Sponsor Check › Sponsor group
5 issuers linked to one sponsor · ST. LOUIS, MO
Grouped because: 1 shared person, similar issuer names (5), same person name on both filings (1) (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: Jul 10, 2017 · 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 5 of 5 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: 5 of 5 issuers in this group; 0 not yet searched (5 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 5 of 5 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: 5 of 5 issuers in this group; 0 not yet searched (5 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.
2 of 5 offerings report sales commissions totalling $1,629; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)
| Source | Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it |
|---|---|---|---|---|---|
| EDGAR ↗ | Jul 10, 2017 D/A File 021-145000 | $55 (est.) | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jul 10, 2017 D/A File 021-145073 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jun 14, 2012 D/A File 021-143586 | $1,574 (est.) | $0 | $0 | Fulcrum Securities, Inc. BrokerCheck CRD 140084 ↗ via Fulcrum Securities, Inc. (CRD 140084 ↗) |
| EDGAR ↗ | May 18, 2010 D File 021-142242 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jan 7, 2010 D File 021-137561 | $0 | $0 | $0 | None listed on this filing |
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 5 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 Fulcrum 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, 12:04 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 ↗ | Fulcrum Investment Management LLC | shared people, similar issuer names | ST. LOUIS, MO | Investing | 1 | $1,500,000 offering Indefinite · similar: $763,000–$10,000,000 | 2 similar: 4–23 | $250,000 similar: $10,000–$78,388 | 2010–2010 |
| EDGAR ↗ | Fulcrum Capital Corp. | same person name on both filings, similar issuer names | MCLEAN, VA | Investing | 1 | $677,357 offering $1,500,000 · similar: $763,000–$10,000,000 | 24 similar: 4–23 | $25,000 similar: $10,000–$78,388 | 2010–2010 |
| EDGAR ↗ | Fulcrum Convertible Arbitrage Fund LLC | shared people, same person name on both filings, similar issuer names | ST. LOUIS, MO | Pooled Investment Fund | 4 | $3,149,985 offering Indefinite · similar: $155,000–$5,250,000 | 5 similar: 4–27 | $250,000 similar: $1,000–$100,000 | 2010–2012 |
| EDGAR ↗ | Noddings Convertible Hedge Limited Partnership | shared people, similar issuer names | KIRKWOOD, MO | Pooled Investment Fund | 9 | $7,185,572 offering Indefinite · similar: $155,000–$5,250,000 | 43 similar: 4–27 | $250,000 similar: $1,000–$100,000 | 2010–2017 |
| EDGAR ↗ | Noddings Warrant Limited Partnership | shared people, similar issuer names | KRIKWOOD, MO | Pooled Investment Fund | 8 | $1,021,377 offering Indefinite · similar: $155,000–$5,250,000 | 5 similar: 4–27 | $100,000 similar: $1,000–$100,000 | 2010–2017 |
"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Investing / 506(b) (2,521 filings); Pooled Investment Fund / 506(b) (83,801 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 ↗ | Jul 10, 2017 | Noddings Warrant Limited Partnership | D/A | Pooled Investment Fund | Indefinite | $1,021,377 |
| EDGAR ↗ | Jul 10, 2017 | Noddings Convertible Hedge Limited Partnership | D/A | Pooled Investment Fund | Indefinite | $7,185,572 |
| EDGAR ↗ | Jul 7, 2016 | Noddings Warrant Limited Partnership | D/A | Pooled Investment Fund | Indefinite | $290,000 |
| EDGAR ↗ | Jul 7, 2016 | Noddings Convertible Hedge Limited Partnership | D/A | Pooled Investment Fund | Indefinite | $7,185,572 |
| EDGAR ↗ | Jul 10, 2015 | Noddings Warrant Limited Partnership | D/A | Pooled Investment Fund | Indefinite | $290,000 |
