health v. Riha Construction Co ↗Docket · CLVT v. Riha Construction Co ↗Docket · Western Steel & v. Riha Construction Co ↗
Sources
Worth asking · May 7, 2009 – Jun 18, 2010

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

239% of the money raised went to insiders — WNC Tax Credits 38, LLC · 30% of the money raised went to insiders — WNC Tax Credits 37, LLC · 298% of the money raised went to insiders — WNC Tax Credits 37, LLC · 10% of the money raised went to insiders — WNC Institutional Tax Credit Fund 32, L.P. · 12% of the money raised went to insiders — WNC Tax Credits 37, LLC · and 2 more

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/A · Jun 17, 2010 ↗WNC Tax Credits 38, LLC — PartnerFacts page ↗Form D/A · Oct 9, 2009 ↗WNC Tax Credits 37, LLC — PartnerFacts page ↗
Sources
Note · May 7, 2009

Sylvester P. Garban is both a listed executive officer and a paid seller — WNC Tax Credits 37, LLC

The May 7, 2009 Form D lists Sylvester P. Garban as executive officer of the issuer and also as a person receiving sales compensation (CRD 864610). Sales commissions reported on this filing: $150,315.

What this means The same person is listed as running the company and as being paid to sell its securities. Ask how much and on what terms.

Form D · May 7, 2009 ↗Sylvester P. Garban — PartnerFacts page ↗WNC Tax Credits 37, LLC — PartnerFacts page ↗
Sources
Note · Apr 23, 2009 – Jun 18, 2010

4 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 — WNC Institutional Tax Credit Fund 32, L.P. (latest filing Jun 18, 2010) · No amendment in the last 12 months on an offering that may still be open — WNC Tax Credits 37, LLC (latest filing Apr 9, 2010) · No amendment in the last 12 months on an offering that may still be open — WNC Hawaii Tax Credits 36 Series 2, L.P. (latest filing Jul 10, 2009) · No amendment in the last 12 months on an offering that may still be open — WNC Institutional Tax Credit Fund X New York Series 10, L.P. (latest filing Jul 10, 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 · Jun 18, 2010 ↗WNC Institutional Tax Credit Fund 32, L.P. — PartnerFacts page ↗Form D/A · Apr 9, 2010 ↗WNC Tax Credits 37, LLC — PartnerFacts page ↗
Sources
Worth asking · Jun 17, 2010 – Sep 20, 2010

Thomas Riha is no longer listed on the Sep 20, 2010 amendment — WNC Tax Credits 38, LLC

Thomas Riha appears on the Jun 17, 2010 Form D/A (executive officer) but not on the Sep 20, 2010 Form D/A for the same offering.

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

Form D/A · Jun 17, 2010 ↗Form D/A · Sep 20, 2010 ↗Thomas Riha — PartnerFacts page ↗WNC Tax Credits 38, LLC — PartnerFacts page ↗
Sources
Note · Jun 26, 2009 – Oct 9, 2009

Offering amount changed between filings — WNC Tax Credits 37, LLC

The Jun 26, 2009 filing says $1,822,000 offered; the Oct 9, 2009 Form D/A says $6,000,000.

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/A (earlier) · Jun 26, 2009 ↗Form D/A (later) · Oct 9, 2009 ↗WNC Tax Credits 37, LLC — PartnerFacts page ↗
Sources
Note · May 7, 2009 – Oct 9, 2009

Thomas Riha is written 2 different ways on the filings

listed as "Thomas J. Riha" on 5 filings (from May 7, 2009), and "Thomas Riha" on 6 filings (from Oct 9, 2009).

