PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:49 AM ET

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Alan Spoon

Named as an officer, director or promoter on SEC Form D filings · MA, NY · Nov 18, 2009 → Jan 28, 2011

2deals (issuers)
$84Mreported sold
24investors
9Form D filings
2009–2011years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:20 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Alan Spoon is listed as a director on 9 SEC Form D filings by 2 issuers between Nov 2009 and Dec 2017: Focus Financial Partners LLC (New York, NY — other banking and financial services — 2009–2011; $50M reported sold to 14 investors) and Phreesia, Inc. (New York, NY — other health care — 2010–2017; $34M reported sold to 10 investors).

What this means 2 separate companies raised money with this person listed as director, over about 8 years. Across those companies the filings report $84M sold in total.

Listed alongside Chaim Indig (5 shared filings), Edward Cahill (5 shared filings), Michael Weintraub (5 shared filings), Victor Kats (5 shared filings), CHRISTOPHER J. DEAN (4 shared filings) and 15 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.

1 of the issuers belongs to the sponsor group Focus (2 issuers, $113.2M reported sold, 2009–2018).

What this means A sponsor group is one team that sets up a new company for each deal. Focus has 2 companies on file and $113.2M 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, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — 22 court cases matching the name, 13 bankruptcy cases matching the name listed in Key records below.

What this means 35 records came back, including 11 court cases 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 9 public filings for Alan Spoon and found 13 differences, 2 worth asking the sponsor about: Amount sold went down between filings; Investor count went down between filings; 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 Spoon has not run yet — it is joining a line of 41,459 names; searches run around the clock at the hosts' allowed rate. Searched so far: 641 names.

Community comments are quoted as written by their authors. Sources searched: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.

Key records

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

1. Lawsuits

22 cases: 11 open, 4 closed (disposition not in docket feed), 6 dismissed, 1 judgment

