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

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William Shaw

Named as an officer, director or promoter on SEC Form D filings · Cayman Islands (as filed: E9), CA, NY · Sep 14, 2012 → Oct 9, 2026

83deals (issuers)

$31.83Breported sold

8,644investors

437Form D filings

2012–2026years on file

Follow this person Look further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:16 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

William Shaw is listed as an executive officer and director on 437 SEC Form D filings by 83 issuers between Sep 2012 and Oct 2026. Largest by amount reported sold: SEI Offshore Opportunity Fund II, Ltd. (Georgetown, Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2013–2026; $3.14B reported sold to 364 investors), SPF Securitized Products Master Fund Ltd. (George Town, Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2016–2026; $2.77B reported sold to 2 investors), HG VORA SPECIAL OPPORTUNITIES FUND LTD. (Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2015–2023; $2.57B reported sold to 333 investors), SEI Offshore Advanced Strategy Series SPC, Structured Credit Segregated Portfolio (Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2013–2025; $2.13B reported sold to 146 investors), Octagon Senior Secured Credit Cayman Fund Ltd. (Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2013–2026; $2.07B reported sold to 100 investors) and 78 more (all listed below).

What this means That is a lot of deals — 83 separate companies raised money with this person listed as executive officer and director, over about 14 years. Across those companies the filings report $31.83B sold in total.

Listed alongside Octagon Credit Investors, LLC (68 shared filings, management entity), Michael B. Nechamkin (67 shared filings), Andrew D. Gordon (48 shared filings), George Bashforth (47 shared filings), iCapital Securities, LLC (45 shared filings, management entity) and 162 others.

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

The issuers belong to 4 sponsor groups: Credit Suisse (40 issuers, $4.08B reported sold, 2011–2026), Octagon Clo (25 issuers, $4.35B reported sold, 2011–2026), Ils (16 issuers, $8.69B reported sold, 2009–2026) and Guggenheim (52 issuers, $13.85B reported sold, 2009–2026).

What this means This person is listed across more than one sponsor team; each group page shows that team's full track record.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (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) — 7 court cases matching the name, 53 bankruptcy cases matching the name listed in Key records below.

What this means 60 records came back, including 2 court cases still open — open cases can take years and cost money. 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 the newest 50 of 437 public filings for William Shaw and found 13 differences, 4 worth asking the sponsor about: Amount sold went down between filings; Paid seller listed without a CRD number: Credit Suisse AG; 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 William Shaw has not run yet — it is #11,403 of 32,081 in line; searches run around the clock at the hosts' allowed rate. Searched so far: 638 names.

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

Key records

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

1. Lawsuits

7 cases: 2 open, 3 dismissed, 2 closed (disposition not in docket feed)

United States v. William Shaw open

District Court, D. Massachusetts · No. 1:26-cr-10013 · Filed Jan 15, 2026

Role of William Shaw: Defendant · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (MA); criminal docket

United States v. William Shaw open

District Court, D. Massachusetts · No. 1:26-cr-10013 · Filed Jan 15, 2026

Role of William Shaw: Defendant · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (MA); criminal docket

Laurel A Robson v. William A Shaw dismissed

District Court, C.D. California · No. 2:04-cv-07185 · Filed Aug 27, 2004 · Closed Jan 5, 2005 · Nature of suit: 470 Civil (RICO)

Role of William A Shaw: Defendant · Outcome: Terminated 2005-01-05 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (CA)

Laurel A Robson v. William A Shaw dismissed

District Court, C.D. California · No. 2:04-cv-06565 · Filed Aug 9, 2004 · Closed Aug 25, 2004 · Nature of suit: 470 Civil (RICO)

Role of William A Shaw: Defendant · Outcome: Terminated 2004-08-25 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (CA)

WILLIAM E. SHAW v. AMERICAN STANDARD, INC dismissed

District Court, W.D. Pennsylvania · No. 2:90-cv-01493 · Filed Sep 11, 1990 · Closed Apr 19, 1991 · Nature of suit: 791 Employee Retirement Income Security Act

Role of WILLIAM E. SHAW: Plaintiff · Outcome: Terminated 1991-04-19 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (PA)

FERGUSON ENTERPRISES, INC. v. SHAW, WILLIAM MARK closed

District Court, N.D. Texas · No. · Filed Sep 22, 1988 · Closed Feb 22, 1989 · Nature of suit: 190 Other contract actions

Role of SHAW, WILLIAM MARK: Defendant · Outcome: Terminated 1989-02-22 — FJC Integrated Database disposition: Remanded to state court Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (TX)

William Shaw and Sharon Shaw, infants, by their mother and natural guardian, Mary C. Shaw and Mary C Shaw v. City of New York closed

District Court, E.D. New York · No. 9:67-cv-00953 · Filed Dec 31, 1967 · Closed Dec 31, 1967

Role of William Shaw: Plaintiff · Outcome: Terminated 1967-12-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (NY)

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, 2:16 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 William Shaw..

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

53 cases: 53 closed (disposition not in docket feed)

William P. Shaw closed

United States Bankruptcy Court, W.D. Pennsylvania · No. 21-22679 · Filed Dec 21, 2021 · Closed Apr 13, 2022

Role of William P. Shaw: Debtor · Outcome: Case closed 2022-04-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (PA)

William C. Shaw and Frances L. Shaw closed

United States Bankruptcy Court, E.D. Texas · No. 17-60253 · Filed Mar 31, 2017 · Closed Jul 10, 2017

Role of William C. Shaw and Frances L. Shaw: Debtor · Outcome: Case closed 2017-07-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (TX)

William C. Shaw closed

United States Bankruptcy Court, N.D. California · No. 14-11318 · Filed Sep 11, 2014 · Closed May 29, 2019

Role of William C. Shaw: Debtor · Outcome: Case closed 2019-05-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (CA)

William J. Shaw and Donna L. Shaw closed

United States Bankruptcy Court, W.D. Pennsylvania · No. 14-20560 · Filed Feb 18, 2014 · Closed Jun 16, 2014

Role of William J. Shaw and Donna L. Shaw: Debtor · Outcome: Case closed 2014-06-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (PA)

William T Shaw closed

United States Bankruptcy Court, E.D. New York · No. 1-14-40328 · Filed Jan 27, 2014 · Closed Apr 24, 2014

Role of William T Shaw: Debtor · Outcome: Case closed 2014-04-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (NY)

William Shaw closed

United States Bankruptcy Court, W.D. New York · No. 1-12-10511 · Filed Feb 24, 2012 · Closed Jun 15, 2012

Role of William Shaw: Debtor · Outcome: Case closed 2012-06-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (NY)

William T. Shaw closed

United States Bankruptcy Court, D. Massachusetts · No. 11-21919 · Filed Dec 28, 2011 · Closed Jun 30, 2017

Role of William T. Shaw: Debtor · Outcome: Case closed 2017-06-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (MA)

William Shaw closed

United States Bankruptcy Court, W.D. New York · No. 1-11-12998 · Filed Aug 30, 2011 · Closed Jan 18, 2012

Role of William Shaw: Debtor · Outcome: Case closed 2012-01-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (NY)

William E Shaw and Deborah Shaw closed

United States Bankruptcy Court, N.D. New York · No. 11-30576 · Filed Mar 21, 2011 · Closed Jan 5, 2017

Role of William E Shaw and Deborah Shaw: Debtor · Outcome: Case closed 2017-01-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (NY)

Lorena Shaw and William A Shaw closed

United States Bankruptcy Court, D. Massachusetts · No. 10-30630 · Filed Apr 1, 2010 · Closed Sep 9, 2010

Role of William A Shaw: Debtor · Outcome: Case closed 2010-09-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (MA)

William M Shaw closed

United States Bankruptcy Court, W.D. New York · No. 2-09-21344 · Filed May 21, 2009 · Closed Dec 30, 2014