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

Form D · May 7, 2009 ↗Form D/A · Oct 9, 2009 ↗Thomas Riha — 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 6 offerings report sales commissions totalling $3,531,490; 0 report finder's fees; 6 report proceeds to related persons totalling $20,542,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Jun 18, 2010 D
WNC Institutional Tax Credit Fund 32, L.P.
File 021-143733
$2,038,000 (est.)$0 (est.)$14,411,000 (est.)WNC Capital Corporation BrokerCheck CRD 36174 ↗
via WNC Capital Corporation (CRD 36174 ↗)

Matthew D. Hodges BrokerCheck CRD 4572153 ↗
via Meridian Investments, Inc. (CRD 13225 ↗)

Kevin V. Murphy BrokerCheck CRD 1169936 ↗
via Meridian Investments, Inc. (CRD 13225 ↗)

Raymond Wolff BrokerCheck CRD 4229379 ↗
via Meridian Investments, Inc. (CRD 13225 ↗)

Jeremiah J. McDermott BrokerCheck CRD 2205038 ↗
via Meridian Investments, Inc. (CRD 13225 ↗)
EDGAR ↗
Jun 17, 2010 D/A
WNC Tax Credits 38, LLC
File 021-140360
$490,000 (est.)$0$945,000 (est.)WNC Capital Corporation BrokerCheck CRD 36174 ↗
via WNC Capital Corporation (CRD 36174 ↗)

Terry D. Buskirk BrokerCheck CRD 1343379 ↗
via Securities America, Inc. (CRD 10205 ↗)

Michael A. Sebald BrokerCheck CRD 1426782 ↗
via Landold Securities, Inc. (CRD 28352 ↗)

William B. Elson BrokerCheck CRD 1808374 ↗
via VSR Financial Services, Inc. (CRD 14503 ↗)

Robert D'Agosta BrokerCheck CRD 1903105 ↗
via Berthel, Fisher and Company Financial Services, Inc. (CRD 13609 ↗)

John M. Weiss BrokerCheck CRD 1851547 ↗
via Ameritas Investment Corp. (CRD 14869 ↗)

Francis L. Woods IV BrokerCheck CRD 2726454 ↗
via Ameritas Investment Corp. (CRD 14869 ↗)

Kenneth S. Buzek BrokerCheck CRD 1858643 ↗
via Securities America, Inc. (CRD 10205 ↗)

Harold L. Lustig BrokerCheck CRD 816080 ↗
via Workman Securities Corporation (CRD 31898 ↗)
EDGAR ↗
Apr 9, 2010 D/A
WNC Tax Credits 37, LLC
File 021-130735
$378,490$0$662,000 (est.)WNC Capital Corporation BrokerCheck CRD 36174 ↗
via WNC Capital Corporation (CRD 36174 ↗)

FSC Securities Corporation BrokerCheck CRD 7461 ↗
via FSC Securities Corporation (CRD 7461 ↗)

Berthel, Fisher & Company Financial Services, Inc. BrokerCheck CRD 13609 ↗
via Berthel, Fisher & Company Financial Services, Inc. (CRD 13609 ↗)

VSR Financial Services, Inc. BrokerCheck CRD 14503 ↗
via VSR Financial Services, Inc. (CRD 14503 ↗)

Lisa M. Lyons BrokerCheck CRD 2086482 ↗
via Royal Alliance Associates, Inc. (CRD 23131 ↗)

Securities America, Inc. BrokerCheck CRD 10205 ↗
via Securities America, Inc. (CRD 10205 ↗)

Robert S. Butkus BrokerCheck CRD 1546498 ↗
via NPB Financial Group, LLC (CRD 137743 ↗)

James A. Brewer BrokerCheck CRD 854802 ↗
via CFD Investments, Inc. (CRD 25427 ↗)

Matthew P. Bonito BrokerCheck CRD 4587140 ↗
via CFD Investments, Inc. (CRD 25427 ↗)

SagePoint Financial, Inc. BrokerCheck CRD 133763 ↗
via SagePoint Financial, Inc. (CRD 133763 ↗)

Haynes L. Kendell, Jr. BrokerCheck CRD 1274737 ↗
via Independent Financial Group, LLC (CRD 7717 ↗)

David G. Elhoff BrokerCheck CRD 855864 ↗
via Independent Financial Group, LLC (CRD 7717 ↗)

Steven W. Kraut BrokerCheck CRD 1091154 ↗
via Independent Financial Group, LLC (CRD 7717 ↗)