Freifeld v. Magic Spoon Inc. open
District Court, S.D. New York · No. 1:26-cv-08281 · Filed Sep 23, 2026 · Nature of suit: 890 Other Statutory Actions · Cause: 28:1332ct Diversity-(Citizenship)
Role of Magic Spoon Inc.: Defendant · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); different first name (magic); court in the person's filing state (NY)
Kazemi v. Magic Spoon Inc. open
District Court, S.D. New York · No. 1:26-cv-08238 · Filed Sep 22, 2026 · Nature of suit: 370 Other Fraud · Cause: 28:1332fr Diversity-Fraud
Role of Magic Spoon Inc.: Defendant · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); different first name (magic); court in the person's filing state (NY)
Mirzaian v. Magic Spoon, Inc. open
District Court, S.D. New York · No. 1:26-cv-07075 · Filed Aug 19, 2026 · Nature of suit: 370 Other Fraud · Cause: 28:1332dtp Diversity - Deceptive Trade Practices
Role of Magic Spoon, Inc.: Defendant · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); different first name (inc); court in the person's filing state (NY)
Spoon v. Fast Response Heating & Cooling LLC open
District Court, N.D. Texas · No. 3:26-cv-01852 · Filed Jun 4, 2026 · Nature of suit: 485 Telephone Consumer Protection Act (TCPA) · Cause: 47:227 Restrictions of Use of Telephone Equipment
Role of Spoon: Plaintiff · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); surname only in the caption; court in TX (not a filing state)
Spoon v. Jobble Inc open
District Court, N.D. Texas · No. 3:26-cv-01707 · Filed May 27, 2026
Role of Spoon: Plaintiff · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); surname only in the caption; court in TX (not a filing state)
Spoon v. Ragingbull.com LLC open
District Court, N.D. Texas · No. 3:26-cv-00957 · Filed Mar 25, 2026
Role of Spoon: Plaintiff · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); surname only in the caption; court in TX (not a filing state)
Marco Ruiz v. Spoon Republic, Inc. open
District Court, C.D. California · No. 2:26-cv-02486 · Filed Mar 9, 2026
Role of Spoon Republic, Inc.: Defendant · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); surname only in the caption; court in CA (not a filing state)
Spoon v. Core Ortho Innovations Inc open
District Court, N.D. Texas · No. 3:26-cv-00595 · Filed Feb 23, 2026 · Nature of suit: 485 Telephone Consumer Protection Act (TCPA) · Cause: 47:227 Restrictions of Use of Telephone Equipment
Role of Spoon: Plaintiff · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); surname only in the caption; court in TX (not a filing state)
Spoon v. The Law Base Inc. open
District Court, N.D. Texas · No. 3:26-cv-00556 · Filed Feb 20, 2026 · Nature of suit: 485 Telephone Consumer Protection Act (TCPA) · Cause: 47:227 Restrictions of Use of Telephone Equipment
Role of Spoon: Plaintiff · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); surname only in the caption; court in TX (not a filing state)
Spoon v. Angi Inc. open
District Court, D. Colorado · No. 1:26-cv-00523 · Filed Feb 10, 2026 · Nature of suit: 890 Other Statutory Actions · Cause: 47:227 Restrictions of Use of Telephone Equipment
Role of Spoon: Plaintiff · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); surname only in the caption; court in CO (not a filing state)
Spoon v. NVA Financial Services, LLC open
District Court, E.D. Virginia · No. 1:26-cv-00069 · Filed Jan 9, 2026 · Nature of suit: 485 Telephone Consumer Protection Act (TCPA) · Cause: 47:227 Restrictions of Use of Telephone Equipment
Role of Spoon: Plaintiff · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); surname only in the caption; court in VA (not a filing state)
American Spoon Foods, Inc. v. McCollum closed
District Court, W.D. Michigan · No. 1:23-cv-00060 · Filed Jan 16, 2023 · Closed Feb 2, 2023
Role of American Spoon Foods, Inc.: Plaintiff · Outcome: Terminated 2023-02-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); surname only in the caption; court in MI (not a filing state)
Tavarez-Vargas v. Shaker & Spoon, Inc. closed
District Court, S.D. New York · No. 1:21-cv-10007 · Filed Nov 24, 2021 · Closed Jun 8, 2022
Role of Shaker & Spoon, Inc.: Defendant · Outcome: Terminated 2022-06-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); different first name (inc); court in the person's filing state (NY)
Spoon v. Packaging Corporation of America closed
District Court, E.D. Washington · No. 4:21-cv-05057 · Filed Apr 7, 2021 · Closed Sep 14, 2022 · Nature of suit: 360 P.I.: Other · Cause: 28:1332 Diversity
Role of Spoon: Plaintiff · Outcome: Terminated 2022-09-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); surname only in the caption; court in WA (not a filing state)
Bunting v. Marley Spoon, Inc. closed
District Court, E.D. New York · No. 1:21-cv-00299 · Filed Jan 20, 2021 · Closed Jul 7, 2021
Role of Marley Spoon, Inc.: Defendant · Outcome: Terminated 2021-07-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); different first name (inc); court in the person's filing state (NY)
Spoon v. Select Portfolio Servicing, LLC dismissed
District Court, N.D. Illinois · No. 1:19-cv-00396 · Filed Jan 18, 2019 · Closed Jun 7, 2019 · Nature of suit: 480 Consumer credit
Role of Spoon: Plaintiff · Outcome: Terminated 2019-06-07 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); surname only in the caption; court in IL (not a filing state)
Spoon v. Janssen Research & Development, LLC dismissed
District Court, E.D. Louisiana · No. 2:17-cv-00524 · Filed Jan 23, 2017 · Closed Jul 7, 2020 · Nature of suit: 367 Health care / pharm
Role of Spoon: Plaintiff · Outcome: Terminated 2020-07-07 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); surname only in the caption; court in LA (not a filing state)
Spoon v. Janssen Research & Development LLC dismissed
District Court, E.D. Louisiana · No. 2:16-cv-16480 · Filed Nov 18, 2016 · Closed May 22, 2020 · Nature of suit: 367 Health care / pharm
Role of Spoon: Plaintiff · Outcome: Terminated 2020-05-22 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); surname only in the caption; court in LA (not a filing state)
Spoon v. Absolute Collections Corporation dismissed
District Court, N.D. Illinois · No. 1:15-cv-00317 · Filed Jan 13, 2015 · Closed Apr 22, 2015 · Nature of suit: 890 Other statutory actions
Role of Spoon: Plaintiff · Outcome: Terminated 2015-04-22 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); surname only in the caption; court in IL (not a filing state)
Spoon v. Biomet Inc dismissed
District Court, N.D. Indiana · No. 3:14-cv-00576 · Filed Mar 24, 2014 · Closed Jul 11, 2016 · Nature of suit: 367 Health care / pharm
Role of Spoon: Plaintiff · Outcome: Terminated 2016-07-11 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); surname only in the caption; court in IN (not a filing state)
Indiana Lumbermen's Mutual Insurance Co. v. Spoon judgment
District Court, E.D. Oklahoma · No. 6:09-cv-00485 · Filed Dec 17, 2009 · Closed Sep 2, 2011 · Nature of suit: Personal Property: Other · Cause: 28:1345 Replevin & Conversion
Role of Spoon: Defendant · Outcome: Terminated 2011-09-02 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for plaintiff Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); surname only in the caption; court in OK (not a filing state)
Spoon v. Partnering Group Inc dismissed
District Court, W.D. Louisiana · No. 6:07-cv-00612 · Filed Apr 3, 2007 · Closed Nov 2, 2007 · Nature of suit: 140 Negotiable instruments
Role of Spoon: Plaintiff · Outcome: Terminated 2007-11-02 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); surname only in the caption; court in LA (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, 2:20 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: 48 regulators (FINRA, NASAA, 37 states) — crawled Oct 24, 2026, 8:48 AM ET

