PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 4:57 AM ET

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Alan E. Walts

Named as an officer, director or promoter on SEC Form D filings · MA · Mar 2, 2017 → May 18, 2022

4deals (issuers)
$158.8Mreported sold
307investors
15Form D filings
2017–2022years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:30 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Alan E. Walts is listed as an executive officer and director on 15 SEC Form D filings by 4 issuers between Jan 2014 and May 2026: Aura Biosciences, Inc. (Cambridge, MA — biotechnology — 2014; $80.5M reported sold to 42 investors), X4 Pharmaceuticals, Inc. (Cambridge, MA — pharmaceuticals — 2015–2018; $37.5M reported sold to 220 investors), Artax Biopharma, Inc. (Cambridge, MA — pharmaceuticals — 2019–2026; $25.8M reported sold to 30 investors) and Arrakis Therapeutics, Inc. (Waltham, MA — biotechnology — 2017; $15M reported sold to 15 investors).

What this means A repeat sponsor — 4 separate companies raised money with this person listed as executive officer and director, over about 12 years. Across those companies the filings report $158.8M sold in total.

Listed alongside Gino Santini (8 shared filings), Damia Tormo, Ph.D. (5 shared filings), Michael Gilman (5 shared filings), Raj Parekh (5 shared filings), Robert Armstrong, Ph.D. (5 shared filings) and 31 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 X4 Pharmaceuticals (2 issuers, $120M reported sold, 2010–2025).

What this means A sponsor group is one team that sets up a new company for each deal. X4 Pharmaceuticals has 2 companies on file and $120M 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 (AZ, CA, DE, TX, WA) — 7 court cases matching the name, 11 bankruptcy cases matching the name listed in Key records below.

What this means 18 records came back, including 2 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 15 public filings for Alan E. Walts and found 7 differences, 1 worth asking the sponsor about: 4 Form Ds were filed more than 15 days after the first sale; 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 E. Walts has not run yet — it is joining a line of 2,331 names; searches run around the clock at the hosts' allowed rate. Searched so far: 27 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: 2 open, 2 dismissed, 3 closed (disposition not in docket feed)

The Cincinnati Insurance Company v. Walts Plastering LLC open
District Court, D. Arizona · No. 2:26-cv-01268 · Filed Feb 23, 2026
Role of Walts Plastering LLC: Defendant · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 23 federal dockets); surname only in the caption; court in AZ (not a filing state)
STARLING-WALTS v. JOHNSON & JOHNSON, INC open
District Court, D. New Jersey · No. 3:21-cv-05407 · Filed Mar 16, 2021
Role of STARLING-WALTS: Plaintiff · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 23 federal dockets); different first name (starling); court in NJ (not a filing state)
WALTS V. ASSET ACCEPTANCE LLC dismissed
District Court, E.D. Pennsylvania · No. 5:12-cv-06884 · Filed Dec 7, 2012 · Closed May 10, 2013 · Nature of suit: 480 Consumer credit
Role of WALTS: Plaintiff · Outcome: Terminated 2013-05-10 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 23 federal dockets); surname only in the caption; court in PA (not a filing state)
T-Mobile USA Inc v. Walts closed
District Court, W.D. Washington · No. 2:06-cv-00187 · Filed Feb 7, 2006 · Closed Oct 20, 2006 · Nature of suit: Other Fraud · Cause: 18:1961 Racketeering (RICO) Act
Role of Walts: Defendant · Outcome: Terminated 2006-10-20 — FJC Integrated Database disposition: Statistical closing Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 23 federal dockets); surname only in the caption; court in WA (not a filing state)
RAM Automotive of SC v. Walts Radiator dismissed
District Court, D. South Carolina · No. 3:98-cv-01768 · Filed Jun 17, 1998 · Closed Oct 6, 1998 · Nature of suit: 190 Other contract actions
Role of Walts Radiator: Defendant · Outcome: Terminated 1998-10-06 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 23 federal dockets); surname only in the caption; court in SC (not a filing state)
Walts Concrete CO v. Coffman Construction closed
District Court, S.D. California · No. 3:98-mc-00108 · Filed Mar 2, 1998 · Closed Oct 9, 2004
Role of Walts Concrete CO: Plaintiff · Outcome: Terminated 2004-10-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 23 federal dockets); surname only in the caption; court in CA (not a filing state)
Leasing Service Corp v. Walts Transm Service closed
District Court, N.D. Ohio · No. 5:91-mc-00612 · Filed Jul 30, 1991 · Closed Jul 30, 1991
Role of Walts Transm Service: Defendant · Outcome: Terminated 1991-07-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 23 federal dockets); surname only in the caption; court in OH (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, 2:30 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: AZ, CA, DE, TX, WA (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 E. Walts..

