Chip Roame is listed as a director on 2 SEC Form D filings by 1 issuer between Sep 2022 and Nov 2024: DPL Financial Partners, LLC (Louisville, KY — insurance — 2022–2024; $23M reported sold to 3 investors).
What this means One deal on file with the SEC. A Form D is the notice a company files after it starts selling a private investment — it is a notice, not an approval.
Listed alongside David P Lau (2 shared filings), David Smilow (2 shared filings), Kunal Arora (2 shared filings), Brian Saunders (1 shared filing), Colin Savage (1 shared filing) and 2 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Chip. Each name links to their own page.
The issuer belongs to the sponsor group Jefferson (3 issuers, $29M reported sold, 2009–2024).
What this means A sponsor group is one team that sets up a new company for each deal. Jefferson has 3 companies on file and $29M 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.