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 Spoon..

State securities regulators: Securities regulators searched (64,910 actions): FINRA (38,350 actions, 1995–2026), NASAA (31 actions, 2000–2026; listing starts 1997), AK Division of Banking and Securities (273 actions, 1971–2025), AL Securities Commission (880 actions, 2001–2026), AR Securities Department (1,305 actions, 1998–2026), 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), CO Division of Securities (731 actions, 2001–2026; older years from the Internet Archive (snapshot of 2026-05-02)), CT Department of Banking Securities Division (940 actions, 2006–2026; older years from the Internet Archive (snapshot of 2026-04-22)), DC DISB Securities Bureau (25 actions, 2012–2026), DE DOJ Investor Protection Unit (257 actions, 1987–2026), FL Office of Financial Regulation (49 actions, 2018–2026), GA Secretary of State Securities Division (65 actions, 2015–2026; listing starts 2012), HI DCCA Securities Enforcement Branch (26 actions, 2012–2026), ID Department of Finance Securities Bureau (663 actions, 1994–2026), IL Secretary of State Securities Department (4,122 actions, 2003–2023), KS Insurance Department Securities Division (58 actions), KY Department of Financial Institutions (342 actions, 2005–2026), LA Office of Financial Institutions Securities Division (13 actions, 2010–2025; listing starts 2008), MA Secretary of the Commonwealth Securities Division (125 actions, 2012–2025; live site blocks automated access — loaded from the Internet Archive snapshot of 2026-02-04), MD Attorney General Securities Division (1,054 actions, 2004–2026), ME Office of Securities (539 actions, 2000–2026), MI LARA Corporations, Securities & Commercial Licensing Bureau (201 actions), MO Secretary of State Securities Division (919 actions, 1998–2026), MS Secretary of State Securities Division (209 actions, 1995–2026), MT Commissioner of Securities and Insurance (597 actions, 2000–2026), NC Secretary of State Securities Division (265 actions, 2004–2024), ND Securities Department (711 actions, 1990–2026; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2026-01-06), NH Bureau of Securities Regulation (402 actions, 2002–2026), NM Regulation and Licensing Department Securities Division (90 actions, 2010–2025), NV Secretary of State Securities Division (118 actions, 2018–2026), NY Attorney General Investor Protection Bureau (44 actions, 2012–2026), OH Division of Securities (327 actions, 1993–2006), OK Department of Securities (2,531 actions, 1998–2026), OR Division of Financial Regulation (589 actions, 1988–2026), PA Department of Banking and Securities (1,448 actions, 2008–2024; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2024-08-09), RI DBR Securities Division (98 actions, 2005–2025), SC Attorney General Securities Division (540 actions, 2006–2026), SD Division of Insurance – Securities Regulation (106 actions, 2017–2026), TN Department of Commerce and Insurance Securities Division (405 actions, 1992–2026), TX State Securities Board (936 actions, 1999–2026), UT Division of Securities (772 actions, 2000–2026; older years from the Internet Archive (snapshot of 2010-05-27)), VT DFR Securities Division (137 actions, 2010–2026), WA DFI (2,039 actions, 2001–2026), WI DFI Division of Securities (1,072 actions, 1998–2026), WV Securities Commission (State Auditor) (64 actions), WY Secretary of State Compliance Division (6 actions, 2016–2024) — last crawled Oct 24, 2026, 8:48 AM ET. No machine-readable public listing today for IA, IN, MN, NE, NJ, VA (see docs/state-regulators.md).