Role of William M Shaw: Debtor · Outcome: Case closed 2014-12-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (NY)

William M. Shaw, Jr. closed

United States Bankruptcy Court, N.D. New York · No. 08-30329 · Filed Feb 20, 2008 · Closed Jul 1, 2008

Role of William M. Shaw, Jr.: Debtor · Outcome: Case closed 2008-07-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (NY)

WILLIAM L SHAW closed

United States Bankruptcy Court, D. Minnesota · No. 07-60373 · Filed Jun 20, 2007 · Closed Oct 29, 2008

Role of WILLIAM L SHAW: Debtor · Outcome: Case closed 2008-10-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (MN)

WILLIAM D SHAW and DEBRA J SHAW closed

United States Bankruptcy Court, D. Minnesota · No. 05-36553 · Filed Sep 15, 2005 · Closed Sep 29, 2008

Role of WILLIAM D SHAW and DEBRA J SHAW: Debtor · Outcome: Case closed 2008-09-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (MN)

William C. Shaw and Debra E. Shaw closed

United States Bankruptcy Court, W.D. Pennsylvania · No. 05-28907 · Filed Jul 9, 2005 · Closed Nov 23, 2005

Role of William C. Shaw and Debra E. Shaw: Debtor · Outcome: Case closed 2005-11-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (PA)

William W Shaw closed

United States Bankruptcy Court, E.D. New York · No. 8-05-81376 · Filed Mar 4, 2005 · Closed Jul 14, 2005

Role of William W Shaw: Debtor · Outcome: Case closed 2005-07-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (NY)

William W Shaw closed

United States Bankruptcy Court, E.D. New York · No. 1-05-12880 · Filed Mar 4, 2005 · Closed Mar 8, 2005

Role of William W Shaw: Debtor · Outcome: Case closed 2005-03-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (NY)

William E. Shaw closed

United States Bankruptcy Court, N.D. New York · No. 04-68584 · Filed Dec 8, 2004 · Closed Mar 2, 2010

Role of William E. Shaw: Debtor · Outcome: Case closed 2010-03-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (NY)

William T. Shaw and Anita M. Shaw closed

United States Bankruptcy Court, W.D. Pennsylvania · No. 04-30500 · Filed Aug 10, 2004 · Closed Dec 6, 2004

Role of William T. Shaw and Anita M. Shaw: Debtor · Outcome: Case closed 2004-12-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (PA)

William A. Shaw and Margaret E. Shaw closed

United States Bankruptcy Court, D. Delaware · No. 04-11993 · Filed Jul 12, 2004 · Closed Oct 18, 2004

Role of William A. Shaw and Margaret E. Shaw: Debtor · Outcome: Case closed 2004-10-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (DE)

William D Shaw closed

United States Bankruptcy Court, S.D. Texas · No. 04-35639 · Filed Apr 15, 2004 · Closed Nov 7, 2006

Role of William D Shaw: Debtor · Outcome: Case closed 2006-11-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (TX)

William T. Shaw closed

United States Bankruptcy Court, N.D. California · No. 04-51351 · Filed Mar 3, 2004 · Closed Jun 7, 2004

Role of William T. Shaw: Debtor · Outcome: Case closed 2004-06-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (CA)

William W. Shaw closed

United States Bankruptcy Court, E.D. California · No. 03-31058 · Filed Oct 9, 2003 · Closed Aug 28, 2008

Role of William W. Shaw: Debtor · Outcome: Case closed 2008-08-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (CA)

William L. Shaw and Carol A. Shaw closed

United States Bankruptcy Court, E.D. Pennsylvania · No. 03-23893 · Filed Jul 21, 2003 · Closed Feb 11, 2004

Role of William L. Shaw and Carol A. Shaw: Debtor · Outcome: Case closed 2004-02-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (PA)

William P. Shaw and Tiffiny A. Shaw closed

United States Bankruptcy Court, W.D. Pennsylvania · No. 03-25220 · Filed Apr 25, 2003 · Closed Dec 16, 2003

Role of William P. Shaw and Tiffiny A. Shaw: Debtor · Outcome: Case closed 2003-12-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (PA)

William Shaw closed

United States Bankruptcy Court, E.D. New York · No. 1-03-12912 · Filed Mar 10, 2003 · Closed Jul 10, 2003

Role of William Shaw: Debtor · Outcome: Case closed 2003-07-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (NY)

William Shaw closed

United States Bankruptcy Court, S.D. Texas · No. 03-32324 · Filed Feb 14, 2003 · Closed May 23, 2004

Role of William Shaw: Debtor · Outcome: Case closed 2004-05-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (TX)

William A Shaw and Bonnie J Shaw closed

United States Bankruptcy Court, C.D. California · No. 6:02-bk-19555 · Filed Jun 7, 2002 · Closed Sep 30, 2002

Role of William A Shaw and Bonnie J Shaw: Debtor · Outcome: Case closed 2002-09-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (CA)

William H Shaw and Jennifer D. Shaw closed

United States Bankruptcy Court, S.D. California · No. 02-01549 · Filed Feb 13, 2002 · Closed May 28, 2002

Role of William H Shaw and Jennifer D. Shaw: Debtor · Outcome: Case closed 2002-05-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (CA)

William T Shaw closed

United States Bankruptcy Court, E.D. New York · No. 1-01-20267 · Filed Aug 3, 2001 · Closed Jan 30, 2002

Role of William T Shaw: Debtor · Outcome: Case closed 2002-01-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (NY)

William S Shaw and Donna M Shaw closed

United States Bankruptcy Court, C.D. California · No. 1:01-bk-15349 · Filed Jun 1, 2001 · Closed Sep 26, 2001

Role of William S Shaw and Donna M Shaw: Debtor · Outcome: Case closed 2001-09-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (CA)

William A. Shaw and Betty Jo Shaw closed

United States Bankruptcy Court, W.D. Pennsylvania · No. 01-23891 · Filed Apr 12, 2001 · Closed Aug 16, 2001

Role of William A. Shaw and Betty Jo Shaw: Debtor · Outcome: Case closed 2001-08-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (PA)

William Shaw and Catherine Shaw closed

United States Bankruptcy Court, C.D. California · No. 2:00-bk-39315 · Filed Oct 17, 2000 · Closed Jan 24, 2001

Role of William Shaw and Catherine Shaw: Debtor · Outcome: Case closed 2001-01-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (CA)

William M. Shaw closed

United States Bankruptcy Court, W.D. New York · No. 2-99-22107 · Filed Jul 7, 1999 · Closed Oct 25, 1999

Role of William M. Shaw: Debtor · Outcome: Case closed 1999-10-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (NY)

William F Shaw closed

United States Bankruptcy Court, E.D. New York · No. 8-98-85676 · Filed Jun 2, 1998 · Closed Oct 13, 1998

Role of William F Shaw: Debtor · Outcome: Case closed 1998-10-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (NY)

William E. Shaw closed

United States Bankruptcy Court, E.D. Pennsylvania · No. 98-16490 · Filed May 20, 1998 · Closed Oct 28, 1998

Role of William E. Shaw: Debtor · Outcome: Case closed 1998-10-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (PA)

William E. Shaw and Rosetta A. Shaw closed

United States Bankruptcy Court, D. Massachusetts · No. 98-14320 · Filed May 4, 1998 · Closed Aug 13, 1998

Role of William E. Shaw and Rosetta A. Shaw: Debtor · Outcome: Case closed 1998-08-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (MA)

William A. Shaw closed

United States Bankruptcy Court, E.D. Pennsylvania · No. 98-13267 · Filed Mar 13, 1998 · Closed Aug 19, 1998

Role of William A. Shaw: Debtor · Outcome: Case closed 1998-08-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (PA)

