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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 7:32 AM ET

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AB
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ALAN BARATZ

Named as an officer, director or promoter on SEC Form D filings · CA · Apr 22, 2009 → Jul 27, 2010

2deals (issuers)
$26.2Mreported sold
44investors
3Form D filings
2009–2010years on file

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:18 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

ALAN BARATZ is listed as a director on 3 SEC Form D filings by 2 issuers between Apr 2009 and Jul 2010: BLUEARC CORP (San Jose, CA — computers — 2010; $20M reported sold to 31 investors) and UPEK INC (Emeryville, CA — other technology — 2009; $6.16M reported sold to 13 investors).

What this means 2 separate companies raised money with this person listed as director. Across those companies the filings report $26.2M sold in total.

Listed alongside ALAN KRAMER (2 shared filings), ALBERTO SANGIOVANNI-VINCENTELLI (2 shared filings), David Lane (2 shared filings), Eric Buatois (2 shared filings), JEAN SCHMITT (2 shared filings) and 13 others.

What this means These are the other officers, directors or promoters the companies named on the same forms — the team around ALAN. Each name links to their own page.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, OK, OR, PA, RI, SC, SD, TN, TX, VT, WA, WI, WV, WY) — 7 court cases matching the name, 2 bankruptcy cases matching the name listed in Key records below.

What this means 9 records came back. 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 3 public filings for ALAN BARATZ and found 8 differences, 1 worth asking the sponsor about: 7 court cases name ALAN BARATZ; 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 ALAN BARATZ has not run yet — it is joining a line of 23,381 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: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

7 cases: 5 dismissed, 2 closed (disposition not in docket feed)

Impact Sports Management, Inc. v. Baratz dismissed
District Court, D. Minnesota · No. 0:16-cv-02187 · Filed Jun 28, 2016 · Closed Jan 20, 2017 · Nature of suit: 190 Other contract actions · Cause: 28:1332 Diversity-Breach of Contract
Role of Baratz: Defendant · Outcome: Terminated 2017-01-20 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 15 federal dockets); surname only in the caption; court in MN (not a filing state)
Impact Sports Management, Inc. v. Baratz closed
District Court, S.D. Florida · No. 9:16-cv-80049 · Filed Jan 12, 2016 · Closed Jun 27, 2016 · Nature of suit: 190 Contract: Other · Cause: 28:1332 Diversity-Breach of Contract
Role of Baratz: Defendant · Outcome: Terminated 2016-06-27 — FJC Integrated Database disposition: Transfer to another district Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 15 federal dockets); surname only in the caption; court in FL (not a filing state)
BARATZ v. COMCAST SPECTACOR, L.P. closed
District Court, E.D. Pennsylvania · No. 2:05-cv-06348 · Filed Dec 8, 2005 · Closed Feb 22, 2006 · Nature of suit: 380 Other personal property damage
Role of BARATZ: Plaintiff · Outcome: Terminated 2006-02-22 — FJC Integrated Database disposition: Remanded to state court Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 15 federal dockets); surname only in the caption; court in PA (not a filing state)
Baratz v. Stellent, Inc. dismissed
District Court, D. Minnesota · No. 0:03-cv-05210 · Filed Sep 11, 2003 · Closed Dec 2, 2003 · Nature of suit: 850 Securities, Commodities, Exchange
Role of Baratz: Plaintiff · Outcome: Terminated 2003-12-02 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 15 federal dockets); surname only in the caption; court in MN (not a filing state)
Baratz v. PST Services Inc dismissed
District Court, D. Arizona · No. 2:01-cv-00122 · Filed Jan 22, 2001 · Closed Jul 22, 2002 · Nature of suit: 863 D.I.W.C. / D.I.W.W.
Role of Baratz: Plaintiff · Outcome: Terminated 2002-07-22 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 15 federal dockets); surname only in the caption; court in AZ (not a filing state)
Baratz v. Caterpillar Inc dismissed
District Court, C.D. Illinois · No. 1:95-cv-01451 · Filed Nov 21, 1995 · Closed Nov 6, 1996 · Nature of suit: 850 Securities, Commodities, Exchange
Role of Baratz: Plaintiff · Outcome: Terminated 1996-11-06 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 15 federal dockets); surname only in the caption; court in IL (not a filing state)
Baratz v. Siskon Gold Corp dismissed
District Court, S.D. New York · No. 1:92-cv-05432 · Filed Jul 21, 1992 · Closed Sep 29, 1992 · Nature of suit: 190 Other contract actions
Role of Baratz: Plaintiff · Outcome: Terminated 1992-09-29 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 15 federal dockets); surname only in the caption; court in NY (not a filing state)
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, 2:18 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: VA (crawled Oct 23, 2026)