3. Bankruptcies

13 cases: 12 closed (disposition not in docket feed), 1 open

Spoon Enterprises One Inc. closed
United States Bankruptcy Court, E.D. New York · No. 1-24-43749 · Filed Sep 11, 2024 · Closed Jan 28, 2025
Role of Spoon Enterprises One Inc.: Debtor · Outcome: Case closed 2025-01-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); surname only in the caption; court in the person's filing state (NY)
Spoon Enterprises One Inc. closed
United States Bankruptcy Court, E.D. New York · No. 1-24-40114 · Filed Jan 10, 2024 · Closed Jun 11, 2024
Role of Spoon Enterprises One Inc.: Debtor · Outcome: Case closed 2024-06-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); surname only in the caption; court in the person's filing state (NY)
Spoon Enterprises One Inc. closed
United States Bankruptcy Court, E.D. New York · No. 1-23-40014 · Filed Jan 4, 2023 · Closed Apr 18, 2023
Role of Spoon Enterprises One Inc.: Debtor · Outcome: Case closed 2023-04-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); surname only in the caption; court in the person's filing state (NY)
The Crystal Spoon Corp. open
United States Bankruptcy Court, S.D. New York · No. 22-22277 · Filed May 18, 2022
Role of The Crystal Spoon Corp.: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); different first name (crystal); court in the person's filing state (NY)
Spoon Investments LLC v. Casey closed
United States Bankruptcy Court, N.D. Texas · No. 22-05002 · Filed Mar 7, 2022 · Closed Jun 21, 2022
Role of Spoon Investments LLC: Plaintiff · Outcome: Case closed 2022-06-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); surname only in the caption; court in TX (not a filing state)
Spoon Prime Properties, LLC closed
United States Bankruptcy Court, S.D. New York · No. 17-35154 · Filed Jan 31, 2017 · Closed Mar 30, 2018
Role of Spoon Prime Properties, LLC: Debtor · Outcome: Case closed 2018-03-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); surname only in the caption; court in the person's filing state (NY)
The Crystal Spoon Corp. closed
United States Bankruptcy Court, S.D. New York · No. 16-22238 · Filed Feb 25, 2016 · Closed Mar 9, 2022
Role of The Crystal Spoon Corp.: Debtor · Outcome: Case closed 2022-03-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); different first name (crystal); court in the person's filing state (NY)
Silver Spoon Salad Company, Inc. closed
United States Bankruptcy Court, D. Massachusetts · No. 10-44639 · Filed Sep 20, 2010 · Closed Feb 25, 2014
Role of Silver Spoon Salad Company, Inc.: Debtor · Outcome: Case closed 2014-02-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); different first name (silver); court in the person's filing state (MA)
David Spoon and Seda Spoon closed
United States Bankruptcy Court, N.D. New York · No. 09-61478 · Filed May 27, 2009 · Closed Oct 22, 2009
Role of David Spoon and Seda Spoon: Debtor · Outcome: Case closed 2009-10-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); different first name (david); court in the person's filing state (NY)
Spoon v. Household Mortgage Services closed
United States Bankruptcy Court, N.D. Mississippi · No. 04-01075 · Filed Apr 28, 2004 · Closed Aug 31, 2004
Role of Spoon: Plaintiff · Outcome: Case closed 2004-08-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); surname only in the caption; court in MS (not a filing state)
Spoon & Mashie Golf Shop Inc. closed
United States Bankruptcy Court, E.D. North Carolina · No. 01-06424 · Filed Aug 23, 2001 · Closed Aug 3, 2002
Role of Spoon & Mashie Golf Shop Inc.: Debtor · Outcome: Case closed 2002-08-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); surname only in the caption; court in NC (not a filing state)
Spoon v. United States Department of Education/National Pay closed
United States Bankruptcy Court, S.D. Alabama · No. 95-01014 · Filed Jan 25, 1995 · Closed May 22, 1995
Role of Spoon: Plaintiff · Outcome: Case closed 1995-05-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); surname only in the caption; court in AL (not a filing state)
Spoon v. United States Department of Education/National Pay closed
United States Bankruptcy Court, S.D. Alabama · No. 95-01015 · Filed Jan 25, 1995 · Closed May 22, 1995
Role of Spoon: Plaintiff · Outcome: Case closed 1995-05-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 126 federal dockets); surname only in the caption; court in AL (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, 2:20 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

