Sponsor Check › Sponsor group
2 issuers linked to one sponsor · CHARLOTTESVILLE, VA
Grouped because: 7 shared people, similar issuer names (2) (automatic match from the filings) ·Not the same sponsor? Request a correction
Data last updated: Oct 23, 2026, 5:45 PM ET · Latest filing in this group: May 27, 2020 · Courts (RECAP) last checked: Oct 23, 2026, 11:54 PM ET · SEC enforcement last checked: not yet
The five facts investors ask about first. Each section states what was searched and when. Items still in human review are not shown.
None found so far in sources searched for 2 of 2 issuers in this group.
Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30) — federal district + bankruptcy courts; live RECAP re-check pending. State courts: not yet searched. PACER: not searched. · Last checked Oct 23, 2026, 11:54 PM ET. Searched so far: 2 of 2 issuers in this group; 0 not yet searched (2 queued). Results are added automatically.
State courts: not yet searched. 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.
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. — not yet searched; State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states: not yet searched.
Not yet searched.
Search queued. Results are added automatically; check back later or follow this page to be notified.
None found so far in sources searched for 2 of 2 issuers in this group.
Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Last checked Oct 23, 2026, 11:54 PM ET. Searched so far: 2 of 2 issuers in this group; 0 not yet searched (2 queued). Results are added automatically.
State courts: not yet searched. 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.
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 only from an approved profile claim or the Form ADV of its matched adviser) · SEC Form D · SEC Form ADV (IAPD) · Internet Archive · No website is on file for this sponsor group yet.
6 of 15 offerings report sales commissions totalling $5,051,715; 1 reports finder's fees totalling $12,000; 2 report proceeds to related persons totalling $655,000. (includes amounts the issuer reported as estimates)
| Source | Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it |
|---|---|---|---|---|---|
| EDGAR ↗ | May 27, 2020 D File 021-367789 | $0 | $0 | $0 A portion of the proceeds may be used for general corporate purposes, including to pay salaries of some related persons listed in Item 3. | H.C. Wainwright & Co., LLC BrokerCheck CRD 375 ↗ |
| EDGAR ↗ | May 15, 2020 D File 021-367109 | $100,000 (est.) | $0 | $0 A portion of the proceeds may be used for general corporate purposes, including to pay salaries of some related persons listed in Item 3. | H.C. Wainwright & Co., LLC BrokerCheck CRD 375 ↗ |
| EDGAR ↗ | Dec 17, 2019 D File 021-355718 | $62,668 (est.) | $0 | $0 A portion of the proceeds may be used for general corporate purposes, including to pay salaries of some related persons listed in Item 3. | H.C. Wainwright & Co., LLC BrokerCheck CRD 375 ↗ |
| EDGAR ↗ | Jun 3, 2019 D File 021-341007 | $13,131 (est.) | $0 | $0 A portion of the proceeds may be used for general corporate purposes, including to pay salaries of some related persons listed in Item 3. | H.C. Wainwright & Co., LLC BrokerCheck CRD 375 ↗ |
| EDGAR ↗ | Mar 16, 2017 D File 021-282760 | $1,498,066 (est.) | $0 | $0 A portion of the proceeds may be used for general corporate purposes, including to pay salaries of some related persons listed in Item 3. | Maxim Group LLC BrokerCheck CRD 120708 ↗ |
| EDGAR ↗ | Jan 21, 2016 D File 021-255678 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Dec 22, 2015 D File 021-253581 | $0 | $0 | $0 In the ordinary course of business, the issuer may use some of the proceeds of the offering to pay salaries to certain of its executive officers and directors. | None listed on this filing |
| EDGAR ↗ | Sep 4, 2014 D File 021-224078 | $0 | $0 | $0 In the ordinary course of business, the issuer may use some of the proceeds of the offering to pay salaries to certain of its executive officers and directors. | None listed on this filing |
| EDGAR ↗ | May 22, 2014 D File 021-217814 | $2,477,850 | $0 | $300,000 (est.) Past due compensation for officers and directors. | Maxim Group LLC BrokerCheck CRD 120708 ↗ via Kareem Ali (CRD 4369152 ↗) |
| EDGAR ↗ | Jun 21, 2013 D File 021-198432 | $0 | $0 | $0 In the ordinary course of business, the issuer may use some of the proceeds of the offering to pay salaries to certain of its executive officers and directors. | None listed on this filing |
| EDGAR ↗ | Oct 1, 2012 D File 021-184853 | $0 | $0 | $0 In the ordinary course of business, the issuer may use some of the proceeds of the offering to pay salaries to certain of its executive officers and directors. | None listed on this filing |
| EDGAR ↗ | Jul 20, 2011 D File 021-163215 | $900,000 | $0 | $0 | Maxim Group LLC BrokerCheck CRD 120708 ↗ via Jaime Alfaro (CRD 3051358 ↗) Equity Source Partners, LLC BrokerCheck CRD 140227 ↗ via Cary W. Sucoff (CRD 1156732 ↗) |
| EDGAR ↗ | Jul 20, 2011 D File 021-163236 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Apr 27, 2011 D File 021-158931 | $0 | $0 | $0 In the ordinary course of business, the issuer may use some of the proceeds of the offering to pay salaries to certain of its executive officers and directors. | None listed on this filing |
| EDGAR ↗ | Dec 29, 2009 D File 021-43456 | $0 | $12,000 (est.) | $355,000 (est.) | Justin Wiley no CRD number reported Peter Wiley no CRD number reported |
As reported by the issuer on Form D (Items 12–15), 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).
