Sponsor Check › Person
Named as an officer, director or promoter on SEC Form D filings · CA, MI · Aug 14, 2009 → Jun 25, 2012
Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:19 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET
Arthur Bertolero is listed as an executive officer and director on 13 SEC Form D filings by 4 issuers between Aug 2009 and Jun 2012: BIOVENTRIX, INC. (Mansfield, MA — biotechnology — 2009–2010; $40.8M reported sold to 195 investors), Vesta Medical LLC d/b/a Vestara (Irvine, CA — other health care — 2009–2011; $6.23M reported sold to 139 investors), NEOMATRIX LLC (Irvine, CA — other health care — 2012; $4.23M reported sold to 174 investors) and Endoclear LLC (Petoskey, MI — other health care — 2010–2011; $2.4M reported sold to 63 investors).
What this means A repeat sponsor — 4 separate companies raised money with this person listed as executive officer and director, over about 3 years. Across those companies the filings report $53.6M sold in total.
Listed alongside Alan Davidner (8 shared filings), Michael J Greer (7 shared filings), Robert Morris (6 shared filings), Scott R Mallett (6 shared filings), William E Maya (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 Arthur. Each name links to their own page.
1 of the issuers belongs to the sponsor group Waveland (29 issuers, $598.8M reported sold, 2009–2026).
What this means A sponsor group is one team that sets up a new company for each deal. Waveland has 29 companies on file and $598.8M reported sold in total — the group page shows the whole track record in one place.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — none found.
What this means Nothing turned up where we looked (3 sources). That does not prove there is nothing — it means none was found in those sources on that date.
We compared 13 public filings for Arthur Bertolero and found 13 differences, 5 worth asking the sponsor about: Regulator action naming a team member: Taglich Brothers, Inc. and Richard C. Oh (Sep 15, 2004); Form D filed 617 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.
Community search for Arthur Bertolero has not run yet — it is joining a line of 57,352 names; searches run around the clock at the hosts' allowed rate. Searched so far: 641 names.
Community comments are quoted as written by their authors. Sources searched: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.
Five things investors ask first. Items still in human review are counted, not shown.
None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026
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, 2:19 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.
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
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 Arthur Bertolero..
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).
None found in sources searched — federal bankruptcy courts (CourtListener / RECAP), checked Oct 24, 2026
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, 2:19 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.
Comparisons cover issuers and sponsor groups — see the issuer pages under Deals
13 differences found between the filings for Arthur Bertolero — 5 worth asking about (compared 13 filings on Oct 24, 2026)
A ap release dated Sep 15, 2004 names Michael N. Taglich (listed on the same filings). Our match estimate: 70%. The release is the source; we do not summarize its outcome here.
What this means A regulator filed or announced an action naming this person or company (or someone on the same filings). Read the release; ask the sponsor what it was and how it ended.
The filing says the first sale was Feb 15, 2010. The Form D was filed Oct 25, 2011 — 617 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 602 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.
The filing says the first sale was Feb 15, 2010. The Form D was filed Jul 28, 2010 — 163 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 148 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.
The filing says the first sale was May 15, 2009. The Form D was filed Aug 14, 2009 — 91 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 76 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.
No amendment in the last 12 months on an offering that may still be open — NEOMATRIX LLC (latest filing Jun 25, 2012) · No amendment in the last 12 months on an offering that may still be open — Endoclear LLC (latest filing Oct 25, 2011) · No amendment in the last 12 months on an offering that may still be open — Endoclear LLC (latest filing Aug 12, 2011) · No amendment in the last 12 months on an offering that may still be open — Vesta Medical LLC d/b/a Vestara (latest filing Feb 1, 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.
Arthur Bertolero appears on the May 20, 2010 Form D/A (director) but not on the Oct 8, 2010 Form D/A for the same offering.
What this means People leave, and the issuer must list only current officers, directors and promoters. It is still worth asking why this person left and who replaced them.
The Sep 9, 2010 filing says $3,500,000 offered; the Jun 25, 2012 Form D/A says $4,500,000.
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.
The Jan 6, 2010 filing lists a minimum of $13,000; the Mar 18, 2010 Form D/A lists $10,000.
What this means A different minimum usually means the offering terms changed. Check which terms apply to you.
The Aug 14, 2009 filing lists a minimum of $25,000; the Jan 6, 2010 Form D/A lists $13,000.
What this means A different minimum usually means the offering terms changed. Check which terms apply to you.
"Biotechnology" (Oct 6, 2009); then "Other" (May 20, 2010 to Dec 16, 2010).
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.
This page covers filings where the address state is CA or MI. A separate record, "Arthur Bertolero" with address state NY, is listed on 6 filings — most recently by Peerbridge Health, Inc. (Jun 4, 2018). The two records do not overlap in time: this page runs Aug 14, 2009 to Jun 25, 2012; the other runs Jan 6, 2015 to Jun 4, 2018.
