Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:49 AM ET

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DAVID CATES

Named as an officer, director or promoter on SEC Form D filings · British Columbia, Canada (as filed: A1) · Aug 25, 2016 → Jan 2, 2025

2deals (issuers)

$4.39Mreported sold

127investors

12Form D filings

2016–2025years on file

Follow this person Look further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:37 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

DAVID CATES is listed as a director on 12 SEC Form D filings by 2 issuers between Aug 2016 and Jan 2025: GoviEx Uranium Inc. (Vancouver, British Columbia, Canada (as filed: A1) — industry reported as "Other" — 2020–2024; $3.94M reported sold to 98 investors) and SKYHARBOUR RESOURCES LTD (Vancouver, British Columbia, Canada (as filed: A1) — industry reported as "Other" — 2016–2025; $449K reported sold to 29 investors).

What this means 2 separate companies raised money with this person listed as director, over about 9 years. Across those companies the filings report $4.39M sold in total.

Listed alongside AMANDA B. CHOW (8 shared filings), DONALD C HUSTON (8 shared filings), JAMES G PETTIT (8 shared filings), JORDAN C TRIMBLE (8 shared filings), RICHARD KUSMIRSKI (7 shared filings) and 15 others.

What this means These are the other officers, directors or promoters the companies named on the same forms — the team around DAVID. 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, 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) — 1 court case matching the name, 19 bankruptcy cases matching the name listed in Key records below.

What this means 20 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 12 public filings for DAVID CATES and found 4 differences: Form D filed 18 days after the first sale; Form D filed 43 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.

What the community is saying

Community search for DAVID CATES has not run yet — it is #15,418 of 41,408 in line; searches run around the clock at the hosts' allowed rate. Searched so far: 641 names.

Community comments are quoted as written by their authors. Sources searched: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

1 case: 1 dismissed

DAVID CATES, ET AL. VS MIKE LE v. dismissed

District Court, D. Nevada · No. · Filed Nov 10, 2003 · Closed Jan 5, 2004 · Nature of suit: 890 Other statutory actions

Role of DAVID CATES: Plaintiff · Outcome: Terminated 2004-01-05 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗

same full name (a name found in 64 federal dockets); 2 people with this name in Form D filings; court in NV (not a filing state)

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, 2:37 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: 48 regulators (FINRA, NASAA, 37 states) — crawled Oct 24, 2026, 8:48 AM ET

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 DAVID CATES..

State securities regulators: Securities regulators searched (64,910 actions): FINRA (38,350 actions, 1995–2026), NASAA (31 actions, 2000–2026; listing starts 1997), AK Division of Banking and Securities (273 actions, 1971–2025), AL Securities Commission (880 actions, 2001–2026), AR Securities Department (1,305 actions, 1998–2026), 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), CO Division of Securities (731 actions, 2001–2026; older years from the Internet Archive (snapshot of 2026-05-02)), CT Department of Banking Securities Division (940 actions, 2006–2026; older years from the Internet Archive (snapshot of 2026-04-22)), DC DISB Securities Bureau (25 actions, 2012–2026), DE DOJ Investor Protection Unit (257 actions, 1987–2026), FL Office of Financial Regulation (49 actions, 2018–2026), GA Secretary of State Securities Division (65 actions, 2015–2026; listing starts 2012), HI DCCA Securities Enforcement Branch (26 actions, 2012–2026), ID Department of Finance Securities Bureau (663 actions, 1994–2026), IL Secretary of State Securities Department (4,122 actions, 2003–2023), KS Insurance Department Securities Division (58 actions), KY Department of Financial Institutions (342 actions, 2005–2026), LA Office of Financial Institutions Securities Division (13 actions, 2010–2025; listing starts 2008), MA Secretary of the Commonwealth Securities Division (125 actions, 2012–2025; live site blocks automated access — loaded from the Internet Archive snapshot of 2026-02-04), MD Attorney General Securities Division (1,054 actions, 2004–2026), ME Office of Securities (539 actions, 2000–2026), MI LARA Corporations, Securities & Commercial Licensing Bureau (201 actions), MO Secretary of State Securities Division (919 actions, 1998–2026), MS Secretary of State Securities Division (209 actions, 1995–2026), MT Commissioner of Securities and Insurance (597 actions, 2000–2026), NC Secretary of State Securities Division (265 actions, 2004–2024), ND Securities Department (711 actions, 1990–2026; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2026-01-06), NH Bureau of Securities Regulation (402 actions, 2002–2026), NM Regulation and Licensing Department Securities Division (90 actions, 2010–2025), NV Secretary of State Securities Division (118 actions, 2018–2026), NY Attorney General Investor Protection Bureau (44 actions, 2012–2026), OH Division of Securities (327 actions, 1993–2006), OK Department of Securities (2,531 actions, 1998–2026), OR Division of Financial Regulation (589 actions, 1988–2026), PA Department of Banking and Securities (1,448 actions, 2008–2024; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2024-08-09), RI DBR Securities Division (98 actions, 2005–2025), SC Attorney General Securities Division (540 actions, 2006–2026), SD Division of Insurance – Securities Regulation (106 actions, 2017–2026), TN Department of Commerce and Insurance Securities Division (405 actions, 1992–2026), TX State Securities Board (936 actions, 1999–2026), UT Division of Securities (772 actions, 2000–2026; older years from the Internet Archive (snapshot of 2010-05-27)), VT DFR Securities Division (137 actions, 2010–2026), WA DFI (2,039 actions, 2001–2026), WI DFI Division of Securities (1,072 actions, 1998–2026), WV Securities Commission (State Auditor) (64 actions), WY Secretary of State Compliance Division (6 actions, 2016–2024) — last crawled Oct 24, 2026, 8:48 AM ET. No machine-readable public listing today for IA, IN, MN, NE, NJ, VA (see docs/state-regulators.md).

