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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 Baker

Named as an officer, director or promoter on SEC Form D filings · CA · Dec 20, 2010 → Oct 25, 2024

4deals (issuers)
$19.2Mreported sold
6investors
6Form D filings
2010–2024years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:22 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

David Baker is listed as an executive officer, director, and promoter on 6 SEC Form D filings by 4 issuers between Dec 2010 and Oct 2024: GRI BIO, Inc. (La Jolla, CA — biotechnology — 2023–2024; $15.6M reported sold to 3 investors), SENSORY NEUROSTIMULATION, INC. (San Clemente, CA — other health care — 2014; $3M reported sold to 1 investors), Union Village LLC (Henderson, NV — other real estate — 2010–2017; $600K reported sold to 2 investors) and Kijani Forestry, PBC (San Diego, CA — industry reported as "Other" — 2019).

What this means A repeat sponsor — 4 separate companies raised money with this person listed as executive officer, director, and promoter, over about 14 years. Across those companies the filings report $19.2M sold in total.

Listed alongside CAMILLA SIMPSON (2 shared filings), David Szekeres (2 shared filings), Gary Holland (2 shared filings), Leanne Kelly (2 shared filings), Roelof Rongen (2 shared filings) and 12 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.

The issuers belong to 2 sponsor groups: Mariposa (3 issuers, $5.73M reported sold, 2009–2015) and Gri Bio (2 issuers, $16.3M reported sold, 2015–2024).

What this means This person is listed across more than one sponsor team; each group page shows that team's full track record.

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 SEC release, 3 state regulator orders, 16 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 6 public filings for David Baker and found 13 differences, 3 worth asking the sponsor about: Regulator action naming a team member: Michael Andre Jones (May 1, 2017); Regulator action naming a team member: Michael Andre Jones (Apr 27, 2017); 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 Baker has not run yet — it is joining a line of 41,639 names; 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

None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026

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, 2:22 AM ET.

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

1 SEC release; 3 state regulator orders

Consent Order WA · Washington State Department of Financial Institutions, Securities Division (DFI)
Order date Feb 9, 2021 · Regulator: Washington State Department of Financial Institutions, Securities Division (DFI) · S-19-2645-20-CO01 · Parties (regulator's caption): Baker & Associates, LLC; David Baker · Order entered with/against: Baker & Associates, LLC (CRD 305284) and David Baker (CRD 809683)
As listed by the regulator: On February 9, 2021, the Securities Division entered into a consent order (“Consent Order”) with Baker & Associates, LLC (CRD 305284) and David Baker (CRD 809683) (collectively, “Respondents”). The Securities Division previously entered a Statement of Charges and Notice of Intent to Enter an Order to Cease and Desist, Impose Fines, and Charge Costs against Respondents. … Respondents modified their website and agreed to cease and desist from any further violations of RCW 21.20.040(4). Respondents agreed to pay a fine and costs. The fine and costs were reduced due to their financial condition. Order / docket ↗ Regulator's list ↗
same full name in the order; 15 people with this name in Form D filings; regulator in WA (not a filing state)
Statement of Charges WA · Washington State Department of Financial Institutions, Securities Division (DFI)
Order date Jul 23, 2020 · Regulator: Washington State Department of Financial Institutions, Securities Division (DFI) · S-19-2645-20-SC01 · Parties (regulator's caption): Baker & Associates, LLC, David Baker · Order entered with/against: Baker & Associates, LLC (CRD 305284) and David Baker (CRD 809683)
As listed by the regulator: On July 23, 2020, the Securities Division entered a Statement of Charges against respondents Baker & Associates, LLC (CRD 305284) and David Baker (CRD 809683) (“Respondents”). … The Securities Division intends to order Respondents to cease and desist from violating the Securities Act of Washington, to impose an administrative fine, and to charge investigative costs. Order / docket ↗ Regulator's list ↗
same full name in the order; 15 people with this name in Form D filings; regulator in WA (not a filing state)
Initial Decision and Final Order CO · Colorado Department of Regulatory Agencies, Division of Securities
Order date Apr 20, 2012 · Regulator: Colorado Department of Regulatory Agencies, Division of Securities · Parties (regulator's caption): David E. Baker LLP, David E. Baker Entertainment Inc., and David E. Baker
Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗
same full name in the order; 15 people with this name in Form D filings; regulator in CO (not a filing state)
David Harrison Baker Administrative proceeding
SEC · Feb 4, 2010 · Parties as named in the release: David Harrison Baker Read the release ↗
person name, state; common name
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 Baker..