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 ALAN BARATZ..

State securities regulators: Securities regulators searched (3,318 actions): 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), DE DOJ Investor Protection Unit (257 actions, 1987–2026), TX State Securities Board (586 actions, 2006–2026), WA DFI (2,039 actions, 2001–2026) — last crawled Oct 23, 2026, 9:57 PM ET. No machine-readable public listing today for CO, FL, IA, IN, MN, NE, NJ, NY, OH, UT, VA (see docs/state-regulators.md).

3. Bankruptcies

2 cases: 2 closed (disposition not in docket feed)

Hope Elizabeth Baratz-Johnson closed
United States Bankruptcy Court, M.D. Florida · No. 8:05-bk-22479 · Filed Oct 8, 2005 · Closed Jan 19, 2006
Role of Hope Elizabeth Baratz-Johnson: Debtor · Outcome: Case closed 2006-01-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 15 federal dockets); different first name (elizabeth); court in FL (not a filing state)
Sunarhauserman, Inc. v. Baratz closed
United States Bankruptcy Court, N.D. Ohio · No. 91-01471 · Filed Sep 30, 1991 · Closed Apr 21, 1992
Role of Baratz: Defendant · Outcome: Case closed 1992-04-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 15 federal dockets); surname only in the caption; court in OH (not a filing state)
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, 2:18 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

Comparisons cover issuers and sponsor groups — see the issuer pages under Deals

8 differences found between the filings for ALAN BARATZ — 1 worth asking about (compared 3 filings on Oct 24, 2026)

Note · Apr 29, 1999 – Jan 16, 2003

Bankruptcy case: Dennis M. Murphy v. Morgenthaler — filed Apr 29, 1999

United States Bankruptcy Court, C.D. California docket "Dennis M. Murphy v. Morgenthaler" filed Apr 29, 1999, closed Jan 16, 2003. Gary Morgenthaler (listed on the same filings) is listed as Defendant ("Morgenthaler"). Our match estimate: 70%.

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Sources
Note · Sep 30, 1991 – Apr 21, 1992

Bankruptcy case: Sunarhauserman, Inc. v. Baratz — filed Sep 30, 1991

United States Bankruptcy Court, N.D. Ohio docket "Sunarhauserman, Inc. v. Baratz" filed Sep 30, 1991, closed Apr 21, 1992. ALAN BARATZ is listed as Defendant ("Baratz"). Our match estimate: 40%.

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Sources
Worth asking · Jul 21, 1992 – Jun 28, 2016

7 court cases name ALAN BARATZ — 2 as defendant

By role: defendant in 2, plaintiff in 5. Newest: "Impact Sports Management, Inc. v. Baratz" (District Court, D. Minnesota, Jun 28, 2016); "Impact Sports Management, Inc. v. Baratz" (District Court, S.D. Florida, Jan 12, 2016); "BARATZ v. COMCAST SPECTACOR, L.P." (District Court, E.D. Pennsylvania, Dec 8, 2005). Some of these are name matches with a match estimate below 95% — check each docket.

What this means Several court cases name this subject. Some are routine business suits. Ask what each was about and how it ended.

