PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:26 AM ET

Sponsor Check › Sponsor group

A

Advest

One sponsor team, 2 deal companies · Newtown, PA

Grouped because: 1 shared person, similar issuer names (2) (automatic match from the filings) · not the same sponsor?

2deal companies
$0reported sold
32investors
4Form D filings
2019–2024active
0new, last 12 mo
Follow this sponsor groupLook further ↓

Data last updated Oct 23, 2026, 5:45 PM ET · Latest filing in this group Mar 13, 2024 · 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

Advest is a sponsor group of 2 issuers that PartnerFacts links to one sponsor (shared people, similar issuer names; automatic match from the filings), filing 4 Form D filings between Mar 2019 and Mar 2024.

What this means One team, 2 deal companies, about 5 years of track record in SEC filings. We link the companies because the same people or address appear on their forms — tap "Request a correction" if that is wrong.

Combined reported sold: $0 to 32 investors (latest filing per issuer). Industries as reported: Pooled Investment Fund (1), Residential (1). Issuers are based in PA (2).

What this means $0 raised across the group, about $0 per investor. Amounts come from each company's latest Form D; they are what the sponsor reported, not audited figures.

Principal people: Griffin Haviken (2 issuers, executive officer, director, and promoter) and Jeff Persinger (1 issuer, executive officer, director, and promoter).

What this means The person on the most companies is usually the one running the show; their page lists every deal.

Activity: 0 new offerings in the last 12 months; latest filing Mar 13, 2024.

What this means No new raise filed in the past year.

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), property records (NYC, FL, IL and TX counties) — 68 court cases matching the name, 9 bankruptcy cases matching the name listed in Key records below.

What this means 77 records came back, including 1 court case 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 4 public filings for Advest and found 5 differences: Advest includes 2 deals that stopped filing before reaching their target; No amendment in the last 12 months on an offering that may still be open; 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 Advest has not run yet — it is joining a line of 33,272 names; 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

68 cases: 15 judgment, 34 dismissed, 18 closed (disposition not in docket feed), 1 open