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

16 cases: 16 closed (disposition not in docket feed)

David L. Baker closed
United States Bankruptcy Court, S.D. California · No. 17-02518 · Filed Apr 28, 2017 · Closed Aug 7, 2017
Role of David L. Baker: Debtor · Outcome: Case closed 2017-08-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1006 federal dockets); 15 people with this name in Form D filings; court in the person's filing state (CA)
David E. Baker closed
United States Bankruptcy Court, C.D. California · No. 9:16-bk-10707 · Filed Apr 14, 2016 · Closed Jul 26, 2016
Role of David E. Baker: Debtor · Outcome: Case closed 2016-07-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1006 federal dockets); 15 people with this name in Form D filings; court in the person's filing state (CA)
David T. Baker closed
United States Bankruptcy Court, N.D. California · No. 14-52938 · Filed Jul 9, 2014 · Closed Oct 9, 2014
Role of David T. Baker: Debtor · Outcome: Case closed 2014-10-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1006 federal dockets); 15 people with this name in Form D filings; court in the person's filing state (CA)
David M. Baker and Vannessa Z. Baker closed
United States Bankruptcy Court, E.D. California · No. 12-92406 · Filed Sep 5, 2012 · Closed Dec 7, 2012
Role of David M. Baker and Vannessa Z. Baker: Debtor · Outcome: Case closed 2012-12-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1006 federal dockets); 15 people with this name in Form D filings; court in the person's filing state (CA)
David A Baker closed
United States Bankruptcy Court, C.D. California · No. 2:11-bk-24513 · Filed Apr 4, 2011 · Closed Sep 27, 2011
Role of David A Baker: Debtor · Outcome: Case closed 2011-09-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1006 federal dockets); 15 people with this name in Form D filings; court in the person's filing state (CA)
David A Baker and Sarah F Baker closed
United States Bankruptcy Court, N.D. California · No. 10-11301 · Filed Apr 10, 2010 · Closed Jan 28, 2011
Role of David A Baker and Sarah F Baker: Debtor · Outcome: Case closed 2011-01-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1006 federal dockets); 15 people with this name in Form D filings; court in the person's filing state (CA)
David K. Baker closed
United States Bankruptcy Court, E.D. California · No. 09-19696 · Filed Oct 8, 2009 · Closed Jan 22, 2010
Role of David K. Baker: Debtor · Outcome: Case closed 2010-01-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1006 federal dockets); 15 people with this name in Form D filings; court in the person's filing state (CA)
David L. Baker and Stephanie L. Baker closed
United States Bankruptcy Court, E.D. California · No. 09-38869 · Filed Sep 2, 2009 · Closed Dec 28, 2009
Role of David L. Baker and Stephanie L. Baker: Debtor · Outcome: Case closed 2009-12-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1006 federal dockets); 15 people with this name in Form D filings; court in the person's filing state (CA)
David W Baker and Jacquelyn M Baker closed
United States Bankruptcy Court, C.D. California · No. 6:09-bk-28282 · Filed Aug 10, 2009 · Closed Jan 21, 2010
Role of David W Baker and Jacquelyn M Baker: Debtor · Outcome: Case closed 2010-01-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1006 federal dockets); 15 people with this name in Form D filings; court in the person's filing state (CA)
David H. Baker and Patricia M. Baker closed
United States Bankruptcy Court, E.D. California · No. 09-25531 · Filed Mar 27, 2009 · Closed Jul 17, 2009
Role of David H. Baker and Patricia M. Baker: Debtor · Outcome: Case closed 2009-07-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1006 federal dockets); 15 people with this name in Form D filings; court in the person's filing state (CA)
David H. Baker and Paulette G. Baker closed
United States Bankruptcy Court, E.D. California · No. 08-34824 · Filed Oct 15, 2008 · Closed Feb 26, 2010
Role of David H. Baker and Paulette G. Baker: Debtor · Outcome: Case closed 2010-02-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1006 federal dockets); 15 people with this name in Form D filings; court in the person's filing state (CA)
David H. Baker and Marlene J. Baker closed
United States Bankruptcy Court, E.D. California · No. 08-30964 · Filed Aug 7, 2008 · Closed Dec 5, 2008
Role of David H. Baker and Marlene J. Baker: Debtor · Outcome: Case closed 2008-12-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1006 federal dockets); 15 people with this name in Form D filings; court in the person's filing state (CA)
David W. Baker and Christina L. Baker closed
United States Bankruptcy Court, E.D. California · No. 07-20220 · Filed Jan 11, 2007 · Closed May 31, 2007
Role of David W. Baker and Christina L. Baker: Debtor · Outcome: Case closed 2007-05-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1006 federal dockets); 15 people with this name in Form D filings; court in the person's filing state (CA)
David Baker closed
United States Bankruptcy Court, E.D. California · No. 05-20015 · Filed Jan 3, 2005 · Closed Apr 15, 2005
Role of David Baker: Debtor · Outcome: Case closed 2005-04-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1006 federal dockets); 15 people with this name in Form D filings; court in the person's filing state (CA)
David T. Baker and Leann D. Baker closed
United States Bankruptcy Court, N.D. California · No. 04-54960 · Filed Aug 9, 2004 · Closed Nov 2, 2004
Role of David T. Baker and Leann D. Baker: Debtor · Outcome: Case closed 2004-11-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1006 federal dockets); 15 people with this name in Form D filings; court in the person's filing state (CA)
David F Baker closed
United States Bankruptcy Court, S.D. California · No. 04-04349 · Filed May 12, 2004 · Closed Aug 20, 2004
Role of David F Baker: Debtor · Outcome: Case closed 2004-08-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1006 federal dockets); 15 people with this name in Form D filings; court in the person's filing state (CA)
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, 2:22 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

