Christopher Capps is listed as an executive officer, director, and promoter on 14 SEC Form D filings by 11 issuers between Jun 2009 and Aug 2018. Largest by amount reported sold: LIME ENERGY CO. (Huntersville, NC — other energy — 2015; $11.8M reported sold to 1 investors), KDWC Venture Fund, LLC (Chicago, IL — pooled investment fund — 2015; $9.55M reported sold to 15 investors), FPL ENTERPRISES, LLC (Los Angeles, CA — other technology — 2011; $9M reported sold to 3 investors), 5k Fans, LLC (Los Angeles, CA — other technology — 2009–2011; $8M reported sold to 2 investors), HighGround Enterprise Solutions, Inc. (Chicago, IL — other technology — 2016; $8M reported sold to 14 investors) and 6 more (all listed below).
What this means That is a lot of deals — 11 separate companies raised money with this person listed as executive officer, director, and promoter, over about 9 years. Across those companies the filings report $66.6M sold in total.
Listed alongside Brendon Cassidy (4 shared filings), Lon Chow (4 shared filings), Richard P. Kiphart (4 shared filings), Zack Zalon (4 shared filings), Randal Cox (3 shared filings) and 34 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.
1 of the issuers belongs to the sponsor group Kdwc (4 issuers, $62.8M reported sold, 2010–2026).
What this means A sponsor group is one team that sets up a new company for each deal. Kdwc has 4 companies on file and $62.8M 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, 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) — 4 bankruptcy cases matching the name listed in Key records below.
What this means 4 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 14 public filings for Christopher Capps and found 10 differences, 1 worth asking the sponsor about: 7 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.