Sponsor Check › Person
Named as an officer, director or promoter on SEC Form D filings · IL · Jan 30, 2014 → Jan 14, 2020
Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:25 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET
David Rosen is listed as an executive officer and director on 5 SEC Form D filings by 5 issuers between Jan 2014 and Jan 2020: Waveseer of Illinois, LLC (Chicago, IL — other health care — 2014; $675K reported sold to 6 investors), Waveseer, LLC (Las Vegas, NV — agriculture — 2014; $250K reported sold to 1 investors), Waveseer of Las Vegas, LLC (Chicago, IL — other health care — 2014; $200K reported sold to 1 investors), Waveseer of Oregon, LLC (Chicago, IL — other health care — 2015; $150K reported sold to 2 investors) and Jenny's of Illinois I, LLC (Chicago, IL — industry reported as "Other" — 2020; $500 reported sold to 3 investors).
What this means A repeat sponsor — 5 separate companies raised money with this person listed as executive officer and director, over about 6 years. Across those companies the filings report $1.28M sold in total.
Listed alongside Francesca Cooper (4 shared filings), Jennefer Delkus (4 shared filings), CYNTHIA FINISTER (1 shared filing) and MARNIE HOLZ (1 shared filing).
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.
4 of the issuers belong to the sponsor group Waveseer (4 issuers, $1.03M reported sold, 2014–2020).
What this means A sponsor group is one team that sets up a new company for each deal. Waveseer has 4 companies on file and $1.03M 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 (AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, LA, ME, MO, MS, MT, NASAA, NC, NH, NM, OR, RI, TX, WA) — 3 court cases matching the name, 35 bankruptcy cases matching the name listed in Key records below.
What this means 38 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 5 public filings for David Rosen and found 10 differences, 2 worth asking the sponsor about: 40% of the money raised went to insiders; David Rosen appears on 4 deals that stopped filing before reaching their target; 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.
Community search for David Rosen has not run yet — it is joining a line of 20,866 names; searches run around the clock at the hosts' allowed rate. Searched so far: 314 names.
Community comments are quoted as written by their authors. Sources searched: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).
Five things investors ask first. Items still in human review are counted, not shown.
3 cases: 1 judgment, 2 dismissed
850 Securities, Commodities, Exchange
380 Other personal property damage
190 Other contract actions
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, 2:25 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.
None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: NV (crawled Oct 23, 2026)
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 Rosen..
State securities regulators: Securities regulators searched (3,318 actions): AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002), DE DOJ Investor Protection Unit (257 actions, 1987–2026), TX State Securities Board (586 actions, 2006–2026), WA DFI (2,039 actions, 2001–2026) — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first — last crawled Oct 23, 2026, 9:57 PM ET. No machine-readable public listing today for IA, IN, KS, MI, NE, NV (see docs/state-regulators.md).
35 cases: 35 closed (disposition not in docket feed)
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, 2:25 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.
Comparisons cover issuers and sponsor groups — see the issuer pages under Deals
10 differences found between the filings for David Rosen — 2 worth asking about (compared 5 filings on Oct 24, 2026)
United States Bankruptcy Court, N.D. Illinois docket "Cynthia E Finister" filed Jan 21, 2000, closed May 12, 2000. CYNTHIA FINISTER (listed on the same filings) is listed as Debtor ("Cynthia E Finister"). Our match estimate: 80%.
What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.
The Jan 30, 2014 Form D reports $250,000 sold and $100,000 of the proceeds used for payments to officers, directors or promoters.
What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.
Waveseer, LLC (last filing Apr 24, 2019; $250,000 sold of $5,000,000); Waveseer of Oregon, LLC (last filing Jun 10, 2015; $150,000 sold of $1,000,000); Waveseer of Illinois, LLC (last filing Oct 14, 2014; $675,000 sold of $5,500,000); Waveseer of Las Vegas, LLC (last filing Aug 14, 2014; $200,000 sold of $8,730,000). 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.
The filing says the first sale was Dec 23, 2019. The Form D was filed Jan 14, 2020 — 22 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 7 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.