Donald H. Robinson BrokerCheck CRD 1282101 ↗
via Crown Capital Securities, L.P. (CRD 6312 ↗)

Donald G. Drakulich BrokerCheck CRD 1032020 ↗
via Intervest International Equities Corporation (CRD 20289 ↗)

Kurt T. Mortenson BrokerCheck CRD 1672826 ↗
via World Equity Group, Inc. (CRD 29087 ↗)

Gary L Flater BrokerCheck CRD 1049132 ↗
via MCL Financial Group, Inc. (CRD 41180 ↗)

Daniel L. Korth BrokerCheck CRD 2308456 ↗
via World Equity Group, Inc. (CRD 29087 ↗)

Richard A. McCollam BrokerCheck CRD 1419048 ↗
via Royal Alliance Associates, Inc. (CRD 23131 ↗)

Kathleen J. Tarr BrokerCheck CRD 4215307 ↗
via Royal Alliance Associates, Inc. (CRD 23131 ↗)
EDGAR ↗
Sep 9, 2009 D
WNC Institutional Tax Credit Fund 30, L.P.
File 021-134248
$625,000 (est.)$0$3,757,000 (est.)Meridian Investments, Inc. BrokerCheck CRD 13225 ↗
via Meridian Investments, Inc. (CRD 13225 ↗)

WNC Capital Corporation BrokerCheck CRD 36174 ↗
via WNC Capital Corporation (CRD 36174 ↗)

Banc of America Securities, LLC BrokerCheck CRD 26091 ↗
via Banc of America Securities, LLC (CRD 26091 ↗)
EDGAR ↗
Jul 10, 2009 D
WNC Institutional Tax Credit Fund X New York Series 10, L.P.
File 021-132612
$0$0$517,000 (est.)None listed on this filingEDGAR ↗
Jul 10, 2009 D
WNC Hawaii Tax Credits 36 Series 2, L.P.
File 021-132614
$0$0$250,000 (est.)None listed on this filingEDGAR ↗
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 6

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

WI
Other Real Estate · group: Wnc Institutional Tax

WNC Institutional Tax Credit Fund 32, L.P.

Irvine, CA · Jun 18, 2010
  • Jun 18, 2010 · D · $143,000,000 sold of $163,000,000 · 10 investors · min. $1,000,000 · role: Executive Officer (Relationship is with Manager of General Partner) EDGAR ↗

Raised $143M from 10 investors (88% of the $163M 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.

WT
Other Real Estate · group: Wnc Institutional Tax

WNC Tax Credits 38, LLC

Irvine, CA · Apr 9, 2010 → Jun 17, 2010 · 2 filings
  • Jun 17, 2010 · D/A · $396,000 sold of $7,000,000 · 9 investors · min. $25,000 · role: Executive Officer (Relationship is with Manager of Manager) EDGAR ↗
  • Apr 9, 2010 · D · $0 sold of $7,000,000 · 0 investors · min. $25,000 · role: Executive Officer (Relationship is with Manager of Manager) EDGAR ↗

Raised $15M from 305 investors (100% of the $7M 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.

WT
Other Real Estate · group: Wnc Institutional Tax

WNC Tax Credits 37, LLC

Irvine, CA · May 7, 2009 → Apr 9, 2010 · 5 filings
  • Apr 9, 2010 · D/A · $5,407,000 sold of $6,000,000 · 87 investors · min. $54,000 · role: Executive Officer (Relationship is with Manager of Manager) EDGAR ↗
  • Mar 16, 2010 · D/A · $5,260,000 sold of $6,000,000 · 83 investors · min. $54,000 · role: Executive Officer (Relationship is with Manager of Manager) EDGAR ↗
  • Oct 9, 2009 · D/A · $2,008,000 sold of $6,000,000 · 31 investors · min. $54,000 · role: Executive Officer (Relationship is with Manager of Manager) EDGAR ↗
  • Jun 26, 2009 · D/A · $963,000 sold of $1,822,000 · 14 investors · min. $54,000 · role: Executive Officer (Relationship is with Manager of Manager) EDGAR ↗
  • May 7, 2009 · D · $61,000 sold of $1,822,000 · 1 investors · min. $54,000 · role: Executive Officer (Relationship is with Manager of Manager) EDGAR ↗

Raised $5.41M from 87 investors (90% of the $6M target) as of the latest filing. Thomas is listed as executive officer 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.