3. Bankruptcies

19 cases: 19 closed (disposition not in docket feed)

David F Cates closed

United States Bankruptcy Court, E.D. Arkansas · No. 4:18-bk-10415 · Filed Jan 26, 2018 · Closed Jul 19, 2018

Role of David F Cates: Debtor · Outcome: Case closed 2018-07-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 64 federal dockets); 2 people with this name in Form D filings; court in AR (not a filing state)

David A. Cates and Linda A. Cates closed

United States Bankruptcy Court, E.D. California · No. 11-15025 · Filed Apr 29, 2011 · Closed Nov 8, 2016

Role of David A. Cates and Linda A. Cates: Debtor · Outcome: Case closed 2016-11-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 64 federal dockets); 2 people with this name in Form D filings; court in CA (not a filing state)

DAVID CATES and MICHELLE CATES closed

United States Bankruptcy Court, D. Nevada · No. 10-33843 · Filed Dec 26, 2010 · Closed Apr 8, 2011

Role of DAVID CATES and MICHELLE CATES: Debtor · Outcome: Case closed 2011-04-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 64 federal dockets); 2 people with this name in Form D filings; court in NV (not a filing state)

David L Cates and Michele C Cates closed

United States Bankruptcy Court, W.D. Washington · No. 08-42126 · Filed May 9, 2008 · Closed Dec 2, 2011

Role of David L Cates and Michele C Cates: Debtor · Outcome: Case closed 2011-12-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 64 federal dockets); 2 people with this name in Form D filings; court in WA (not a filing state)

David A. Cates, Jr. closed

United States Bankruptcy Court, E.D. Oklahoma · No. 06-80997 · Filed Dec 5, 2006 · Closed Mar 15, 2007

Role of David A. Cates, Jr.: Debtor · Outcome: Case closed 2007-03-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 64 federal dockets); 2 people with this name in Form D filings; court in OK (not a filing state)

DAVID B CATES and FAYE A CATES closed

United States Bankruptcy Court, E.D. Washington · No. 04-02754 · Filed Apr 6, 2004 · Closed Jul 12, 2007

Role of DAVID B CATES and FAYE A CATES: Debtor · Outcome: Case closed 2007-07-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 64 federal dockets); 2 people with this name in Form D filings; court in WA (not a filing state)

David E. Cates and Nicole A. Cates closed

United States Bankruptcy Court, S.D. Illinois · No. 03-33242 · Filed Aug 8, 2003 · Closed Nov 10, 2003

Role of David E. Cates and Nicole A. Cates: Debtor · Outcome: Case closed 2003-11-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 64 federal dockets); 2 people with this name in Form D filings; court in IL (not a filing state)

David E. Cates and Shirley J. Cates closed

United States Bankruptcy Court, E.D. Arkansas · No. 3:02-bk-23948 · Filed Dec 4, 2002 · Closed Mar 17, 2003