13 differences found between the filings for David Baker — 3 worth asking about (compared 6 filings on Oct 24, 2026)

Worth asking · May 1, 2017

Regulator action naming a team member: Michael Andre Jones (May 1, 2017)

A ap release dated May 1, 2017 names Michael Jones (listed on the same filings). Our match estimate: 70%. The release is the source; we do not summarize its outcome here.

What this means A regulator filed or announced an action naming this person or company (or someone on the same filings). Read the release; ask the sponsor what it was and how it ended.

Michael Andre Jones ↗Michael Jones — PartnerFacts page ↗
Sources
Worth asking · Apr 27, 2017

Regulator action naming a team member: Michael Andre Jones (Apr 27, 2017)

An SEC litigation release dated Apr 27, 2017 names Michael Jones (listed on the same filings). Our match estimate: 70%. The release is the source; we do not summarize its outcome here.

What this means A regulator filed or announced an action naming this person or company (or someone on the same filings). Read the release; ask the sponsor what it was and how it ended.

Michael Andre Jones ↗Michael Jones — PartnerFacts page ↗
Sources
Worth asking · Feb 4, 2010

Regulator action: David Harrison Baker (Feb 4, 2010)

A ap release dated Feb 4, 2010 names David Baker. Our match estimate: 70%. The release is the source; we do not summarize its outcome here.

What this means A regulator filed or announced an action naming this person or company (or someone on the same filings). Read the release; ask the sponsor what it was and how it ended.

David Harrison Baker ↗
Sources
Note · Sep 12, 2017 – Mar 28, 2019

David Baker appears on 2 deals that stopped filing before reaching their target

Kijani Forestry, PBC (last filing Mar 28, 2019; $0 sold of $600,000); Union Village LLC (last filing Sep 12, 2017; $600,000 sold of $10,000,000). Each has no filing in more than two years and reported under half its target sold.

What this means An issuer whose last filing is more than two years old and reported under half its target sold. The raise may have closed early or quietly stopped. Ask what happened to each.

Kijani Forestry, PBC — PartnerFacts page ↗Union Village LLC — PartnerFacts page ↗
Sources
Note · Feb 26, 2014 – Oct 21, 2014

No amendment in the last 12 months on an offering that may still be open — SENSORY NEUROSTIMULATION, INC. (latest filing Oct 21, 2014)

The latest filing for this offering is dated Oct 21, 2014 (first sale Feb 26, 2014). It reports $1,500,000 sold of $1,900,000 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.

