PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:48 AM ET

Sponsor Check › Person

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

David Rosenthal

Named as an officer, director or promoter on SEC Form D filings · CO, CA, NY · Feb 9, 2018 → Sep 25, 2023

6deals (issuers)
$99.4Mreported sold
105investors
15Form D filings
2018–2023years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:41 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

David Rosenthal is listed as an executive officer, director, and promoter on 15 SEC Form D filings by 6 issuers between Apr 2012 and Feb 2026. Largest by amount reported sold: Wave I, L.P. (San Francisco, CA — pooled investment fund — 2018; $53.2M reported sold to 38 investors), Altum Investments, Inc. (Denver, CO — industry reported as "Other" — 2020; $17M reported sold to 37 investors), Redwood Holding Group, LLC (Culver City, CA — industry reported as "Other" — 2018–2019; $14.7M reported sold to 17 investors), Trait Biosciences Inc. (Vancouver, British Columbia, Canada (as filed: A1) — biotechnology — 2021–2023; $12.1M reported sold to 4 investors), Engin Sciences Inc. (New York City, NY — industry reported as "Other" — 2024–2026; $2.27M reported sold to 6 investors) and 1 more (all listed below).

What this means A repeat sponsor — 6 separate companies raised money with this person listed as executive officer, director, and promoter, over about 14 years. Across those companies the filings report $99.4M sold in total.

Listed alongside Andrew Templeton Hunter (6 shared filings), David William Smalley (6 shared filings), Ronan David Levy (6 shared filings), Hanny Kanafani (4 shared filings), Peter Flint (4 shared filings) and 16 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) — 3 court cases matching the name, 4 SEC releases, 26 bankruptcy cases matching the name listed in Key records below.

What this means 33 records came back, including 1 court case still open — open cases can take years and cost money. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.

We compared 15 public filings for David Rosenthal and found 13 differences, 5 worth asking the sponsor about: Regulator action: George Badger, Golf Communities of America, Inc., F.K.A. Golf Ventures, Inc., Duane Mar.ant, Stephen Spencer, Karl Badger, Marion Sherrill, Harmon S. Hardy, La Jolla Capital Corporation, Harold B. Gallison, Jr., Terry Hughes, Marvin Susemihl, David Rosenthal, andrew Sears, and William Slone; andrew Scudiero, Eric Nicholsberg, Dominick Caputo, Dominick Chieco, Craig Marino, Mat Matles, Anthony Selvaduri, Michael Dreitlein, Anthony Giambrone, Ian Hosang, and Frank Hartmann; Leonard Alexander Ruge, Richard Wolff, Mac Beagelman, Michael Scott Symons, Richard Balber, Stephen Evers, Eugene Flaksman, Mark Furman, Alex Grinshpon, Daniel Kolchkov, Jeff Sanders, Alex Solon, Mark Zaborsky, and Jeffery Stone; Joseph Pignatiello, John Fasano, James Manas, Robert Marsik, Mark Pierce, Peter Mazzeo, and Constance Pignatiello; Jeffrey Szur, Bertram Slutsky, First National Equity Corp., F.K.A. J.S. Securities, Inc., Vadim Kaplun, Joseph Epstein, Cary Weinstein, David Gold, Ronald Gray, Alex Levin, Diane Lakin, Elaine Szur, and George Elian (Dec 18, 1997); 4 filings report more than 10% of the money raised going to insiders; 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 Rosenthal has not run yet — it is joining a line of 61,332 names; searches run around the clock at the hosts' allowed rate. Searched so far: 714 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

3 cases: 2 dismissed, 1 open

David Rosenthal v. Time Warner Cable, Inc. dismissed
District Court, C.D. California · No. 2:16-cv-00082 · Filed Jan 5, 2016 · Closed Apr 20, 2017 · Nature of suit: 890 Other Statutory Actions · Cause: 47:0227 Violation of Telephone Consumer Protection Act
Role of David Rosenthal: Plaintiff · Outcome: Terminated 2017-04-20 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same full name (a name found in 49 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (CA)
In Re David L Rosenthal open
District Court, E.D. Michigan · No. 2:07-mc-50984 · Filed Dec 7, 2007
Role of David L Rosenthal: Party · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same full name (a name found in 49 federal dockets); 3 people with this name in Form D filings; court in MI (not a filing state)
David K Rosenthal v. Sarcom Inc dismissed
District Court, C.D. California · No. 2:05-cv-02053 · Filed Mar 23, 2005 · Closed Jun 9, 2006 · Nature of suit: 190 Other contract actions
Role of David K Rosenthal: Plaintiff · Outcome: Terminated 2006-06-09 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
same full name (a name found in 49 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (CA)
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, 2:41 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