BRADLEY v. ADVEST, INC. judgment matched at sponsor-group level (Advest)
District Court, W.D. Pennsylvania · No. 2:17-cv-00407 · Filed Apr 3, 2017 · Closed Aug 25, 2017 · Nature of suit: 850 Securities/Commodities · Cause: 15:78m(a) Securities Exchange Act
Role of ADVEST, INC.: Defendant · Outcome: Terminated 2017-08-25 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for defendant Docket on CourtListener ↗
exact company name; name has one distinctive word; court in the group's state (PA)
Regalbuto v. Advest, Inc. dismissed matched at sponsor-group level (Advest)
District Court, N.D. Ohio · No. 1:08-cv-02205 · Filed Jul 25, 2008 · Closed Oct 17, 2011 · Nature of suit: 850 Securities, Commodities, Exchange · Cause: 15:78m(a) Securities Exchange Act
Role of Advest, Inc.: Defendant · Outcome: Terminated 2011-10-17 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
exact company name; name has one distinctive word; court in OH (not the issuer's state); filed 2008, issuer incorporated 2019
Advest, Inc. v. Tokar dismissed matched at sponsor-group level (Advest)
District Court, S.D. Florida · No. 1:05-cv-23046 · Filed Nov 21, 2005 · Closed Dec 19, 2005 · Nature of suit: 190 Other contract actions
Role of Advest, Inc.: Plaintiff · Outcome: Terminated 2005-12-19 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
exact company name; name has one distinctive word; court in FL (not the issuer's state); filed 2005, issuer incorporated 2019
Advest, Inc. v. Freiberg dismissed matched at sponsor-group level (Advest)
District Court, S.D. New York · No. 1:05-cv-09469 · Filed Nov 8, 2005 · Closed Dec 15, 2005 · Nature of suit: 190 Other contract actions
Role of Advest, Inc.: Plaintiff · Outcome: Terminated 2005-12-15 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
exact company name; name has one distinctive word; court in NY (not the issuer's state); filed 2005, issuer incorporated 2019
Advest, Inc. v. Adelman dismissed matched at sponsor-group level (Advest)
District Court, N.D. Ohio · No. 1:05-cv-01321 · Filed May 16, 2005 · Closed Sep 9, 2005 · Nature of suit: 190 Other contract actions
Role of Advest, Inc.: Plaintiff · Outcome: Terminated 2005-09-09 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; name has one distinctive word; court in OH (not the issuer's state); filed 2005, issuer incorporated 2019
McKeown v. Advest, Inc. closed matched at sponsor-group level (Advest)
District Court, D. Massachusetts · No. 1:05-cv-10176 · Filed Jan 28, 2005 · Closed Dec 29, 2006 · Nature of suit: 850 Securities, Commodities, Exchange
Role of Advest, Inc.: Defendant · Outcome: Terminated 2006-12-29 — FJC Integrated Database disposition: Transfer to another district Docket on CourtListener ↗
exact company name; name has one distinctive word; court in MA (not the issuer's state); filed 2005, issuer incorporated 2019
Advest, Inc. v. Aboff dismissed matched at sponsor-group level (Advest)
District Court, S.D. New York · No. 7:04-cv-05604 · Filed Jul 19, 2004 · Closed May 23, 2005 · Nature of suit: 190 Other contract actions
Role of Advest, Inc.: Plaintiff · Outcome: Terminated 2005-05-23 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
exact company name; name has one distinctive word; court in NY (not the issuer's state); filed 2004, issuer incorporated 2019
ADVEST, INC. v. MCCALL dismissed matched at sponsor-group level (Advest)
District Court, E.D. Pennsylvania · No. 2:04-cv-03217 · Filed Jul 8, 2004 · Closed Jul 13, 2004 · Nature of suit: 190 Other contract actions
Role of ADVEST, INC.: Plaintiff · Outcome: Terminated 2004-07-13 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; name has one distinctive word; court in the group's state (PA); filed 2004, issuer incorporated 2019
ADVEST, INC v. WAGNER judgment matched at sponsor-group level (Advest)
District Court, W.D. Pennsylvania · No. 2:03-cv-01372 · Filed Sep 16, 2003 · Closed Sep 27, 2005 · Nature of suit: Other Statutory Actions · Cause: 9:1 U.S. Arbitration Act
Role of ADVEST, INC: Plaintiff · Outcome: Terminated 2005-09-27 — FJC Integrated Database disposition: Judgment on court trial Docket on CourtListener ↗
exact company name; name has one distinctive word; court in the group's state (PA); filed 2003, issuer incorporated 2019
Advest Inc v. McConnell dismissed matched at sponsor-group level (Advest)
District Court, N.D. Illinois · No. 1:02-cv-00573 · Filed Jan 24, 2002 · Closed Jul 26, 2002 · Nature of suit: 140 Negotiable instruments
Role of Advest Inc: Plaintiff · Outcome: Terminated 2002-07-26 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; name has one distinctive word; court in IL (not the issuer's state); filed 2002, issuer incorporated 2019
Furia v. Advest, Inc. dismissed matched at sponsor-group level (Advest)
District Court, D. Rhode Island · No. 1:00-cv-00427 · Filed Aug 29, 2000 · Closed Jan 31, 2001 · Nature of suit: 791 Employee Retirement Income Security Act
Role of Advest, Inc.: Defendant · Outcome: Terminated 2001-01-31 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
exact company name; name has one distinctive word; court in RI (not the issuer's state); filed 2000, issuer incorporated 2019
Advest, Inc. v. Technology Manu dismissed matched at sponsor-group level (Advest)
District Court, W.D. Texas · No. 1:00-cv-00379 · Filed Jun 19, 2000 · Closed Jul 13, 2000 · Nature of suit: 190 Other contract actions
Role of Advest, Inc.: Plaintiff · Outcome: Terminated 2000-07-13 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; name has one distinctive word; court in TX (not the issuer's state); filed 2000, issuer incorporated 2019
Advest, Inc. v. Technology Manufac closed matched at sponsor-group level (Advest)
District Court, D. Massachusetts · No. 1:99-cv-10134 · Filed Jan 22, 1999 · Closed May 19, 2000 · Nature of suit: 190 Other contract actions
Role of Advest, Inc.: Plaintiff · Outcome: Terminated 2000-05-19 — FJC Integrated Database disposition: Transfer to another district Docket on CourtListener ↗
exact company name; name has one distinctive word; court in MA (not the issuer's state); filed 1999, issuer incorporated 2019
Advest Inc v. Parrish closed matched at sponsor-group level (Advest)
District Court, W.D. Kentucky · No. 3:99-cv-00031 · Filed Jan 15, 1999 · Closed Jan 21, 1999 · Nature of suit: 190 Other contract actions
Role of Advest Inc: Plaintiff · Outcome: Terminated 1999-01-21 — FJC Integrated Database disposition: Remanded to state court Docket on CourtListener ↗
exact company name; name has one distinctive word; court in KY (not the issuer's state); filed 1999, issuer incorporated 2019
Advest, Inc. v. Fribush closed matched at sponsor-group level (Advest)
District Court, S.D. Florida · No. 0:98-cv-06176 · Filed Feb 20, 1998 · Closed Jun 2, 1998 · Nature of suit: 890 Other statutory actions
Role of Advest, Inc.: Plaintiff · Outcome: Terminated 1998-06-02 — FJC Integrated Database disposition: Other Docket on CourtListener ↗
exact company name; name has one distinctive word; court in FL (not the issuer's state); filed 1998, issuer incorporated 2019
Advest, Inc. v. Firstfed America dismissed matched at sponsor-group level (Advest)
District Court, D. Massachusetts · No. 1:98-cv-10273 · Filed Feb 13, 1998 · Closed Mar 13, 1998 · Nature of suit: 430 Banks and banking
Role of Advest, Inc.: Plaintiff · Outcome: Terminated 1998-03-13 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; name has one distinctive word; court in MA (not the issuer's state); filed 1998, issuer incorporated 2019
Carter v. Advest, Inc. dismissed matched at sponsor-group level (Advest)
District Court, D. Rhode Island · No. 1:97-cv-00689 · Filed Dec 8, 1997 · Closed Aug 12, 1998 · Nature of suit: 190 Other contract actions
Role of Advest, Inc.: Defendant · Outcome: Terminated 1998-08-12 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
exact company name; name has one distinctive word; court in RI (not the issuer's state); filed 1997, issuer incorporated 2019
Advest, Inc. v. Arkin dismissed matched at sponsor-group level (Advest)
District Court, S.D. Florida · No. 0:97-cv-07370 · Filed Nov 10, 1997 · Closed Aug 28, 1998 · Nature of suit: 890 Other statutory actions
Role of Advest, Inc.: Plaintiff · Outcome: Terminated 1998-08-28 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
exact company name; name has one distinctive word; court in FL (not the issuer's state); filed 1997, issuer incorporated 2019
Advest, Inc. v. Alexander dismissed matched at sponsor-group level (Advest)
District Court, S.D. Florida · No. 0:97-cv-06064 · Filed Jan 23, 1997 · Closed Apr 30, 1997 · Nature of suit: 160 Stockholder's suits
Role of Advest, Inc.: Plaintiff · Outcome: Terminated 1997-04-30 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
exact company name; name has one distinctive word; court in FL (not the issuer's state); filed 1997, issuer incorporated 2019
Advest, Inc. v. Rosenblum closed matched at sponsor-group level (Advest)
District Court, E.D. Missouri · No. 4:96-mc-00296 · Filed Oct 31, 1996 · Closed Oct 31, 1996
Role of Advest, Inc.: Plaintiff · Outcome: Terminated 1996-10-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in MO (not the issuer's state); filed 1996, issuer incorporated 2019
Advest, Inc. v. Malerba judgment matched at sponsor-group level (Advest)
District Court, E.D. New York · No. 9:96-cv-01984 · Filed Apr 25, 1996 · Closed Aug 25, 1997 · Nature of suit: 370 Other fraud
Role of Advest, Inc.: Plaintiff · Outcome: Terminated 1997-08-25 — FJC Integrated Database disposition: Other; judgment for plaintiff Docket on CourtListener ↗
exact company name; name has one distinctive word; court in NY (not the issuer's state); filed 1996, issuer incorporated 2019
Advest, Inc. v. Hoeprich judgment matched at sponsor-group level (Advest)
District Court, S.D. Florida · No. 0:96-cv-06389 · Filed Apr 12, 1996 · Closed Jun 19, 1996 · Nature of suit: 850 Securities, Commodities, Exchange
Role of Advest, Inc.: Plaintiff · Outcome: Terminated 1996-06-19 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for defendant Docket on CourtListener ↗
exact company name; name has one distinctive word; court in FL (not the issuer's state); filed 1996, issuer incorporated 2019
Advest, Inc. v. Alexander dismissed matched at sponsor-group level (Advest)
District Court, S.D. Florida · No. 0:96-cv-06363 · Filed Apr 4, 1996 · Closed Oct 17, 1996 · Nature of suit: 190 Other contract actions
