Sponsor Check › Person
Named as an officer, director or promoter on SEC Form D filings · MD · May 19, 2009 → Dec 5, 2012
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
Alan Kozlay is listed as a director on 7 SEC Form D filings by 4 issuers between May 2009 and Nov 2013: AS GROUP #3 LP (Bangor, ME — other technology — 2009–2010; $5.7M reported sold to 205 investors), AB Group #3 LP (Bangor, ME — other technology — 2010–2012; $2.94M reported sold to 105 investors), Biometric Associates, LP (Timonium, MD — other technology — 2013; $240K reported sold to 8 investors) and JH GROUP #3 LP (Bangor, ME — other technology — 2010).
What this means A repeat sponsor — 4 separate companies raised money with this person listed as director, over about 4 years. Across those companies the filings report $8.88M sold in total.
Listed alongside Andrew Sherman (7 shared filings), Clark Sigsbee (7 shared filings), Douglas E. Kozlay (7 shared filings), Thatcher M. Adams, Jr. (7 shared filings), James McLeod (6 shared filings) and 4 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.
2 of the issuers belong to the sponsor group Total (3 issuers, $2.94M reported sold, 2010–2012).
What this means A sponsor group is one team that sets up a new company for each deal. Total has 3 companies on file and $2.94M reported sold in total — the group page shows the whole track record in one place.
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) — none found.
What this means Nothing turned up where we looked (3 sources). That does not prove there is nothing — it means none was found in those sources on that date.
We compared 7 public filings for Alan Kozlay and found 11 differences, 1 worth asking the sponsor about: 5 filings report more than 10% of the money raised going to insiders; 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.
Community search for Alan Kozlay has not run yet — it is joining a line of 29,606 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).
Five things investors ask first. Items still in human review are counted, not shown.
None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026
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.
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.
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)
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 Kozlay..
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).
None found in sources searched — federal bankruptcy courts (CourtListener / RECAP), checked Oct 24, 2026
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.
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.
Comparisons cover issuers and sponsor groups — see the issuer pages under Deals
11 differences found between the filings for Alan Kozlay — 1 worth asking about (compared 7 filings on Oct 24, 2026)
United States Bankruptcy Court, D. Maryland docket "Clark D. Sigsbee" filed Sep 9, 1998, closed Oct 4, 1999. Clark Sigsbee (listed on the same filings) is listed as Debtor ("Clark D. Sigsbee"). Our match estimate: 80%.
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.
United States Bankruptcy Court, D. Maryland docket "Clark D. Sigsbee" filed May 23, 1995, closed Nov 17, 1997. Clark Sigsbee (listed on the same filings) is listed as Debtor ("Clark D. Sigsbee"). Our match estimate: 80%.
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.
United States Bankruptcy Court, D. Maryland docket "Sigsbee v. FTB Mortgage Services" filed Nov 27, 1995, closed Feb 20, 1997. Clark Sigsbee (listed on the same filings) is listed as Plaintiff ("Sigsbee"). 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.
42% of the money raised went to insiders — AB Group #3 LP · 55% of the money raised went to insiders — AB Group #3 LP · 1076% of the money raised went to insiders — AB Group #3 LP · 33% of the money raised went to insiders — AS GROUP #3 LP · 23% of the money raised went to insiders — AS GROUP #3 LP
What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.
Biometric Associates, LP (last filing Nov 22, 2013; $240,000 sold of $2,000,000); JH GROUP #3 LP (last filing Jul 28, 2010; $0 sold of $400,000). 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.
The latest filing for this offering is dated Nov 22, 2013 (first sale Nov 12, 2013). It reports $240,000 sold of $2,000,000 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.
The latest filing for this offering is dated Dec 5, 2012 (first sale Oct 18, 2010). It reports $2,939,729 sold of $4,000,000 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.
The latest filing for this offering is dated Mar 18, 2010 (first sale Jan 18, 2006). It reports $5,702,270 sold of $8,769,301 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.