4 SEC releases

Harold B. Gallison, Jr., Terrence J. Hughes, and David Rosenthal Administrative proceeding
SEC · Oct 13, 2004 · Parties as named in the release: Harold B. Gallison, Jr., Terrence J. Hughes, and David Rosenthal Read the release ↗
same full name in the release title; 3 people with this name in Form D filings; the person's filing state is not named
Harold B. Gallison, Jr., Terrence J. Hughes, and David Rosenthal Administrative proceeding
SEC · Sep 29, 2004 · Parties as named in the release: Harold B. Gallison, Jr., Terrence J. Hughes, and David Rosenthal Read the release ↗
same full name in the release title; 3 people with this name in Form D filings; the person's filing state is not named
Harold B. Gallison, Jr., Terrence J. Hughes, and David Rosenthal Administrative proceeding
SEC · Sep 7, 2004 · Parties as named in the release: Harold B. Gallison, Jr., Terrence J. Hughes, and David Rosenthal Read the release ↗
same full name in the release title; 3 people with this name in Form D filings; the person's filing state is not named
George Badger, Golf Communities of America, Inc., F.K.A. Golf Ventures, Inc., Duane Mar.ant, Stephen Spencer, Karl Badger, Marion Sherrill, Harmon S. Hardy, La Jolla Capital Corporation, Harold B. Gallison, Jr., Terry Hughes, Marvin Susemihl, David Rosenthal, andrew Sears, and William Slone; andrew Scudiero, Eric Nicholsberg, Dominick Caputo, Dominick Chieco, Craig Marino, Mat Matles, Anthony Selvaduri, Michael Dreitlein, Anthony Giambrone, Ian Hosang, and Frank Hartmann; Leonard Alexander Ruge, Richard Wolff, Mac Beagelman, Michael Scott Symons, Richard Balber, Stephen Evers, Eugene Flaksman, Mark Furman, Alex Grinshpon, Daniel Kolchkov, Jeff Sanders, Alex Solon, Mark Zaborsky, and Jeffery Stone; Joseph Pignatiello, John Fasano, James Manas, Robert Marsik, Mark Pierce, Peter Mazzeo, and Constance Pignatiello; Jeffrey Szur, Bertram Slutsky, First National Equity Corp., F.K.A. J.S. Securities, Inc., Vadim Kaplun, Joseph Epstein, Cary Weinstein, David Gold, Ronald Gray, Alex Levin, Diane Lakin, Elaine Szur, and George Elian Litigation release
SEC · Dec 18, 1997 · Parties as named in the release: George Badger, Golf Communities of America, Inc., F.K.A. Golf Ventures, Inc., Duane Mar.ant, Stephen Spencer, Karl Badger, Marion Sherrill, Harmon S. Hardy, La Jolla Capital Corporation, Harold B. Gallison, Jr., Terry Hughes, Marvin Susemihl, David Rosenthal, andrew Sears, and William Slone; andrew Scudiero, Eric Nicholsberg, Dominick Caputo, Dominick Chieco, Craig Marino, Mat Matles, Anthony Selvaduri, Michael Dreitlein, Anthony Giambrone, Ian Hosang, and Frank Hartmann; Leonard Alexander Ruge, Richard Wolff, Mac Beagelman, Michael Scott Symons, Richard Balber, Stephen Evers, Eugene Flaksman, Mark Furman, Alex Grinshpon, Daniel Kolchkov, Jeff Sanders, Alex Solon, Mark Zaborsky, and Jeffery Stone; Joseph Pignatiello, John Fasano, James Manas, Robert Marsik, Mark Pierce, Peter Mazzeo, and Constance Pignatiello; Jeffrey Szur, Bertram Slutsky, First National Equity Corp., F.K.A. J.S. Securities, Inc., Vadim Kaplun, Joseph Epstein, Cary Weinstein, David Gold, Ronald Gray, Alex Levin, Diane Lakin, Elaine Szur, and George Elian Read the release ↗
same full name in the release title; 3 people with this name in Form D filings; the person's filing state is named in the release
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 Rosenthal..

