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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:39 AM ET

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Allan Kaplan

Named as an officer, director or promoter on SEC Form D filings · AZ, NY · Oct 20, 2011 → May 17, 2019

7deals (issuers)
$179Mreported sold
135investors
14Form D filings
2011–2019years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:25 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Allan Kaplan is listed as an executive officer and director on 14 SEC Form D filings by 7 issuers between Oct 2011 and May 2019. Largest by amount reported sold: NJOY HOLDINGS, INC. (Scottsdale, AZ — industry reported as "Other" — 2017–2019; $137M reported sold to 31 investors), Goldmark Venture Partners II, LLC (Phoenix, AZ — pooled investment fund — 2017; $19.4M reported sold to 21 investors), Goldmark Venture Partners, LLC (Phoenix, AZ — pooled investment fund — 2017; $10M reported sold to 14 investors), UNICORN MEDIA, INC. (Tempe, AZ — industry reported as "Other" — 2011–2013; $9.18M reported sold to 41 investors), NJAZ1, LLC (Phoenix, AZ — industry reported as "Other" — 2017; $1.71M reported sold to 7 investors) and 2 more (all listed below).

What this means A repeat sponsor — 7 separate companies raised money with this person listed as executive officer and director, over about 8 years. Across those companies the filings report $179M sold in total.

Listed alongside DOUGLAS TEITELBAUM (7 shared filings), David Kirsch (7 shared filings), Jason Mudrick (7 shared filings), Kent Yoon Kim (7 shared filings), Vickie B. Wittie (6 shared filings) and 11 others.

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

The issuers belong to 2 sponsor groups: Dufl (14 issuers, $56.4M reported sold, 2009–2024) and Njoy (2 issuers, $73.4M reported sold, 2012–2022).

What this means This person is listed across more than one sponsor team; each group page shows that team's full track record.

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) — 1 bankruptcy case matching the name listed in Key records below.

What this means 1 record came back. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.

We compared 14 public filings for Allan Kaplan and found 10 differences, 1 worth asking the sponsor about: 9 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 Allan Kaplan has not run yet — it is joining a line of 58,413 names; searches run around the clock at the hosts' allowed rate. Searched so far: 656 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

None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026

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, 2:25 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.

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 Allan Kaplan..

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

1 case: 1 closed (disposition not in docket feed)

Allan S. Kaplan closed
United States Bankruptcy Court, M.D. Florida · No. 6:16-bk-03736 · Filed Jun 3, 2016 · Closed Sep 8, 2021
Role of Allan S. Kaplan: Debtor · Outcome: Case closed 2021-09-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 4 federal dockets); 2 people with this name in Form D filings; court in FL (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, 2:25 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

10 differences found between the filings for Allan Kaplan — 1 worth asking about (compared 14 filings on Oct 24, 2026)

Note · Aug 15, 2017 – Sep 6, 2022

Allan Kaplan appears on 2 deals that stopped filing before reaching their target

NJOY HOLDINGS, INC. (last filing Sep 6, 2022; $136,999,231 sold of $330,000,000); Goldmark Venture Partners II, LLC (last filing Aug 15, 2017; $19,380,000 sold of $50,000,000). 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.

NJOY HOLDINGS, INC. — PartnerFacts page ↗Goldmark Venture Partners II, LLC — PartnerFacts page ↗
Sources
Worth asking · Mar 16, 2012 – Feb 25, 2019

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

Form D filed 868 days after the first sale — DUFL Investment Series A, LLC · Form D filed 932 days after the first sale — NJAZ1, LLC · Form D filed 973 days after the first sale — WHR DUFL, LLC (Series One) · Form D filed 1,979 days after the first sale — Goldmark Venture Partners, LLC · Form D filed 966 days after the first sale — Goldmark Venture Partners II, LLC · and 4 more

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 16, 2017 ↗DUFL Investment Series A, LLC — PartnerFacts page ↗Form D · Aug 16, 2017 ↗NJAZ1, LLC — PartnerFacts page ↗
Sources
Note · Jul 1, 2010 – May 17, 2019

4 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 — NJOY HOLDINGS, INC. (latest filing May 17, 2019) · No amendment in the last 12 months on an offering that may still be open — NJOY HOLDINGS, INC. (latest filing Sep 24, 2018) · No amendment in the last 12 months on an offering that may still be open — Goldmark Venture Partners II, LLC (latest filing Aug 15, 2017) · No amendment in the last 12 months on an offering that may still be open — UNICORN MEDIA, INC. (latest filing Oct 20, 2011)