William F. Shaw and Linda J. Shaw closed

United States Bankruptcy Court, W.D. Texas · No. 97-60198 · Filed Jan 31, 1997 · Closed May 29, 1998

Role of William F. Shaw and Linda J. Shaw: Debtor · Outcome: Case closed 1998-05-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (TX)

William E. Shaw and Brenda F. Shaw closed

United States Bankruptcy Court, N.D. California · No. 96-49294 · Filed Nov 1, 1996 · Closed Jun 15, 1999

Role of William E. Shaw and Brenda F. Shaw: Debtor · Outcome: Case closed 1999-06-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (CA)

William D. Shaw and Linda L. Shaw closed

United States Bankruptcy Court, W.D. New York · No. 2-96-22942 · Filed Oct 7, 1996 · Closed Mar 6, 1998

Role of William D. Shaw and Linda L. Shaw: Debtor · Outcome: Case closed 1998-03-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (NY)

William D Shaw closed

United States Bankruptcy Court, C.D. California · No. 1:96-bk-19318 · Filed Aug 15, 1996 · Closed Feb 20, 1997

Role of William D Shaw: Debtor · Outcome: Case closed 1997-02-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (CA)

William D Shaw, III closed

United States Bankruptcy Court, S.D. Texas · No. 96-47188 · Filed Aug 7, 1996 · Closed Jul 28, 1998

Role of William D Shaw, III: Debtor · Outcome: Case closed 1998-07-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (TX)

William C Shaw and Rebecca J Shaw closed

United States Bankruptcy Court, S.D. Texas · No. 95-43728 · Filed May 19, 1995 · Closed Apr 24, 1996

Role of William C Shaw and Rebecca J Shaw: Debtor · Outcome: Case closed 1996-04-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (TX)

William A. Shaw closed

United States Bankruptcy Court, N.D. California · No. 95-50313 · Filed Jan 19, 1995 · Closed Jan 30, 1996

Role of William A. Shaw: Debtor · Outcome: Case closed 1996-01-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (CA)

WILLIAM R SHAW and SHIRLEY A SHAW closed

United States Bankruptcy Court, D. Minnesota · No. 94-44895 · Filed Sep 29, 1994 · Closed Mar 9, 1995

Role of WILLIAM R SHAW and SHIRLEY A SHAW: Debtor · Outcome: Case closed 1995-03-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (MN)

William H. Shaw and Lynne A. Shaw closed

United States Bankruptcy Court, D. Massachusetts · No. 94-43097 · Filed Jul 11, 1994 · Closed Nov 18, 1997

Role of William H. Shaw and Lynne A. Shaw: Debtor · Outcome: Case closed 1997-11-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (MA)

William Shaw and Debra Shaw closed

United States Bankruptcy Court, W.D. Pennsylvania · No. 93-20950 · Filed Mar 19, 1993 · Closed Jul 30, 1993

Role of William Shaw and Debra Shaw: Debtor · Outcome: Case closed 1993-07-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (PA)

William D. Shaw closed

United States Bankruptcy Court, S.D. California · No. 92-09263 · Filed Aug 5, 1992 · Closed Mar 3, 1993

Role of William D. Shaw: Debtor · Outcome: Case closed 1993-03-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (CA)

William Shaw closed

United States Bankruptcy Court, N.D. New York · No. 92-10976 · Filed Mar 5, 1992 · Closed Oct 30, 1992

Role of William Shaw: Debtor · Outcome: Case closed 1992-10-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (NY)

William E. Shaw and Shirley I. Shaw closed

United States Bankruptcy Court, N.D. New York · No. 90-12140 · Filed Jul 27, 1990 · Closed Feb 11, 1991

Role of William E. Shaw and Shirley I. Shaw: Debtor · Outcome: Case closed 1991-02-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (NY)

William J. Shaw and Lori-Ann Shaw closed

United States Bankruptcy Court, W.D. New York · No. 2-89-21728 · Filed Sep 25, 1989 · Closed Feb 15, 1990

Role of William J. Shaw and Lori-Ann Shaw: Debtor · Outcome: Case closed 1990-02-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (NY)

William A. Shaw and Margaret E. Shaw closed

United States Bankruptcy Court, D. Delaware · No. 87-00130 · Filed Apr 10, 1987 · Closed Oct 17, 1988

Role of William A. Shaw and Margaret E. Shaw: Debtor · Outcome: Case closed 1988-10-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 400 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (DE)

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, 2:16 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.

4. Differences between public sources

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

13 differences found between the filings for William Shaw — 4 worth asking about (compared the newest 50 of 437 filings on Oct 24, 2026; older filings not covered)

Worth asking · Jun 6, 2025 – Jun 4, 2026

Amount sold went down between filings — SEI Offshore Opportunity Fund II, Ltd.

The Jun 6, 2025 filing says $3,137,632,628 sold; the Jun 4, 2026 Form D/A says $3,137,623,627 sold — $9,001 less.

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

Form D/A (earlier) · Jun 6, 2025 ↗Form D/A (later) · Jun 4, 2026 ↗SEI Offshore Opportunity Fund II, Ltd. — PartnerFacts page ↗

Sources

Form D/A (earlier) · Jun 6, 2025 ↗ (Jun 6, 2025)
Form D/A (later) · Jun 4, 2026 ↗ (Jun 4, 2026)
SEI Offshore Opportunity Fund II, Ltd. — PartnerFacts page ↗ (Jun 4, 2026)

Worth asking · Jun 6, 2024 – Jun 5, 2025

Amount sold went down between filings — SEI Special Situations Fund, Ltd.

The Jun 6, 2024 filing says $1,880,847,543 sold; the Jun 5, 2025 Form D/A says $1,601,547,155 sold — $279,300,388 less.

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

Form D/A (earlier) · Jun 6, 2024 ↗Form D/A (later) · Jun 5, 2025 ↗SEI Special Situations Fund, Ltd. — PartnerFacts page ↗

Sources

Form D/A (earlier) · Jun 6, 2024 ↗ (Jun 6, 2024)
Form D/A (later) · Jun 5, 2025 ↗ (Jun 5, 2025)
SEI Special Situations Fund, Ltd. — PartnerFacts page ↗ (Jun 4, 2026)

Note · Aug 13, 2025

iCapital Markets LLC is both a listed promoter and a paid seller — Millennium USA HedgeFocus Fund LP

The Aug 13, 2025 Form D/A lists ICAPITAL MARKETS LLC as promoter of the issuer and also as a person receiving sales compensation (CRD 118219). Sales commissions reported on this filing: $3,504,761.

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/A · Aug 13, 2025 ↗iCapital Markets LLC — PartnerFacts page ↗Millennium USA HedgeFocus Fund LP — PartnerFacts page ↗

Sources

Form D/A · Aug 13, 2025 ↗ (Aug 13, 2025)
iCapital Markets LLC — PartnerFacts page ↗
Millennium USA HedgeFocus Fund LP — PartnerFacts page ↗ (Oct 9, 2026)

Note · Aug 13, 2025

iCapital Markets LLC is both a listed promoter and a paid seller — SPF HedgeFocus Fund LP

The Aug 13, 2025 Form D/A lists ICAPITAL MARKETS LLC as promoter of the issuer and also as a person receiving sales compensation (CRD 118219). Sales commissions reported on this filing: $62,224.

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/A · Aug 13, 2025 ↗iCapital Markets LLC — PartnerFacts page ↗SPF HedgeFocus Fund LP — PartnerFacts page ↗

Sources

Form D/A · Aug 13, 2025 ↗ (Aug 13, 2025)
iCapital Markets LLC — PartnerFacts page ↗
SPF HedgeFocus Fund LP — PartnerFacts page ↗ (Oct 9, 2026)

Worth asking · Feb 27, 2019 – Feb 24, 2026

Paid seller listed without a CRD number: Credit Suisse AG — SPF Securitized Products Fund Ltd.

