Sponsor Check › Person
Named as an officer, director or promoter on SEC Form D filings · OH · Aug 27, 2010 → Feb 28, 2011
Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 3:02 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET
David Griffiths is listed as an executive officer, director, and promoter on 4 SEC Form D filings by 1 issuer between Aug 2010 and Feb 2011: ExchangeBase, LLC (Lakewood, OH — industry reported as "Other" — 2010–2011; $500K reported sold to 4 investors).
What this means One deal on file with the SEC. A Form D is the notice a company files after it starts selling a private investment — it is a notice, not an approval.
Listed alongside Alexander Kowalski (4 shared filings), Christina Grant (4 shared filings), Peter G. Kowalski (4 shared filings), John F. O'Brien (3 shared filings) and Brian Kuntz (2 shared filings).
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 (AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, LA, ME, MO, MS, MT, NASAA, NC, NH, NM, OR, RI, TX, WA) — 1 court case matching the name, 32 bankruptcy cases matching the name listed in Key records below.
What this means 33 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 4 public filings for David Griffiths and found 7 differences: Bankruptcy case: Alexander G. Kowalski; David Griffiths appears on 1 deal that stopped filing before reaching its 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 Griffiths has not run yet — it is joining a line of 20,264 names; searches run around the clock at the hosts' allowed rate. Searched so far: 292 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.
1 case: 1 judgment
863 D.I.W.C. / D.I.W.W.
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, 3:02 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 Griffiths..
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).
32 cases: 31 closed (disposition not in docket feed), 1 open
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, 3:02 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
7 differences found between the filings for David Griffiths (compared 4 filings on Oct 24, 2026)
United States Bankruptcy Court, N.D. Ohio docket "Alexander G. Kowalski" filed Jun 18, 2025 (Open). Alexander Kowalski (listed on the same filings) is listed as Debtor ("Alexander G. Kowalski"). Our match estimate: 70%.
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.
ExchangeBase, LLC (last filing Feb 28, 2011; $500,000 sold of $2,000,000). 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.
The latest filing for this offering is dated Feb 28, 2011 (first sale Nov 2, 2010). It reports $500,000 sold of $2,000,000 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.
This page covers filings where the address state is OH. A separate record, "David Griffiths" with address state NJ, is listed on 2 filings — most recently by METROPOLITAN TOWER LIFE INSURANCE CO (Dec 4, 2017). The two records do not overlap in time: this page runs Aug 27, 2010 to Feb 28, 2011; the other has one filing dated Dec 4, 2017.
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 OH. A separate record, "David Griffiths" with address state C3, is listed on 1 filing — most recently by Silver Lake Resources Ltd (Nov 30, 2011). The two records do not overlap in time: this page runs Aug 27, 2010 to Feb 28, 2011; the other has one filing dated Nov 30, 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.
The people listed on the Dec 14, 2010 filing give Westlake, OH; on the Feb 28, 2011 filing they give Lakewood, OH.
What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.
The people listed on the Nov 17, 2010 filing give Lakewood, OH; on the Dec 14, 2010 filing they give Westlake, OH.
What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.
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.
None reported on 2 offerings — no sales commissions, finder's fees or proceeds to insiders
| Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it | Source |
|---|---|---|---|---|---|
| Feb 28, 2011 D/A ExchangeBase, LLC File 021-150627 | $0 | $0 | $0 Proceeds will be used for working capital purposes. | None listed on this filing | EDGAR ↗ |
| Aug 27, 2010 D ExchangeBase, LLC File 021-146996 | $0 | $0 | $0 Proceeds will be used for working capital purposes. | 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 Griffiths on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.
Raised $500K from 4 investors (25% of the $2M target) as of the latest filing. David is listed as executive officer, director, promoter on 4 filings for this deal.
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.
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 Griffiths. Their page shows their other deals.
Listed on the same filings as David Griffiths. Their page shows their other deals.
Listed on the same filings as David Griffiths. Their page shows their other deals.
Listed on the same filings as David Griffiths. Their page shows their other deals.
None of the 1 issuer 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 Griffiths 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 1 issuer this person is listed on — nothing matched.
Websites and social links of the issuers David Griffiths is listed on: none on file. No website or social profile named in ExchangeBase, LLC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #354,772 of 374,652 in line (438 issuers searched so far). One-tap searches: Look further ↓
One-tap searches on sites we do not index ourselves, with the name pre-filled (Lakewood, OH). Each opens in a new tab; what you find there is not verified by PartnerFacts.
No corrections have been requested for this page.
Free. Logged with status: received → under review → fixed / confirmed with source.
If this is you or your firm, add a sourced explanation next to any fact. Reviewed before publishing.
Members get an email when David Griffiths appears on a new Form D, or when a court case or SEC action is matched to them. See plans →