13 differences found between the filings for Alan Spoon — 2 worth asking about (compared 9 filings on Oct 24, 2026)

Note · Jul 22, 2003 – Sep 2, 2003

Bankruptcy case: Chase Manhattan Bank, USA, N.A. v. Parness — filed Jul 22, 2003

United States Bankruptcy Court, S.D. New York docket "Chase Manhattan Bank, USA, N.A. v. Parness" filed Jul 22, 2003, closed Sep 2, 2003. Rory Parness (listed on the same filings) is listed as Defendant ("Parness"). 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.

Docket · United States Bankruptcy Court, S.D. New York ↗Rory Parness — PartnerFacts page ↗
Sources
Worth asking · Nov 20, 2009 – Jan 7, 2010

Amount sold went down between filings — Focus Financial Partners LLC

The Nov 20, 2009 filing says $50,000,000 sold; the Jan 7, 2010 Form D says $2,804,412 sold — $47,195,588 less.

What this means Amounts sold normally only go up as a raise continues. A drop can mean investors were refunded, a figure was corrected, or an earlier number was wrong. Ask the sponsor which it was.

Form D (earlier) · Nov 20, 2009 ↗Form D (later) · Jan 7, 2010 ↗Focus Financial Partners LLC — PartnerFacts page ↗
Sources
Worth asking · Nov 20, 2009 – Jan 7, 2010

Investor count went down between filings — Focus Financial Partners LLC

The Nov 20, 2009 filing reports 14 investors; the Jan 7, 2010 Form D reports 4 investors.

What this means Investor counts normally only grow. A smaller number can mean investors left or were refunded, or a count was corrected. Ask the sponsor what happened.

Form D (earlier) · Nov 20, 2009 ↗Form D (later) · Jan 7, 2010 ↗Focus Financial Partners LLC — PartnerFacts page ↗
Sources
Note · Dec 31, 2010 – Jan 28, 2011

Form D filed 28 days after the first sale — Focus Financial Partners LLC

The filing says the first sale was Dec 31, 2010. The Form D was filed Jan 28, 2011 — 28 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 13 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Form D · Jan 28, 2011 ↗Focus Financial Partners LLC — PartnerFacts page ↗
Sources
Note · Dec 2, 2009 – Jan 7, 2010

Form D filed 36 days after the first sale — Focus Financial Partners LLC

The filing says the first sale was Dec 2, 2009. The Form D was filed Jan 7, 2010 — 36 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 21 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Form D · Jan 7, 2010 ↗Focus Financial Partners LLC — PartnerFacts page ↗
Sources
Note · Nov 2, 2009 – Nov 18, 2009

Form D filed 16 days after the first sale — Focus Financial Partners LLC

The filing says the first sale was Nov 2, 2009. The Form D was filed Nov 18, 2009 — 16 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 1 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Form D · Nov 18, 2009 ↗Focus Financial Partners LLC — PartnerFacts page ↗
Sources
Note · Oct 27, 2017 – Dec 11, 2017

No amendment in the last 12 months on an offering that may still be open — Phreesia, Inc. (latest filing Dec 11, 2017)

The latest filing for this offering is dated Dec 11, 2017 (first sale Oct 27, 2017). It reports $33,999,994 sold of $40,000,000 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.

Form D/A · Dec 11, 2017 ↗Phreesia, Inc. — PartnerFacts page ↗
Sources
Note · Apr 15, 2010 – Aug 3, 2010

No amendment in the last 12 months on an offering that may still be open — Phreesia, Inc. (latest filing Aug 3, 2010)

The latest filing for this offering is dated Aug 3, 2010 (first sale Apr 15, 2010). It reports $19,780,000 sold of an indefinite amount 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.

Form D/A · Aug 3, 2010 ↗Phreesia, Inc. — PartnerFacts page ↗
Sources
Note · Nov 20, 2009 – Jan 7, 2010

Offering amount lowered between filings — Focus Financial Partners LLC

The Nov 20, 2009 filing says $50,000,000 offered; the Jan 7, 2010 Form D says $2,804,412.

What this means The target raise got smaller. That can mean the plan shrank or the sponsor stopped early. Ask what changed in the deal.