0 recorded documents and 0 ownership records matched to Diffusion Pharmaceuticals in the sources searched.
Not found in sources searched as of Oct 23, 2026, 8:59 PM 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; Florida DOR NAL roll (Hillsborough 39) roll year 2026 — loaded Oct 23, 2026, 8:54 PM ET; Florida DOR NAL roll (Dade 23) roll year 2026 — loaded Oct 23, 2026, 8:58 PM ET; Harris County Appraisal District real_acct.txt roll year 2026 — loaded Oct 23, 2026, 8:58 PM ET; Dallas Central Appraisal District ACCOUNT_INFO.CSV roll year 2026 — loaded Oct 23, 2026, 8:58 PM ET. Not yet searched for this group (queued): 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); Hillsborough County FL (recorded documents from Oct 14, 2026 forward; ownership from FL DOR roll 2026); Cook County IL (assessor ownership and deed/sale records, looked up per issuer when its page is viewed); Harris County TX and Dallas County TX (assessor ownership rolls only, 2026 roll; no deed, mortgage or sale records); Miami-Dade County FL (ownership from FL DOR roll only; Clerk recorded documents not yet searched). Recorder indexes for TX, AZ, IL and WA counties, mortgages and liens outside NYC and FL, lis pendens and foreclosure notices everywhere, Miami-Dade County FL recorded documents, Maricopa County AZ, King County WA, Salt Lake County UT, and all other counties are not yet searched. Last refresh: Oct 23, 2026, 11:30 PM ET; last subject check: Oct 24, 2026, 12:09 AM ET. Parties are named as the recorder's index names them (role suffixes as recorded); no address 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.
Why each issuer is here is stated in the "Linked by" column. Low-confidence links are never shown — they wait for human review.
| Source | Issuer | Linked by | Location | Industry | Filings | Sold (max) | Investors | Min. investment (latest filing) | Active |
|---|---|---|---|---|---|---|---|---|---|
| EDGAR ↗ | DIFFUSION PHARMACEUTICALS LLC | shared people, similar issuer names | CHARLOTTESVILLE, VA | Pharmaceuticals | 7 | $5,000,700 offering $5,000,000 · similar: $1,694,259–$16,000,000 | 34 similar: 1–13 | $5,000 similar: $10,000–$55,000 | 2009–2015 |
| EDGAR ↗ | Diffusion Pharmaceuticals Inc. | shared people, similar issuer names | CHARLOTTESVILLE, VA | Pharmaceuticals | 9 | $85,736,378 offering $750,001 · similar: $1,694,259–$16,000,000 | 181 similar: 1–13 | No minimum reported similar: $10,000–$55,000 | 2011–2020 |
"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pharmaceuticals / 506(b) (800 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.
| Source | Filed | Issuer | Form | Industry | Offered | Sold |
|---|---|---|---|---|---|---|
| EDGAR ↗ | May 27, 2020 | Diffusion Pharmaceuticals Inc. | D | Pharmaceuticals | $750,001 | $750,001 |
| EDGAR ↗ | May 15, 2020 | Diffusion Pharmaceuticals Inc. | D | Pharmaceuticals | $625,000 | $625,000 |
| EDGAR ↗ | Dec 17, 2019 | Diffusion Pharmaceuticals Inc. | D | Pharmaceuticals | $783,348 | $783,348 |
| EDGAR ↗ | Jun 3, 2019 | Diffusion Pharmaceuticals Inc. | D | Pharmaceuticals | $164,132 | $164,132 |
| EDGAR ↗ | Mar 16, 2017 | Diffusion Pharmaceuticals Inc. | D | Pharmaceuticals | $25,000,000 | $15,830,661 |
| EDGAR ↗ | Jan 21, 2016 | Diffusion Pharmaceuticals Inc. | D | Pharmaceuticals | Indefinite | $85,736,378 |
| EDGAR ↗ | Dec 22, 2015 | DIFFUSION PHARMACEUTICALS LLC | D | Pharmaceuticals | $5,000,000 | $2,401,602 |
| EDGAR ↗ | Sep 4, 2014 | DIFFUSION PHARMACEUTICALS LLC | D | Pharmaceuticals | $3,472,000 | $3,472,000 |
| EDGAR ↗ | May 22, 2014 | Diffusion Pharmaceuticals Inc. | D | Pharmaceuticals | $50,000,000 | $24,778,500 |
| EDGAR ↗ | Jun 21, 2013 | DIFFUSION PHARMACEUTICALS LLC | D | Pharmaceuticals | $5,000,700 | $5,000,700 |
| EDGAR ↗ | Oct 1, 2012 | DIFFUSION PHARMACEUTICALS LLC | D | Pharmaceuticals | $5,500,000 | $4,950,000 |
| EDGAR ↗ | Jul 20, 2011 | Diffusion Pharmaceuticals Inc. | D | Other | $2,615,000 | $2,590,000 |
| EDGAR ↗ | Jul 20, 2011 | Diffusion Pharmaceuticals Inc. | D | Other | $10,000,000 | $8,700,000 |
| EDGAR ↗ | Apr 27, 2011 | DIFFUSION PHARMACEUTICALS LLC | D | Pharmaceuticals | $2,197,479 | $2,197,479 |
| EDGAR ↗ | Dec 29, 2009 | DIFFUSION PHARMACEUTICALS LLC | D | Pharmaceuticals | $3,853,990 | $3,853,990 |
| EDGAR ↗ | Aug 26, 2009 | DIFFUSION PHARMACEUTICALS LLC | D | Pharmaceuticals | $5,000,001 | $1,803,728 |
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 May 27, 2020. Industry history, as reported on each offering's latest filing: Previous offerings: Pharmaceuticals (2009–2011), Other (2011). Latest offering: Pharmaceuticals (2012–2020; most recent May 27, 2020).