No amendment in the last 12 months on an offering that may still be open — Jenny's of Illinois I, LLC (latest filing Jan 14, 2020) · No amendment in the last 12 months on an offering that may still be open — Waveseer of Oregon, LLC (latest filing Jun 10, 2015) · No amendment in the last 12 months on an offering that may still be open — Waveseer of Illinois, LLC (latest filing Oct 14, 2014) · No amendment in the last 12 months on an offering that may still be open — Waveseer of Las Vegas, LLC (latest filing Aug 14, 2014) · No amendment in the last 12 months on an offering that may still be open — Waveseer, LLC (latest filing Jan 30, 2014)
What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.
This page covers filings where the address state is IL. A separate record, "David Rosen" with address state NY, is listed on 32 filings — most recently by Rubric Capital Partners LP (Sep 25, 2026). Both records have filings in the same period (Oct 3, 2016 to Jan 14, 2020).
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.
This page covers filings where the address state is IL. A separate record, "David Rosen" with address state CT or CA or MD, is listed on 41 filings — most recently by AMPLIFICA HOLDINGS GROUP, INC. (Aug 20, 2026). Both records have filings in the same period (Mar 12, 2015 to Jan 14, 2020).
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.
This page covers filings where the address state is IL. A separate record, "David Rosen" with address state C3, is listed on 1 filing — most recently by Parnell Pharmaceuticals Holdings Ltd (Mar 4, 2016). Both records have filings in the same period (Mar 4, 2016).
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.
This page covers filings where the address state is IL. A separate record, "David Rosen" with address state OR, is listed on 1 filing — most recently by HELIKON CYCLES LLC (Jun 5, 2013). The two records do not overlap in time: this page runs Jan 30, 2014 to Jan 14, 2020; the other has one filing dated Jun 5, 2013.
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.
This page covers filings where the address state is IL. A separate record, "David Rosen" with address state KS, is listed on 2 filings — most recently by ARATANA THERAPEUTICS, INC. (Oct 25, 2011). The two records do not overlap in time: this page runs Jan 30, 2014 to Jan 14, 2020; the other runs Jan 7, 2011 to Oct 25, 2011.
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.
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.
0 of 5 offerings report sales commissions; 0 report finder's fees; 1 reports proceeds to related persons totalling $100,000.
| Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it | Source |
|---|---|---|---|---|---|
| Jan 14, 2020 D Jenny's of Illinois I, LLC File 021-357939 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jun 10, 2015 D Waveseer of Oregon, LLC File 021-241435 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Oct 14, 2014 D Waveseer of Illinois, LLC File 021-226365 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Aug 14, 2014 D Waveseer of Las Vegas, LLC File 021-222887 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jan 30, 2014 D Waveseer, LLC File 021-211009 | $0 | $0 | $100,000 | None listed on this filing | EDGAR ↗ |
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).
Every issuer that named David Rosen on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.
Raised $500 from 3 investors as of the latest filing. David is listed as director.
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.
Raised $150K from 2 investors (15% of the $1M target) as of the latest filing. David is listed as executive officer.
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(c) (171 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.
Raised $675K from 6 investors (12% of the $5.5M target) as of the latest filing. David is listed as executive officer.
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(c) (171 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.
Raised $200K from 1 investor (2% of the $8.73M target) as of the latest filing. David is listed as executive officer.
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(c) (171 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.
Raised $250K from 1 investor (6% of the $4M target) as of the latest filing. David is listed as executive officer.
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(c) (171 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.
Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.
Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.
Listed on the same filings as David Rosen. Their page shows their other deals.
Listed on the same filings as David Rosen. Their page shows their other deals.
One team, 4 deal companies. David Rosen is listed on 4 of them.
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 Rosen.
None of the 5 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.
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 are matched to companies only, never to individuals, so none are matched to David Rosen 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 5 issuers this person is listed on — nothing matched.
Websites and social links of the issuers David Rosen is listed on: none on file. No website or social profile named in Waveseer of Illinois, LLC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #312,547 of 374,652 in line (510 issuers searched so far). One-tap searches: Look further ↓
One-tap searches on sites we do not index ourselves, with the name pre-filled (Chicago, IL). Each opens in a new tab; what you find there is not verified by PartnerFacts.
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Free. Logged with status: received → under review → fixed / confirmed with source.
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