Form D/A · Oct 21, 2014 ↗SENSORY NEUROSTIMULATION, INC. — PartnerFacts page ↗
Sources
Note · Dec 7, 2010 – Dec 20, 2010

No amendment in the last 12 months on an offering that may still be open — Union Village LLC (latest filing Dec 20, 2010)

The latest filing for this offering is dated Dec 20, 2010 (first sale Dec 7, 2010). It reports $600,000 sold of $10,000,000 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.

Form D · Dec 20, 2010 ↗Union Village LLC — PartnerFacts page ↗
Sources
Note · Dec 20, 2010 – Sep 12, 2017

Industry group changed between filings — Union Village LLC

"Commercial" (Dec 20, 2010); then "Other Real Estate" (Sep 12, 2017).

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.

Form D · Dec 20, 2010 ↗Form D · Sep 12, 2017 ↗Union Village LLC — PartnerFacts page ↗
Sources
Note · Jun 2, 2011 – Nov 14, 2025

Same name, different state: "David Baker" (A1) is a separate record

This page covers filings where the address state is CA. A separate record, "David Baker" with address state A1, is listed on 15 filings — most recently by Defense Metals Corp. (Nov 14, 2025). Both records have filings in the same period (Jun 2, 2011 to Oct 25, 2024).

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 Baker (A1) — PartnerFacts page ↗Form D · Nov 14, 2025 ↗Defense Metals Corp. — PartnerFacts page ↗David Baker (CA) — this page ↗
Sources
Note · Aug 28, 2009 – Apr 1, 2013

Same name, different state: "David A Baker, PhD" (WI) is a separate record

This page covers filings where the address state is CA. A separate record, "David A Baker, PhD" with address state WI, is listed on 4 filings — most recently by Promentis Pharmaceuticals, Inc. (Jan 15, 2014). Both records have filings in the same period (Dec 20, 2010 to Apr 1, 2013).

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 A Baker, PhD (WI) — PartnerFacts page ↗Form D · Jan 15, 2014 ↗Promentis Pharmaceuticals, Inc. — PartnerFacts page ↗David Baker (CA) — this page ↗
Sources
Note · Apr 9, 2010 – Nov 13, 2012

Same name, different state: "David Baker" (OR) is a separate record

This page covers filings where the address state is CA. A separate record, "David Baker" with address state OR, is listed on 6 filings — most recently by XZERES Corp. (Nov 13, 2012). Both records have filings in the same period (Dec 20, 2010 to Nov 13, 2012).

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 Baker (OR) — PartnerFacts page ↗Form D · Nov 13, 2012 ↗XZERES Corp. — PartnerFacts page ↗David Baker (CA) — this page ↗
Sources
Note · Aug 17, 2009

Same name, different state: "David H Baker" (FL) is a separate record

This page covers filings where the address state is CA. A separate record, "David H Baker" with address state FL, is listed on 1 filing — most recently by GRAND BANKSHARES INC (Aug 17, 2009). The two records do not overlap in time: this page runs Dec 20, 2010 to Oct 25, 2024; the other has one filing dated Aug 17, 2009.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

David H Baker (FL) — PartnerFacts page ↗Form D · Aug 17, 2009 ↗GRAND BANKSHARES INC — PartnerFacts page ↗David Baker (CA) — this page ↗
Sources
Note · Jun 9, 2009

Same name, different state: "David Baker" (CO) is a separate record

This page covers filings where the address state is CA. A separate record, "David Baker" with address state CO, is listed on 1 filing — most recently by IMERICA ADMINISTRATIVE SERVICES CORP (Jun 9, 2009). The two records do not overlap in time: this page runs Dec 20, 2010 to Oct 25, 2024; the other has one filing dated Jun 9, 2009.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

David Baker (CO) — PartnerFacts page ↗Form D · Jun 9, 2009 ↗IMERICA ADMINISTRATIVE SERVICES CORP — PartnerFacts page ↗David Baker (CA) — this page ↗
Sources
Note · Dec 20, 2010 – Sep 12, 2017

Address moved from Corona Del Mar, CA to Newport Beach, CA — Union Village LLC

The people listed on the Dec 20, 2010 filing give Corona Del Mar, CA; on the Sep 12, 2017 filing they give Newport Beach, CA. The address now on file (170 S. Green Valley Parkway, Suite 373, Henderson, NV) is a registered-agent or shared-office address used by 8 issuers.