| Name | Roles | Issuers here | First → last listed |
|---|---|---|---|
| Mark T. Giles | Director | 2 | Aug 26, 2009 → May 27, 2020 |
| John L. Gainer | Executive Officer, Director | 2 | Aug 26, 2009 → May 27, 2020 |
| David G. Kalergis | Executive Officer, Director | 2 | Oct 1, 2012 → May 27, 2020 |
| Robert W. Adams | Director | 2 | Aug 26, 2009 → May 27, 2020 |
| Alan G. Levin | Director | 2 | Dec 22, 2015 → May 27, 2020 |
| Ben L. Shealy | Executive Officer | 2 | Aug 26, 2009 → Mar 16, 2017 |
| David R. Jones | Executive Officer | 2 | Sep 4, 2014 → Jan 21, 2016 |
| William K. Hornung | Executive Officer | 1 | Jun 3, 2019 → May 27, 2020 |
| Robert J. Cobuzzi | Director | 1 | May 15, 2020 → May 27, 2020 |
| Thomas S. Byrne | Executive Officer | 1 | Jan 21, 2016 → May 27, 2020 |
| Isaac Blech | Director | 1 | May 22, 2014 → Mar 16, 2017 |
| David K. Kalergis | Director | 1 | Jan 21, 2016 → Jan 21, 2016 |
| Thomas E. Byrne | Director | 1 | Aug 26, 2009 → Dec 22, 2015 |
| Rex Bright | Director | 1 | May 22, 2014 → May 22, 2014 |
| Sol J Barer | Director | 1 | May 22, 2014 → May 22, 2014 |
| John Moynahan | Executive Officer | 1 | Jul 20, 2011 → May 22, 2014 |
| Jerold Rubinstein | Director | 1 | May 22, 2014 → May 22, 2014 |
| Nelson K. Stacks | Director | 1 | May 22, 2014 → May 22, 2014 |
| Stephen Simes | Executive Officer, Director | 1 | May 22, 2014 → May 22, 2014 |
| Timothy Boris | Executive Officer | 1 | May 22, 2014 → May 22, 2014 |
| Yael Schwartz | Executive Officer, Director | 1 | May 22, 2014 → May 22, 2014 |
| Craig Abolin | Executive Officer | 1 | May 22, 2014 → May 22, 2014 |
| David Sherris | Executive Officer, Director | 1 | May 22, 2014 → May 22, 2014 |
| Kim Whitten | Executive Officer | 1 | Oct 1, 2012 → Jun 21, 2013 |
| Matthew Hantzmon | Executive Officer | 1 | Aug 26, 2009 → Oct 1, 2012 |
| Glenn Golenberg | Director | 1 | Jul 20, 2011 → Jul 20, 2011 |
| Paul Feller | Executive Officer, Director | 1 | Jul 20, 2011 → Jul 20, 2011 |
| Mike Dunleavy, Sr. | Director | 1 | Jul 20, 2011 → Jul 20, 2011 |
| Randall Cross | Director | 1 | Jul 20, 2011 → Jul 20, 2011 |
| William Kelly | Executive Officer | 1 | Jul 20, 2011 → Jul 20, 2011 |
| David Kalergis | Executive Officer, Director | 1 | Aug 26, 2009 → Apr 27, 2011 |
Not yet searched. Sources to be searched: SEC Investment Adviser Information Reports — Form ADV data for SEC-registered advisers and exempt reporting advisers (file dated 2026-10-02); SEC Investment Adviser Public Disclosure (IAPD) firm search — registered and exempt reporting advisers · Search queued. Results are added automatically; check back later.
Not yet searched.
Sources to be searched: the sponsor's own website (known only from an approved profile claim or the matched adviser's Form ADV) for Meta Pixel ids and Facebook / Instagram page links; Meta Ad Library API: not yet searched (API access pending). We never read facebook.com or instagram.com; readers get a link to Meta's public Ad Library instead.
None found in sources searched.
Sources 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 · Last checked Oct 23, 2026, 8:41 PM ET.
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