Form D (earlier) · Nov 20, 2009 ↗Form D (later) · Jan 7, 2010 ↗Focus Financial Partners LLC — PartnerFacts page ↗
Sources
Note · Nov 18, 2009 – Nov 20, 2009

Offering amount changed between filings — Focus Financial Partners LLC

The Nov 18, 2009 filing says $4,490,997 offered; the Nov 20, 2009 Form D says $50,000,000.

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.

Form D (earlier) · Nov 18, 2009 ↗Form D (later) · Nov 20, 2009 ↗Focus Financial Partners LLC — PartnerFacts page ↗
Sources
Note · Apr 17, 2018

Same name, different state: "Alan G. Spoon" (DC or WA) is a separate record

This page covers filings where the address state is MA or NY. A separate record, "Alan G. Spoon" with address state DC or WA, is listed on 2 filings — most recently by Fortive Corp (Mar 3, 2020). The two records do not overlap in time: this page runs Nov 18, 2009 to Jan 28, 2011; the other has one filing dated Apr 17, 2018.

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.

Alan G. Spoon (DC,WA) — PartnerFacts page ↗Form D · Mar 3, 2020 ↗Fortive Corp — PartnerFacts page ↗Alan Spoon (MA,NY) — this page ↗
Sources
Note · Jan 10, 2013

Same name, different state: "Alan Spoon" (CA) is a separate record

This page covers filings where the address state is MA or NY. A separate record, "Alan Spoon" with address state CA, is listed on 1 filing — most recently by Art.com, Inc. (Jan 10, 2013). The two records do not overlap in time: this page runs Nov 18, 2009 to Jan 28, 2011; the other has one filing dated Jan 10, 2013.

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.

Alan Spoon (CA) — PartnerFacts page ↗Form D · Jan 10, 2013 ↗Art.com, Inc. — PartnerFacts page ↗Alan Spoon (MA,NY) — this page ↗
Sources
Note · Nov 18, 2009 – Dec 11, 2017

Alan Spoon is listed with 2 different address states: MA, NY

MA on 6 filings (Nov 18, 2009 to Jan 28, 2011); NY on 3 filings (Oct 27, 2014 to Dec 11, 2017).

What this means The address on a Form D is usually the company's, not the person's home, so this often just reflects different companies. It can also mean a move. Nothing wrong by itself.

Form D · Nov 18, 2009 ↗Form D · Oct 27, 2014 ↗
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

3 of 5 offerings report sales commissions totalling $2,990,006; 0 report finder's fees; 1 reports proceeds to related persons totalling $2,000,039. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Dec 11, 2017 D/A
Phreesia, Inc.
File 021-298315
$1,000,006 (est.)$0$0
The Issuer will use proceeds of the offering for general working capital purposes which may include payments to its executive officers and other employees in the ordinary course of business.
Allen & Company LLC BrokerCheck CRD 25 ↗EDGAR ↗
Oct 27, 2014 D
Phreesia, Inc.
File 021-227142
$1,070,000 (est.)$0$2,000,039 (est.)
See redemption comment at Clarification of Response box Item 13. The Issuer will use proceeds of the offering for general working capital purposes which may include payments to its executive officers and other employees in the ordinary course of business.
Robert W. Baird & Co. Incorporated BrokerCheck CRD 8158 ↗EDGAR ↗
Jan 28, 2011 D
Focus Financial Partners LLC
File 021-154550
$0$0$0None listed on this filingEDGAR ↗
Aug 3, 2010 D/A
Phreesia, Inc.
File 021-141050
$920,000 (est.)$0$0 (est.)Allen & Company, LLC BrokerCheck CRD 1042 ↗EDGAR ↗
Jan 7, 2010 D
Focus Financial Partners LLC
File 021-85707
$0$0$0None listed on this filingEDGAR ↗
How this is counted

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 Spoon on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

P
Other Health Care

Phreesia, Inc.

New York, NY · Apr 23, 2010 → Dec 11, 2017 · 5 filings
  • Dec 11, 2017 · D/A · $33,999,994 sold of $40,000,000 · 4 investors · min. No minimum reported · role: Director EDGAR ↗
  • Nov 8, 2017 · D · $16,999,997 sold of $40,000,000 · 4 investors · min. No minimum reported · role: Director EDGAR ↗
  • Oct 27, 2014 · D · $29,999,998 sold of $29,999,998 · 5 investors · min. No minimum reported · role: Director EDGAR ↗
  • Aug 3, 2010 · D/A · $19,780,000 sold of Indefinite · 10 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 23, 2010 · D · $14,979,999 sold of Indefinite · 9 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $34M from 10 investors (85% of the $40M target) as of the latest filing. Alan is listed as director on 5 filings for this deal.

