Dave Broe is listed as an executive officer and director on 3 SEC Form D filings by 1 issuer between Dec 2017 and Sep 2025: Overhaul Group, Inc. (Austin, TX — other technology — 2017–2025; $105.1M reported sold to 28 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 Barry Conlon (3 shared filings), John Prosser (3 shared filings), Christopher Dederick (2 shared filings), Jim Preuninger (2 shared filings), Ryan Ziegler (2 shared filings) and 10 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Dave. 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) — 8 court cases matching the name, 1 bankruptcy case matching the name listed in Key records below.
What this means 9 records came back, including 1 court case still open — open cases can take years and cost money. 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 Dave Broe and found 2 differences: Form D filed 24 days after the first sale; Dave Broe's role changed at Overhaul Group, Inc.: director → executive officer, director.
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.