Role of Advest, Inc.: Plaintiff · Outcome: Terminated 1996-10-17 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
exact company name; name has one distinctive word; court in FL (not the issuer's state); filed 1996, issuer incorporated 2019
Advest, Inc. v. Neptune dismissed matched at sponsor-group level (Advest)
District Court, S.D. Florida · No. 0:96-cv-06250 · Filed Mar 8, 1996 · Closed Feb 3, 1997 · Nature of suit: 890 Other statutory actions
Role of Advest, Inc.: Plaintiff · Outcome: Terminated 1997-02-03 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
exact company name; name has one distinctive word; court in FL (not the issuer's state); filed 1996, issuer incorporated 2019
Advest,Inc. v. Antin dismissed matched at sponsor-group level (Advest)
District Court, S.D. Florida · No. 0:96-cv-06162 · Filed Feb 12, 1996 · Closed Oct 2, 1997 · Nature of suit: 190 Contract: Other · Cause: 28:1332 Diversity-Breach of Contract
Role of Advest,Inc.: Plaintiff · Outcome: Terminated 1997-10-02 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
exact company name; name has one distinctive word; court in FL (not the issuer's state); filed 1996, issuer incorporated 2019
ADVEST, INC. v. COYNE closed matched at sponsor-group level (Advest)
District Court, E.D. Pennsylvania · No. 2:95-mc-00249 · Filed Sep 15, 1995 · Closed Sep 15, 1995
Role of ADVEST, INC.: Plaintiff · Outcome: Terminated 1995-09-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in the group's state (PA); filed 1995, issuer incorporated 2019
Frankford Trust Co. v. Advest, Inc. closed matched at sponsor-group level (Advest)
District Court, M.D. Pennsylvania · No. 4:95-mc-00137 · Filed Jul 19, 1995 · Closed Aug 7, 1995
Role of Advest, Inc.: Defendant · Outcome: Terminated 1995-08-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in the group's state (PA); filed 1995, issuer incorporated 2019
FIRST VALLEY BANK v. ADVEST, INC. closed matched at sponsor-group level (Advest)
District Court, E.D. Pennsylvania · No. 2:94-cv-04683 · Filed Aug 2, 1994 · Closed Jan 25, 1995 · Nature of suit: 850 Securities, Commodities, Exchange
Role of ADVEST, INC.: Defendant · Outcome: Terminated 1995-01-25 — FJC Integrated Database disposition: Statistical closing Docket on CourtListener ↗
exact company name; name has one distinctive word; court in the group's state (PA); filed 1994, issuer incorporated 2019
E.G. Adams Part v. Advest, Inc. judgment matched at sponsor-group level (Advest)
District Court, D. Rhode Island · No. 1:94-cv-00320 · Filed Jun 10, 1994 · Closed Sep 29, 1995 · Nature of suit: 190 Other contract actions
Role of Advest, Inc.: Defendant · Outcome: Terminated 1995-09-29 — FJC Integrated Database disposition: Judgment on consent; judgment for both plaintiff and defendant Docket on CourtListener ↗
exact company name; name has one distinctive word; court in RI (not the issuer's state); filed 1994, issuer incorporated 2019
Hirsch v. Advest, Inc. dismissed matched at sponsor-group level (Advest)
District Court, D. Connecticut · No. 3:93-cv-02388 · Filed Dec 1, 1993 · Closed Jun 28, 1999 · Nature of suit: 850 Securities, Commodities, Exchange
Role of Advest, Inc.: Defendant · Outcome: Terminated 1999-06-28 — FJC Integrated Database disposition: Dismissed: want of prosecution Docket on CourtListener ↗
exact company name; name has one distinctive word; court in CT (not the issuer's state); filed 1993, issuer incorporated 2019
ADVEST, INC. v. BERKS COUNTY BANK dismissed matched at sponsor-group level (Advest)
District Court, E.D. Pennsylvania · No. 2:93-cv-04712 · Filed Aug 31, 1993 · Closed Oct 19, 1994 · Nature of suit: 380 Other personal property damage
Role of ADVEST, INC.: Plaintiff · Outcome: Terminated 1994-10-19 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
exact company name; name has one distinctive word; court in the group's state (PA); filed 1993, issuer incorporated 2019
BEAN FUNERAL HOMES v. ADVEST, INC. dismissed matched at sponsor-group level (Advest)
District Court, E.D. Pennsylvania · No. 2:93-cv-04625 · Filed Aug 26, 1993 · Closed Oct 14, 1993 · Nature of suit: 850 Securities, Commodities, Exchange
Role of ADVEST, INC.: Defendant · Outcome: Terminated 1993-10-14 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; name has one distinctive word; court in the group's state (PA); filed 1993, issuer incorporated 2019
BURG FUNERAL HOME v. ADVEST, INC. closed matched at sponsor-group level (Advest)
District Court, E.D. Pennsylvania · No. 2:93-cv-04000 · Filed Jul 26, 1993 · Closed Oct 14, 1993 · Nature of suit: 470 Civil (RICO)
Role of ADVEST, INC.: Defendant · Outcome: Terminated 1993-10-14 — FJC Integrated Database disposition: Statistical closing Docket on CourtListener ↗
exact company name; name has one distinctive word; court in the group's state (PA); filed 1993, issuer incorporated 2019
Glogower v. Advest Inc closed matched at sponsor-group level (Advest)
District Court, D. Arizona · No. 2:93-mc-00052 · Filed Apr 22, 1993 · Closed Jul 2, 2002
Role of Advest Inc: Defendant · Outcome: Terminated 2002-07-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in AZ (not the issuer's state); filed 1993, issuer incorporated 2019
Glogower v. Advest, Inc. open matched at sponsor-group level (Advest)
District Court, D. Connecticut · No. 3:93-mc-00094 · Filed Mar 12, 1993
Role of Advest, Inc.: Defendant · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in CT (not the issuer's state); filed 1993, issuer incorporated 2019
Advest Inc v. Hojka dismissed matched at sponsor-group level (Advest)
District Court, N.D. Illinois · No. 1:93-cv-01259 · Filed Feb 26, 1993 · Closed Mar 29, 1993 · Nature of suit: 190 Other contract actions
Role of Advest Inc: Plaintiff · Outcome: Terminated 1993-03-29 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
exact company name; name has one distinctive word; court in IL (not the issuer's state); filed 1993, issuer incorporated 2019
FRANKFORD TRUST CO v. ADVEST, INC. dismissed matched at sponsor-group level (Advest)
District Court, E.D. Pennsylvania · No. 2:93-cv-00329 · Filed Jan 21, 1993 · Closed Apr 8, 1997 · Nature of suit: 850 Securities, Commodities, Exchange
Role of ADVEST, INC.: Defendant · Outcome: Terminated 1997-04-08 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; name has one distinctive word; court in the group's state (PA); filed 1993, issuer incorporated 2019
ADVEST, INC. v. KIRSCHNER judgment matched at sponsor-group level (Advest)
District Court, E.D. Pennsylvania · No. 2:92-cv-06656 · Filed Nov 18, 1992 · Closed Jun 13, 1994 · Nature of suit: 190 Other contract actions
Role of ADVEST, INC.: Plaintiff · Outcome: Terminated 1994-06-13 — FJC Integrated Database disposition: Judgment on jury verdict; judgment for plaintiff Docket on CourtListener ↗
exact company name; name has one distinctive word; court in the group's state (PA); filed 1992, issuer incorporated 2019
Advest, Inc. v. Heffron dismissed matched at sponsor-group level (Advest)
District Court, S.D. New York · No. 1:92-cv-04564 · Filed Jun 22, 1992 · Closed Nov 27, 1992 · Nature of suit: 190 Other contract actions
Role of Advest, Inc.: Plaintiff · Outcome: Terminated 1992-11-27 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
exact company name; name has one distinctive word; court in NY (not the issuer's state); filed 1992, issuer incorporated 2019
Federal Deposit v. Advest, Inc. dismissed matched at sponsor-group level (Advest)
District Court, D. Massachusetts · No. 1:92-cv-11447 · Filed Jun 12, 1992 · Closed Oct 5, 1993 · Nature of suit: 190 Other contract actions
Role of Advest, Inc.: Defendant · Outcome: Terminated 1993-10-05 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; name has one distinctive word; court in MA (not the issuer's state); filed 1992, issuer incorporated 2019
Advest, Inc. v. Asseoff judgment matched at sponsor-group level (Advest)
District Court, S.D. New York · No. 1:92-cv-02269 · Filed Mar 31, 1992 · Closed Apr 15, 1993 · Nature of suit: 190 Other contract actions
Role of Advest, Inc.: Plaintiff · Outcome: Terminated 1993-04-15 — FJC Integrated Database disposition: Other; judgment for plaintiff Docket on CourtListener ↗
exact company name; name has one distinctive word; court in NY (not the issuer's state); filed 1992, issuer incorporated 2019
Sells v. Advest, Inc. dismissed matched at sponsor-group level (Advest)
District Court, D. Connecticut · No. 2:91-cv-01177 · Filed Dec 19, 1991 · Closed May 25, 1999 · Nature of suit: 850 Securities, Commodities, Exchange
Role of Advest, Inc.: Defendant · Outcome: Terminated 1999-05-25 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; name has one distinctive word; court in CT (not the issuer's state); filed 1991, issuer incorporated 2019
Sells v. Advest Inc closed matched at sponsor-group level (Advest)
District Court, S.D. Ohio · No. 2:91-cv-00720 · Filed Sep 3, 1991 · Closed Dec 12, 1991 · Nature of suit: 850 Securities, Commodities, Exchange
Role of Advest Inc: Defendant · Outcome: Terminated 1991-12-12 — FJC Integrated Database disposition: Transfer to another district Docket on CourtListener ↗
exact company name; name has one distinctive word; court in OH (not the issuer's state); filed 1991, issuer incorporated 2019
J. DIAMOND & CO. v. ADVEST, INC. dismissed matched at sponsor-group level (Advest)
District Court, D. New Jersey · No. 2:91-cv-02499 · Filed Jun 14, 1991 · Closed Dec 3, 1992 · Nature of suit: 190 Other contract actions
Role of ADVEST, INC.: Defendant · Outcome: Terminated 1992-12-03 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; name has one distinctive word; court in NJ (not the issuer's state); filed 1991, issuer incorporated 2019
ADVEST INC. v. JONES closed matched at sponsor-group level (Advest)
District Court, E.D. Pennsylvania · No. 2:91-mc-00193 · Filed Mar 18, 1991 · Closed May 20, 2003
Role of ADVEST INC.: Plaintiff · Outcome: Terminated 2003-05-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in the group's state (PA); filed 1991, issuer incorporated 2019
New Bank of New Eng v. Advest, Inc. dismissed matched at sponsor-group level (Advest)
District Court, D. Massachusetts · No. 1:91-cv-10450 · Filed Feb 5, 1991 · Closed Apr 6, 1992 · Nature of suit: 190 Other contract actions
