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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 7:52 AM ET

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CA
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Christopher Anzalone

Named as an officer, director or promoter on SEC Form D filings · CA · Aug 3, 2009 → Oct 22, 2013

2deals (issuers)
$65.3Mreported sold
28investors
7Form D filings
2009–2013years on file

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

The short version

Christopher Anzalone is listed as an executive officer and director on 7 SEC Form D filings by 2 issuers between Aug 2009 and Oct 2013: ARROWHEAD RESEARCH CORP (Pasadena, CA — biotechnology — 2009–2013; $64M reported sold to 27 investors) and Leonardo Biosystems, Inc. (Houston, TX — other technology — 2010; $1.25M reported sold to 1 investors).

What this means 2 separate companies raised money with this person listed as executive officer and director, over about 4 years. Across those companies the filings report $65.3M sold in total.

Listed alongside Charles McKenney (6 shared filings), Edward Frykman (6 shared filings), Mauro Ferrari (4 shared filings), Robert Bruce Stewart (4 shared filings), Bruce Given (3 shared filings) and 7 others.

What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Christopher. 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) — 5 court cases matching the name, 2 bankruptcy cases matching the name listed in Key records below.

What this means 7 records 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 7 public filings for Christopher Anzalone and found 10 differences, 2 worth asking the sponsor about: 5 court cases name Christopher Anzalone; 91% of the money raised went to insiders; 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 Christopher Anzalone has not run yet — it is joining a line of 28,513 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

5 cases: 4 dismissed, 1 closed (disposition not in docket feed)

Lesvia Lucas v. Christopher R. Anzalone dismissed
District Court, C.D. California · No. 2:17-cv-03207 · Filed Apr 28, 2017 · Closed Jun 16, 2017 · Nature of suit: 160 Stockholder's suits
Role of Christopher R. Anzalone: Defendant · Outcome: Terminated 2017-06-16 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
same full name (a name found in 10 federal dockets); court in the person's filing state (CA)
Ravindra Singh v. Christopher R. Anzalone closed
District Court, C.D. California · No. 2:17-cv-03160 · Filed Apr 27, 2017 · Closed Oct 24, 2018 · Nature of suit: 160 Stockholders Suits · Cause: 28:1332 Diversity - Stockholders Suits
Role of Christopher R. Anzalone: Defendant · Outcome: Terminated 2018-10-24 — FJC Integrated Database disposition: Statistical closing Docket on CourtListener ↗
same full name (a name found in 10 federal dockets); court in the person's filing state (CA)
Sean Johnson v. Christopher R. Anzalone dismissed
District Court, C.D. California · No. 2:15-cv-00446 · Filed Jan 22, 2015 · Closed Oct 3, 2016 · Nature of suit: 160 Stockholders Suits · Cause: 28:1332 Diversity - Stockholders Suits
Role of Christopher R. Anzalone: Defendant · Outcome: Terminated 2016-10-03 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same full name (a name found in 10 federal dockets); court in the person's filing state (CA)
David A Bernstein v. Christopher R Anzalone dismissed
District Court, C.D. California · No. 2:14-cv-09247 · Filed Dec 2, 2014 · Closed Sep 4, 2019 · Nature of suit: 160 Stockholders Suits · Cause: 28:1332 Diversity - Stockholders Suits
Role of Christopher R Anzalone: Defendant · Outcome: Terminated 2019-09-04 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
same full name (a name found in 10 federal dockets); court in the person's filing state (CA)
Harvey Weisman v. Christopher R Anzalone dismissed
District Court, C.D. California · No. 2:14-cv-08982 · Filed Nov 20, 2014 · Closed Oct 24, 2016 · Nature of suit: 160 Stockholders Suits · Cause: 28:1332 Diversity - Stockholders Suits
Role of Christopher R Anzalone: Defendant · Outcome: Terminated 2016-10-24 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
same full name (a name found in 10 federal dockets); court in the person's filing state (CA)
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, 2:19 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 Christopher Anzalone..