Credit Suisse AG is listed as receiving sales compensation on 9 filings (Feb 27, 2019 to Feb 24, 2026) with no FINRA CRD number given.

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

Form D/A · Feb 24, 2026 ↗BrokerCheck search: Credit Suisse AG ↗SPF Securitized Products Fund Ltd. — PartnerFacts page ↗

Sources

Form D/A · Feb 24, 2026 ↗ (Feb 24, 2026)
BrokerCheck search: Credit Suisse AG ↗
SPF Securitized Products Fund Ltd. — PartnerFacts page ↗ (Feb 24, 2026)

Note · Dec 24, 2025 – Jan 12, 2026

Form D filed 19 days after the first sale — Hawke's Point Critical Metals Fund LP

The filing says the first sale was Dec 24, 2025. The Form D was filed Jan 12, 2026 — 19 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 4 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Form D · Jan 12, 2026 ↗Hawke's Point Critical Metals Fund LP — PartnerFacts page ↗

Sources

Form D · Jan 12, 2026 ↗ (Jan 12, 2026)
Hawke's Point Critical Metals Fund LP — PartnerFacts page ↗ (Jan 12, 2026)

Note · Dec 1, 2020 – Oct 16, 2025

No amendment in the last 12 months on an offering that may still be open — Dynamic Alpha Commodity Fund, Ltd. (latest filing Oct 16, 2025)

The latest filing for this offering is dated Oct 16, 2025 (first sale Dec 1, 2020). It reports $85,001,700 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.

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

Form D/A · Oct 16, 2025 ↗Dynamic Alpha Commodity Fund, Ltd. — PartnerFacts page ↗

Sources

Form D/A · Oct 16, 2025 ↗ (Oct 16, 2025)
Dynamic Alpha Commodity Fund, Ltd. — PartnerFacts page ↗ (Oct 16, 2025)

Worth asking · Jun 5, 2025 – Jun 4, 2026

William Shaw is no longer listed on the Jun 4, 2026 amendment — SEI Offshore Advanced Strategy Series SPC, Structured Credit Segregated Portfolio

William Shaw appears on the Jun 5, 2025 Form D/A (director) but not on the Jun 4, 2026 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 5, 2025 ↗Form D/A · Jun 4, 2026 ↗William Shaw — PartnerFacts page ↗SEI Offshore Advanced Strategy Series SPC, Structured Credit Segregated Portfolio — PartnerFacts page ↗

Sources

Form D/A · Jun 5, 2025 ↗ (Jun 5, 2025)
Form D/A · Jun 4, 2026 ↗ (Jun 4, 2026)
William Shaw — PartnerFacts page ↗
SEI Offshore Advanced Strategy Series SPC, Structured Credit Segregated Portfolio — PartnerFacts page ↗ (Jun 4, 2026)

Note · Jul 12, 2021 – May 9, 2022

Same name, different state: "William Shaw" (AZ) is a separate record

This page covers filings where the address state is E9 or CA or NY. A separate record, "William Shaw" with address state AZ, is listed on 2 filings — most recently by Better Agency, Inc. (May 9, 2022). Both records have filings in the same period (Jul 12, 2021 to May 9, 2022).

What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.

William Shaw (AZ) — PartnerFacts page ↗Form D · May 9, 2022 ↗Better Agency, Inc. — PartnerFacts page ↗William Shaw (E9,CA,NY) — this page ↗

Sources

William Shaw (AZ) — PartnerFacts page ↗ (May 9, 2022)
Form D · May 9, 2022 ↗ (May 9, 2022)
Better Agency, Inc. — PartnerFacts page ↗ (May 9, 2022)
William Shaw (E9,CA,NY) — this page ↗ (Oct 9, 2026)

Note · Mar 29, 2018 – Apr 13, 2021

Same name, different state: "William Shaw" (MA) is a separate record

This page covers filings where the address state is E9 or CA or NY. A separate record, "William Shaw" with address state MA, is listed on 5 filings — most recently by 149 Medical, Inc. (Apr 13, 2021). Both records have filings in the same period (Mar 29, 2018 to Apr 13, 2021).

William Shaw (MA) — PartnerFacts page ↗Form D · Apr 13, 2021 ↗149 Medical, Inc. — PartnerFacts page ↗William Shaw (E9,CA,NY) — this page ↗

Sources

William Shaw (MA) — PartnerFacts page ↗ (Apr 13, 2021)
Form D · Apr 13, 2021 ↗ (Apr 13, 2021)
149 Medical, Inc. — PartnerFacts page ↗ (Apr 13, 2021)
William Shaw (E9,CA,NY) — this page ↗ (Oct 9, 2026)

Note · Aug 6, 2009

Same name, different state: "William D. Shaw" (WI) is a separate record

This page covers filings where the address state is E9 or CA or NY. A separate record, "William D. Shaw" with address state WI, is listed on 1 filing — most recently by Entertaining at Home, Inc. (Aug 6, 2009). The two records do not overlap in time: this page runs Sep 14, 2012 to Oct 9, 2026; the other has one filing dated Aug 6, 2009.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

William D. Shaw (WI) — PartnerFacts page ↗Form D · Aug 6, 2009 ↗Entertaining at Home, Inc. — PartnerFacts page ↗William Shaw (E9,CA,NY) — this page ↗

Sources

William D. Shaw (WI) — PartnerFacts page ↗ (Aug 6, 2009)
Form D · Aug 6, 2009 ↗ (Aug 6, 2009)
Entertaining at Home, Inc. — PartnerFacts page ↗ (Aug 6, 2009)
William Shaw (E9,CA,NY) — this page ↗ (Oct 9, 2026)

Note · Sep 10, 2015 – Mar 14, 2025

9 address changes between filings

Address moved from New York, NY to Grand Cayman, Cayman Islands (as filed: E9) — Guggenheim Loan Fund, Ltd. · Address moved from Grand Cayman, Cayman Islands (as filed: E9) to Camana Bay, Grand Cayman, Cayman Islands (as filed: E9) — Dynamic Alpha Commodity Fund, Ltd. · Address moved from Chicago, IL to Grand Cayman, Cayman Islands (as filed: E9) — Aon Diversifying Alternatives Portfolio Fund Ltd. · Address moved from George Town, Grand Cayman, Cayman Islands (as filed: E9) to Grand Cayman, Cayman Islands (as filed: E9) — SPF Securitized Products Fund Ltd. · Address moved from George Town, Grand Cayman, Cayman Islands (as filed: E9) to Grand Cayman, Cayman Islands (as filed: E9) — SPF Securitized Products Intermediate Fund Ltd. · and 4 more

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

Form D/A · Mar 15, 2024 ↗Form D/A · Mar 14, 2025 ↗Guggenheim Loan Fund, Ltd. — PartnerFacts page ↗Form D/A · Dec 21, 2021 ↗

Sources

Form D/A · Mar 15, 2024 ↗ (Mar 15, 2024)
Form D/A · Mar 14, 2025 ↗ (Mar 14, 2025)
Guggenheim Loan Fund, Ltd. — PartnerFacts page ↗ (May 15, 2026)
Form D/A · Dec 21, 2021 ↗ (Dec 21, 2021)
Form D/A · Oct 10, 2023 ↗ (Oct 10, 2023)
Dynamic Alpha Commodity Fund, Ltd. — PartnerFacts page ↗ (Oct 16, 2025)
Form D/A · Jun 5, 2018 ↗ (Jun 5, 2018)
Form D/A · Apr 17, 2019 ↗ (Apr 17, 2019)

Note · Oct 23, 2015 – Oct 9, 2026

William Shaw is listed with 2 different address states: E9, NY

Cayman Islands (as filed: E9) on 219 filings (Oct 23, 2015 to Oct 9, 2026); NY on 3 filings (Feb 20, 2025 to Feb 19, 2026).