Role of Advest, Inc.: Defendant · Outcome: Terminated 1992-04-06 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; name has one distinctive word; court in MA (not the issuer's state); filed 1991, issuer incorporated 2019
Rader v. Advest, Inc. judgment matched at sponsor-group level (Advest)
District Court, S.D. Florida · No. 0:90-cv-06294 · Filed Apr 12, 1990 · Closed Jan 31, 1991 · Nature of suit: 190 Other contract actions
Role of Advest, Inc.: Defendant · Outcome: Terminated 1991-01-31 — FJC Integrated Database disposition: Other; judgment for defendant Docket on CourtListener ↗
exact company name; name has one distinctive word; court in FL (not the issuer's state); filed 1990, issuer incorporated 2019
Kallick v. Advest, Inc. judgment matched at sponsor-group level (Advest)
District Court, N.D. Georgia · No. 1:90-cv-00486 · Filed Mar 2, 1990 · Closed May 23, 1990 · Nature of suit: 850 Securities, Commodities, Exchange
Role of Advest, Inc.: Defendant · Outcome: Terminated 1990-05-23 — FJC Integrated Database disposition: Judgment on consent; judgment for plaintiff Docket on CourtListener ↗
exact company name; name has one distinctive word; court in GA (not the issuer's state); filed 1990, issuer incorporated 2019
Haws Sr. v. Advest Inc. judgment matched at sponsor-group level (Advest)
District Court, D. New Jersey · No. 2:90-cv-00709 · Filed Feb 23, 1990 · Closed Mar 21, 1995 · Nature of suit: 850 Securities, Commodities, Exchange
Role of Advest Inc.: Defendant · Outcome: Terminated 1995-03-21 — FJC Integrated Database disposition: Judgment on default; judgment for plaintiff Docket on CourtListener ↗
exact company name; name has one distinctive word; court in NJ (not the issuer's state); filed 1990, issuer incorporated 2019
Goldstein v. Advest, Inc. closed matched at sponsor-group level (Advest)
District Court, D. Colorado · No. 1:90-mc-00024 · Filed Jan 12, 1990 · Closed Jul 14, 2015
Role of Advest, Inc.: Defendant · Outcome: Terminated 2015-07-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in CO (not the issuer's state); filed 1990, issuer incorporated 2019
Wilbur v. Advest Inc closed matched at sponsor-group level (Advest)
District Court, D. Massachusetts · No. 1:89-cv-02026 · Filed Sep 14, 1989 · Closed Jan 12, 1990
Role of Advest Inc: Defendant · Outcome: Terminated 1990-01-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in MA (not the issuer's state); filed 1989, issuer incorporated 2019
Harris v. Advest Inc closed matched at sponsor-group level (Advest)
District Court, D. Massachusetts · No. 1:89-cv-01745 · Filed Aug 9, 1989 · Closed Jan 30, 1992 · Nature of suit: 850 Securities, Commodities, Exchange
Role of Advest Inc: Defendant · Outcome: Terminated 1992-01-30 — FJC Integrated Database disposition: Statistical closing Docket on CourtListener ↗
exact company name; name has one distinctive word; court in MA (not the issuer's state); filed 1989, issuer incorporated 2019
ROBIN, SIDNEY v. ADVEST, INC. dismissed matched at sponsor-group level (Advest)
District Court, E.D. Pennsylvania · No. · Filed Aug 7, 1989 · Closed Aug 7, 1989 · Nature of suit: 190 Other contract actions
Role of ADVEST, INC.: Defendant · Outcome: Terminated 1989-08-07 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; name has one distinctive word; court in the group's state (PA); filed 1989, issuer incorporated 2019
Advest Inc. v. Rader judgment matched at sponsor-group level (Advest)
District Court, S.D. Florida · No. 1:88-cv-02265 · Filed Dec 2, 1988 · Closed Jul 31, 1990 · Nature of suit: 890 Other statutory actions
Role of Advest Inc.: Plaintiff · Outcome: Terminated 1990-07-31 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for defendant Docket on CourtListener ↗
exact company name; name has one distinctive word; court in FL (not the issuer's state); filed 1988, issuer incorporated 2019
Advest Inc v. Racer closed matched at sponsor-group level (Advest)
District Court, D. Massachusetts · No. 1:88-cv-00030 · Filed Jan 4, 1988 · Closed Apr 30, 1990
Role of Advest Inc: Plaintiff · Outcome: Terminated 1990-04-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in MA (not the issuer's state); filed 1988, issuer incorporated 2019
KALLICK v. ADVEST INC.,/PETRO-LEWIS closed matched at sponsor-group level (Advest)
District Court, D. Colorado · No. · Filed Aug 13, 1987 · Closed Feb 16, 1990 · Nature of suit: 850 Securities, Commodities, Exchange
Role of ADVEST INC.: Defendant · Outcome: Terminated 1990-02-16 — FJC Integrated Database disposition: Transfer to another district Docket on CourtListener ↗
exact company name; name has one distinctive word; court in CO (not the issuer's state); filed 1987, issuer incorporated 2019
WELLS, RICHARD F. & TINA L. v. ADVEST, INC. dismissed matched at sponsor-group level (Advest)
District Court, E.D. Pennsylvania · No. · Filed Mar 3, 1987 · Closed Nov 15, 1988 · Nature of suit: 160 Stockholder's suits
Role of ADVEST, INC.: Defendant · Outcome: Terminated 1988-11-15 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; name has one distinctive word; court in the group's state (PA); filed 1987, issuer incorporated 2019
ADVEST INC. v. LOPER judgment matched at sponsor-group level (Advest)
District Court, W.D. Pennsylvania · No. 2:86-cv-02067 · Filed Sep 29, 1986 · Closed Aug 2, 1990 · Nature of suit: 190 Other contract actions
Role of ADVEST INC.: Plaintiff · Outcome: Terminated 1990-08-02 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for plaintiff Docket on CourtListener ↗
exact company name; name has one distinctive word; court in the group's state (PA); filed 1986, issuer incorporated 2019
BRACE v. ADVEST INC dismissed matched at sponsor-group level (Advest)
District Court, W.D. New York · No. · Filed Aug 27, 1986 · Closed Jan 12, 1988 · Nature of suit: 850 Securities, Commodities, Exchange
Role of ADVEST INC: Defendant · Outcome: Terminated 1988-01-12 — FJC Integrated Database disposition: Dismissed: lack of jurisdiction Docket on CourtListener ↗
exact company name; name has one distinctive word; court in NY (not the issuer's state); filed 1986, issuer incorporated 2019
FARIONO v. ADVEST INC dismissed matched at sponsor-group level (Advest)
District Court, E.D. New York · No. · Filed Aug 8, 1986 · Closed Aug 19, 1987 · Nature of suit: 850 Securities, Commodities, Exchange
Role of ADVEST INC: Defendant · Outcome: Terminated 1987-08-19 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
exact company name; name has one distinctive word; court in NY (not the issuer's state); filed 1986, issuer incorporated 2019
Kirwin v. Advest, Inc. dismissed matched at sponsor-group level (Advest)
District Court, S.D. New York · No. 1:86-cv-04644 · Filed Jun 12, 1986 · Closed Aug 10, 1993 · Nature of suit: 850 Securities/Commodities · Cause: 15:78m(a) Securities Exchange Act
Role of Advest, Inc.: Defendant · Outcome: Terminated 1993-08-10 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
exact company name; name has one distinctive word; court in NY (not the issuer's state); filed 1986, issuer incorporated 2019
FARINO v. ADVEST INC judgment matched at sponsor-group level (Advest)
District Court, E.D. New York · No. · Filed Dec 20, 1985 · Closed Jul 17, 1987 · Nature of suit: 470 Civil (RICO)
Role of ADVEST INC: Defendant · Outcome: Terminated 1987-07-17 — FJC Integrated Database disposition: Other; judgment for defendant Docket on CourtListener ↗
exact company name; name has one distinctive word; court in NY (not the issuer's state); filed 1985, issuer incorporated 2019
MED ASSOC OF HAMBURG v. ADVEST INC dismissed matched at sponsor-group level (Advest)
District Court, W.D. New York · No. · Filed Jul 3, 1985 · Closed Feb 1, 1990 · Nature of suit: 890 Other statutory actions
Role of ADVEST INC: Defendant · Outcome: Terminated 1990-02-01 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; name has one distinctive word; court in NY (not the issuer's state); filed 1985, issuer incorporated 2019
Kronfeld v. Advest Inc. dismissed matched at sponsor-group level (Advest)
District Court, S.D. New York · No. 1:85-cv-04673 · Filed Jun 17, 1985 · Closed Aug 10, 1993 · Nature of suit: 850 Securities, Commodities, Exchange
Role of Advest Inc.: Defendant · Outcome: Terminated 1993-08-10 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
exact company name; name has one distinctive word; court in NY (not the issuer's state); filed 1985, issuer incorporated 2019
SHANKROFF v. ADVEST INC closed matched at sponsor-group level (Advest)
District Court, S.D. New York · No. · Filed Feb 13, 1985 · Closed Nov 6, 1987 · Nature of suit: 850 Securities, Commodities, Exchange
Role of ADVEST INC: Defendant · Outcome: Terminated 1987-11-06 — FJC Integrated Database disposition: Transfer to another district Docket on CourtListener ↗
exact company name; name has one distinctive word; court in NY (not the issuer's state); filed 1985, issuer incorporated 2019
HARVEY BOOKS v. ADVEST INC judgment matched at sponsor-group level (Advest)
District Court, D. Massachusetts · No. · Filed Dec 30, 1983 · Closed Jun 1, 1988 · Nature of suit: 190 Other contract actions
Role of ADVEST INC: Defendant · Outcome: Terminated 1988-06-01 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for defendant Docket on CourtListener ↗
exact company name; name has one distinctive word; court in MA (not the issuer's state); filed 1983, issuer incorporated 2019
HAKIM v. ADVEST INC judgment matched at sponsor-group level (Advest)
District Court, D. Massachusetts · No. · Filed Dec 27, 1983 · Closed Mar 7, 1988 · Nature of suit: 850 Securities, Commodities, Exchange
Role of ADVEST INC: Defendant · Outcome: Terminated 1988-03-07 — FJC Integrated Database disposition: Judgment on jury verdict; judgment for defendant Docket on CourtListener ↗
exact company name; name has one distinctive word; court in MA (not the issuer's state); filed 1983, issuer incorporated 2019
MCQUESTEN v. ADVEST INC dismissed matched at sponsor-group level (Advest)
District Court, D. Massachusetts · No. · Filed May 17, 1983 · Closed Jul 24, 1987 · Nature of suit: 850 Securities, Commodities, Exchange
Role of ADVEST INC: Defendant · Outcome: Terminated 1987-07-24 — FJC Integrated Database disposition: Dismissed: want of prosecution Docket on CourtListener ↗
exact company name; name has one distinctive word; court in MA (not the issuer's state); filed 1983, issuer incorporated 2019
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 Advest..

