PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 7:40 AM ET

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Andrew Klein

Named as an officer, director or promoter on SEC Form D filings · CA · Feb 16, 2017 → Nov 24, 2021

2deals (issuers)
$59.7Mreported sold
108investors
5Form D filings
2017–2021years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:35 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Andrew Klein is listed as an executive officer and director on 5 SEC Form D filings by 2 issuers between Nov 2015 and Nov 2021: Jupiter Intelligence, Inc. (San Mateo, CA — other technology — 2019–2021; $53.8M reported sold to 37 investors) and Ultra Capital, LLC (San Francisco, CA — investing — 2015–2017; $5.85M reported sold to 71 investors).

What this means 2 separate companies raised money with this person listed as executive officer and director, over about 6 years. Across those companies the filings report $59.7M sold in total.

Listed alongside Erik W. Jansen (3 shared filings), Ian Copeland (3 shared filings), Edward Mathias (2 shared filings), Eric Wun (2 shared filings), Kristian Hanelt (2 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 Andrew. Each name links to their own page.

1 of the issuers belongs to the sponsor group Ultra (22 issuers, $3.37B reported sold, 2013–2026).

What this means A sponsor group is one team that sets up a new company for each deal. Ultra has 22 companies on file and $3.37B reported sold in total — the group page shows the whole track record in one place.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, OK, OR, PA, RI, SC, SD, TN, TX, VT, WA, WI, WV, WY) — 3 court cases matching the name, 18 bankruptcy cases matching the name listed in Key records below.

What this means 21 records came back, including 1 court case 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 5 public filings for Andrew Klein and found 13 differences, 3 worth asking the sponsor about: Investor count went down between filings; Form D filed 113 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 Andrew Klein has not run yet — it is joining a line of 25,439 names; searches run around the clock at the hosts' allowed rate. Searched so far: 638 names.

Community comments are quoted as written by their authors. Sources searched: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).

Key records

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

1. Lawsuits

3 cases: 1 open, 2 closed (disposition not in docket feed)

Marquise Bailey v. Andrew Klein open
District Court, C.D. California · No. 2:26-cv-02717 · Filed Mar 13, 2026
Role of Andrew Klein: Defendant · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same full name (a name found in 31 federal dockets); 8 people with this name in Form D filings; court in the person's filing state (CA)
Andrew Klein v. Gamma Entertainment, Inc. closed
District Court, C.D. California · No. 2:23-cv-01890 · Filed Mar 14, 2023 · Closed Apr 25, 2023 · Nature of suit: 890 Other Statutory Actions · Cause: 28:1331 Fed. Question
Role of Andrew Klein: Plaintiff · Outcome: Terminated 2023-04-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 31 federal dockets); 8 people with this name in Form D filings; court in the person's filing state (CA)
In re: Andrew Klein and Jennifer Klein closed
District Court, S.D. Florida · No. 1:08-mc-20204 · Filed Jan 23, 2008 · Closed Feb 5, 2008
Role of Andrew Klein and Jennifer Klein: Party · Outcome: Terminated 2008-02-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 31 federal dockets); 8 people with this name in Form D filings; court in FL (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, 2:35 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: VA (crawled Oct 23, 2026)

What was searched

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Andrew Klein..

State securities regulators: Securities regulators searched (3,318 actions): AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE DOJ Investor Protection Unit (257 actions, 1987–2026), TX State Securities Board (586 actions, 2006–2026), WA DFI (2,039 actions, 2001–2026) — last crawled Oct 23, 2026, 9:57 PM ET. No machine-readable public listing today for CO, FL, IA, IN, MN, NE, NJ, NY, OH, UT, VA (see docs/state-regulators.md).