What this means The address on a Form D is usually the company's, not the person's home, so this often just reflects different companies. It can also mean a move. Nothing wrong by itself.

Form D/A · Oct 23, 2015 ↗Form D · Feb 20, 2025 ↗

Sources

Form D/A · Oct 23, 2015 ↗ (Oct 23, 2015)
Form D · Feb 20, 2025 ↗ (Feb 20, 2025)

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. We compared the newest 50 of 437 filings (work cap); older filings are not covered here. As of Oct 24, 2026.

5. Money to insiders

33 of 85 offerings report sales commissions totalling $36,779,572; 0 report finder's fees; 4 report proceeds to related persons totalling $50,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)	Sales commissions	Finder's fees	To insiders	Paid to sell it	Source
Oct 9, 2026 D/A Octagon High Income Cayman Fund Ltd. File 021-155848	$0	$0	$0	Conning Investment Products, Inc. BrokerCheck CRD 120387 ↗	EDGAR ↗
Oct 9, 2026 D/A Octagon Senior Secured Credit Cayman Fund Ltd. File 021-174687	$0	$0	$0	Conning Investment Products, Inc. BrokerCheck CRD 120387 ↗	EDGAR ↗
Oct 9, 2026 D/A Millennium USA HedgeFocus Fund LP File 021-198374	$3,504,761 (est.)	$0	$0	ICAPITAL MARKETS LLC BrokerCheck CRD 118219 ↗ UBS FINANCIAL SERVICES INC. BrokerCheck CRD 8174 ↗ KEYSTONE GLOBAL PARTNERS LLC BrokerCheck CRD 159341 ↗	EDGAR ↗
Oct 9, 2026 D/A SPF HedgeFocus Fund LP File 021-220252	$62,224 (est.)	$0	$0	ICAPITAL MARKETS LLC BrokerCheck CRD 118219 ↗ UBS FINANCIAL SERVICES INC. BrokerCheck CRD 8174 ↗	EDGAR ↗
Aug 28, 2026 D/A Octagon Credit Opportunities Fund Ltd. File 021-230112	$0	$0	$0 The Issuer pays the Investment Manager a quarterly management fee equal to a percentage of the net asset value of the Issuer.	Conning Investment Products, Inc. BrokerCheck CRD 120387 ↗ via Conning Investment Products, Inc. (CRD 120387 ↗)	EDGAR ↗
Jul 28, 2026 D/A FourSixThree Overseas Fund, Ltd. File 021-407742	$0	$0	$0	None listed on this filing	EDGAR ↗
Jul 15, 2026 D/A SUVRETTA OFFSHORE FUND, LTD. File 021-185190	$0 (est.)	$0 (est.)	$0 (est.) The Investment Manager receives customary management fees.	Bren Ventures LLC BrokerCheck CRD 000139768 ↗ Omar Naeem BrokerCheck CRD 004477016 ↗ via Blue Sand Securities LLC (CRD 000142976 ↗) Citigroup Global Markets Inc. BrokerCheck CRD 000007059 ↗ J. P. Morgan Securities LLC BrokerCheck CRD 000000079 ↗ Park Hill Group LLC BrokerCheck CRD 000135898 ↗ UBS FINANCIAL SERVICES INC. BrokerCheck CRD 000008174 ↗ Oppenheimer & Co. Inc. BrokerCheck CRD 000000249 ↗ Morgan Stanley BrokerCheck CRD 000149777 ↗ Raymond James & Associates, Inc. BrokerCheck CRD 000000705 ↗ Raymond James Financial Services, Inc. BrokerCheck CRD 000006694 ↗	EDGAR ↗
Jul 15, 2026 D/A Averill Fund, Ltd. File 021-363913	$0 (est.)	$0 (est.)	$0 (est.) The Investment Manager receives customary management fees and non-affiliated directors are paid customary directors' fees.	None listed on this filing	EDGAR ↗
Jul 9, 2026 D/A Value Active Fund, Ltd. File 021-372781	$0	$0	$0 The Investment Manager is entitled to a Management Fee and a performance based fee as disclosed in the Issuer's Private Placement Memorandum.	None listed on this filing	EDGAR ↗
Jul 9, 2026 D/A Value Active Fund, LP File 021-372839	$0	$0	$0 The General Partner is entitled to receive compensation in the form of a Management Fee and Performance Allocation as disclosed in the Issuer's Private Placement Memorandum.	None listed on this filing	EDGAR ↗
Jul 6, 2026 D/A Averill Madison Fund, Ltd. File 021-463974	$0	$0	$0	None listed on this filing	EDGAR ↗
Jun 4, 2026 D/A SEI Offshore Opportunity Fund II, Ltd. File 021-127788	$0	$0	$10,000 (est.) Director's fee paid to Maples Fiduciary Services.	N/A no CRD number reported	EDGAR ↗
Jun 4, 2026 D/A SEI Special Situations Fund, Ltd. File 021-130314	$0	$0	$15,000 (est.) Director's fees paid to Maples Fiduciary Services.	N/A no CRD number reported	EDGAR ↗
May 15, 2026 D/A NZC GUGGENHEIM FUND LTD File 021-123969	$268,307 (est.)	$0	$0	Guggenheim Securities, LLC BrokerCheck CRD 40638 ↗ via Guggenheim Securities, LLC (CRD 40638 ↗) Guggenheim Funds Distributors, LLC BrokerCheck CRD 39805 ↗ via Guggenheim Funds Distributors, LLC (CRD 39805 ↗) ABG, LLC BrokerCheck CRD 167190 ↗ via ABG, LLC (CRD 167190 ↗) Kelson Capital LLC BrokerCheck CRD 149477 ↗ via Kelson Capital LLC (CRD 149477 ↗)	EDGAR ↗
May 15, 2026 D/A Guggenheim Loan Fund, Ltd. File 021-247323	$787,940 (est.)	$0	$0	GUGGENHEIM SECURITIES, LLC BrokerCheck CRD 40638 ↗ via GUGGENHEIM SECURITIES, LLC (CRD 40638 ↗) Guggenheim Funds Distributors, LLC BrokerCheck CRD 39805 ↗ via Guggenheim Funds Distributors, LLC (CRD 39805 ↗) ABG, LLC BrokerCheck CRD 167190 ↗ via ABG, LLC (CRD 167190 ↗) Kelson Capital LLC BrokerCheck CRD 149477 ↗ via Kelson Capital LLC (CRD 149477 ↗)	EDGAR ↗
May 15, 2026 D/A Octagon CLO Evergreen Opportunity Fund, Ltd. File 021-545053	$0	$0	$0 The issuer pays the Investment Manager a quarterly management fee equal to a percentage of the net asset value of the Issuer.	Conning Investment Products, Inc. BrokerCheck CRD 120387 ↗	EDGAR ↗
Apr 8, 2026 D/A Octagon Partners CLO Opportunity Fund, Ltd. File 021-366085	$0	$0	$0 The Issuer pays the Investment Manager a quarterly management fee equal to a percentage of the net asset value of the Issuer.	Conning Investment Products, Inc. BrokerCheck CRD 120387 ↗	EDGAR ↗
Mar 17, 2026 D/A Aon Diversifying Alternatives Portfolio Fund Ltd. File 021-197370	$0	$0	$0	Aon Securities Inc. BrokerCheck CRD 4138 ↗	EDGAR ↗
Feb 24, 2026 D/A SPF Securitized Products Master Fund Ltd. File 021-171269	$0	$0	$0	None listed on this filing	EDGAR ↗
Feb 24, 2026 D/A SPF Securitized Products Fund Ltd. File 021-179840	$0	$0	$0 Customary advisory fees are paid to the Investment Manager by the Issuer and by SPF Securitized Products Intermediate Fund Ltd. which acts as a master fund for the Issuer, as provided in the Issuer's offering materials.	Morgan Stanley, Smith Barney LLC BrokerCheck CRD 149777 ↗ via Morgan Stanley, Smith Barney LLC (CRD 149777 ↗) Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ via Credit Suisse Securities (USA) LLC (CRD 816 ↗) iCapital Securities, LLC BrokerCheck CRD 171061 ↗ via iCapital Securities, LLC (CRD 171061 ↗) Credit Suisse AG no CRD number reported via Credit Suisse AG J.P. Morgan Securities LLC BrokerCheck CRD 79 ↗ via J.P. Morgan Securities LLC (CRD 79 ↗) Wells Fargo Clearing Services, LLC BrokerCheck CRD 19616 ↗ via Wells Fargo Clearing Services, LLC (CRD 19616 ↗) Wells Fargo Advisors Financial Network, LLC BrokerCheck CRD 11025 ↗ via Wells Fargo Advisors Financial Network, LLC (CRD 11025 ↗) UBS Asset Management (Americas) LLC BrokerCheck CRD 106838 ↗ via UBS Securities LLC (CRD 7654 ↗)	EDGAR ↗
Feb 24, 2026 D/A SPF Securitized Products Intermediate Fund Ltd. File 021-288439	$0	$0	$0 Customary advisory fees are paid to the Investment Manager as provided for in the Issuer's offering materials.	None listed on this filing	EDGAR ↗
