# RCS Capital Corp: Form D filings

RCS Capital Corp, a financial services company in New York, NY, filed 13 Form D notices with the SEC between 2014 and 2015. The latest, on August 31, 2015, reports $37.5 million sold of a $37.5 million offering to 4 investors.

Find out what RCS Capital Corp does, who founded it and who invested, beyond what the filing says. $10 of credit on sign-up, no card.

- [Watch for new raises](https://specstream.ai/workspace/ask?q=Tell%20me%20when%20RCS%20Capital%20Corp%20files%20a%20new%20Form%20D%20or%20reports%20more%20money%20sold%2C%20with%20the%20filing&src=data-formd&kind=alert&entity=RCS%20Capital%20Corp&page=%2Fdata%2Fform-d%2Fcompany%2Frcs-capital-corp-1568832)
- [Get founders and investors](https://specstream.ai/workspace/ask?q=For%20RCS%20Capital%20Corp%2C%20find%20what%20the%20company%20does%2C%20its%20website%2C%20the%20founders%20and%20executives%20with%20their%20LinkedIn%20and%20work%20email%2C%20its%20investors%20and%20every%20funding%20round%20with%20the%20amounts%2C%20its%20headcount%20and%20any%20reported%20valuation&src=data-formd&kind=record&entity=RCS%20Capital%20Corp&page=%2Fdata%2Fform-d%2Fcompany%2Frcs-capital-corp-1568832)

## The full lists

This record is a row of these lists. Pay by card with no account. Prices exclude VAT. CSV and Excel files with the columns this page does not show (company, CIK, street, city, state, ZIP and 4 more), which open on your screen as soon as the payment clears and come by email.

- [Form D filings in New York](https://specstream.ai/data/form-d/state/new-york): 4,357 rows, by operating companies, filed since November 1, 2024, $123.57, or the new rows each week for $19 a month. Buy: https://specstream.ai/data/form-d/state/new-york
- [Form D filings in Other Banking and Financial Services](https://specstream.ai/data/form-d/industry/other-banking-and-financial-services): 1,280 rows, by operating companies, filed since November 1, 2024, $64, or the new rows each week for $19 a month. Buy: https://specstream.ai/data/form-d/industry/other-banking-and-financial-services

SpecStream is the live web data engine for teams and agents. It reads every Form D on SEC EDGAR the day it is filed, and this page is that reading. Ask for your own cut (a state, an industry, a size) and new filings arrive in your sheet, CRM, Slack or agent as they land.

## Company details from the filing

- Address: 405 PARK AVENUE, New York, NY, 10022
- Phone: (866) 904-2988
- Industry: Other Banking and Financial Services
- Entity type: Corporation
- Incorporated in: Delaware
- Year incorporated: 2012
- Revenue range: Decline to Disclose
- Exemptions claimed: Rule 506(b)
- SEC identifier (CIK): 1568832

## Form D filings

| Filed | Type | Offering | Sold | Remaining | Investors | First sale | Filing |
| --- | --- | --- | --- | --- | --- | --- | --- |
| Aug 31, 2015 | New notice | $37,500,000 | $37,500,000 | $0 | 4 | Aug 19, 2015 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1568832/000156883215000024/0001568832-15-000024-index.htm) |
| Aug 31, 2015 | New notice | $16,701,225 | $16,701,225 | $0 | 1 | Aug 20, 2015 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1568832/000156883215000023/0001568832-15-000023-index.htm) |
| Aug 26, 2015 | New notice | $32,250,007 | $32,250,007 | $0 | 14 | Aug 13, 2015 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1568832/000156883215000022/0001568832-15-000022-index.htm) |
| Mar 30, 2015 | New notice | $6,346,510 | $6,346,510 | $0 | 4 | Mar 18, 2015 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1568832/000156883215000009/0001568832-15-000009-index.htm) |
| Mar 23, 2015 | New notice | $26,774,456 | $26,774,456 | $0 | 97 | Mar 11, 2015 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1568832/000156883215000008/0001568832-15-000008-index.htm) |
| Jan 23, 2015 | Amendment | $1,450,000 | $1,450,000 | $0 | 1 | Jul 17, 2014 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1568832/000156883215000003/0001568832-15-000003-index.htm) |
| Jan 23, 2015 | Amendment | $15,650,000 | $4,860,000 | $10,790,000 | 3 | Jun 12, 2014 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1568832/000156883215000002/0001568832-15-000002-index.htm) |
| Jan 23, 2015 | Amendment | $10,000,000 | $10,000,000 | $0 | 2 | Aug 29, 2014 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1568832/000156883215000001/0001568832-15-000001-index.htm) |
| Oct 8, 2014 | New notice | $10,000,000 | $10,000,000 | $0 | 2 | Aug 29, 2014 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1568832/000156883214000022/0001568832-14-000022-index.htm) |
| Jul 30, 2014 | New notice | $1,450,000 | $1,450,000 | $0 | 1 | Jul 17, 2014 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1568832/000156883214000012/0001568832-14-000012-index.htm) |
| Jun 30, 2014 | New notice | $15,650,000 | $4,860,000 | $10,790,000 | 3 | Jun 12, 2014 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1568832/000156883214000011/0001568832-14-000011-index.htm) |
| Jun 16, 2014 | New notice | $50,000,004 | $50,000,004 | $0 | 5 | Apr 29, 2014 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1568832/000156883214000010/0001568832-14-000010-index.htm) |
| May 13, 2014 | New notice | $390,000,000 | $390,000,000 | $0 | 5 | Apr 29, 2014 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1568832/000156883214000004/0001568832-14-000004-index.htm) |