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

2 cases: 2 closed (disposition not in docket feed)

Christopher Anzalone closed
United States Bankruptcy Court, M.D. Florida · No. 2:13-bk-06823 · Filed May 23, 2013 · Closed Sep 22, 2016
Role of Christopher Anzalone: Debtor · Outcome: Case closed 2016-09-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 10 federal dockets); court in FL (not a filing state)
Christopher J. Anzalone closed
United States Bankruptcy Court, M.D. Florida · No. 8:99-bk-19685 · Filed Dec 9, 1999 · Closed Feb 27, 2001
Role of Christopher J. Anzalone: Debtor · Outcome: Case closed 2001-02-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 10 federal dockets); court in FL (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, 2:19 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

10 differences found between the filings for Christopher Anzalone — 2 worth asking about (compared 7 filings on Oct 24, 2026)

Worth asking · Nov 20, 2014 – Apr 28, 2017

5 court cases name Christopher Anzalone — 5 as defendant

By role: defendant in 5. Newest: "Lesvia Lucas v. Christopher R. Anzalone" (District Court, C.D. California, Apr 28, 2017); "Ravindra Singh v. Christopher R. Anzalone" (District Court, C.D. California, Apr 27, 2017); "Sean Johnson v. Christopher R. Anzalone" (District Court, C.D. California, Jan 22, 2015). Some of these are name matches with a match estimate below 95% — check each docket.

What this means Several court cases name this subject. Some are routine business suits. Ask what each was about and how it ended.

Sources
Worth asking · Aug 3, 2009

91% of the money raised went to insiders — ARROWHEAD RESEARCH CORP

The Aug 3, 2009 Form D reports $1,859,250 sold and $1,700,000 of the proceeds used for payments to officers, directors or promoters (marked as an estimate). Issuer's note: "Proceeds to be used for general working capital".

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.

Sources
Note · Dec 11, 2009 – Jan 29, 2010

Form D filed 49 days after the first sale — ARROWHEAD RESEARCH CORP

The filing says the first sale was Dec 11, 2009. The Form D was filed Jan 29, 2010 — 49 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 34 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.

Sources
Note · Jul 17, 2009 – Aug 3, 2009

Form D filed 17 days after the first sale — ARROWHEAD RESEARCH CORP

The filing says the first sale was Jul 17, 2009. The Form D was filed Aug 3, 2009 — 17 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 2 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.

Sources
Note · Sep 16, 2010 – Sep 30, 2010

No amendment in the last 12 months on an offering that may still be open — ARROWHEAD RESEARCH CORP (latest filing Sep 30, 2010)

The latest filing for this offering is dated Sep 30, 2010 (first sale Sep 16, 2010). It reports $0 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Sources
Note · May 3, 2010 – May 18, 2010

No amendment in the last 12 months on an offering that may still be open — Leonardo Biosystems, Inc. (latest filing May 18, 2010)

The latest filing for this offering is dated May 18, 2010 (first sale May 3, 2010). It reports $1,250,000 sold of $2,500,000 offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Sources
Note · Aug 13, 2009 – Jan 29, 2010

Offering amount changed between filings — ARROWHEAD RESEARCH CORP

The Aug 13, 2009 filing says $2,760,000 offered; the Jan 29, 2010 Form D says $3,222,896.

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.

Sources
Note · Aug 13, 2009 – Jan 29, 2010

Minimum investment changed between filings — ARROWHEAD RESEARCH CORP

The Aug 13, 2009 filing lists a minimum of $25,000; the Jan 29, 2010 Form D lists $10,000.

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

Sources
Note · Aug 3, 2009 – May 16, 2013

Industry group changed between filings — ARROWHEAD RESEARCH CORP

"Other Technology" (Aug 3, 2009 to Sep 30, 2010); then "Biotechnology" (May 16, 2013 to Oct 22, 2013).

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.

Sources
Note · Aug 3, 2009 – May 16, 2013

Reported revenue range changed between filings — ARROWHEAD RESEARCH CORP

"$1,000,001 - $5,000,000" (Aug 3, 2009); then "$1 - $1,000,000" (May 16, 2013).

What this means This is the size band the issuer picks for itself on the form. A change can mean the business grew or shrank — or that it chose not to say. Ask for current numbers.

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

2 of 5 offerings report sales commissions totalling $4,380,000; 0 report finder's fees; 0 report proceeds to related persons.