Latest filing on EDGAR ↗
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. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Other Health Care / 506(b) (4,189 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.

FF
Other Banking and Financial Services · group: Focus

Focus Financial Partners LLC

New York, NY · Nov 18, 2009 → Jan 28, 2011 · 4 filings
  • Jan 28, 2011 · D · $1,247,400 sold of $1,247,400 · 1 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jan 7, 2010 · D · $2,804,412 sold of $2,804,412 · 4 investors · min. No minimum reported · role: Director EDGAR ↗
  • Nov 20, 2009 · D · $50,000,000 sold of $50,000,000 · 14 investors · min. No minimum reported · role: Director EDGAR ↗
  • Nov 18, 2009 · D · $4,490,997 sold of $4,490,997 · 1 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $50M from 14 investors (100% of the $1.25M target) as of the latest filing. Alan is listed as director on 4 filings for this deal.

Latest filing on EDGAR ↗
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 (2)

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

  • Alan G. Spoon — DC, WA, 2 issuers, Apr 17, 2018 → Apr 17, 2018 · no shared issuer
  • Alan Spoon — CA, 1 issuer, Jan 10, 2013 → Jan 10, 2013 · no shared issuer

People around Alan 20

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

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

Chaim Indig

Executive Officer, Director · 5 shared filings (1 issuer)

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

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

Michael Weintraub

Director · 5 shared filings (1 issuer) · also on 2 other issuers

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

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

Victor Kats

Director · 5 shared filings (1 issuer) · also on 2 other issuers

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

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

Edward Cahill

Director · 5 shared filings (1 issuer) · also on 13 other issuers

Edward Cahill is on 14 issuers in total — a repeat sponsor. Their page lists every one.

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

CHRISTOPHER J. DEAN

Director · 4 shared filings (1 issuer) · also on 24 other issuers

CHRISTOPHER J. DEAN is on 25 issuers in total — a repeat sponsor. Their page lists every one.

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

Kevin Mohan

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

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

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

Ruediger Adolf

Executive Officer, Director · 4 shared filings (1 issuer) · also on 1 other issuer

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

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

James Shanahan

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

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

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

Rajini Kodialam

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

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

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

William Campbell

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

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

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

Bettina Eckerie

Executive Officer · 3 shared filings (1 issuer)

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

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

Evan Roberts

Executive Officer · 3 shared filings (1 issuer)

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

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

Scott Perricelli

Director · 3 shared filings (1 issuer) · also on 1 other issuer

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

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

Thomas Altier

Executive Officer · 3 shared filings (1 issuer)

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

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

Matthew Downs

Director · 2 shared filings (1 issuer) · also on 13 other issuers

Matthew Downs is on 14 issuers in total — a repeat sponsor. Their page lists every one.

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

Rory Parness

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

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

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

William Conroy

Director · 2 shared filings (1 issuer)

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

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

Charles Kallenbach

Executive Officer · 2 shared filings (1 issuer)

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

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

Bettina Eckerle

Executive Officer · 1 shared filing (1 issuer)

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

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

Dusty Lieb

Director · 1 shared filing (1 issuer)

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

The team behind the deals

F
Sponsor group

Focus

2 issuers · 5 filings · $113.2M reported sold · 2009–2018

One team, 2 deal companies. Alan Spoon is listed on 1 of them.

Sources

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 Spoon.

Registrations and other filings

Business registration (state registry / Secretary of State)

Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file).

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 Spoon 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 Spoon is listed on: none on file. No website or social profile named in Phreesia, Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #262,119 of 374,652 in line (1,386 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 (New York, NY). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

LinkedIn people search ↗Instagram ↗X (Twitter) ↗Facebook ↗YouTube ↗Google ↗Google Images ↗Google News ↗Meta Ad Library ↗

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗Massachusetts MassCourts ↗New York WebCivil Supreme ↗

Securities regulators

SEC EDGAR full-text search ↗SEC action look-up ↗FINRA BrokerCheck ↗SEC IAPD adviser search ↗

Business registries

Massachusetts Secretary of State business search ↗New York Secretary of State business search ↗OpenCorporates ↗

Change history

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