3. Bankruptcies

18 cases: 17 closed (disposition not in docket feed), 1 open

Andrew D. Klein closed
United States Bankruptcy Court, E.D. Pennsylvania · No. 19-16183 · Filed Sep 30, 2019 · Closed Jan 31, 2020
Role of Andrew D. Klein: Debtor · Outcome: Case closed 2020-01-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 31 federal dockets); 8 people with this name in Form D filings; court in PA (not a filing state)
Andrew H Klein open
United States Bankruptcy Court, E.D. Michigan · No. 19-41631 · Filed Feb 6, 2019
Role of Andrew H Klein: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same full name (a name found in 31 federal dockets); 8 people with this name in Form D filings; court in MI (not a filing state)
Andrew W Klein and Barbara A Klein closed
United States Bankruptcy Court, E.D. Wisconsin · No. 18-24640 · Filed May 10, 2018 · Closed Aug 22, 2018
Role of Andrew W Klein and Barbara A Klein: Debtor · Outcome: Case closed 2018-08-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 31 federal dockets); 8 people with this name in Form D filings; court in WI (not a filing state)
Andrew M. Klein closed
United States Bankruptcy Court, E.D. Louisiana · No. 14-11477 · Filed Jun 9, 2014 · Closed Nov 7, 2017
Role of Andrew M. Klein: Debtor · Outcome: Case closed 2017-11-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 31 federal dockets); 8 people with this name in Form D filings; court in LA (not a filing state)
Andrew A Klein and Maria D Klein closed
United States Bankruptcy Court, W.D. Michigan · No. 09-12732 · Filed Oct 29, 2009 · Closed Mar 1, 2010
Role of Andrew A Klein and Maria D Klein: Debtor · Outcome: Case closed 2010-03-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 31 federal dockets); 8 people with this name in Form D filings; court in MI (not a filing state)
Andrew Klein and Cherry May Klein closed
United States Bankruptcy Court, N.D. Georgia · No. 05-72186 · Filed Jul 2, 2005 · Closed Nov 28, 2007
Role of Andrew Klein and Cherry May Klein: Debtor · Outcome: Case closed 2007-11-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 31 federal dockets); 8 people with this name in Form D filings; court in GA (not a filing state)
Andrew R. Klein and Wendy Neussendorfer Klein closed
United States Bankruptcy Court, W.D. Louisiana · No. 03-52163 · Filed Sep 18, 2003 · Closed Jan 15, 2004
Role of Andrew R. Klein and Wendy Neussendorfer Klein: Debtor · Outcome: Case closed 2004-01-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 31 federal dockets); 8 people with this name in Form D filings; court in LA (not a filing state)
ANDREW KLEIN and TRACEY KLEIN closed
United States Bankruptcy Court, D. Nevada · No. 02-17800 · Filed Jul 11, 2002 · Closed Mar 17, 2006
Role of ANDREW KLEIN and TRACEY KLEIN: Debtor · Outcome: Case closed 2006-03-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 31 federal dockets); 8 people with this name in Form D filings; court in NV (not a filing state)
Andrew M. Klein closed
United States Bankruptcy Court, N.D. Ohio · No. 02-52571 · Filed Jun 10, 2002 · Closed Oct 29, 2002
Role of Andrew M. Klein: Debtor · Outcome: Case closed 2002-10-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 31 federal dockets); 8 people with this name in Form D filings; court in OH (not a filing state)
Andrew J Klein closed
United States Bankruptcy Court, E.D. New York · No. 1-02-10700 · Filed Jan 17, 2002 · Closed May 30, 2002
Role of Andrew J Klein: Debtor · Outcome: Case closed 2002-05-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 31 federal dockets); 8 people with this name in Form D filings; court in NY (not a filing state)
Andrew Klein closed
United States Bankruptcy Court, E.D. New York · No. 1-00-13899 · Filed Apr 11, 2000 · Closed Aug 9, 2000
Role of Andrew Klein: Debtor · Outcome: Case closed 2000-08-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 31 federal dockets); 8 people with this name in Form D filings; court in NY (not a filing state)
Andrew Klein closed
United States Bankruptcy Court, S.D. California · No. 99-02805 · Filed Mar 16, 1999 · Closed Jul 12, 1999
Role of Andrew Klein: Debtor · Outcome: Case closed 1999-07-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 31 federal dockets); 8 people with this name in Form D filings; court in the person's filing state (CA)
Andrew C. Klein and Karen B. Klein closed
United States Bankruptcy Court, N.D. New York · No. 97-10488 · Filed Jan 24, 1997 · Closed Apr 14, 2000
Role of Andrew C. Klein and Karen B. Klein: Debtor · Outcome: Case closed 2000-04-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 31 federal dockets); 8 people with this name in Form D filings; court in NY (not a filing state)
Andrew Klein closed
United States Bankruptcy Court, W.D. Pennsylvania · No. 96-23338 · Filed Jun 28, 1996 · Closed Sep 24, 1998
Role of Andrew Klein: Debtor · Outcome: Case closed 1998-09-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 31 federal dockets); 8 people with this name in Form D filings; court in PA (not a filing state)
ANDREW S KLEIN closed
United States Bankruptcy Court, D. Minnesota · No. 96-30427 · Filed Jan 25, 1996 · Closed May 28, 1996
Role of ANDREW S KLEIN: Debtor · Outcome: Case closed 1996-05-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 31 federal dockets); 8 people with this name in Form D filings; court in MN (not a filing state)
Andrew R. Klein closed
United States Bankruptcy Court, S.D. Florida. · No. 94-20746 · Filed Feb 25, 1994 · Closed Dec 15, 1994
Role of Andrew R. Klein: Debtor · Outcome: Case closed 1994-12-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 31 federal dockets); 8 people with this name in Form D filings; court in FL (not a filing state)
Andrew A. Klein and Susan Collura Klein closed
United States Bankruptcy Court, E.D. Louisiana · No. 91-11582 · Filed Apr 22, 1991 · Closed Jan 26, 1995
Role of Andrew A. Klein and Susan Collura Klein: Debtor · Outcome: Case closed 1995-01-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 31 federal dockets); 8 people with this name in Form D filings; court in LA (not a filing state)
Andrew S Klein closed
United States Bankruptcy Court, N.D. Illinois · No. 89-05162 · Filed Mar 28, 1989 · Closed Nov 15, 1989
Role of Andrew S Klein: Debtor · Outcome: Case closed 1989-11-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 31 federal dockets); 8 people with this name in Form D filings; 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, 2:35 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 Andrew Klein — 3 worth asking about (compared 5 filings on Oct 24, 2026)