Sources
Note · Oct 13, 2009

ALAN BARATZ appears on 1 deal that stopped filing before reaching its target

UPEK INC (last filing Oct 13, 2009; $6,156,794 sold of $12,740,241). 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.

Sources
Note · Jul 14, 2010 – Jul 27, 2010

No amendment in the last 12 months on an offering that may still be open — BLUEARC CORP (latest filing Jul 27, 2010)

The latest filing for this offering is dated Jul 27, 2010 (first sale Jul 14, 2010). It reports $20,000,034 sold of $22,000,050 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.

Sources
Note · Apr 15, 2009 – Oct 13, 2009

No amendment in the last 12 months on an offering that may still be open — UPEK INC (latest filing Oct 13, 2009)

The latest filing for this offering is dated Oct 13, 2009 (first sale Apr 15, 2009). It reports $6,156,794 sold of $12,740,241 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.

Sources
Note · Apr 22, 2009 – Oct 13, 2009

Offering amount changed between filings — UPEK INC

The Apr 22, 2009 filing says $5,519,916 offered; the Oct 13, 2009 Form D says $12,740,241.

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.

Sources
Note · Feb 22, 2019 – Dec 4, 2019

Same name, different state: "Alan Baratz" (A1 or CA) is a separate record

This page covers filings where the address state is CA. A separate record, "Alan Baratz" with address state A1 or CA, is listed on 3 filings — most recently by D-Wave Quantum Inc. (Jan 30, 2026). The two records do not overlap in time: this page runs Apr 22, 2009 to Jul 27, 2010; the other runs Feb 22, 2019 to Dec 4, 2019.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

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
Jul 27, 2010 D
BLUEARC CORP
File 021-145548
$0$0$0None listed on this filingEDGAR ↗
Oct 13, 2009 D
UPEK INC
File 021-63921
$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 every filing this person is listed on (latest filing per offering, per issuer).

Deals 2

Every issuer that named Alan Baratz on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

Computers

BLUEARC CORP

San Jose, CA · Jul 27, 2010
  • Jul 27, 2010 · D · $20,000,034 sold of $22,000,050 · 31 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $20M from 31 investors (91% of the $22M target) as of the latest filing. Alan is listed as director.

Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

Other Technology

UPEK INC

Emeryville, CA · Apr 22, 2009 → Oct 13, 2009 · 2 filings
  • Oct 13, 2009 · D · $6,156,794 sold of $12,740,241 · 13 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 22, 2009 · D · $5,074,612 sold of $5,519,916 · 12 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $6.16M from 13 investors (48% of the $12.7M target) as of the latest filing. Alan is listed as director on 2 filings for this deal.

Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

Other pages with the same name (1)

Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.

  • Alan Baratz — British Columbia, Canada (as filed: A1), CA, 2 issuers, Feb 22, 2019 → Dec 4, 2019 · no shared issuer

People around Alan 18

Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.

EB
No photo found yet (own website and image search run after this page is viewed)
Person

Eric Buatois

Director · 2 shared filings (1 issuer) · also on 7 other issuers

Eric Buatois is on 8 issuers in total — a repeat sponsor. Their page lists every one.

JS
No photo found yet (own website and image search run after this page is viewed)
Person

JEAN SCHMITT

Director · 2 shared filings (1 issuer)

Listed on the same filings as Alan Baratz. Their page shows their other deals.

AK
No photo found yet (own website and image search run after this page is viewed)
Person

ALAN KRAMER

Executive Officer, Director · 2 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Alan Baratz. Their page shows their other deals.

DL
No photo found yet (own website and image search run after this page is viewed)
Person

David Lane

Director · 2 shared filings (1 issuer) · also on 4 other issuers

David Lane is on 5 issuers in total — a repeat sponsor. Their page lists every one.

AV
No photo found yet (own website and image search run after this page is viewed)
Person

ALBERTO SANGIOVANNI-VINCENTELLI

Director · 2 shared filings (1 issuer)

Listed on the same filings as Alan Baratz. Their page shows their other deals.