The May 19, 2009 filing says $8,469,392 offered; the Mar 18, 2010 Form D/A says $8,769,301.
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.
The Oct 17, 2011 filing lists a minimum of $50,000; the Dec 5, 2012 Form D/A lists $0.
What this means A different minimum usually means the offering terms changed. Check which terms apply to you.
listed as "Alan Kozlay" on 6 filings (from May 19, 2009), and "Alan D. Kozlay" on the Nov 22, 2013 filing.
What this means Same person, written differently — a middle name or suffix left off, or spelled another way. It is normal, but check that the full legal name matches your subscription documents.
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.
2 of 4 offerings report sales commissions totalling $917,765; 0 report finder's fees; 2 report proceeds to related persons totalling $2,549,870. (includes amounts the issuer reported as estimates)
| Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it | Source |
|---|---|---|---|---|---|
| Nov 22, 2013 D Biometric Associates, LP File 021-206837 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Dec 5, 2012 D/A AB Group #3 LP File 021-149608 | $77,131 | $0 | $1,230,000 (est.) | Commonwealth Financial Network BrokerCheck CRD 8032 ↗ via Daniel Romaine (CRD 1303943 ↗) | EDGAR ↗ |
| Jul 28, 2010 D JH GROUP #3 LP File 021-145597 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Mar 18, 2010 D/A AS GROUP #3 LP File 021-85995 | $840,634 (est.) | $0 | $1,319,870 (est.) Reflects historical data from 2006-2009 and an estimated figure for 2010. | Commonwealth Financial Network BrokerCheck CRD 8032 ↗ Commonwealth Financial Network BrokerCheck CRD 8032 ↗ via Daniel Romaine (CRD 1303943 ↗) Commonwealth Financial Network BrokerCheck CRD 8032 ↗ via Lindon S. Brown II (CRD 1130893 ↗) Commonwealth Financial Network BrokerCheck CRD 8032 ↗ via Brian G. Greenwood (CRD 1212459 ↗) Commonwealth Financial Network BrokerCheck CRD 8032 ↗ via Richard W. Preston (CRD 2396186 ↗) | EDGAR ↗ |
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).
Every issuer that named Alan Kozlay on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.
Raised $240K from 8 investors (12% of the $2M target) as of the latest filing. Alan is listed as director.
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. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Other Technology / 506(b) (17,390 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.
Raised $2.94M from 105 investors (73% of the $4M target) as of the latest filing. Alan is listed as director on 3 filings for this deal.
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.
No sales reported yet as of the latest filing. Alan is listed as director.
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.
Raised $5.7M from 205 investors (65% of the $8.77M target) as of the latest filing. Alan is listed as director on 2 filings for this deal.
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.
Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.
Listed on the same filings as Alan Kozlay. Their page shows their other deals.
Thatcher M. Adams, Jr. is on 5 issuers in total — a repeat sponsor. Their page lists every one.
Scott Johnson is on 5 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Alan Kozlay. Their page shows their other deals.
One team, 3 deal companies. Alan Kozlay is listed on 2 of them.
Issuers are grouped when their Form D filings share related persons, a management entity or a business address (automatic match from the filings). "Listed" marks the issuers that name Alan Kozlay.
A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.
None of the 4 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.
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 are matched to companies only, never to individuals, so none are matched to Alan Kozlay 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 4 issuers this person is listed on — nothing matched.
Websites and social links of the issuers Alan Kozlay is listed on: none on file. No website or social profile named in AS GROUP #3 LP's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #363,004 of 374,652 in line (1,383 issuers searched so far). One-tap searches: Look further ↓
One-tap searches on sites we do not index ourselves, with the name pre-filled (Bangor, ME). Each opens in a new tab; what you find there is not verified by PartnerFacts.
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Free. Logged with status: received → under review → fixed / confirmed with source.
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