What this means A registered agent's address is a mailbox, not where the team works. Ask where the business actually operates.

Form D · Dec 20, 2010 ↗Form D · Sep 12, 2017 ↗Union Village LLC — PartnerFacts page ↗
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

1 of 6 offerings reports sales commissions totalling $60,979; 0 report finder's fees; 1 reports proceeds to related persons totalling $48,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Oct 25, 2024 D
GRI BIO, Inc.
File 021-527895
$60,979$0$0H.C. Wainwright & Co., LLC BrokerCheck CRD 375 ↗EDGAR ↗
Apr 27, 2023 D
GRI BIO, Inc.
File 021-480137
$0$0$0None listed on this filingEDGAR ↗
Mar 28, 2019 D
Kijani Forestry, PBC
File 021-335906
$0$0$48,000 (est.)None listed on this filingEDGAR ↗
Sep 12, 2017 D
Union Village LLC
File 021-294507
$0 (est.)$0 (est.)$0None listed on this filingEDGAR ↗
Oct 21, 2014 D/A
SENSORY NEUROSTIMULATION, INC.
File 021-213470
$0$0$0None listed on this filingEDGAR ↗
Dec 20, 2010 D
Union Village LLC
File 021-152210
$0$0$0None 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 4

Every issuer that named David Baker on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

GB
Biotechnology · group: Gri Bio

GRI BIO, Inc.

La Jolla, CA · Apr 27, 2023 → Oct 25, 2024 · 2 filings
  • Oct 25, 2024 · D · $762,236 sold of $762,236 · 3 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 27, 2023 · D · $15,583,333 sold of $15,583,333 · 1 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $15.6M from 3 investors (100% of the $762K target) as of the latest filing. David is listed as director on 2 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: 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.

KF
Other

Kijani Forestry, PBC

San Diego, CA · Mar 28, 2019
  • Mar 28, 2019 · D · $0 sold of $600,000 · 0 investors · min. No minimum reported · role: Executive Officer, Director, Promoter EDGAR ↗

No sales reported yet as of the latest filing. David is listed as executive officer, director, promoter.

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.

UV
Other Real Estate

Union Village LLC

Henderson, NV · Dec 20, 2010 → Sep 12, 2017 · 2 filings
  • Sep 12, 2017 · D · $0 sold of $5,000,000 · 0 investors · min. $312,500 · role: Executive Officer EDGAR ↗
  • Dec 20, 2010 · D · $600,000 sold of $10,000,000 · 2 investors · min. $200,000 · role: Executive Officer (Manager) EDGAR ↗

Raised $600K from 2 investors (12% of the $5M target) as of the latest filing. David is listed as executive officer on 2 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 Real Estate / 506(b) (5,033 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.

SN
Other Health Care · group: Mariposa

SENSORY NEUROSTIMULATION, INC.

San Clemente, CA · Oct 21, 2014
  • Oct 21, 2014 · D/A · $1,500,000 sold of $1,900,000 · 1 investors · min. No minimum reported · role: Executive Officer EDGAR ↗

Raised $3M from 1 investor (100% of the $1.9M target) as of the latest filing. David is listed as executive officer.

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 Health Care / 506(b) (4,189 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 pages with the same name (14)