RB
No photo found yet (own website and image search run after this page is viewed)
Person

RONALD BLACK

Director, Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Alan Baratz. Their page shows their other deals.

PB
No photo found yet (own website and image search run after this page is viewed)
Person

PATRICK BOUJU

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Alan Baratz. Their page shows their other deals.

RB
No photo found yet (own website and image search run after this page is viewed)
Person

RAYMOND BINGHAM

Director · 2 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Alan Baratz. Their page shows their other deals.

RB
No photo found yet (own website and image search run after this page is viewed)
Person

ROBERT BOND

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Alan Baratz. Their page shows their other deals.

MS
No photo found yet (own website and image search run after this page is viewed)
Person

Michael J. Stark

Director · 1 shared filing (1 issuer) · also on 26 other issuers

Michael J. Stark is on 27 issuers in total — a repeat sponsor. Their page lists every one.

GM
No photo found yet (own website and image search run after this page is viewed)
Person

Gary Morgenthaler

Director · 1 shared filing (1 issuer) · also on 4 other issuers

Gary Morgenthaler is on 5 issuers in total — a repeat sponsor. Their page lists every one.

PM
No photo found yet (own website and image search run after this page is viewed)
Person

PIERO MARTINOTTI

Director · 1 shared filing (1 issuer)

Listed on the same filings as Alan Baratz. Their page shows their other deals.

PM
No photo found yet (own website and image search run after this page is viewed)
Person

Paul Madera

Director · 1 shared filing (1 issuer) · also on 21 other issuers

Paul Madera is on 22 issuers in total — a repeat sponsor. Their page lists every one.

PM
No photo found yet (own website and image search run after this page is viewed)
Person

PIER MARTINOTTI

Director · 1 shared filing (1 issuer)

Listed on the same filings as Alan Baratz. Their page shows their other deals.

RM
No photo found yet (own website and image search run after this page is viewed)
Person

Rick Martig

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Alan Baratz. Their page shows their other deals.

DW
No photo found yet (own website and image search run after this page is viewed)
Person

Duston Williams

Director · 1 shared filing (1 issuer) · also on 2 other issuers

Listed on the same filings as Alan Baratz. Their page shows their other deals.

SS
No photo found yet (own website and image search run after this page is viewed)
Person

Shmuel Shottan

Executive Officer · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as Alan Baratz. Their page shows their other deals.

MG
No photo found yet (own website and image search run after this page is viewed)
Person

Michael Gustafson

Executive Officer, Director · 1 shared filing (1 issuer) · also on 2 other issuers

Listed on the same filings as Alan Baratz. Their page shows their other deals.

Registrations and other filings

Adviser registration (Form ADV)

None of the 2 issuers this person is listed on appears in Form ADV (searched 24,962 advisers as of Oct 2, 2026). A person is never an adviser firm; Form ADV is checked for the issuers and the management companies they are listed with.

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.

Property records none — individuals are not matched

Property records are matched to companies only, never to individuals, so none are matched to ALAN BARATZ by design. Searched property records in Hillsborough County FL (Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026 + FL DOR 2026 ownership roll), Miami-Dade County FL (FL DOR 2026 ownership roll), Harris County TX (HCAD 2026 ownership roll), Dallas County TX (DCAD 2026 ownership roll), New York City ACRIS documents and PLUTO ownership rows already retrieved for other issuers, Cook County IL sale and ownership rows already retrieved for other issuers (814,874 records as of Oct 23, 2026, 8:59 PM ET) for the 2 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Alan Baratz is listed on: none on file. No website or social profile named in BLUEARC CORP's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #359,927 of 374,652 in line (1,174 issuers searched so far). One-tap searches: Look further ↓

Look further

One-tap searches on sites we do not index ourselves, with the name pre-filled (San Jose, CA). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Change history

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