| EDGAR ↗ | Jul 10, 2015 | Noddings Convertible Hedge Limited Partnership | D/A | Pooled Investment Fund | Indefinite | $7,185,572 |
| EDGAR ↗ | Jul 11, 2014 | Noddings Warrant Limited Partnership | D/A | Pooled Investment Fund | Indefinite | $150,000 |
| EDGAR ↗ | Jul 11, 2014 | Noddings Convertible Hedge Limited Partnership | D/A | Pooled Investment Fund | Indefinite | $6,195,833 |
| EDGAR ↗ | Jul 12, 2013 | Noddings Convertible Hedge Limited Partnership | D/A | Pooled Investment Fund | Indefinite | $6,195,833 |
| EDGAR ↗ | Jul 11, 2013 | Noddings Warrant Limited Partnership | D/A | Pooled Investment Fund | Indefinite | $150,000 |
| EDGAR ↗ | Jul 12, 2012 | Noddings Warrant Limited Partnership | D/A | Pooled Investment Fund | Indefinite | $150,000 |
| EDGAR ↗ | Jul 12, 2012 | Noddings Convertible Hedge Limited Partnership | D/A | Pooled Investment Fund | Indefinite | $6,195,833 |
| EDGAR ↗ | Jun 14, 2012 | Fulcrum Convertible Arbitrage Fund LLC | D/A | Pooled Investment Fund | Indefinite | $3,149,985 |
| EDGAR ↗ | Jul 14, 2011 | Noddings Warrant Limited Partnership | D/A | Pooled Investment Fund | Indefinite | $150,000 |
| EDGAR ↗ | Jul 14, 2011 | Noddings Convertible Hedge Limited Partnership | D/A | Pooled Investment Fund | Indefinite | $6,195,833 |
| EDGAR ↗ | Jun 13, 2011 | Fulcrum Convertible Arbitrage Fund LLC | D/A | Pooled Investment Fund | Indefinite | $3,149,985 |
| EDGAR ↗ | Jul 15, 2010 | Noddings Warrant Limited Partnership | D | Pooled Investment Fund | Indefinite | $150,000 |
| EDGAR ↗ | Jul 15, 2010 | Noddings Convertible Hedge Limited Partnership | D/A | Pooled Investment Fund | Indefinite | $98,755 |
| EDGAR ↗ | Jul 15, 2010 | Noddings Convertible Hedge Limited Partnership | D | Pooled Investment Fund | Indefinite | $98,755 |
| EDGAR ↗ | Jun 23, 2010 | Fulcrum Convertible Arbitrage Fund LLC | D/A | Pooled Investment Fund | Indefinite | $2,649,985 |
| EDGAR ↗ | Jun 16, 2010 | Fulcrum Convertible Arbitrage Fund LLC | D | Pooled Investment Fund | Indefinite | $2,649,985 |
| EDGAR ↗ | May 18, 2010 | Fulcrum Capital Corp. | D | Investing | $1,500,000 | $677,357 |
| EDGAR ↗ | Jan 7, 2010 | Fulcrum Investment Management LLC | D | Investing | Indefinite | $1,500,000 |
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 Jul 10, 2017. Industry history, as reported on each offering's latest filing: Previous offerings: Investing (2010). Latest offering: Pooled Investment Fund (2010; most recent Jul 15, 2010).
| Name | Roles | Issuers here | First → last listed |
|---|---|---|---|
| John G. Noddings | Executive Officer, Director, Promoter | 4 | Jan 7, 2010 → Jul 10, 2017 |
| Cynthia D. Lyons | Executive Officer | 1 | Jun 16, 2010 → Jun 14, 2012 |
| Patrick J. Kearns | Executive Officer | 1 | Jun 16, 2010 → Jun 14, 2012 |
| Michael Charles Kissinger | Executive Officer | 1 | Jun 16, 2010 → Jun 14, 2012 |
| Donald C. Megliola | Executive Officer | 1 | Jun 16, 2010 → Jun 14, 2012 |
| GEORGE GREGORY CASEY | Promoter | 1 | May 18, 2010 → May 18, 2010 |
| DONALD CHRISTOPHER MEGLIOLA | Executive Officer, Director, Promoter | 1 | May 18, 2010 → May 18, 2010 |
| SUZANNE GRAY HARVEY | Executive Officer, Director | 1 | May 18, 2010 → May 18, 2010 |
| ROBERT LEE MORGAN | Executive Officer, Promoter | 1 | May 18, 2010 → May 18, 2010 |
| JOHN PATRICK KEARNS | Executive Officer, Director, Promoter | 1 | May 18, 2010 → May 18, 2010 |
| WILLIAM PAUL BEHRENS | Executive Officer, Director | 1 | May 18, 2010 → May 18, 2010 |
| EUGENE WHITNEY HARRIS | Director | 1 | May 18, 2010 → May 18, 2010 |
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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