Role of David E. Cates and Shirley J. Cates: Debtor · Outcome: Case closed 2003-03-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 64 federal dockets); 2 people with this name in Form D filings; court in AR (not a filing state)

David E. Cates closed

United States Bankruptcy Court, S.D. Illinois · No. 01-33801 · Filed Oct 25, 2001 · Closed Feb 4, 2002

Role of David E. Cates: Debtor · Outcome: Case closed 2002-02-04 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 64 federal dockets); 2 people with this name in Form D filings; court in IL (not a filing state)

David R. Cates closed

United States Bankruptcy Court, E.D. Wisconsin · No. 01-24926 · Filed Apr 27, 2001 · Closed Oct 7, 2004

Role of David R. Cates: Debtor · Outcome: Case closed 2004-10-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 64 federal dockets); 2 people with this name in Form D filings; court in WI (not a filing state)

David D. Cates and Karrie J. Cates closed

United States Bankruptcy Court, E.D. Texas · No. 00-50257 · Filed Jan 31, 2000 · Closed Apr 2, 2002

Role of David D. Cates and Karrie J. Cates: Debtor · Outcome: Case closed 2002-04-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 64 federal dockets); 2 people with this name in Form D filings; court in TX (not a filing state)

David Cates and Jacqueline R Cates closed

United States Bankruptcy Court, S.D. Ohio · No. 3:99-bk-36598 · Filed Dec 28, 1999 · Closed May 1, 2000

Role of David Cates and Jacqueline R Cates: Debtor · Outcome: Case closed 2000-05-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 64 federal dockets); 2 people with this name in Form D filings; court in OH (not a filing state)

David D. Cates and Karrie J. Cates closed

United States Bankruptcy Court, E.D. Texas · No. 99-50294 · Filed Jan 28, 1999 · Closed Jan 28, 2000

Role of David D. Cates and Karrie J. Cates: Debtor · Outcome: Case closed 2000-01-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 64 federal dockets); 2 people with this name in Form D filings; court in TX (not a filing state)

David L. Cates closed

United States Bankruptcy Court, W.D. Kentucky · No. 96-32113 · Filed May 10, 1996 · Closed Sep 18, 1996

Role of David L. Cates: Debtor · Outcome: Case closed 1996-09-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 64 federal dockets); 2 people with this name in Form D filings; court in KY (not a filing state)

David C. Cates closed

United States Bankruptcy Court, S.D. Illinois · No. 90-31054 · Filed Nov 26, 1990 · Closed Jul 18, 1991

Role of David C. Cates: Debtor · Outcome: Case closed 1991-07-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 64 federal dockets); 2 people with this name in Form D filings; court in IL (not a filing state)

David E. Cates closed

United States Bankruptcy Court, S.D. Illinois · No. 90-30654 · Filed Jul 30, 1990 · Closed Dec 5, 1990

Role of David E. Cates: Debtor · Outcome: Case closed 1990-12-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 64 federal dockets); 2 people with this name in Form D filings; court in IL (not a filing state)

DAVID B CATES and FAYE CATES closed

United States Bankruptcy Court, E.D. Washington · No. 89-03533 · Filed Nov 9, 1989 · Closed Apr 3, 1990

Role of DAVID B CATES and FAYE CATES: Debtor · Outcome: Case closed 1990-04-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 64 federal dockets); 2 people with this name in Form D filings; court in WA (not a filing state)

Kimberly A. Cates and David Cates closed

United States Bankruptcy Court, W.D. Arkansas · No. 2:89-bk-12083 · Filed Mar 13, 1989 · Closed Jul 27, 1989

Role of David Cates: Debtor · Outcome: Case closed 1989-07-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 64 federal dockets); 2 people with this name in Form D filings; court in AR (not a filing state)

David R. Cates and Cheryl A. Cates closed

United States Bankruptcy Court, M.D. Florida · No. 6:86-bk-01403 · Filed Jul 16, 1986 · Closed Mar 27, 1987

Role of David R. Cates and Cheryl A. Cates: Debtor · Outcome: Case closed 1987-03-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 64 federal dockets); 2 people with this name in Form D filings; 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, 2:37 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.

4. Differences between public sources

Comparisons cover issuers and sponsor groups — see the issuer pages under Deals

4 differences found between the filings for DAVID CATES (compared 12 filings on Oct 24, 2026)

Note · Nov 29, 2019 – Dec 17, 2019

Form D filed 18 days after the first sale — SKYHARBOUR RESOURCES LTD

The filing says the first sale was Nov 29, 2019. The Form D was filed Dec 17, 2019 — 18 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 3 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.