State securities regulators: Securities regulators searched (64,910 actions): FINRA (38,350 actions, 1995–2026), NASAA (31 actions, 2000–2026; listing starts 1997), AK Division of Banking and Securities (273 actions, 1971–2025), AL Securities Commission (880 actions, 2001–2026), AR Securities Department (1,305 actions, 1998–2026), AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), CO Division of Securities (731 actions, 2001–2026; older years from the Internet Archive (snapshot of 2026-05-02)), CT Department of Banking Securities Division (940 actions, 2006–2026; older years from the Internet Archive (snapshot of 2026-04-22)), DC DISB Securities Bureau (25 actions, 2012–2026), DE DOJ Investor Protection Unit (257 actions, 1987–2026), FL Office of Financial Regulation (49 actions, 2018–2026), GA Secretary of State Securities Division (65 actions, 2015–2026; listing starts 2012), HI DCCA Securities Enforcement Branch (26 actions, 2012–2026), ID Department of Finance Securities Bureau (663 actions, 1994–2026), IL Secretary of State Securities Department (4,122 actions, 2003–2023), KS Insurance Department Securities Division (58 actions), KY Department of Financial Institutions (342 actions, 2005–2026), LA Office of Financial Institutions Securities Division (13 actions, 2010–2025; listing starts 2008), MA Secretary of the Commonwealth Securities Division (125 actions, 2012–2025; live site blocks automated access — loaded from the Internet Archive snapshot of 2026-02-04), MD Attorney General Securities Division (1,054 actions, 2004–2026), ME Office of Securities (539 actions, 2000–2026), MI LARA Corporations, Securities & Commercial Licensing Bureau (201 actions), MO Secretary of State Securities Division (919 actions, 1998–2026), MS Secretary of State Securities Division (209 actions, 1995–2026), MT Commissioner of Securities and Insurance (597 actions, 2000–2026), NC Secretary of State Securities Division (265 actions, 2004–2024), ND Securities Department (711 actions, 1990–2026; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2026-01-06), NH Bureau of Securities Regulation (402 actions, 2002–2026), NM Regulation and Licensing Department Securities Division (90 actions, 2010–2025), NV Secretary of State Securities Division (118 actions, 2018–2026), NY Attorney General Investor Protection Bureau (44 actions, 2012–2026), OH Division of Securities (327 actions, 1993–2006), OK Department of Securities (2,531 actions, 1998–2026), OR Division of Financial Regulation (589 actions, 1988–2026), PA Department of Banking and Securities (1,448 actions, 2008–2024; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2024-08-09), RI DBR Securities Division (98 actions, 2005–2025), SC Attorney General Securities Division (540 actions, 2006–2026), SD Division of Insurance – Securities Regulation (106 actions, 2017–2026), TN Department of Commerce and Insurance Securities Division (405 actions, 1992–2026), TX State Securities Board (936 actions, 1999–2026), UT Division of Securities (772 actions, 2000–2026; older years from the Internet Archive (snapshot of 2010-05-27)), VT DFR Securities Division (137 actions, 2010–2026), WA DFI (2,039 actions, 2001–2026), WI DFI Division of Securities (1,072 actions, 1998–2026), WV Securities Commission (State Auditor) (64 actions), WY Secretary of State Compliance Division (6 actions, 2016–2024) — last crawled Oct 24, 2026, 8:48 AM ET. No machine-readable public listing today for IA, IN, MN, NE, NJ, VA (see docs/state-regulators.md).