State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states are not covered.

3. Bankruptcies

11 cases: 11 closed (disposition not in docket feed)

Batten Capital Special Funding I, LLC v. Walts closed
United States Bankruptcy Court, M.D. Florida · No. 8:16-ap-00563 · Filed Aug 25, 2016 · Closed Oct 18, 2016
Role of Walts: Defendant · Outcome: Case closed 2016-10-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 23 federal dockets); surname only in the caption; court in FL (not a filing state)
Walts v. Chase Mortgage Services, Inc. closed
United States Bankruptcy Court, E.D. Michigan · No. 12-05523 · Filed Aug 20, 2012 · Closed Jan 28, 2013
Role of Walts: Plaintiff · Outcome: Case closed 2013-01-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 23 federal dockets); surname only in the caption; court in MI (not a filing state)
Jorge Enrique Fernandez and Ana Maria Walts closed
United States Bankruptcy Court, S.D. Florida. · No. 10-48219 · Filed Dec 16, 2010 · Closed Aug 12, 2011
Role of Jorge Enrique Fernandez and Ana Maria Walts: Debtor · Outcome: Case closed 2011-08-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 23 federal dockets); different first name (maria); court in FL (not a filing state)
Walts v. T-Mobile USA, Inc. closed
United States Bankruptcy Court, W.D. Texas · No. 06-07013 · Filed Mar 30, 2006 · Closed Apr 16, 2008
Role of Walts: Plaintiff · Outcome: Case closed 2008-04-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 23 federal dockets); surname only in the caption; court in TX (not a filing state)
Bradford Joseph Wright and Deborah Walts Wright closed
United States Bankruptcy Court, W.D. North Carolina · No. 04-31332 · Filed Apr 13, 2004 · Closed Jul 22, 2008
Role of Bradford Joseph Wright and Deborah Walts Wright: Debtor · Outcome: Case closed 2008-07-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 23 federal dockets); different first name (deborah); court in NC (not a filing state)
Worldpoint Logistics Inc v. Walts Delivery Service Inc closed
United States Bankruptcy Court, W.D. Washington · No. 03-01760 · Filed Dec 24, 2003 · Closed Sep 1, 2004
Role of Walts Delivery Service Inc: Defendant · Outcome: Case closed 2004-09-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 23 federal dockets); surname only in the caption; court in WA (not a filing state)
Montgomery Ward LLC v. Walts Appliance & Video closed
United States Bankruptcy Court, D. Delaware · No. 02-09687 · Filed Dec 18, 2002 · Closed Jun 22, 2004
Role of Walts Appliance & Video: Defendant · Outcome: Case closed 2004-06-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 23 federal dockets); surname only in the caption; court in DE (not a filing state)
Alan B. Walts closed
United States Bankruptcy Court, M.D. Florida · No. 6:01-bk-05096 · Filed May 25, 2001 · Closed Aug 30, 2004
Role of Alan B. Walts: Debtor · Outcome: Case closed 2004-08-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 23 federal dockets); first name matches; court in FL (not a filing state); middle initial differs
Alan W. Walts closed
United States Bankruptcy Court, W.D. Texas · No. 01-61129 · Filed May 15, 2001 · Closed Jan 3, 2003
Role of Alan W. Walts: Debtor · Outcome: Case closed 2003-01-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 23 federal dockets); first name matches; court in TX (not a filing state); middle initial differs
Cooper v. Walts Construction Company closed
United States Bankruptcy Court, W.D. North Carolina · No. 97-04002 · Filed Jan 9, 1997 · Closed Apr 9, 1998
Role of Walts Construction Company: Defendant · Outcome: Case closed 1998-04-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 23 federal dockets); surname only in the caption; court in NC (not a filing state)
Walts Sausage Co closed
United States Bankruptcy Court, N.D. Illinois · No. 86-03600 · Filed Mar 7, 1986 · Closed Aug 15, 1989
Role of Walts Sausage Co: Debtor · Outcome: Case closed 1989-08-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 23 federal dockets); surname only in the caption; court in IL (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, 2:30 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

7 differences found between the filings for Alan E. Walts — 1 worth asking about (compared 15 filings on Oct 24, 2026)

Worth asking · Aug 15, 2013 – Jan 3, 2022

4 Form Ds were filed more than 15 days after the first sale

Form D filed 121 days after the first sale — Aura Biosciences, Inc. · Form D filed 146 days after the first sale — Aura Biosciences, Inc. · Form D filed 17 days after the first sale — Artax Biopharma, Inc. · Form D filed 17 days after the first sale — Artax Biopharma, Inc.