Worth asking · Nov 23, 2015 – Feb 28, 2017

Investor count went down between filings — Ultra Capital, LLC

The Nov 23, 2015 filing reports 71 investors; the Feb 28, 2017 Form D/A reports 38 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 23, 2015 ↗Form D/A (later) · Feb 28, 2017 ↗Ultra Capital, LLC — PartnerFacts page ↗
Sources
Note · Feb 28, 2017

15% of the money raised went to insiders — Ultra Capital, LLC

The Feb 28, 2017 Form D/A reports $5,850,988 sold and $850,000 of the proceeds used for payments to officers, directors or promoters. Issuer's note: "The issuer has used $425,000 of the total amount sold as compensation to Tom Ferraro and Kristian Hanelt in 2016 and expects to use the same amount as compensation to Tom Ferraro and Kristian Hanelt i".

What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.

Form D/A · Feb 28, 2017 ↗Ultra Capital, LLC — PartnerFacts page ↗
Sources
Worth asking · Aug 3, 2021 – Nov 24, 2021

Form D filed 113 days after the first sale — Jupiter Intelligence, Inc.

The filing says the first sale was Aug 3, 2021. The Form D was filed Nov 24, 2021 — 113 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 98 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 24, 2021 ↗Jupiter Intelligence, Inc. — PartnerFacts page ↗
Sources
Worth asking · Feb 19, 2019 – Aug 30, 2019

Form D filed 192 days after the first sale — Jupiter Intelligence, Inc.