3. Bankruptcies

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

Advest Inc v. Malerba closed matched at sponsor-group level (Advest)
United States Bankruptcy Court, E.D. New York · No. 8-01-08359 · Filed Oct 15, 2001 · Closed Nov 29, 2001
Role of Advest Inc: Plaintiff · Outcome: Case closed 2001-11-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in NY (not the issuer's state); filed 2001, issuer incorporated 2019
Baldiga v. Advest, Inc. closed matched at sponsor-group level (Advest)
United States Bankruptcy Court, D. Massachusetts · No. 00-04276 · Filed Sep 25, 2000 · Closed May 17, 2001
Role of Advest, Inc.: Defendant · Outcome: Case closed 2001-05-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in MA (not the issuer's state); filed 2000, issuer incorporated 2019
Advest, Inc. v. Lubaczewski closed matched at sponsor-group level (Advest)
United States Bankruptcy Court, D. New Jersey · No. 99-01407 · Filed Dec 21, 1999 · Closed Sep 13, 2001
Role of Advest, Inc.: Plaintiff · Outcome: Case closed 2001-09-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in NJ (not the issuer's state); filed 1999, issuer incorporated 2019
Tolz v. Advest, Inc closed matched at sponsor-group level (Advest)
United States Bankruptcy Court, S.D. Florida. · No. 96-00803 · Filed Jul 19, 1996 · Closed Sep 18, 1996
Role of Advest, Inc: Defendant · Outcome: Case closed 1996-09-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in FL (not the issuer's state); filed 1996, issuer incorporated 2019
Advest, Inc. v. Novak closed matched at sponsor-group level (Advest)
United States Bankruptcy Court, D. Connecticut · No. 94-02013 · Filed Jan 11, 1994 · Closed Aug 25, 1995
Role of Advest, Inc.: Plaintiff · Outcome: Case closed 1995-08-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in CT (not the issuer's state); filed 1994, issuer incorporated 2019
Hirsch v. Advest, Inc. closed matched at sponsor-group level (Advest)
United States Bankruptcy Court, D. Connecticut · No. 93-06190 · Filed Jul 12, 1993 · Closed Feb 5, 1998
Role of Advest, Inc.: Defendant · Outcome: Case closed 1998-02-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in CT (not the issuer's state); filed 1993, issuer incorporated 2019
Advest, Inc. v. Ciallella closed matched at sponsor-group level (Advest)
United States Bankruptcy Court, E.D. Pennsylvania · No. 93-00282 · Filed Apr 5, 1993 · Closed Nov 25, 1994
Role of Advest, Inc.: Plaintiff · Outcome: Case closed 1994-11-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in the group's state (PA); filed 1993, issuer incorporated 2019
Advest, Inc. v. Hall closed matched at sponsor-group level (Advest)
United States Bankruptcy Court, D. Connecticut · No. 91-02317 · Filed Nov 21, 1991 · Closed Apr 2, 1992
Role of Advest, Inc.: Plaintiff · Outcome: Case closed 1992-04-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in CT (not the issuer's state); filed 1991, issuer incorporated 2019
Advest, Inc. v. Adams closed matched at sponsor-group level (Advest)
United States Bankruptcy Court, N.D. Ohio · No. 90-06209 · Filed Nov 23, 1990 · Closed May 15, 1992
Role of Advest, Inc.: Plaintiff · Outcome: Case closed 1992-05-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in OH (not the issuer's state); filed 1990, issuer incorporated 2019
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.