What this means Late notices are common and carry no penalty by themselves. A pattern of late paperwork is worth asking the sponsor about.

Form D · Aug 14, 2014 ↗Aura Biosciences, Inc. — PartnerFacts page ↗Form D · Jan 8, 2014 ↗Form D · Jan 3, 2022 ↗
Sources
Note · Aug 28, 2015 – Nov 15, 2017

Alan E. Walts's role changed at X4 Pharmaceuticals, Inc.: director → executive officer, director

The Aug 28, 2015 filing lists Alan E. Walts as director; the Nov 15, 2017 Form D lists executive officer, director.

What this means Roles on Form D are self-reported by the issuer. A change can mean a real change in who runs the company, or just a different box ticked. Ask who makes decisions today.

Form D · Aug 28, 2015 ↗Form D · Nov 15, 2017 ↗Alan E. Walts — PartnerFacts page ↗X4 Pharmaceuticals, Inc. — PartnerFacts page ↗
Sources
Note · Nov 15, 2017 – May 5, 2026

4 offerings changed their target amount between filings

Offering amount changed between filings — Artax Biopharma, Inc. · Offering amount changed between filings — Artax Biopharma, Inc. · Offering amount changed between filings — Artax Biopharma, Inc. · Offering amount changed between filings — X4 Pharmaceuticals, Inc.

What this means Targets change as deals grow or shrink. Ask whether later money has the same terms.

Form D/A (earlier) · Jul 29, 2025 ↗Form D/A (later) · May 5, 2026 ↗Artax Biopharma, Inc. — PartnerFacts page ↗Form D (earlier) · Aug 9, 2024 ↗
Sources
Note · Jan 16, 2015 – Feb 26, 2021

5 offerings have no amendment in the last 12 months and may still be open

No amendment in the last 12 months on an offering that may still be open — Artax Biopharma, Inc. (latest filing Feb 26, 2021) · No amendment in the last 12 months on an offering that may still be open — Artax Biopharma, Inc. (latest filing Aug 12, 2019) · No amendment in the last 12 months on an offering that may still be open — Arrakis Therapeutics, Inc. (latest filing Mar 2, 2017) · No amendment in the last 12 months on an offering that may still be open — X4 Pharmaceuticals, Inc. (latest filing Aug 28, 2015) · No amendment in the last 12 months on an offering that may still be open — X4 Pharmaceuticals, Inc. (latest filing Jan 30, 2015)

What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.

Form D · Feb 26, 2021 ↗Artax Biopharma, Inc. — PartnerFacts page ↗Form D · Aug 12, 2019 ↗Form D · Mar 2, 2017 ↗
Sources
Note · Jan 8, 2014 – Mar 2, 2017

Alan E. Walts is written 2 different ways on the filings

listed as "Alan Walts" on 7 filings (from Jan 8, 2014), and "Alan E. Walts" on 8 filings (from Mar 2, 2017).

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.

Form D · Jan 8, 2014 ↗Form D · Mar 2, 2017 ↗Alan E. Walts — PartnerFacts page ↗
Sources
Note · Aug 12, 2019 – Jul 29, 2025

Industry group changed between filings — Artax Biopharma, Inc.

"Biotechnology" (Aug 12, 2019 to Aug 9, 2024); then "Pharmaceuticals" (Jul 29, 2025 to May 5, 2026).

What this means The issuer described its business differently on different forms. Often it is just a different box ticked; sometimes the deal itself changed. Ask which business your money is in.

Form D · Aug 12, 2019 ↗Form D/A · Jul 29, 2025 ↗Artax Biopharma, Inc. — PartnerFacts page ↗
Sources
Note · Jan 30, 2015 – Aug 28, 2015

Address moved from Belmont, MA to Cambridge, MA — X4 Pharmaceuticals, Inc.

The people listed on the Jan 30, 2015 filing give Belmont, MA; on the Aug 28, 2015 filing they give Cambridge, MA. The address now on file (955 Massachusetts Avenue, Cambridge, MA) is a registered-agent or shared-office address used by 6 issuers.

What this means A registered agent's address is a mailbox, not where the team works. Ask where the business actually operates.