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 · May 17, 2019 ↗NJOY HOLDINGS, INC. — PartnerFacts page ↗Form D · Sep 24, 2018 ↗Form D · Aug 15, 2017 ↗
Sources
Note · Oct 20, 2011 – Dec 17, 2013

Allan Kaplan's role changed at UNICORN MEDIA, INC.: director → executive officer, director

The Oct 20, 2011 filing lists Allan Kaplan as director; the Dec 17, 2013 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/A · Oct 20, 2011 ↗Form D · Dec 17, 2013 ↗Allan Kaplan — PartnerFacts page ↗UNICORN MEDIA, INC. — PartnerFacts page ↗
Sources
Note · Feb 25, 2019 – Mar 25, 2019

Offering amount changed between filings — NJOY HOLDINGS, INC.

The Feb 25, 2019 filing says $64,000,000 offered; the Mar 25, 2019 Form D/A says $76,390,101.

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) · Feb 25, 2019 ↗Form D/A (later) · Mar 25, 2019 ↗NJOY HOLDINGS, INC. — PartnerFacts page ↗
Sources
Note · Jan 12, 2018 – Mar 13, 2018

Offering amount changed between filings — NJOY HOLDINGS, INC.

The Jan 12, 2018 filing says $12,500,000 offered; the Mar 13, 2018 Form D/A says $15,000,000.

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) · Jan 12, 2018 ↗Form D/A (later) · Mar 13, 2018 ↗NJOY HOLDINGS, INC. — PartnerFacts page ↗
Sources
Note · Oct 26, 2010 – Oct 20, 2011

Offering amount changed between filings — UNICORN MEDIA, INC.

The Oct 26, 2010 filing says $2,000,000 offered; the Oct 20, 2011 Form D/A says $5,953,429.

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) · Oct 26, 2010 ↗Form D/A (later) · Oct 20, 2011 ↗UNICORN MEDIA, INC. — PartnerFacts page ↗
Sources
Note · May 19, 2011 – Jan 6, 2014

Same name, different state: "Allan W. Kaplan" (VA) is a separate record

This page covers filings where the address state is AZ or NY. A separate record, "Allan W. Kaplan" with address state VA, is listed on 2 filings — most recently by Euclid Systems Corp (Jan 6, 2014). Both records have filings in the same period (Oct 20, 2011 to Jan 6, 2014).

What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.

Allan W. Kaplan (VA) — PartnerFacts page ↗Form D · Jan 6, 2014 ↗Euclid Systems Corp — PartnerFacts page ↗Allan Kaplan (AZ,NY) — this page ↗
Sources
Note · Mar 13, 2018 – Sep 24, 2018

Address moved from New York, NY to Scottsdale, AZ — NJOY HOLDINGS, INC.

The people listed on the Mar 13, 2018 filing give New York, NY; on the Sep 24, 2018 filing they give Scottsdale, AZ.

What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.

Form D/A · Mar 13, 2018 ↗Form D · Sep 24, 2018 ↗NJOY HOLDINGS, INC. — PartnerFacts page ↗
Sources
Note · Oct 20, 2011 – May 17, 2019

Allan Kaplan is listed with 2 different address states: AZ, NY

AZ on 11 filings (Oct 20, 2011 to May 17, 2019); NY on 3 filings (Apr 20, 2017 to Mar 13, 2018).

