Dan Cummings is listed as a director on 3 SEC Form D filings by 3 issuers between Dec 2016 and Oct 2017: BLUE DIAMOND GROWERS (Sacramento, CA — industry reported as "Other" — 2017; $50M reported sold to 3 investors), OAK-Mosser REIT, Inc. (San Francisco, CA — reits and finance — 2016; $123K reported sold to 123 investors) and OAK-Mosser REIT II, Inc. (San Francisco, CA — reits and finance — 2017; $27K reported sold to 27 investors).
What this means A repeat sponsor — 3 separate companies raised money with this person listed as director. Across those companies the filings report $50.1M sold in total.
Listed alongside Jim Farris (2 shared filings), Neveo Mosser (2 shared filings), Charles Crivelli III (1 shared filing), Dale Van Groningen (1 shared filing), Dean LaVallee (1 shared filing) and 9 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Dan. Each name links to their own page.
2 of the issuers belong to the sponsor group Oak Mosser (7 issuers, $2.13M reported sold, 2015–2022).
What this means A sponsor group is one team that sets up a new company for each deal. Oak Mosser has 7 companies on file and $2.13M 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) — 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 3 public filings for Dan Cummings and found 5 differences: Dan Cummings appears on 1 deal that stopped filing before reaching its target; No amendment in the last 12 months on an offering that may still be open; 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.