The filing says the first sale was Feb 19, 2019. The Form D was filed Aug 30, 2019 — 192 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 177 days past that.

What this means The notice went in months after money was taken in. Late notices are common and carry no penalty by themselves, but it is fair to ask the sponsor why the paperwork lagged.

Form D · Aug 30, 2019 ↗Jupiter Intelligence, Inc. — PartnerFacts page ↗
Sources
Note · Nov 18, 2015 – Nov 24, 2021

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 — Jupiter Intelligence, Inc. (latest filing Nov 24, 2021) · No amendment in the last 12 months on an offering that may still be open — Jupiter Intelligence, Inc. (latest filing Aug 30, 2019) · No amendment in the last 12 months on an offering that may still be open — Ultra Capital, LLC (latest filing Feb 28, 2017) · No amendment in the last 12 months on an offering that may still be open — Ultra Capital, LLC (latest filing Feb 16, 2017)

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 · Nov 24, 2021 ↗Jupiter Intelligence, Inc. — PartnerFacts page ↗Form D · Aug 30, 2019 ↗Form D/A · Feb 28, 2017 ↗
Sources
Note · Nov 23, 2015 – Feb 28, 2017

Minimum investment changed between filings — Ultra Capital, LLC

The Nov 23, 2015 filing lists a minimum of $0; the Feb 28, 2017 Form D/A lists $2,000.

What this means A different minimum usually means the offering terms changed. Check which terms apply to you.

Form D (earlier) · Nov 23, 2015 ↗Form D/A (later) · Feb 28, 2017 ↗Ultra Capital, LLC — PartnerFacts page ↗
Sources
Note · Nov 23, 2015 – Feb 16, 2017

Andrew Klein is written 2 different ways on the filings

listed as "Andrew D. Klein" on the Nov 23, 2015 filing, and "Andrew Klein" on 4 filings (from Feb 16, 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 · Nov 23, 2015 ↗Form D · Feb 16, 2017 ↗Andrew Klein — PartnerFacts page ↗
Sources
Note · Nov 26, 2013 – Apr 13, 2026

Same name, different state: "Andrew D. Klein" (P7) is a separate record

This page covers filings where the address state is CA. A separate record, "Andrew D. Klein" with address state P7, is listed on 17 filings — most recently by Brighter Signals B.V. (Apr 13, 2026). Both records have filings in the same period (Feb 16, 2017 to Nov 24, 2021).

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.

Andrew D. Klein (P7) — PartnerFacts page ↗Form D · Apr 13, 2026 ↗Brighter Signals B.V. — PartnerFacts page ↗Andrew Klein (CA) — this page ↗
Sources
Note · Nov 17, 2023 – Nov 26, 2024

Same name, different state: "Andrew Klein" (MA) is a separate record

This page covers filings where the address state is CA. A separate record, "Andrew Klein" with address state MA, is listed on 3 filings — most recently by 40grid, Inc. (Nov 26, 2024). The two records do not overlap in time: this page runs Feb 16, 2017 to Nov 24, 2021; the other runs Nov 17, 2023 to Nov 26, 2024.

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.

Andrew Klein (MA) — PartnerFacts page ↗Form D/A · Nov 26, 2024 ↗40grid, Inc. — PartnerFacts page ↗Andrew Klein (CA) — this page ↗
Sources
Note · Sep 1, 2021

Same name, different state: "Andrew S Klein" (UT) is a separate record

This page covers filings where the address state is CA. A separate record, "Andrew S Klein" with address state UT, is listed on 2 filings — most recently by BlockChyp Inc (Aug 17, 2022). Both records have filings in the same period (Sep 1, 2021).

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.

Andrew S Klein (UT) — PartnerFacts page ↗Form D · Aug 17, 2022 ↗BlockChyp Inc — PartnerFacts page ↗Andrew Klein (CA) — this page ↗
Sources
Note · Jun 1, 2010 – Aug 5, 2019

Same name, different state: "Andrew Klein" (CO) is a separate record

This page covers filings where the address state is CA. A separate record, "Andrew Klein" with address state CO, is listed on 3 filings — most recently by Backbone PLM, INC. (Aug 5, 2019). Both records have filings in the same period (Feb 16, 2017 to Aug 5, 2019).