Form D · Dec 17, 2019 ↗SKYHARBOUR RESOURCES LTD — PartnerFacts page ↗

Sources

Form D · Dec 17, 2019 ↗ (Dec 17, 2019)
SKYHARBOUR RESOURCES LTD — PartnerFacts page ↗ (Jan 2, 2025)

Note · Aug 2, 2018 – Sep 14, 2018

Form D filed 43 days after the first sale — SKYHARBOUR RESOURCES LTD

The filing says the first sale was Aug 2, 2018. The Form D was filed Sep 14, 2018 — 43 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 28 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.

Form D · Sep 14, 2018 ↗SKYHARBOUR RESOURCES LTD — PartnerFacts page ↗

Sources

Form D · Sep 14, 2018 ↗ (Sep 14, 2018)
SKYHARBOUR RESOURCES LTD — PartnerFacts page ↗ (Jan 2, 2025)

Note · Mar 2, 2015 – Jan 2, 2025

10 offerings have no amendment in the last 12 months and may still be open

No amendment in the last 12 months on an offering that may still be open — SKYHARBOUR RESOURCES LTD (latest filing Jan 2, 2025) · No amendment in the last 12 months on an offering that may still be open — GoviEx Uranium Inc. (latest filing Jan 2, 2024) · No amendment in the last 12 months on an offering that may still be open — GoviEx Uranium Inc. (latest filing May 22, 2023) · No amendment in the last 12 months on an offering that may still be open — GoviEx Uranium Inc. (latest filing Aug 13, 2020) · No amendment in the last 12 months on an offering that may still be open — SKYHARBOUR RESOURCES LTD (latest filing May 14, 2020) · and 5 more

What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.

Form D · Jan 2, 2025 ↗SKYHARBOUR RESOURCES LTD — PartnerFacts page ↗Form D · Jan 2, 2024 ↗GoviEx Uranium Inc. — PartnerFacts page ↗

Sources

Form D · Jan 2, 2025 ↗ (Jan 2, 2025)
SKYHARBOUR RESOURCES LTD — PartnerFacts page ↗ (Jan 2, 2025)
Form D · Jan 2, 2024 ↗ (Jan 2, 2024)
GoviEx Uranium Inc. — PartnerFacts page ↗ (May 8, 2025)
Form D · May 22, 2023 ↗ (May 22, 2023)
Form D · Aug 13, 2020 ↗ (Aug 13, 2020)
Form D · May 14, 2020 ↗ (May 14, 2020)
Form D · Dec 17, 2019 ↗ (Dec 17, 2019)

Note · Jun 27, 2013 – Jun 12, 2018

Same name, different state: "David Cates" (A6) is a separate record

This page covers filings where the address state is A1. A separate record, "David Cates" with address state A6, is listed on 3 filings — most recently by Uranium Participation Corp (Jun 12, 2018). Both records have filings in the same period (Aug 25, 2016 to Jun 12, 2018).

What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.

David Cates (A6) — PartnerFacts page ↗Form D · Jun 12, 2018 ↗Uranium Participation Corp — PartnerFacts page ↗DAVID CATES (A1) — this page ↗

Sources

David Cates (A6) — PartnerFacts page ↗ (Jun 12, 2018)
Form D · Jun 12, 2018 ↗ (Jun 12, 2018)
Uranium Participation Corp — PartnerFacts page ↗ (Jun 12, 2018)
DAVID CATES (A1) — this page ↗ (Jan 2, 2025)

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 11 offerings report sales commissions totalling $171,777; 3 report finder's fees totalling $7,516; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)