Feb 19, 2026 D/A Tetragon Credit Income V L.P. File 021-538826	$0	$0	$0	None listed on this filing	EDGAR ↗
Jan 14, 2026 D/A LODGE HILL FUND, LTD. File 021-307422	$0 (est.)	$0 (est.)	$0 (est.) The Investment Manager is paid customary management fees.	None listed on this filing	EDGAR ↗
Jan 12, 2026 D Hawke's Point Critical Metals Fund LP File 021-569685	$0	$0	$0	FALLS BRIDGE SECURITIES, LLC BrokerCheck CRD 299526 ↗	EDGAR ↗
Nov 21, 2025 D/A Octagon CLO Investment Grade Income Fund, Ltd. File 021-498380	$0	$0	$0 The Issuer pays the Investment Manager a quarterly management fee equal to a percentage of the net asset value of the Issuer.	Conning Investment Products, Inc. BrokerCheck CRD 120387 ↗	EDGAR ↗
Oct 16, 2025 D/A Dynamic Alpha Commodity Fund, Ltd. File 021-384529	$0	$0	$0 Customary Advisory fees will be paid by the Issuer to the Investment Manager as provided for in the Issuer's offering materials.	None listed on this filing	EDGAR ↗
Jun 5, 2025 D/A SEI Offshore Advanced Strategy Series SPC, Structured Credit Segregated Portfolio File 021-127795	$0	$0	$15,000 (est.) Annual Director's fee.	N/A no CRD number reported	EDGAR ↗
Apr 8, 2025 D/A Octagon StepStone CLO Fund, Ltd. File 021-473755	$0	$0	$0 The Issuer pays the Investment Manager [a] quarterly management fee equal to a percentage of the net asset value of the Issuer.	None listed on this filing	EDGAR ↗
Oct 10, 2024 D/A SAPIC Sector (SPC) File 021-222026	$0	$0	$0 Customary advisory fees are paid to the Investment Manager as provided for in the Issuer's offering materials.	None listed on this filing	EDGAR ↗
Jan 2, 2024 D/A Millennium International HedgeFocus Fund Ltd File 021-198373	$5,902,082 (est.)	$0	$0	Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ iCapital Securities, LLC BrokerCheck CRD 171061 ↗ Morgan Stanley Smith Barney LLC BrokerCheck CRD 149777 ↗ Jefferies LLC BrokerCheck CRD 2347 ↗	EDGAR ↗
Jan 2, 2024 D/A SPF HedgeFocus Fund Ltd File 021-222320	$78,177 (est.)	$0	$0	Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ iCapital Securities, LLC BrokerCheck CRD 171061 ↗	EDGAR ↗
Jan 2, 2024 D/A Canyon Balanced HedgeFocus Fund Ltd File 021-233892	$5,244 (est.)	$0	$0	Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ iCapital Securities, LLC BrokerCheck CRD 171061 ↗	EDGAR ↗
Oct 27, 2023 D/A HG VORA SPECIAL OPPORTUNITIES FUND LTD. File 021-136012	$0	$0	$0 The fund charges a management fee that is described in the fund's offering documents.	Perkins Fund Marketing, L.L.C. BrokerCheck CRD 45642 ↗ Stifel Nicolaus & Company, Incorporated BrokerCheck CRD 793 ↗ Papamarkou Wellner & Co., Inc. BrokerCheck CRD 10962 ↗	EDGAR ↗
Jul 5, 2022 D/A Audax Direct Lending Solutions Fund II-D, L.P. File 021-404422	$0	$0	$0	None listed on this filing	EDGAR ↗
Jun 29, 2022 D/A Suvretta Long Fund, Ltd. File 021-316181	$0 (est.)	$0 (est.)	$0 (est.) The Investment Manager receives customary management fees.	None listed on this filing	EDGAR ↗
May 6, 2022 D Carlyle Buyout VIII Access Fund (Offshore), L.P. File 021-444800	$0	$0	$0	Merrill Lynch, Pierce, Fenner & Smith Incorporated BrokerCheck CRD 7691 ↗	EDGAR ↗
Mar 11, 2022 D/A Tiger Legatus Offshore Fund, Ltd. File 021-160630	$0 (est.)	$0 (est.)	$0 (est.) The Investment Manager is paid customary management fees and the non-affiliated Directors of the Issuer, T. Glenn Mitchell and William Shaw, are paid customary directors' fees.	UBS Financial Services Inc. BrokerCheck CRD 8174 ↗	EDGAR ↗
Feb 18, 2022 D/A A.W. JONES FUND, LTD. File 021-174428	$0 (est.)	$0 (est.)	$0 (est.) The Investment Manager is paid customary management fees and non-affiliated Directors are paid customary director's fees.	Thomas W. Watts BrokerCheck CRD 2598112 ↗ via KARBONE CAPITAL MARKETS, LLC (CRD 150704 ↗) Bhargava Capital BrokerCheck CRD 131817 ↗ Fort Ghent Brokerage LLC BrokerCheck CRD 170803 ↗ Alpha Strategies Investment Consulting Inc. BrokerCheck CRD 151782 ↗ Tangent Capital Partners, LLC BrokerCheck CRD 146999 ↗ Yuki-Co, LLC BrokerCheck CRD 282236 ↗ First Dominion Capital Corp. (dba Bhargava Capital) BrokerCheck CRD 16330 ↗	EDGAR ↗
Jan 27, 2022 D Audax Direct Lending Solutions Fund II-D Feeder, L.P. File 021-431057	$0	$0	$0 THE GENERAL PARTNER IS ENTITLED TO A PERFORMANCE ALLOCATION. THE GENERAL PARTNER IS ALSO ENTITLED TO A MANAGEMENT FEE. THE PERFORMANCE ALLOCATION AND MANAGEMENT FEE ARE FULLY DISCLOSED IN THE ISSUER'S CONFIDENTIAL OFFERING MATERIALS.	None listed on this filing	EDGAR ↗
Jan 11, 2022 D/A Guggenheim Core Plus Fund, Ltd. File 021-261297	$70,835 (est.)	$0	$0	Guggenheim Funds Distributors, LLC BrokerCheck CRD 39805 ↗ via Guggenheim Funds Distributors, LLC (CRD 39805 ↗)	EDGAR ↗
Oct 15, 2021 D/A Guggenheim High-Yield Fund, Ltd. File 021-253730	$37,500 (est.)	$0	$0	Guggenheim Funds Distributors, LLC BrokerCheck CRD 39805 ↗ via Guggenheim Funds Distributors, LLC (CRD 39805 ↗)	EDGAR ↗
May 18, 2021 D/A Beach Point Access Ltd. File 021-127278	$4,220,391 (est.)	$0	$0	Merrill Lynch, Pierce, Fenner & Smith Incorporated BrokerCheck CRD 7691 ↗	EDGAR ↗
May 18, 2021 D/A Monarch Debt Recovery Participation Fund Ltd. File 021-146658	$554,974 (est.)	$0	$0	Merrill Lynch, Pierce, Fenner & Smith Incorporated BrokerCheck CRD 7691 ↗	EDGAR ↗
May 18, 2021 D/A AG Mortgage Value Participation Fund Ltd. File 021-192876	$4,924,322 (est.)	$0	$0	Merrill Lynch, Pierce, Fenner & Smith Incorporated BrokerCheck CRD 7691 ↗	EDGAR ↗
Mar 10, 2021 D/A LAKE GENEVA OFFSHORE FUND LTD. File 021-207177	$0	$0	$0	N/A - None no CRD number reported	EDGAR ↗
Feb 12, 2021 D EKSO BIONICS HOLDINGS, INC. File 021-389424	$0	$0	$0	None listed on this filing	EDGAR ↗
Feb 5, 2021 D/A Cornwall Offshore Ltd. File 021-173233	$590,780	$0	$0 The fund charges a management fee that is described in the fund's offering documents.	Gordian Investment Solutions, LLC BrokerCheck CRD 158611 ↗	EDGAR ↗
Sep 1, 2020 D/A Octagon Investment Grade CLO Opportunity Fund, Ltd. File 021-347743	$0	$0	$0 The Issuer pays the Investment Manager a quarterly management fee equal to a percentage of the net asset value of the Issuer.	Conning Investment Products, Inc. BrokerCheck CRD 120387 ↗	EDGAR ↗
Jun 25, 2020 D EKSO BIONICS HOLDINGS, INC. File 021-369730	$552,301	$0	$0	H.C. Wainwright & Co., LLC BrokerCheck CRD 375 ↗	EDGAR ↗
Jun 18, 2020 D/A MKP Opportunity HedgeFocus Fund Ltd File 021-225258	$118,360 (est.)	$0	$0	Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ iCapital Securities, LLC BrokerCheck CRD 171061 ↗	EDGAR ↗
Jun 18, 2020 D/A Aspect US HedgeFocus Fund LP File 021-193700	$255,925 (est.)	$0	$0	Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ iCapital Securities, LLC BrokerCheck CRD 171061 ↗	EDGAR ↗
Jun 18, 2020 D/A MKP Opportunity HedgeFocus Fund LP File 021-193702	$1,496,936 (est.)	$0	$0	Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ iCapital Securities, LLC BrokerCheck CRD 171061 ↗	EDGAR ↗