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/A · Oct 20, 2011 ↗Form D · Apr 20, 2017 ↗
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 12 offerings report sales commissions totalling $538,500; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
May 17, 2019 D
NJOY HOLDINGS, INC.
File 021-339884
$0$0$0None listed on this filingEDGAR ↗
Mar 25, 2019 D/A
NJOY HOLDINGS, INC.
File 021-333432
$484,750$0$0Sandler O'Neill & Partners, L.P. BrokerCheck CRD 23328 ↗EDGAR ↗
Sep 24, 2018 D
NJOY HOLDINGS, INC.
File 021-321977
$0$0$0None listed on this filingEDGAR ↗
Mar 13, 2018 D/A
NJOY HOLDINGS, INC.
File 021-303080
$0$0$0None listed on this filingEDGAR ↗
Aug 16, 2017 D
Goldmark Venture Partners, LLC
File 021-292939
$0$0$0None listed on this filingEDGAR ↗
Aug 16, 2017 D
WHR DUFL, LLC (Series One)
File 021-292944
$0$0$0None listed on this filingEDGAR ↗
Aug 16, 2017 D
NJAZ1, LLC
File 021-292948
$0$0$0None listed on this filingEDGAR ↗
Aug 16, 2017 D
DUFL Investment Series A, LLC
File 021-292953
$0$0$0None listed on this filingEDGAR ↗
Aug 15, 2017 D
Goldmark Venture Partners II, LLC
File 021-292832
$0$0$0None listed on this filingEDGAR ↗
Apr 20, 2017 D
NJOY HOLDINGS, INC.
File 021-285224
$53,750 (est.)$0$0BLUE SAND SECURITIES BrokerCheck CRD 142976 ↗
WYNSTON HILL CAPITAL SECURITIES, LLC BrokerCheck CRD 103811 ↗		EDGAR ↗
Dec 17, 2013 D
UNICORN MEDIA, INC.
File 021-208094
$0$0$0None listed on this filingEDGAR ↗
Oct 20, 2011 D/A
UNICORN MEDIA, INC.
File 021-149588
$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 7

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

NH
Other · group: Njoy

NJOY HOLDINGS, INC.

Scottsdale, AZ · Apr 20, 2017 → May 17, 2019 · 7 filings
  • May 17, 2019 · D · $136,999,231 sold of $140,000,000 · 6 investors · min. No minimum reported · role: Director EDGAR ↗
  • Mar 25, 2019 · D/A · $76,390,101 sold of $76,390,101 · 29 investors · min. No minimum reported · role: Director EDGAR ↗
  • Feb 25, 2019 · D · $53,449,629 sold of $64,000,000 · 12 investors · min. No minimum reported · role: Director EDGAR ↗
  • Sep 24, 2018 · D · $48,729,570 sold of $49,999,958 · 11 investors · min. No minimum reported · role: Director EDGAR ↗
  • Mar 13, 2018 · D/A · $15,000,000 sold of $15,000,000 · 16 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jan 12, 2018 · D · $12,500,000 sold of $12,500,000 · 15 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 20, 2017 · D · $35,000,000 sold of $35,000,000 · 31 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $137M from 31 investors (98% of the $140M target) as of the latest filing. Allan is listed as director on 7 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 / 506(b) (18,678 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.

DI
Other · group: Dufl

DUFL Investment Series A, LLC

Phoenix, AZ · Aug 16, 2017
  • Aug 16, 2017 · D · $1,200,000 sold of $1,200,000 · 17 investors · min. No minimum reported · role: Executive Officer, Director (President and Manager of Issuer) EDGAR ↗

Raised $1.2M from 17 investors (100% of the $1.2M target) as of the latest filing. Allan is listed as executive officer, 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: Other / 506(b) (18,678 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.

N
Other · group: Dufl

NJAZ1, LLC

Phoenix, AZ · Aug 16, 2017
  • Aug 16, 2017 · D · $1,705,000 sold of $1,705,000 · 7 investors · min. No minimum reported · role: Executive Officer, Director (President of Issuer and Manager of AKML-PARA, LLC, the Manager of Issuer) EDGAR ↗

Raised $1.71M from 7 investors (100% of the $1.71M target) as of the latest filing. Allan is listed as executive officer, 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: Other / 506(b) (18,678 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.

WD
Other · group: Dufl

WHR DUFL, LLC (Series One)

Phoenix, AZ · Aug 16, 2017
  • Aug 16, 2017 · D · $500,000 sold of $500,000 · 4 investors · min. No minimum reported · role: Executive Officer, Director (Vice President and Manager of Issuer) EDGAR ↗

Raised $500K from 4 investors (100% of the $500K target) as of the latest filing. Allan is listed as executive officer, 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: Other / 506(b) (18,678 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.

GV
Pooled Investment Fund · group: Dufl

Goldmark Venture Partners, LLC

Phoenix, AZ · Aug 16, 2017
  • Aug 16, 2017 · D · $10,000,000 sold of $10,000,000 · 14 investors · min. No minimum reported · role: Executive Officer, Director (President of Issuer and Manager of GVP Management, LLC, the Manager of Issuer) EDGAR ↗

Raised $10M from 14 investors (100% of the $10M target) as of the latest filing. Allan is listed as executive officer, 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: Pooled Investment Fund / 506(b) (83,801 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.