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

  • David Baker — British Columbia, Canada (as filed: A1), 4 issuers, Jun 2, 2011 → Nov 14, 2025 · no shared issuer
  • David N Baker — NV, 3 issuers, Nov 13, 2017 → Aug 12, 2024 · no shared issuer
  • David Baker — NY, 2 issuers, Apr 13, 2011 → Jul 29, 2016 · no shared issuer
  • David A Baker, PhD — WI, 1 issuer, Aug 28, 2009 → Apr 1, 2013 · no shared issuer
  • David Baker — CO, 1 issuer, Jun 9, 2009 → Jun 9, 2009 · no shared issuer
  • David H Baker — FL, 1 issuer, Aug 17, 2009 → Aug 17, 2009 · no shared issuer
  • David Baker — OR, 1 issuer, Apr 9, 2010 → Nov 13, 2012 · no shared issuer
  • David Baker — PA, 1 issuer, Nov 16, 2011 → Jun 18, 2015 · no shared issuer
  • David Baker — Ontario, Canada (as filed: A6), 1 issuer, May 29, 2014 → Mar 29, 2017 · no shared issuer
  • David Baker — WA, 1 issuer, Mar 10, 2017 → Mar 10, 2017 · no shared issuer
  • David Baker — OH, 1 issuer, Jan 15, 2019 → Jan 15, 2019 · no shared issuer
  • David C. Baker — VA, 1 issuer, Nov 19, 2019 → Nov 19, 2019 · no shared issuer
  • David Baker — MT, 1 issuer, Jan 6, 2026 → Jan 6, 2026 · no shared issuer
  • David M Baker — WI, 1 issuer, Jun 24, 2009 → Jun 24, 2009 · no shared issuer

People around David 17

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

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

Gary Holland

Executive Officer · 2 shared filings (1 issuer) · also on 1 other issuer

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

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

Walter Marc Hertz

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

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

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

David Szekeres

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

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

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

CAMILLA SIMPSON

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

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

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

Roelof Rongen

Director · 2 shared filings (1 issuer)

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

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

Leanne Kelly

Executive Officer, Director · 2 shared filings (1 issuer)

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

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

Craig R. Johnson

Executive Officer · 1 shared filing (1 issuer) · also on 28 other issuers

Craig R. Johnson is on 29 issuers in total — a repeat sponsor. Their page lists every one.

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

Michael Jones

Executive Officer, Director · 1 shared filing (1 issuer) · also on 28 other issuers

Michael Jones is on 29 issuers in total — a repeat sponsor. Their page lists every one.

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

Fred Burbank

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

Fred Burbank is on 5 issuers in total — a repeat sponsor. Their page lists every one.

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

David Micheal

Executive Officer · 1 shared filing (1 issuer)

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

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

Sean Harrigan

Executive Officer · 1 shared filing (1 issuer)

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

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

James Voelker

Director · 1 shared filing (1 issuer)

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

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

Vicki Dallas

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

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

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

Vipin Kumar Chaturvedi

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

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

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

Beau Milliken

Executive Officer, Director, Promoter · 1 shared filing (1 issuer)

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

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

Quinn Neely-Gallagher

Executive Officer, Director, Promoter · 1 shared filing (1 issuer)

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

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

Albert Argo

Executive Officer, Director · 1 shared filing (1 issuer)

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

The team behind the deals

M
Sponsor group

Mariposa

3 issuers · 9 filings · $5.73M reported sold · 2009–2015

One team, 3 deal companies. David Baker is listed on 1 of them.

Sources

Issuers are grouped when their Form D filings share related persons, a management entity or a business address (automatic match from the filings). "Listed" marks the issuers that name David Baker.

GB
Sponsor group

Gri Bio

2 issuers · 6 filings · $16.3M reported sold · 2015–2024

One team, 2 deal companies. David Baker is listed on 1 of them.

Sources

Issuers are grouped when their Form D filings share related persons, a management entity or a business address (automatic match from the filings). "Listed" marks the issuers that name David Baker.

Same business address

18 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

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 4 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 Baker 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 4 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers David Baker is listed on: none on file. No website or social profile named in GRI BIO, Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #86,787 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 (La Jolla, CA). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

LinkedIn people search ↗Instagram ↗X (Twitter) ↗Facebook ↗YouTube ↗Google ↗Google Images ↗Google News ↗Meta Ad Library ↗

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗California — find the county court ↗Los Angeles Superior Court case search ↗Clark County NV District Court portal ↗

Securities regulators

SEC EDGAR full-text search ↗SEC action look-up ↗FINRA BrokerCheck ↗SEC IAPD adviser search ↗

Business registries

California Secretary of State business search ↗Nevada Secretary of State business search ↗OpenCorporates ↗

Change history

No corrections have been requested for this page.

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