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Oct 22, 2013 D
ARROWHEAD RESEARCH CORP
File 021-204987
$3,840,000$0$0
Funding of the Company's operations
Jonathan Fassberg BrokerCheck CRD 2445289 ↗
via Trout Capital LLC (CRD 131489 ↗)

Jefferies LLC BrokerCheck CRD 2347 ↗
via Jefferies LLC (CRD 2347 ↗)

Piper Jaffray & Co. BrokerCheck CRD 665 ↗
via Piper Jaffray & Co. (CRD 665 ↗)
EDGAR ↗
May 16, 2013 D
ARROWHEAD RESEARCH CORP
File 021-196583
$540,000$0$0
Funding of the Company's operations
Jonathan Fassberg BrokerCheck CRD 2445289 ↗
via Trout Capital LLC (CRD 131489 ↗)
EDGAR ↗
Sep 30, 2010 D
ARROWHEAD RESEARCH CORP
File 021-148347
$0$0$0
Proceeds from warrant exercise, if any, to be used for general working capital
None listed on this filingEDGAR ↗
May 18, 2010 D
Leonardo Biosystems, Inc.
File 021-142228
$0$0$0None listed on this filingEDGAR ↗
Jan 29, 2010 D
ARROWHEAD RESEARCH CORP
File 021-87940-7D
$0$0$0
Proceeds to be used for general working capital
None 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 Christopher Anzalone on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

Biotechnology

ARROWHEAD RESEARCH CORP

Pasadena, CA · Aug 3, 2009 → Oct 22, 2013 · 6 filings
  • Oct 22, 2013 · D · $64,000,000 sold of $64,000,000 · 11 investors · min. $3,000,000 · role: Executive Officer, Director EDGAR ↗
  • May 16, 2013 · D · $36,000,000 sold of $36,000,000 · 16 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗
  • Sep 30, 2010 · D · $0 sold of Indefinite · 2 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗
  • Jan 29, 2010 · D · $3,222,896 sold of $3,222,896 · 27 investors · min. $10,000 · role: Executive Officer, Director EDGAR ↗
  • Aug 13, 2009 · D/A · $2,760,000 sold of $2,760,000 · 26 investors · min. $25,000 · role: Executive Officer, Director EDGAR ↗
  • Aug 3, 2009 · D · $1,859,250 sold of $2,760,000 · 12 investors · min. $25,000 · role: Executive Officer, Director EDGAR ↗

Raised $64M from 27 investors (100% of the $64M target) as of the latest filing. Christopher is listed as executive officer, director on 6 filings for this deal.

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: Biotechnology / 506(b) (3,253 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 Technology

Leonardo Biosystems, Inc.

Houston, TX · May 18, 2010
  • May 18, 2010 · D · $1,250,000 sold of $2,500,000 · 1 investors · min. $1,250,000 · role: Executive Officer, Director EDGAR ↗

Raised $1.25M from 1 investor (50% of the $2.5M target) as of the latest filing. Christopher is listed as executive officer, director.

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.

People around Christopher 12

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

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

Charles McKenney

Director · 6 shared filings (1 issuer)

Listed on the same filings as Christopher Anzalone. Their page shows their other deals.

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

Edward Frykman

Director · 6 shared filings (1 issuer)

Listed on the same filings as Christopher Anzalone. Their page shows their other deals.

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

Robert Bruce Stewart

Executive Officer, Director · 4 shared filings (1 issuer)

Listed on the same filings as Christopher Anzalone. Their page shows their other deals.

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

Mauro Ferrari

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

Listed on the same filings as Christopher Anzalone. Their page shows their other deals.

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

LeRoy Rahn

Director · 3 shared filings (1 issuer)

Listed on the same filings as Christopher Anzalone. Their page shows their other deals.

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

Bruce Given

Executive Officer · 3 shared filings (2 issuers) · also on 2 other issuers

Listed on the same filings as Christopher Anzalone. Their page shows their other deals.

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

Kenneth A. Myszkowski

Executive Officer · 3 shared filings (1 issuer)

Listed on the same filings as Christopher Anzalone. Their page shows their other deals.

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

Joseph Theodore Kingsley

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Christopher Anzalone. Their page shows their other deals.

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

Michael S. Perry

Director · 2 shared filings (1 issuer)

Listed on the same filings as Christopher Anzalone. Their page shows their other deals.

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

Douglass Given

Director · 2 shared filings (1 issuer)

Listed on the same filings as Christopher Anzalone. Their page shows their other deals.

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

Paul McDonnel

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Christopher Anzalone. Their page shows their other deals.

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

Mark Modzelewski

Director · 1 shared filing (1 issuer)

Listed on the same filings as Christopher Anzalone. Their page shows their other deals.

The team behind the deals

Same business address

7 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 Christopher Anzalone 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 Christopher Anzalone is listed on: none on file. No website or social profile named in ARROWHEAD RESEARCH CORP's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #324,901 of 374,652 in line (1,352 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 (Pasadena, CA). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Change history

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