Sep 20, 2019 D/A Octagon Credit Opportunities Fund LP File 021-230114	$0	$0	$0 The Issuer pays the Investment Manager a quarterly management fee equal to a percentage of the net asset value of the Issuer.	Conning Investment Products, Inc. BrokerCheck CRD 120387 ↗	EDGAR ↗
Jun 5, 2019 D/A OZOSII HedgeFocus Fund Ltd File 021-193711	$470,638 (est.)	$0	$0	Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ iCapital Securities, LLC BrokerCheck CRD 171061 ↗	EDGAR ↗
Jun 6, 2018 D/A Macquarie Absolute Return Real Estate Fund (Cayman), Ltd. File 021-201919	$0	$0	$0	Macquarie Funds Management Hong Kong Limited BrokerCheck CRD 163553 ↗	EDGAR ↗
Jun 6, 2018 D/A Macquarie Absolute Return Real Estate Fund (Master), Ltd. File 021-201920	$0	$0	$0	None listed on this filing	EDGAR ↗
May 1, 2018 D/A Tide Point HedgeFocus Fund Ltd File 021-220259	$45,464 (est.)	$0	$0	Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ iCapital Securities, LLC BrokerCheck CRD 171061 ↗	EDGAR ↗
Apr 12, 2018 D Audax Direct Lending Solutions Fund-D, L.P. File 021-310043	$0	$0	$0 (est.) The designated limited partner is entitled to a performance allocation. The general partner is entitled to a management fee. The performance allocation and management fee are fully discussed in the Issuer's confidential offering materials.	None listed on this filing	EDGAR ↗
Jan 9, 2018 D/A Panning Overseas Fund, Ltd. File 021-186044	$0	$0	$0	None listed on this filing	EDGAR ↗
Oct 26, 2017 D/A ILS Property & Casualty Fund II, L.P. File 021-297256	$0	$0	$0 Customary advisory fees will be paid to the Investment Manager as provided for in the Issuer's offering materials.	None listed on this filing	EDGAR ↗
Oct 26, 2017 D/A ILS Property & Casualty Feeder Fund II, L.P. File 021-297243	$0	$0	$0 Customary advisory fees will be paid to the Investment Manager as provided for in the Issuer's offering materials.	None listed on this filing	EDGAR ↗
Jul 14, 2017 D/A Marianas Fund Ltd. File 021-200315	$570,467	$0	$0 The fund charges a management fee that is described in the fund's offering documents.	OCP Capital, LLC BrokerCheck CRD 143381 ↗	EDGAR ↗
Apr 11, 2017 D/A Gavea Global Macro HedgeFocus Fund Ltd File 021-175599	$105,337 (est.)	$0	$0	Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ iCapital Securities, LLC BrokerCheck CRD 171061 ↗	EDGAR ↗
Apr 11, 2017 D/A Doonbeg HedgeFocus Fund Ltd File 021-198385	$230,580 (est.)	$0	$0	Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ iCapital Securities, LLC BrokerCheck CRD 171061 ↗	EDGAR ↗
Apr 11, 2017 D/A York Credit Opportunities HedgeFocus Fund Ltd File 021-198380	$431,465 (est.)	$0	$0	Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ iCapital Securities, LLC BrokerCheck CRD 171061 ↗	EDGAR ↗
Oct 21, 2016 D/A Guggenheim Partners Opportunistic Investment Grade Securities Fund 2015, Ltd. File 021-247321	$675,000 (est.)	$0	$0	Guggenheim Funds Distributors, LLC BrokerCheck CRD 39805 ↗ via Guggenheim Funds Distributors, LLC (CRD 39805 ↗) Guggenheim Funds Distributors, LLC BrokerCheck CRD 39805 ↗ via Guggenheim Funds Distributors, LLC (CRD 39805 ↗)	EDGAR ↗
Oct 21, 2016 D/A GUGGENHEIM HIGH-YIELD FUND, LLC File 021-203969	$170,466 (est.)	$0	$0	Guggenheim Securities, LLC BrokerCheck CRD 40638 ↗ via Guggenheim Securities, LLC (CRD 40638 ↗) Guggenheim Funds Distributors, LLC BrokerCheck CRD 39805 ↗ via Guggenheim Funds Distributors, LLC (CRD 39805 ↗)	EDGAR ↗
Jun 10, 2016 D/A SPF Securitized Products Intermediate Fund Ltd. File 021-179839	$0	$0	$0 Customary advisory fees are paid by the Issuer to the Investment Manager as provided for in the Issuer's offering materials.	- no CRD number reported via UBS Financial Services Inc. (CRD 8174 ↗) - no CRD number reported via Credit Suisse Securities (USA) LLC (CRD 816 ↗) - no CRD number reported via iCapital Securities, LLC (CRD 171061 ↗)	EDGAR ↗
Sep 10, 2015 D/A Finisterre Sovereign Debt HedgeFocus Fund Ltd File 021-175592	$677,082 (est.)	$0	$0	Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗	EDGAR ↗
Sep 10, 2015 D/A Absolute Return Capital HedgeFocus Fund Ltd File 021-193699	$168,195 (est.)	$0	$0	Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗	EDGAR ↗
Sep 10, 2015 D/A BlackGold Opportunity HedgeFocus Fund Ltd File 021-200218	$560,940 (est.)	$0	$0	Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗	EDGAR ↗
Sep 10, 2015 D/A York Multi-Strategy HedgeFocus Fund Ltd File 021-220266	$99,288 (est.)	$0	$0	Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗	EDGAR ↗
Sep 10, 2015 D/A York Total Return HedgeFocus Fund Ltd File 021-175597	$117,985 (est.)	$0	$0	Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗	EDGAR ↗
Sep 10, 2015 D/A Susa HedgeFocus Fund Ltd File 021-242813	$0 (est.)	$0	$0	Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗	EDGAR ↗
Aug 25, 2015 D/A Brandes Investment Partners Trust File 021-223766	$0	$0	$0	Guggenheim Funds Distributors, LLC BrokerCheck CRD 39805 ↗ via Guggenheim Funds Distributors, LLC (CRD 39805 ↗) Guggenheim Funds Distributors, LLC BrokerCheck CRD 39805 ↗ via Guggenheim Funds Distributors, LLC (CRD 39805 ↗)	EDGAR ↗
Aug 5, 2015 D/A Cardinal AlternativeFocus HBK Fund II L.P. File 021-191674	$910,356 (est.)	$0	$0	Barclays Capital Inc. BrokerCheck CRD 19714 ↗ via Barclays Capital Inc. (CRD 19714 ↗) Guggenheim Funds Distributors, LLC BrokerCheck CRD 39805 ↗ via Guggenheim Funds Distributors, LLC (CRD 39805 ↗)	EDGAR ↗
Oct 9, 2014 D ETM Fund Ltd. File 021-226142	$0	$0	$0	None listed on this filing	EDGAR ↗
Sep 11, 2014 D/A Guggenheim High-Yield Plus Fund SPC File 021-132059	$0	$0	$0	Guggenheim Securities, LLC BrokerCheck CRD 40638 ↗	EDGAR ↗
Jul 31, 2014 D/A West Road Master Fund, Ltd. File 021-200565	$0	$0	$0	None listed on this filing	EDGAR ↗
Sep 16, 2013 D/A Drug Royalty III (Feeder DE), L.P. File 021-189587	$4,283,750 (est.)	$0 (est.)	$0 (est.) Issuer's confidential offering materials fully discuss management fees.	Atlantic-Pacific Capital, Inc. BrokerCheck CRD 38356 ↗	EDGAR ↗
Sep 16, 2013 D/A Drug Royalty III (Feeder EU), L.P. File 021-189664	$3,831,500 (est.)	$0 (est.)	$0 (est.) Issuer's confidential offering materials fully discuss management fees.	Atlantic-Pacific Capital, Inc. BrokerCheck CRD 38356 ↗	EDGAR ↗
Jul 11, 2013 D/A SEI OFFSHORE OPPORTUNITY FUND LTD File 021-59534	$0	$0	$10,000 (est.) Annual Director's fee.	None listed on this filing	EDGAR ↗
May 2, 2013 D Global Agriculture Absolute Return Fund Ltd. File 021-195914	$0	$0	$0	None listed on this filing	EDGAR ↗
Mar 18, 2013 D/A OAK HILL CREDIT OPPORTUNITIES FUND LTD File 021-85346	$0	$0	$0 Customary management fees will be paid to Oak Hill Credit Opportunities Management, LLC, an entity controlled by certain individuals listed in Item 3 above, as described in the Issuer's Confidential Private Placement Memorandum.	JP Morgan Securities Inc. BrokerCheck CRD 79 ↗	EDGAR ↗
Sep 14, 2012 D/A Carilliam Global Offshore, Ltd. File 021-175037	$0	$0	$0	None listed on this filing	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 83