Form D · Jan 30, 2015 ↗Form D · Aug 28, 2015 ↗X4 Pharmaceuticals, Inc. — PartnerFacts page ↗
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

2 of 11 offerings report sales commissions totalling $5,373,224; 0 report finder's fees; 4 report proceeds to related persons totalling $4,550,500. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
May 5, 2026 D/A
Artax Biopharma, Inc.
File 021-521098
$0$0$3,500,000 (est.)None listed on this filingEDGAR ↗
May 18, 2022 D/A
Artax Biopharma, Inc.
File 021-427556
$0$0$0None listed on this filingEDGAR ↗
Feb 26, 2021 D
Artax Biopharma, Inc.
File 021-390670
$0$0$0None listed on this filingEDGAR ↗
May 4, 2020 D
Artax Biopharma, Inc.
File 021-366225
$0$0$0None listed on this filingEDGAR ↗
Aug 12, 2019 D
Artax Biopharma, Inc.
File 021-346331
$0$0$0None listed on this filingEDGAR ↗
Sep 21, 2018 D/A
X4 Pharmaceuticals, Inc.
File 021-298854
$2,373,224 (est.)$0$0Maxim Group, LLC BrokerCheck CRD 120708 ↗EDGAR ↗
Mar 2, 2017 D
Arrakis Therapeutics, Inc.
File 021-281666
$0$0$0None listed on this filingEDGAR ↗
Aug 28, 2015 D
X4 Pharmaceuticals, Inc.
File 021-246624
$3,000,000 (est.)$0$150,000 (est.)Maxim Group, LLC BrokerCheck CRD 120708 ↗EDGAR ↗
Jan 30, 2015 D
X4 Pharmaceuticals, Inc.
File 021-233180
$0$0$0None listed on this filingEDGAR ↗
Aug 14, 2014 D
Aura Biosciences, Inc.
File 021-222909
$0$0$500,000
Executive Salaries
None listed on this filingEDGAR ↗
Jan 8, 2014 D
Aura Biosciences, Inc.
File 021-209519
$0$0$400,500
Executive Salaries
None 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 4

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

AB
Pharmaceuticals

Artax Biopharma, Inc.

Cambridge, MA · Aug 12, 2019 → May 5, 2026 · 8 filings
  • May 5, 2026 · D/A · $19,000,000 sold of $19,000,000 · 30 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jul 29, 2025 · D/A · $11,000,000 sold of $11,000,000 · 30 investors · min. No minimum reported · role: Director EDGAR ↗
  • Aug 9, 2024 · D · $6,000,000 sold of $8,000,000 · 24 investors · min. No minimum reported · role: Director EDGAR ↗
  • May 18, 2022 · D/A · $25,785,117 sold of $25,785,117 · 28 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jan 3, 2022 · D · $12,686,325 sold of $23,182,328 · 25 investors · min. No minimum reported · role: Director EDGAR ↗
  • Feb 26, 2021 · D · $2,155,015 sold of $3,000,000 · 19 investors · min. No minimum reported · role: Director EDGAR ↗
  • May 4, 2020 · D · $2,000,000 sold of $2,000,000 · 9 investors · min. No minimum reported · role: Director EDGAR ↗
  • Aug 12, 2019 · D · $750,000 sold of $3,500,000 · 24 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $25.8M from 30 investors (100% of the $19M target) as of the latest filing. Alan is listed as director on 8 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: Pharmaceuticals / 506(b) (800 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.

XP
Pharmaceuticals · group: X4 Pharmaceuticals

X4 Pharmaceuticals, Inc.

Cambridge, MA · Jan 30, 2015 → Sep 21, 2018 · 4 filings
  • Sep 21, 2018 · D/A · $34,999,150 sold of $34,999,150 · 214 investors · min. $50,000 · role: Executive Officer, Director EDGAR ↗
  • Nov 15, 2017 · D · $25,838,812 sold of $30,000,000 · 213 investors · min. $50,000 · role: Executive Officer, Director EDGAR ↗
  • Aug 28, 2015 · D · $37,499,999 sold of $37,500,000 · 220 investors · min. $24,579 · role: Director EDGAR ↗
  • Jan 30, 2015 · D · $735,000 sold of $1,200,000 · 11 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $37.5M from 220 investors (100% of the $35M target) as of the latest filing. Alan is listed as executive officer, 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. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pharmaceuticals / 506(b) (800 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.

AT
Biotechnology

Arrakis Therapeutics, Inc.

Waltham, MA · Mar 2, 2017
  • Mar 2, 2017 · D · $13,238,466 sold of $41,238,467 · 8 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $15M from 15 investors (36% of the $41.2M target) as of the latest filing. Alan is listed as director.