Offering (latest filing)	Sales commissions	Finder's fees	To insiders	Paid to sell it	Source
Jan 2, 2025 D SKYHARBOUR RESOURCES LTD File 021-534010	$0	$0	$0	None listed on this filing	EDGAR ↗
Jan 2, 2024 D GoviEx Uranium Inc. File 021-501235	$0	$0	$0	None listed on this filing	EDGAR ↗
May 22, 2023 D GoviEx Uranium Inc. File 021-482267	$136,693	$0	$0	VIII Capital Corp. BrokerCheck CRD 39759 ↗ Sprott Global Resource Investments Ltd. BrokerCheck CRD 35878 ↗	EDGAR ↗
Nov 7, 2022 D GoviEx Uranium Inc. File 021-464035	$35,084	$0	$0	Sprott Global Resource Investments Ltd. BrokerCheck CRD 35878 ↗	EDGAR ↗
Aug 13, 2020 D GoviEx Uranium Inc. File 021-373188	$0	$0	$0	None listed on this filing	EDGAR ↗
May 14, 2020 D SKYHARBOUR RESOURCES LTD File 021-366961	$0	$3,391 (est.)	$0	Canaccord Genuity Corp no CRD number reported via Canacco Genuity Wealth Management (USA) Inc. (CRD 7449 ↗)	EDGAR ↗
Dec 17, 2019 D SKYHARBOUR RESOURCES LTD File 021-355688	$0	$452 (est.)	$0	CANNACORD GENUITY CORP no CRD number reported via CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC. (CRD 7449 ↗)	EDGAR ↗
Sep 14, 2018 D SKYHARBOUR RESOURCES LTD File 021-321411	$0	$3,673	$0	CANNACORD GENUITY CORP no CRD number reported via CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC. (CRD 7449 ↗)	EDGAR ↗
Aug 24, 2018 D/A SKYHARBOUR RESOURCES LTD File 021-237454	$0	$0	$0	None listed on this filing	EDGAR ↗
May 2, 2017 D SKYHARBOUR RESOURCES LTD File 021-285878	$0	$0	$0	None listed on this filing	EDGAR ↗
Aug 25, 2016 D SKYHARBOUR RESOURCES LTD File 021-269513	$0	$0	$0	None listed on this filing	EDGAR ↗

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 David Cates on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

Other

SKYHARBOUR RESOURCES LTD

Vancouver, British Columbia, Canada (as filed: A1) · Aug 25, 2016 → Jan 2, 2025 · 8 filings

Jan 2, 2025 · D · $350,000 sold of $587,500 · 1 investors · min. No minimum reported · role: Director EDGAR ↗
May 14, 2020 · D · $266,200 sold of $653,400 · 5 investors · min. No minimum reported · role: Director EDGAR ↗
Dec 17, 2019 · D · $293,424 sold of $721,874 · 10 investors · min. No minimum reported · role: Director EDGAR ↗
Sep 14, 2018 · D · $449,243 sold of $1,115,862 · 21 investors · min. No minimum reported · role: Director EDGAR ↗
Aug 24, 2018 · D/A · $427,361 sold of $716,872 · 29 investors · min. No minimum reported · role: Director EDGAR ↗
Jun 27, 2017 · D/A · $286,749 sold of $716,872 · 29 investors · min. No minimum reported · role: Director EDGAR ↗
May 2, 2017 · D · $59,786 sold of $104,586 · 6 investors · min. No minimum reported · role: Director EDGAR ↗
Aug 25, 2016 · D · $328,505 sold of $919,814 · 23 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $449K from 29 investors (76% of the $588K target) as of the latest filing. David is listed as director on 8 filings for this deal.

Latest filing on EDGAR ↗

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: Other / 506(b) (18,678 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

GoviEx Uranium Inc.

Vancouver, British Columbia, Canada (as filed: A1) · Aug 13, 2020 → Jan 2, 2024 · 4 filings

Jan 2, 2024 · D · $1,025,796 sold of $2,385,796 · 1 investors · min. No minimum reported · role: Director EDGAR ↗
May 22, 2023 · D · $2,310,681 sold of $5,691,731 · 2 investors · min. No minimum reported · role: Director EDGAR ↗
Nov 7, 2022 · D · $1,020,780 sold of $1,020,780 · 18 investors · min. No minimum reported · role: Director EDGAR ↗
Aug 13, 2020 · D · $128,475 sold of $312,623 · 3 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $3.94M from 98 investors (100% of the $2.39M target) as of the latest filing. David is listed as director on 4 filings for this deal.

Latest filing on EDGAR ↗

Sources

Other pages with the same name (1)

Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.

David Cates — Ontario, Canada (as filed: A6), 2 issuers, Jun 27, 2013 → Jun 12, 2018 · no shared issuer

People around David 20

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

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

Person

JAMES G PETTIT

Executive Officer, Director · 8 shared filings (1 issuer) · also on 8 other issuers

JAMES G PETTIT is on 9 issuers in total — a repeat sponsor. Their page lists every one.