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.

Andrew Klein (CO) — PartnerFacts page ↗Form D · Aug 5, 2019 ↗Backbone PLM, INC. — PartnerFacts page ↗Andrew Klein (CA) — this page ↗
Sources
Note · Oct 6, 2010

Same name, different state: "Andrew Klein" (NY) is a separate record

This page covers filings where the address state is CA. A separate record, "Andrew Klein" with address state NY, is listed on 1 filing — most recently by Be-Thin, Inc. (Oct 6, 2010). The two records do not overlap in time: this page runs Feb 16, 2017 to Nov 24, 2021; the other has one filing dated Oct 6, 2010.

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.

Andrew Klein (NY) — PartnerFacts page ↗Form D · Oct 6, 2010 ↗Be-Thin, Inc. — PartnerFacts page ↗Andrew Klein (CA) — this page ↗
Sources
Note · Nov 23, 2015 – Feb 16, 2017

Address moved from Menlo Park, CA to San Francisco, CA — Ultra Capital, LLC

The people listed on the Nov 23, 2015 filing give Menlo Park, CA; on the Feb 16, 2017 filing they give San Francisco, CA.

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 · Nov 23, 2015 ↗Form D · Feb 16, 2017 ↗Ultra Capital, LLC — 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

0 of 4 offerings report sales commissions; 0 report finder's fees; 1 reports proceeds to related persons totalling $850,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Nov 24, 2021 D
Jupiter Intelligence, Inc.
File 021-422463
$0$0$0 (est.)None listed on this filingEDGAR ↗
Aug 30, 2019 D
Jupiter Intelligence, Inc.
File 021-347765
$0$0$0 (est.)None listed on this filingEDGAR ↗
Feb 28, 2017 D/A
Ultra Capital, LLC
File 021-251695
$0$0$850,000
The issuer has used $425,000 of the total amount sold as compensation to Tom Ferraro and Kristian Hanelt in 2016 and expects to use the same amount as compensation to Tom Ferraro and Kristian Hanelt in 2017.
None listed on this filingEDGAR ↗
Feb 16, 2017 D
Ultra Capital, LLC
File 021-280866
$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 Andrew Klein on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

JI
Other Technology

Jupiter Intelligence, Inc.

San Mateo, CA · Aug 30, 2019 → Nov 24, 2021 · 2 filings
  • Nov 24, 2021 · D · $53,824,924 sold of $54,000,000 · 37 investors · min. No minimum reported · role: Director EDGAR ↗
  • Aug 30, 2019 · D · $22,878,752 sold of $23,214,446 · 26 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $53.8M from 37 investors (100% of the $54M target) as of the latest filing. Andrew 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: Other Technology / 506(b) (17,390 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

UC
Investing · group: Ultra

Ultra Capital, LLC

San Francisco, CA · Nov 23, 2015 → Feb 28, 2017 · 3 filings
  • Feb 28, 2017 · D/A · $5,850,988 sold of Indefinite · 38 investors · min. $2,000 · role: Executive Officer, Director EDGAR ↗
  • Feb 16, 2017 · D · $5,000,000 sold of Indefinite · 1 investors · min. $5,000,000 · role: Executive Officer, Director EDGAR ↗
  • Nov 23, 2015 · D · $4,432,033 sold of Indefinite · 71 investors · min. No minimum reported · role: Executive Officer, Director (Managing Director and Director of the Issuer) EDGAR ↗

Raised $5.85M from 71 investors as of the latest filing. Andrew is listed as executive officer, director on 3 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: Investing / 506(b) (2,521 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 (7)

