Andrew Thau is listed as an executive officer and director on 7 SEC Form D filings by 7 issuers between Jul 2020 and Jul 2023. Largest by amount reported sold: BANC OF CALIFORNIA, INC. (Santa Ana, CA — commercial banking — 2022; $60M reported sold to 37 investors), Chamberlain Coffee Inc. (Los Angeles, CA — industry reported as "Other" — 2023; $7.02M reported sold to 22 investors), UTA Ventures Capital Partners Fund V LP (Beverly Hills, CA — pooled investment fund — 2021; $6M reported sold to 38 investors), UTA Ventures Capital Partners Fund IV LP (Beverly Hills, CA — pooled investment fund — 2022; $4.41M reported sold to 35 investors), UTA Ventures Capital Partners Fund III LP (Beverly Hills, CA — pooled investment fund — 2021; $2.99M reported sold to 33 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 3 years. Across those companies the filings report $83.6M sold in total.
5 of the issuers belong to the sponsor group Uta (5 issuers, $16.6M reported sold, 2020–2022).
What this means A sponsor group is one team that sets up a new company for each deal. Uta has 5 companies on file and $16.6M reported sold in total — the group page shows the whole track record in one place.
Public records searched: federal courts (CourtListener / RECAP), state securities regulators (AZ, CA, DE, TX, WA) — none found. Not yet searched: SEC enforcement releases.
What this means Nothing turned up where we looked (2 sources). That does not prove there is nothing — it means none was found in those sources on that date.