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

Person

DONALD C HUSTON

Director, Executive Officer · 8 shared filings (1 issuer) · also on 5 other issuers

DONALD C HUSTON is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

Person

AMANDA B. CHOW

Director · 8 shared filings (1 issuer) · also on 4 other issuers

AMANDA B. CHOW is on 5 issuers in total — a repeat sponsor. Their page lists every one.

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

Person

JORDAN C TRIMBLE

Executive Officer, Director · 8 shared filings (1 issuer)

Listed on the same filings as David Cates. Their page shows their other deals.

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

Person

RICHARD KUSMIRSKI

Executive Officer, Director · 7 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as David Cates. Their page shows their other deals.

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

Person

Govind Friedland

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

Listed on the same filings as David Cates. Their page shows their other deals.

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

Person

Daniel Major

Executive Officer, Director · 4 shared filings (1 issuer) · also on 3 other issuers

Listed on the same filings as David Cates. Their page shows their other deals.

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

Person

Lei Wang

Executive Officer · 4 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as David Cates. Their page shows their other deals.

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

Person

Christopher Wallace

Director · 4 shared filings (1 issuer)

Listed on the same filings as David Cates. Their page shows their other deals.

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

Person

Rodrigo Romo

Executive Officer · 3 shared filings (1 issuer)

Listed on the same filings as David Cates. Their page shows their other deals.

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

Person

Benoit LaSalle

Director · 3 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as David Cates. Their page shows their other deals.

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

Person

Eric Krafft

Director · 3 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as David Cates. Their page shows their other deals.

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

Person

Salma Seetaroo

Director · 3 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as David Cates. Their page shows their other deals.

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

Person

JOSEPH GALLUCCI

Director · 2 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as David Cates. Their page shows their other deals.

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

Person

Matthew Lechtzier

Director · 1 shared filing (1 issuer) · also on 2 other issuers

Listed on the same filings as David Cates. Their page shows their other deals.

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

Person

Benoit La Salle

Director · 1 shared filing (1 issuer) · also on 3 other issuers

Listed on the same filings as David Cates. Their page shows their other deals.

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

Person

Kelly Pladson

Executive Officer · 1 shared filing (1 issuer) · also on 14 other issuers

Kelly Pladson is on 15 issuers in total — a repeat sponsor. Their page lists every one.

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

Person

Robert Hanson

Director · 1 shared filing (1 issuer)

Listed on the same filings as David Cates. Their page shows their other deals.

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

Person

BRADY RAK

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as David Cates. Their page shows their other deals.

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

Person

ANDREW J RAMCHARAN

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as David Cates. Their page shows their other deals.

The team behind the deals

Same business address

8 other issuers file from the same address

Aztec Minerals Corp. Vancouver, A1 · 2017
Excalibur Metals Corp. Vancouver, A1 · 2025
Century Lithium Corp. Vancouver, A1 · 2010
Nevada Lithium Resources Inc. Vancouver, A1 · 2021
1396483 B.C. Ltd Vancouver, A1 · 2023
1284670 BC Ltd. Vancouver, A1 · 2022
Lodge Resources Inc. Vancouver, A1 · 2020
Redhawk Resources, Inc. Vancouver, A1 · 2010

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

Business registration (state registry / Secretary of State)

Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file).

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 DAVID CATES 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 David Cates is listed on: none on file. No website or social profile named in SKYHARBOUR RESOURCES LTD's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #81,481 of 374,652 in line (1,386 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 (Vancouver, A1). Each opens in a new tab; what you find there is not verified by PartnerFacts.

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DAVID CATES

The short version

What the community is saying

Key records

1. Lawsuits

2. Regulatory actions

3. Bankruptcies

4. Differences between public sources

Form D filed 18 days after the first sale — SKYHARBOUR RESOURCES LTD

Form D filed 43 days after the first sale — SKYHARBOUR RESOURCES LTD

10 offerings have no amendment in the last 12 months and may still be open

Same name, different state: "David Cates" (A6) is a separate record

5. Money to insiders

Deals 2

People around David 20

The team behind the deals

8 other issuers file from the same address

Registrations and other filings

Business registration (state registry / Secretary of State)

Adviser registration (Form ADV)

Other offering types (Regulation A and Regulation Crowdfunding)

Public profiles and social

Look further

Social and web

Courts

Securities regulators

Business registries

Change history

Request a correction

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Monitor this person