Rubicon is a sponsor group of 2 issuers that PartnerFacts links to one sponsor (shared people, shared management entity, same business address, similar issuer names; automatic match from the filings), filing 16 Form D filings between Mar 2012 and Mar 2019.
What this means One team, 2 deal companies, about 7 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: $282.7M to 48 investors (latest filing per issuer). Industries as reported: Pooled Investment Fund (2). Issuers are based in Cayman Islands (as filed: E9) (2).
What this means $282.7M raised across the group, about $5.89M per investor. Amounts come from each company's latest Form D; they are what the sponsor reported, not audited figures.
Principal people: David DeRosa (2 issuers, director), H. Joseph Leitch (2 issuers, director), James G. Webb (2 issuers, director), Jim Webb (2 issuers, director), Joseph Rubicon Fund Management LLP (2 issuers, promoter, entity) and 3 more.
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 21, 2019.
What this means No new raise filed in the past year.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AZ, CA, DE, TX, WA), property records (NYC, FL, IL and TX counties) — 6 court cases matching the name, 1 bankruptcy case matching the name listed in Key records below.
What this means 7 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 16 public filings for Rubicon and found 12 differences, 6 worth asking the sponsor about: Amount sold went down between filings; 4 offerings reported fewer investors on a later filing; 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.