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

No comparisons published

What is compared

No public statement by this sponsor group has been collected yet, so there is nothing to compare. Sources compared: the sponsor's own website (known from the issuer's own filings — Form C issuer website, EDGAR company profile — an approved profile claim or Form ADV Item 1.I of its matched adviser) · SEC Form D · SEC Form ADV (IAPD) · Internet Archive · No website is on file for this sponsor group yet.

5 differences found between the filings for Advest (compared 4 filings on Oct 24, 2026)

Note · May 11, 2022 – Mar 13, 2024

Advest includes 2 deals that stopped filing before reaching their target

Advest Short Duration Real Estate Fund I LLC (last filing Mar 13, 2024; $0 sold of $150,000,000); Advest Residential Construction Fund I LLC (last filing May 11, 2022; $0 sold of $6,750,000). Each has no filing in more than two years and reported under half its target sold.

What this means An issuer whose last filing is more than two years old and reported under half its target sold. The raise may have closed early or quietly stopped. Ask what happened to each.

Advest Short Duration Real Estate Fund I LLC — PartnerFacts page ↗Advest Residential Construction Fund I LLC — PartnerFacts page ↗
Sources
Note · Mar 15, 2019 – Mar 13, 2024

No amendment in the last 12 months on an offering that may still be open — Advest Short Duration Real Estate Fund I LLC (latest filing Mar 13, 2024)

The latest filing for this offering is dated Mar 13, 2024 (first sale Mar 15, 2019). It reports $0 sold of $150,000,000 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 · Mar 13, 2024 ↗Advest Short Duration Real Estate Fund I LLC — PartnerFacts page ↗
Sources
Note · Mar 9, 2020 – Mar 13, 2024

Offering amount changed between filings — Advest Short Duration Real Estate Fund I LLC

The Mar 9, 2020 filing says $50,000,000 offered; the Mar 13, 2024 Form D/A says $150,000,000.

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) · Mar 9, 2020 ↗Form D/A (later) · Mar 13, 2024 ↗Advest Short Duration Real Estate Fund I LLC — PartnerFacts page ↗
Sources
Note · Mar 13, 2024

Address on file is a registered agent / shared office — Advest Short Duration Real Estate Fund I LLC

The latest filing lists 41 University Drive, Suite 400, Newtown, PA. That address is used by 10 issuers in our index (10 issuers in 8 unrelated clusters).

What this means Many small companies use a registered agent's address — it is legal and common. It means the Form D address is not where the team works. Ask where the business operates and who runs it day to day.

Form D/A · Mar 13, 2024 ↗Advest Short Duration Real Estate Fund I LLC — PartnerFacts page ↗
Sources
Note · May 11, 2022

Address on file is a registered agent / shared office — Advest Residential Construction Fund I LLC

The latest filing lists 41 University Drive, Suite 400, Newtown, PA. That address is used by 10 issuers in our index (10 issuers in 8 unrelated clusters).

What this means Many small companies use a registered agent's address — it is legal and common. It means the Form D address is not where the team works. Ask where the business operates and who runs it day to day.

Form D · May 11, 2022 ↗Advest Residential Construction Fund I LLC — PartnerFacts page ↗
Sources
What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. As of Oct 24, 2026.

5. Money to insiders

None reported on 2 offerings — no sales commissions, finder's fees or proceeds to insiders

Per-offering detail
Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Mar 13, 2024 D/A
Advest Short Duration Real Estate Fund I LLC
File 021-334936
$0$0$0None listed on this filingEDGAR ↗
May 11, 2022 D
Advest Residential Construction Fund I LLC
File 021-445327
$0$0$0None listed on this filingEDGAR ↗

Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Counted across all 2 issuers in this group — every filing in our index, latest filing per offering (SEC file number).

Property records 0 documents · 0 ownership records · last checked Oct 24, 2026, 9:26 AM ET · NYC and Cook County lookup still to run

0 recorded documents and 0 ownership records matched to Advest in the sources searched.

Not found in sources searched as of Oct 24, 2026, 9:26 AM ET: Hillsborough County FL Clerk of Court Official Records daily index (publicrec.hillsclerk.com D/P/M files), 2 daily files (Oct 14, 2026 to Oct 15, 2026) — loaded Oct 23, 2026, 8:59 PM ET; Harris County TX (HCAD ownership rolls 2005–2026) — 1,032,426 records, loaded Oct 24, 2026, 8:00 AM ET; Dallas County TX (DCAD ownership rolls 2021–2027) — 285,535 records, loaded Oct 24, 2026, 8:20 AM ET; Hillsborough County FL (FL DOR 2026 ownership roll + Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026), Miami-Dade County FL (FL DOR 2026 ownership roll), Broward County FL (FL DOR 2026 ownership roll), Palm Beach County FL (FL DOR 2026 ownership roll) — 514,336 records, loaded Oct 24, 2026, 8:25 AM ET; King County WA (Assessor sale records 0000-00-00–2026-10-14; no owner-of-record names published) — 538,619 records, loaded Oct 24, 2026, 8:27 AM ET; Cook County IL (Assessor sale records 1982–2026 + ownership rolls 2014–2026) — 1,031,843 records, loaded Oct 24, 2026, 9:05 AM ET. Still to be looked up for this group: NYC ACRIS via NYC Open Data (Real Property Parties 636b-3b5g, Master bnx9-e6tj, Legals 8h5j-fqxa, Document Control Codes 7isb-wh4c) · NYC PLUTO ownership via NYC Open Data (64uk-42ks) · Cook County IL Assessor via Cook County Open Data (Parcel Sales wvhk-k5uv; Parcel Addresses 3723-97qp). Records in other counties, and recorder indexes we do not yet cover, were not searched.