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

  • Andrew D. Klein — Netherlands (as filed: P7), 4 issuers, Nov 26, 2013 → Apr 13, 2026 · no shared issuer
  • Andrew Klein — CO, 2 issuers, Jun 1, 2010 → Aug 5, 2019 · no shared issuer
  • Andrew Klein — NY, 1 issuer, Oct 6, 2010 → Oct 6, 2010 · no shared issuer
  • Andrew S Klein — UT, 1 issuer, Sep 1, 2021 → Sep 1, 2021 · no shared issuer
  • Andrew Klein — MA, 1 issuer, Nov 17, 2023 → Nov 26, 2024 · no shared issuer
  • Andrew R Klein — CO, 1 issuer, Apr 27, 2010 → Apr 27, 2010 · no shared issuer
  • Andrew David Klein — FL, 1 issuer, Sep 14, 2016 → Sep 14, 2016 · no shared issuer

People around Andrew 20

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

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

Ian Copeland

Executive Officer · 3 shared filings (1 issuer) · also on 5 other issuers

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

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

Erik W. Jansen

Executive Officer, Director · 3 shared filings (1 issuer)

Listed on the same filings as Andrew Klein. Their page shows their other deals.

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

Roland Van Der Meer

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

Roland Van Der Meer is on 5 issuers in total — a repeat sponsor. Their page lists every one.

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

Nick Sturiale

Director · 2 shared filings (1 issuer) · also on 9 other issuers

Nick Sturiale is on 10 issuers in total — a repeat sponsor. Their page lists every one.

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

Matt Ocko

Director · 2 shared filings (1 issuer) · also on 12 other issuers

Matt Ocko is on 13 issuers in total — a repeat sponsor. Their page lists every one.

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

Ruth Owades

Director · 2 shared filings (1 issuer)

Listed on the same filings as Andrew Klein. Their page shows their other deals.

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

Edward Mathias

Director · 2 shared filings (1 issuer)

Listed on the same filings as Andrew Klein. Their page shows their other deals.

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

Philip Duff

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

Listed on the same filings as Andrew Klein. Their page shows their other deals.

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

Tom Ferraro

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

Listed on the same filings as Andrew Klein. Their page shows their other deals.

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

Volkert Doeksen

Director · 2 shared filings (1 issuer)

Listed on the same filings as Andrew Klein. Their page shows their other deals.

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

Eric Wun

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Andrew Klein. Their page shows their other deals.

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

Rich Sorkin

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

Listed on the same filings as Andrew Klein. Their page shows their other deals.

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

Kristian Hanelt

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

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

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

John Hague

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Andrew Klein. Their page shows their other deals.

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

Julia Murphy

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Andrew Klein. Their page shows their other deals.

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

Neal Wolin

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

Listed on the same filings as Andrew Klein. Their page shows their other deals.

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

John Tough

Director · 1 shared filing (1 issuer) · also on 25 other issuers

John Tough is on 26 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

Katie McClain

Director · 1 shared filing (1 issuer) · also on 16 other issuers

Katie McClain is on 17 issuers in total — a repeat sponsor. Their page lists every one.

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

William S. Brennan

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Andrew Klein. Their page shows their other deals.

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

Roland A. Van der Meer

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

Listed on the same filings as Andrew Klein. Their page shows their other deals.

The team behind the deals

U
Sponsor group

Ultra

22 issuers · 84 filings · $3.37B reported sold · 2013–2026

One team, 22 deal companies. Andrew Klein 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 Andrew Klein.

Same business address

11 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

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 Andrew Klein 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 Andrew Klein is listed on: none on file. No website or social profile named in Jupiter Intelligence, Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #173,731 of 374,652 in line (1,289 issuers searched so far). One-tap searches: Look further ↓

Look further

One-tap searches on sites we do not index ourselves, with the name pre-filled (San Mateo, CA). 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) ↗California — find the county court ↗Los Angeles Superior Court case search ↗

Securities regulators

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

Business registries

California Secretary of State business search ↗OpenCorporates ↗

Change history

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