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: Biotechnology / 506(b) (3,253 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.

AB
Biotechnology

Aura Biosciences, Inc.

Cambridge, MA · Jan 8, 2014 → Aug 14, 2014 · 2 filings
  • Aug 14, 2014 · D · $4,000,000 sold of $4,000,000 · 41 investors · min. $25,000 · role: Director EDGAR ↗
  • Jan 8, 2014 · D · $1,335,000 sold of $1,335,000 · 16 investors · min. $25,000 · role: Director EDGAR ↗

Raised $80.5M from 42 investors (100% of the $4M target) as of the latest filing. Alan is listed as director on 2 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: Biotechnology / 506(c) (163 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.

People around Alan 36

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

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

Gino Santini

Director · 8 shared filings (1 issuer) · also on 4 other issuers

Gino Santini is on 5 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

Raj Parekh

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

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

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

Michael Gilman

Director, Executive Officer · 5 shared filings (2 issuers) · also on 5 other issuers

Michael Gilman is on 7 issuers in total — a repeat sponsor. Their page lists every one.

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

Damia Tormo, Ph.D.

Director · 5 shared filings (1 issuer)

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

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

Robert Armstrong, Ph.D.

Director · 5 shared filings (1 issuer)

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

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

Paula Ragan

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

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

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

Casper Breum

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

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

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

Joseph M. Lobacki

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

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

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

Isaac Blech

Director · 3 shared filings (1 issuer) · also on 19 other issuers

Isaac Blech is on 20 issuers in total — a repeat sponsor. Their page lists every one.

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

Javier Garcia

Director · 3 shared filings (2 issuers)

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

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

Andre Hoekema

Director · 3 shared filings (1 issuer)

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

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

Maria Nichol

Executive Officer · 3 shared filings (1 issuer)

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

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

Peter B. Finn

Executive Officer · 2 shared filings (1 issuer) · also on 15 other issuers

Peter B. Finn is on 16 issuers in total — a repeat sponsor. Their page lists every one.

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

Elisabet de los Pinos, Ph.D.

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

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

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

Jose' Baselga, Ph.D.

Director · 2 shared filings (1 issuer)

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

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

Israel Ruiz

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

Israel Ruiz is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

Damia Tormo

Director · 2 shared filings (1 issuer)

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

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

Peter Wirth

Director · 2 shared filings (1 issuer) · also on 3 other issuers

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

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

Robert W. Armstrong, Ph.D.

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

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

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

Joe Suarez

Executive Officer · 2 shared filings (1 issuer)

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

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

David Neafus

Executive Officer · 1 shared filing (1 issuer) · also on 10 other issuers

David Neafus is on 11 issuers in total — a repeat sponsor. Their page lists every one.

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

Carolyn Green

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

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

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

Salvador Garcia-Atance

Director · 1 shared filing (1 issuer)

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

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

Alison Lawton

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

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

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

John Cheney

Executive Officer · 1 shared filing (1 issuer)

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

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

Robert Arbeit

Executive Officer · 1 shared filing (1 issuer)

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

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

Michael Wyzga

Director · 1 shared filing (1 issuer) · also on 3 other issuers

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

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

Colleen Cuffaro

Director · 1 shared filing (1 issuer)

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

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

Russell C. Petter

Executive Officer · 1 shared filing (1 issuer)

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

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

Adam S. Mostafa

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

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

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

Sudha Parasuraman

Executive Officer · 1 shared filing (1 issuer)

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

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

John Celebi

Executive Officer · 1 shared filing (1 issuer)

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

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

Nancy Lurker

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

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

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

Damia Tormo, Ph.D., MBM

Executive Officer, Director · 1 shared filing (1 issuer)

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

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

Robert Armstrong

Executive Officer, Director · 1 shared filing (1 issuer)

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

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

Andrea K. Franz

Executive Officer · 1 shared filing (1 issuer)

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

The team behind the deals

XP
Sponsor group

X4 Pharmaceuticals

2 issuers · 16 filings · $120M reported sold · 2010–2025

One team, 2 deal companies. Alan E. Walts 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 E. Walts.

Same business address

51 other issuers file from the same address (first 50 shown)

A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.

Registrations and other filings

Adviser registration (Form ADV)

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.

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 E. Walts 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.

Public profiles and social

Websites and social links of the issuers Alan E. Walts is listed on: none on file. No website or social profile named in Arrakis Therapeutics, Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #237,235 of 374,652 in line (14 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 (Waltham, MA). 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 ↗

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 ↗OpenCorporates ↗

Change history

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