Property records coverage: New York City (ACRIS recorded documents and PLUTO ownership, looked up per issuer when its page is viewed; re-checked when the page is viewed again more than 30 days after the last check); Harris County TX (ownership only, no deed, mortgage or sale records; HCAD ownership rolls 2005–2026); Dallas County TX (ownership only, no deed, mortgage or sale records; DCAD ownership rolls 2021–2027); Hillsborough County FL (FL DOR 2026 ownership roll + Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026), Miami-Dade County FL (FL DOR 2026 ownership roll), Broward County FL (FL DOR 2026 ownership roll), Palm Beach County FL (FL DOR 2026 ownership roll); King County WA (Assessor sale records 0000-00-00–2026-10-14; no owner-of-record names published); Cook County IL (Assessor sale records 1982–2026 + ownership rolls 2014–2026); also looked up per issuer when its page is viewed. Recorder indexes (party names on deeds, mortgages and liens) in TX, AZ, NV, CA and WA counties and outside the Clerk index in FL, mortgages and liens outside NYC and Hillsborough County, lis pendens and foreclosure notices everywhere, Los Angeles County CA, Clark County NV, New York City bulk pass (not finished; per-issuer lookups only so far), Maricopa County AZ (loader ready; commercial-purpose statement not yet filed), Salt Lake County UT, and all other counties are not covered — not searched. Last refresh by source: Cook County IL Assessor via Cook County Open Data (Parcel Sales wvhk-k5uv; Parcel Addresses 3723-97qp) Oct 24, 2026, 9:05 AM ET; Cook County IL Assessor via Cook County Open Data (Parcel Sales wvhk-k5uv; Parcel Addresses 3723-97qp) Oct 24, 2026, 8:30 AM ET; King County WA Assessor Real Property Sales extract (EXTR_RPSale.csv) Oct 24, 2026, 8:27 AM ET; Florida DOR NAL roll (Palm Beach 60) Oct 24, 2026, 8:25 AM ET; Florida DOR NAL roll (Broward 16) Oct 24, 2026, 8:24 AM ET; Florida DOR NAL roll (Dade 23) Oct 24, 2026, 8:23 AM ET; Florida DOR NAL roll (Hillsborough 39) Oct 24, 2026, 8:21 AM ET; Dallas Central Appraisal District ACCOUNT_INFO.CSV Oct 24, 2026, 8:20 AM ET; Harris County Appraisal District real_acct.txt Oct 24, 2026, 8:00 AM ET; Hillsborough County FL Clerk daily index Oct 23, 2026, 8:59 PM ET. NYC and Cook County are also looked up per issuer when its page is viewed; the most recent such lookup on this site finished Oct 24, 2026, 3:30 AM ET. Parties are named as the recorder's index names them (role suffixes as recorded); no address, account number or trust date is shown for an individual, and individual owners of record (home ownership) are not matched or shown. Items still in human review are not shown.

Issuers in this group

Why each issuer is here is stated in the "Linked by" column. Low-confidence links are never shown — they wait for human review.

SourceIssuerLinked byLocationIndustryFilingsSold (max)InvestorsMin. investment (latest filing)Active
EDGAR ↗AS Advest Short Duration Real Estate Fund I LLCshared people, similar issuer namesNEWTOWN, PAPooled Investment Fund3$0
offering $150,000,000 · similar: $500,000–$16,420,250
32
similar: 2–28
$500,000
similar: $5,000–$100,000
2019–2024
EDGAR ↗AR Advest Residential Construction Fund I LLCshared people, similar issuer namesNewtown, PAResidential1$0
offering $6,750,000 · similar: $1,675,000–$12,980,153
0
similar: 5–37
$250,000
similar: $25,000–$86,942
2022–2022

"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(c) (8,096 filings); Residential / 506(b) (4,183 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

Timeline of offerings

SourceFiledIssuerFormIndustryOfferedSold
EDGAR ↗Mar 13, 2024Advest Short Duration Real Estate Fund I LLCD/APooled Investment Fund$150,000,000$0
EDGAR ↗May 11, 2022Advest Residential Construction Fund I LLCDResidential$6,750,000$0
EDGAR ↗Mar 9, 2020Advest Short Duration Real Estate Fund I LLCD/APooled Investment Fund$50,000,000$0
EDGAR ↗Mar 15, 2019Advest Short Duration Real Estate Fund I LLCDPooled Investment Fund$50,000,000$0

Activity: 0 new offerings in the last 12 months across all issuers in this group (new offering = a Form D that is not an amendment, D/A) · most recent filing Mar 13, 2024. Industry history, as reported on each offering's latest filing: Previous offerings: Pooled Investment Fund (2019). Latest offering: Residential (May 11, 2022).

People across the group

NameRolesIssuers hereFirst → last listed
GH Griffin HavikenExecutive Officer, Director, Promoter2Mar 15, 2019 → Mar 13, 2024
JP Jeff PersingerExecutive Officer, Director, Promoter1May 11, 2022 → May 11, 2022

Business registration (state registry / Secretary of State)

1 of 2 issuers have a matched state registry record — records by status: active 1.

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). A registry listing is the state's own record of the entity; it says nothing about the offering itself.

Adviser registration (Form ADV)

Searched SEC Form ADV bulk data (registered + exempt reporting advisers) (24,962 records as of Oct 2, 2026, 8:00 AM ET) — nothing matched Advest.

Meta advertising

No Meta Pixel ids or Facebook / Instagram page links on file for Advest as of Oct 24, 2026 — the sponsor website is read for them once it is on file (runs automatically). Meta Ad Library: not searched by PartnerFacts (no API access); a one-tap Ad Library search is under Look further.

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.

Public profiles and social

No website or social profile named in Advest's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #103,954 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓

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Change history

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Grouping is PartnerFacts' inference from public filings (shared related persons, management entities, business address). Everything else on this page is drawn from the filings themselves. Not the same sponsor? Request a correction.

Look further

One-tap searches on sites we do not index ourselves, with the name pre-filled (outside the US (as filed: NEWTOWN), PA). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

LinkedIn companies ↗Instagram ↗X (Twitter) ↗Facebook ↗YouTube ↗Google ↗Google Images ↗Google News ↗Meta Ad Library ↗

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗Pennsylvania UJS portal case search ↗

Securities regulators

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

Business registries

Pennsylvania Secretary of State business search ↗OpenCorporates ↗