What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.
The people listed on the Aug 12, 2011 filing give Petoskey, MI; on the Sep 9, 2011 filing they give Petosky, MI.
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.
CA on 9 filings (Aug 14, 2009 to Jun 25, 2012); MI on 4 filings (Jul 28, 2010 to Oct 25, 2011).
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.
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.
3 of 6 offerings report sales commissions totalling $1,549,120; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)
| Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it | Source |
|---|---|---|---|---|---|
| Jun 25, 2012 D/A NEOMATRIX LLC File 021-48540 | $450,000 (est.) | $0 | $0 | Waveland Capital Partners LLC BrokerCheck CRD 40054 ↗ via Waveland Capital Partners LLC (CRD 40054 ↗) VSR Financial Services, Inc. BrokerCheck CRD 14503 ↗ via VSR Financial Services, Inc. (CRD 14503 ↗) Eagle One Investments LLC BrokerCheck CRD 45254 ↗ via Eagle One Investments LLC (CRD 45254 ↗) | EDGAR ↗ |
| Oct 25, 2011 D Endoclear LLC File 021-167773 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Sep 9, 2011 D Endoclear LLC File 021-165573 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Aug 12, 2011 D/A Endoclear LLC File 021-145553 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Feb 1, 2011 D/A Vesta Medical LLC d/b/a Vestara File 021-91928 | $850,000 (est.) | $0 | $0 | Waveland Capital Partners LLC BrokerCheck CRD 40054 ↗ via Waveland Capital Partner LLC (CRD 40054 ↗) Eagle One Investments LLC BrokerCheck CRD 45254 ↗ via Eagle One Investments LLC (CRD 45254 ↗) Kalos Capital Inc. BrokerCheck CRD 44337 ↗ via Kalos Capital Inc. (CRD 44337 ↗) VSR Financial Services Inc. BrokerCheck CRD 14503 ↗ via VSR Financial Services Inc. (CRD 14503 ↗) MCL Financial Group, Inc. BrokerCheck CRD 41180 ↗ via MCL Financial Group, Inc. (CRD 41180 ↗) | EDGAR ↗ |
| May 20, 2010 D/A BIOVENTRIX, INC. File 021-63644 | $249,120 (est.) | $0 | $0 (est.) | Taglich Brothers, Inc. BrokerCheck CRD 29102 ↗ | EDGAR ↗ |
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).
Every issuer that named Arthur Bertolero on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.
Raised $4.23M from 174 investors (94% of the $4.5M target) as of the latest filing. Arthur is listed as director.
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.
Raised $2.4M from 63 investors (60% of the $4M target) as of the latest filing. Arthur is listed as executive officer on 4 filings for this deal.
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.
Raised $6.23M from 139 investors (62% of the $10M target) as of the latest filing. Arthur is listed as director on 6 filings for this deal.
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.
Raised $40.8M from 195 investors (100% of the $10.8M target) as of the latest filing. Arthur is listed as director on 2 filings for this deal.
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.
Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.
Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.
Listed on the same filings as Arthur Bertolero. Their page shows their other deals.
Michael J Greer is on 28 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Arthur Bertolero. Their page shows their other deals.
Listed on the same filings as Arthur Bertolero. Their page shows their other deals.
Listed on the same filings as Arthur Bertolero. Their page shows their other deals.
Listed on the same filings as Arthur Bertolero. Their page shows their other deals.
Michael Martin is on 9 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Arthur Bertolero. Their page shows their other deals.
Michael N. Taglich is on 18 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Arthur Bertolero. Their page shows their other deals.
Listed on the same filings as Arthur Bertolero. Their page shows their other deals.
Listed on the same filings as Arthur Bertolero. Their page shows their other deals.
Listed on the same filings as Arthur Bertolero. Their page shows their other deals.
Listed on the same filings as Arthur Bertolero. Their page shows their other deals.
One team, 29 deal companies. Arthur Bertolero is listed on 1 of them.
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 Arthur Bertolero.
A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.
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).
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.
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 are matched to companies only, never to individuals, so none are matched to Arthur Bertolero 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.
Websites and social links of the issuers Arthur Bertolero is listed on: none on file. No website or social profile named in NEOMATRIX LLC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #339,621 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓
One-tap searches on sites we do not index ourselves, with the name pre-filled (Irvine, CA). Each opens in a new tab; what you find there is not verified by PartnerFacts.
No corrections have been requested for this page.
Free. Logged with status: received → under review → fixed / confirmed with source.
If this is you or your firm, add a sourced explanation next to any fact. Reviewed before publishing.
Members get an email when Arthur Bertolero appears on a new Form D, or when a court case or SEC action is matched to them. See plans →