GV
Pooled Investment Fund · group: Dufl

Goldmark Venture Partners II, LLC

Phoenix, AZ · Aug 15, 2017
  • Aug 15, 2017 · D · $19,380,000 sold of $50,000,000 · 21 investors · min. No minimum reported · role: Executive Officer, Director (President of Issuer and Manager of GVP Management, LLC, the Manager of Issuer) EDGAR ↗

Raised $19.4M from 21 investors (39% of the $50M target) as of the latest filing. Allan is listed as executive officer, 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: Pooled Investment Fund / 506(b) (83,801 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.

UM
Other · group: Dufl

UNICORN MEDIA, INC.

Tempe, AZ · Oct 20, 2011 → Dec 17, 2013 · 2 filings
  • Dec 17, 2013 · D · $9,184,634 sold of $9,184,634 · 41 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗
  • Oct 20, 2011 · D/A · $5,553,429 sold of $5,953,429 · 32 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $9.18M from 41 investors (100% of the $9.18M target) as of the latest filing. Allan is listed as executive officer, 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: Other / 506(b) (18,678 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.

Other pages with the same name (1)

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

  • Allan W. Kaplan — VA, 1 issuer, May 19, 2011 → Jan 6, 2014 · no shared issuer

People around Allan 16

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

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

Jason Mudrick

Director · 7 shared filings (1 issuer) · also on 31 other issuers

Jason Mudrick is on 32 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

DOUGLAS TEITELBAUM

Executive Officer, Director · 7 shared filings (1 issuer) · also on 10 other issuers

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

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

David Kirsch

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

Listed on the same filings as Allan Kaplan. Their page shows their other deals.

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

Kent Yoon Kim

Director · 7 shared filings (1 issuer)

Listed on the same filings as Allan Kaplan. Their page shows their other deals.

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

Vickie B. Wittie

Executive Officer · 6 shared filings (5 issuers) · also on 1 other issuer

Vickie B. Wittie is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

Shankar Murugavell

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

Listed on the same filings as Allan Kaplan. Their page shows their other deals.

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

Scott Galloway

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

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

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

Ryan Martin Nivakoff

Executive Officer · 4 shared filings (1 issuer)

Listed on the same filings as Allan Kaplan. Their page shows their other deals.

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

Greg Doyle

Executive Officer · 3 shared filings (1 issuer)

Listed on the same filings as Allan Kaplan. Their page shows their other deals.

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

William H. Rinehart

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

Listed on the same filings as Allan Kaplan. Their page shows their other deals.

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

John Wachter

Director · 2 shared filings (1 issuer)

Listed on the same filings as Allan Kaplan. Their page shows their other deals.

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

Jesse Horwitz

Director · 2 shared filings (1 issuer)

Listed on the same filings as Allan Kaplan. Their page shows their other deals.

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

Michael Flatin

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

Listed on the same filings as Allan Kaplan. Their page shows their other deals.

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

Joseph Miller

Director · 1 shared filing (1 issuer)

Listed on the same filings as Allan Kaplan. Their page shows their other deals.

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

Anil Jain

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Allan Kaplan. Their page shows their other deals.

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

ANTHONY BOBULINSKI

Director · 1 shared filing (1 issuer)

Listed on the same filings as Allan Kaplan. Their page shows their other deals.

The team behind the deals

D
Sponsor group

Dufl

14 issuers · 39 filings · $56.4M reported sold · 2009–2024

One team, 14 deal companies. Allan Kaplan is listed on 6 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 Allan Kaplan.

N
Sponsor group

Njoy

2 issuers · 23 filings · $73.4M reported sold · 2012–2022

One team, 2 deal companies. Allan Kaplan 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 Allan Kaplan.

Same business address

8 other issuers file from the same address

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

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); KY (Kentucky Secretary of State — Business Entity Search (sosbes.sos.ky.gov), searched by issuer name, data as of Oct 24, 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 7 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 Allan Kaplan 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 7 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Allan Kaplan is listed on: none on file. No website or social profile named in NJOY HOLDINGS, INC.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #145,588 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 (Scottsdale, AZ). 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) ↗Arizona Judicial Branch public access ↗New York WebCivil Supreme ↗

Securities regulators

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

Business registries

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

Change history

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