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

Pooled Investment Fund · group: Octagon Clo

Octagon High Income Cayman Fund Ltd.

Grand Cayman, Cayman Islands (as filed: E9) · Feb 22, 2013 → Oct 9, 2026 · 15 filings

Oct 9, 2026 · D/A · $256,331,786 sold of Indefinite · 65 investors · min. $1,000,000 · role: Director EDGAR ↗
Oct 10, 2025 · D/A · $256,331,786 sold of Indefinite · 65 investors · min. $1,000,000 · role: Director EDGAR ↗
Oct 10, 2024 · D/A · $256,282,786 sold of Indefinite · 65 investors · min. $1,000,000 · role: Director EDGAR ↗
Oct 10, 2023 · D/A · $254,129,288 sold of Indefinite · 62 investors · min. $1,000,000 · role: Director EDGAR ↗
Oct 11, 2022 · D/A · $253,399,288 sold of Indefinite · 60 investors · min. $1,000,000 · role: Director EDGAR ↗
Oct 12, 2021 · D/A · $188,549,288 sold of Indefinite · 58 investors · min. $1,000,000 · role: Director EDGAR ↗
Oct 9, 2020 · D/A · $134,849,288 sold of Indefinite · 56 investors · min. $1,000,000 · role: Director EDGAR ↗
Oct 9, 2019 · D/A · $130,999,288 sold of Indefinite · 54 investors · min. $1,000,000 · role: Director EDGAR ↗
Oct 9, 2018 · D/A · $129,299,288 sold of Indefinite · 53 investors · min. $1,000,000 · role: Director EDGAR ↗
Oct 6, 2017 · D/A · $114,099,288 sold of Indefinite · 49 investors · min. $1,000,000 · role: Director EDGAR ↗
Oct 6, 2016 · D/A · $101,829,298 sold of Indefinite · 53 investors · min. $1,000,000 · role: Director EDGAR ↗
Feb 24, 2016 · D/A · $85,412,461 sold of Indefinite · 57 investors · min. $1,000,000 · role: Director EDGAR ↗
Feb 24, 2015 · D/A · $81,812,461 sold of Indefinite · 56 investors · min. $1,000,000 · role: Director EDGAR ↗
Feb 24, 2014 · D/A · $74,499,497 sold of Indefinite · 41 investors · min. $1,000,000 · role: Director EDGAR ↗
Feb 22, 2013 · D/A · $45,856,831 sold of Indefinite · 29 investors · min. $1,000,000 · role: Director EDGAR ↗

Raised $256.3M from 65 investors as of the latest filing. William is listed as director on 15 filings for this deal.

William Shaw

The short version

What the community is saying

Key records

1. Lawsuits

2. Regulatory actions

3. Bankruptcies

4. Differences between public sources

Amount sold went down between filings — SEI Offshore Opportunity Fund II, Ltd.

Amount sold went down between filings — SEI Special Situations Fund, Ltd.

iCapital Markets LLC is both a listed promoter and a paid seller — Millennium USA HedgeFocus Fund LP

iCapital Markets LLC is both a listed promoter and a paid seller — SPF HedgeFocus Fund LP

Paid seller listed without a CRD number: Credit Suisse AG — SPF Securitized Products Fund Ltd.

Form D filed 19 days after the first sale — Hawke's Point Critical Metals Fund LP

No amendment in the last 12 months on an offering that may still be open — Dynamic Alpha Commodity Fund, Ltd. (latest filing Oct 16, 2025)

William Shaw is no longer listed on the Jun 4, 2026 amendment — SEI Offshore Advanced Strategy Series SPC, Structured Credit Segregated Portfolio

Same name, different state: "William Shaw" (AZ) is a separate record

Same name, different state: "William Shaw" (MA) is a separate record

Same name, different state: "William D. Shaw" (WI) is a separate record

9 address changes between filings

William Shaw is listed with 2 different address states: E9, NY

5. Money to insiders

Deals 83

People around William 40

The team behind the deals