Brian Wallace is listed as an executive officer and director on 23 SEC Form D filings by 10 issuers between Jan 2010 and Mar 2024. Largest by amount reported sold: Daily Inches, Inc. (Boulder, CO — other technology — 2015; $10.2M reported sold to 12 investors), Dizzion, Inc. (Denver, CO — industry reported as "Other" — 2015–2019; $6.29M reported sold to 22 investors), Alces Technology, Inc. (Park City, UT — other technology — 2017; $4.6M reported sold to 4 investors), Ascent360, Inc. (Golden, CO — other technology — 2018–2022; $4.11M reported sold to 11 investors), Nivati, Inc. (South Jordan, UT — other health care — 2024; $4M reported sold to 22 investors) and 5 more (all listed below).
What this means That is a lot of deals — 10 separate companies raised money with this person listed as executive officer and director, over about 14 years. Across those companies the filings report $38.1M sold in total.
Listed alongside Joseph Zell (12 shared filings), Cheryl Szydlo (6 shared filings), Lewis S. Frauenfelder (6 shared filings), Nathan Probst (6 shared filings), Paul Guerin (6 shared filings) and 48 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Brian. Each name links to their own page.
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) — 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 23 public filings for Brian Wallace and found 13 differences, 2 worth asking the sponsor about: Amount sold went down between filings; 4 Form Ds were filed more than 15 days after the first sale; and more below.
What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.