WI
Other Real Estate · group: Wnc Institutional Tax

WNC Institutional Tax Credit Fund 30, L.P.

Irvine, CA · Sep 9, 2009
  • Sep 9, 2009 · D · $77,100,000 sold of $77,100,000 · 4 investors · min. $1,000,000 · role: Executive Officer (Relationship is with Manager of General Partner) EDGAR ↗

Raised $77.1M from 4 investors (100% of the $77.1M 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.

WH
Other Real Estate · group: Wnc Institutional Tax

WNC Hawaii Tax Credits 36 Series 2, L.P.

Irvine, CA · Jul 10, 2009
  • Jul 10, 2009 · D · $3,141,000 sold of Indefinite · 1 investors · min. $3,141,000 · role: Executive Officer (Relationship is with Manager of General Partner) EDGAR ↗

Raised $3.14M from 1 investor 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.

WI
Other Real Estate · group: Wnc Institutional Tax

WNC Institutional Tax Credit Fund X New York Series 10, L.P.

Irvine, CA · Jul 10, 2009
  • Jul 10, 2009 · D · $18,800,000 sold of Indefinite · 1 investors · min. $18,800,000 · role: Executive Officer (Relationship is with Manager of General Partner) EDGAR ↗

Raised $18.8M from 1 investor 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 12

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

WA
Management entity

WNC & Associates, Inc.

Promoter · 11 shared filings (6 issuers) · also on 13 other issuers

WNC & Associates, Inc. is on 19 issuers in total — a repeat sponsor. Their page lists every one.

WH
Management entity

WNC Housing Tax Credits Manager, LLC

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

WNC Housing Tax Credits Manager, LLC is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

Wilfred N. Cooper, Sr.

Director, Executive Officer · 11 shared filings (6 issuers) · also on 15 other issuers

Wilfred N. Cooper, Sr. is on 21 issuers in total — a repeat sponsor. Their page lists every one.

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

David Shafer

Executive Officer · 11 shared filings (6 issuers) · also on 15 other issuers

David Shafer is on 21 issuers in total — a repeat sponsor. Their page lists every one.

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

Kay L. Cooper

Director · 11 shared filings (6 issuers) · also on 13 other issuers

Kay L. Cooper is on 19 issuers in total — a repeat sponsor. Their page lists every one.

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

Michael J. Gaber

Executive Officer · 11 shared filings (6 issuers) · also on 14 other issuers

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

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

Jennifer E. Cooper

Director · 11 shared filings (6 issuers) · also on 13 other issuers

Jennifer E. Cooper is on 19 issuers in total — a repeat sponsor. Their page lists every one.

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

Melanie R. Wenk

Executive Officer · 6 shared filings (3 issuers) · also on 14 other issuers

Melanie R. Wenk is on 17 issuers in total — a repeat sponsor. Their page lists every one.

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

Sylvester P. Garban

Executive Officer · 5 shared filings (4 issuers)

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

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

Wilfred Cooer, Jr.

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

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

The team behind the deals

WI
Sponsor group

Wnc Institutional Tax

21 issuers · 34 filings · $1.22B reported sold · 2009–2025

One team, 21 deal companies. Thomas Riha 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 Thomas Riha.

Same business address

15 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 6 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 Riha 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 Thomas Riha is listed on: none on file. No website or social profile named in WNC Institutional Tax Credit Fund 32, L.P.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #360,744 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 (Irvine, CA). 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) ↗California — find the county court ↗Los Angeles Superior Court case search ↗

Securities regulators

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

Business registries

California Secretary of State business search ↗OpenCorporates ↗

Change history

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