## Executive officers and directors named in the filing

| Name | Role | Note in the filing |
| --- | --- | --- |
| Mark H. Auerbach | Director |  |
| Brian D. Jones | Executive Officer |  |
| Howell D. Wood | Director |  |
| John H. Grady | Executive Officer |  |
| Edward M. Weil, Jr. | Executive Officer, Director |  |
| C. Thomas McMillen | Director |  |
| Marc D. Rowan | Director |  |
| Jeffrey J. Brown | Director |  |
| Anthony D. Civale | Director |  |

## Other financial services companies in New York that filed recently

- [BP Commercial Funding Trust II, Series SPL-XI](https://specstream.ai/data/form-d/company/bp-commercial-funding-trust-ii-series-spl-xi-1999377) $59.3 million · Nov 6, 2026
- [NEXROC SVCV, Inc.](https://specstream.ai/data/form-d/company/nexroc-svcv-inc-2113098) offering · Nov 2, 2026
- [Supervest Investments, LLC, Series D](https://specstream.ai/data/form-d/company/supervest-investments-llc-series-d-2057882) $28.3 million · Nov 2, 2026
- [Supervest Investments, LLC, Series A](https://specstream.ai/data/form-d/company/supervest-investments-llc-series-a-1867717) $13.3 million · Nov 2, 2026
- [Brix Investment Holdings, LLC](https://specstream.ai/data/form-d/company/brix-investment-holdings-llc-2159998) $1 million · Nov 2, 2026
- [Nant Global Finance Inc.](https://specstream.ai/data/form-d/company/nant-global-finance-inc-2112577) $2.3 million · Oct 21, 2026
- [Auset MCA Fund 1](https://specstream.ai/data/form-d/company/auset-mca-fund-1-2153294) $1.2 million · Oct 19, 2026
- [BP Commercial Funding Trust III, Series SPL-VI](https://specstream.ai/data/form-d/company/bp-commercial-funding-trust-iii-series-spl-vi-2035851) $860.5 million · Oct 16, 2026
- [Supervest Investments, LLC, Series C](https://specstream.ai/data/form-d/company/supervest-investments-llc-series-c-2158609) $185,000 · Oct 15, 2026
- [Supervest Investments, LLC, Series B](https://specstream.ai/data/form-d/company/supervest-investments-llc-series-b-2057883) $7.4 million · Oct 15, 2026
- [1006 Brandon, LLC](https://specstream.ai/data/form-d/company/1006-brandon-llc-2159939) $899,000 · Oct 14, 2026
- [1414 Hampton, LLC](https://specstream.ai/data/form-d/company/1414-hampton-llc-2159898) $899,000 · Oct 14, 2026
- [1811 Hampton LLC](https://specstream.ai/data/form-d/company/1811-hampton-llc-2159895) $1.1 million · Oct 14, 2026
- [SpectrAxe Holdings, Inc.](https://specstream.ai/data/form-d/company/spectraxe-holdings-inc-2152466) $1.2 million · Oct 9, 2026
- [BP Commercial Funding Trust II, Series SPL-XIV](https://specstream.ai/data/form-d/company/bp-commercial-funding-trust-ii-series-spl-xiv-1988492) $239.5 million · Oct 9, 2026

[Every Form D from the week of Aug 31, 2015](https://specstream.ai/data/form-d/week/2015-08-31) · [All recent filings in New York](https://specstream.ai/data/form-d/state/new-york) · [All recent Other Banking and Financial Services filings](https://specstream.ai/data/form-d/industry/other-banking-and-financial-services)

Read from SEC EDGAR. Amount sold is what RCS Capital Corp reported on the day it filed; on an offering that is still open, a later amendment can raise it. Free to reuse with credit to SpecStream under [CC BY 4.0](https://creativecommons.org/licenses/by/4.0/).