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

26 cases: 3 open, 23 closed (disposition not in docket feed)

David Rosenthal and Teresa Rosenthal open
United States Bankruptcy Court, E.D. Louisiana · No. 25-10826 · Filed Apr 25, 2025
Role of David Rosenthal and Teresa Rosenthal: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same full name (a name found in 49 federal dockets); 3 people with this name in Form D filings; court in LA (not a filing state)
David Rosenthal and Carolyn M Rosenthal open
United States Bankruptcy Court, M.D. Florida · No. 8:24-bk-01791 · Filed Apr 2, 2024
Role of David Rosenthal and Carolyn M Rosenthal: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same full name (a name found in 49 federal dockets); 3 people with this name in Form D filings; court in FL (not a filing state)
David E Rosenthal closed
United States Bankruptcy Court, M.D. Florida · No. 6:17-bk-08019 · Filed Dec 28, 2017 · Closed Jul 2, 2019
Role of David E Rosenthal: Debtor · Outcome: Case closed 2019-07-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 49 federal dockets); 3 people with this name in Form D filings; court in FL (not a filing state)
David J. Rosenthal closed
United States Bankruptcy Court, E.D. Michigan · No. 17-53071 · Filed Sep 18, 2017 · Closed Dec 31, 2017
Role of David J. Rosenthal: Debtor · Outcome: Case closed 2017-12-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 49 federal dockets); 3 people with this name in Form D filings; court in MI (not a filing state)
David M. Rosenthal closed
United States Bankruptcy Court, D. Massachusetts · No. 16-30764 · Filed Sep 1, 2016 · Closed Jan 31, 2017
Role of David M. Rosenthal: Debtor · Outcome: Case closed 2017-01-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 49 federal dockets); 3 people with this name in Form D filings; court in MA (not a filing state)
David L Rosenthal closed
United States Bankruptcy Court, S.D. Florida. · No. 15-15048 · Filed Mar 20, 2015 · Closed Jul 20, 2015
Role of David L Rosenthal: Debtor · Outcome: Case closed 2015-07-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 49 federal dockets); 3 people with this name in Form D filings; court in FL (not a filing state)
David Rosenthal open
United States Bankruptcy Court, S.D. New York · No. 14-11710 · Filed Jun 3, 2014
Role of David Rosenthal: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same full name (a name found in 49 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (NY)
David Rosenthal closed
United States Bankruptcy Court, S.D. New York · No. 13-35511 · Filed Mar 9, 2013 · Closed Sep 11, 2014
Role of David Rosenthal: Debtor · Outcome: Case closed 2014-09-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 49 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (NY)
David Rosenthal and Irene Rosenthal closed
United States Bankruptcy Court, N.D. Illinois · No. 12-11503 · Filed Mar 22, 2012 · Closed Jun 2, 2017
Role of David Rosenthal and Irene Rosenthal: Debtor · Outcome: Case closed 2017-06-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 49 federal dockets); 3 people with this name in Form D filings; court in IL (not a filing state)
David Rosenthal closed
United States Bankruptcy Court, C.D. California · No. 6:11-bk-23247 · Filed Apr 22, 2011 · Closed Aug 12, 2011
Role of David Rosenthal: Debtor · Outcome: Case closed 2011-08-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 49 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (CA)
David E Rosenthal and Marsha Rosenthal closed
United States Bankruptcy Court, C.D. California · No. 6:09-bk-13864 · Filed Mar 3, 2009 · Closed Jun 22, 2009
Role of David E Rosenthal and Marsha Rosenthal: Debtor · Outcome: Case closed 2009-06-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 49 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (CA)
DAVID ROSENTHAL and SOPHIA ROSENTHAL closed
United States Bankruptcy Court, D. Nevada · No. 08-14291 · Filed Apr 30, 2008 · Closed Dec 15, 2009
Role of DAVID ROSENTHAL and SOPHIA ROSENTHAL: Debtor · Outcome: Case closed 2009-12-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 49 federal dockets); 3 people with this name in Form D filings; court in NV (not a filing state)
David Rosenthal and Carolyn M. Rosenthal closed
United States Bankruptcy Court, D. Connecticut · No. 07-31284 · Filed Jun 7, 2007 · Closed Jan 18, 2008
Role of David Rosenthal and Carolyn M. Rosenthal: Debtor · Outcome: Case closed 2008-01-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 49 federal dockets); 3 people with this name in Form D filings; court in CT (not a filing state)
David L. Rosenthal and Johanna L. Rosenthal closed
United States Bankruptcy Court, E.D. Texas · No. 04-45593 · Filed Dec 2, 2004 · Closed Feb 24, 2006
Role of David L. Rosenthal and Johanna L. Rosenthal: Debtor · Outcome: Case closed 2006-02-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 49 federal dockets); 3 people with this name in Form D filings; court in TX (not a filing state)
David F. Rosenthal closed
United States Bankruptcy Court, S.D. Florida. · No. 04-26675 · Filed Nov 3, 2004 · Closed Feb 16, 2005
Role of David F. Rosenthal: Debtor · Outcome: Case closed 2005-02-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 49 federal dockets); 3 people with this name in Form D filings; court in FL (not a filing state)
David S. Rosenthal closed
United States Bankruptcy Court, N.D. New York · No. 04-66894 · Filed Sep 30, 2004 · Closed Jan 20, 2005
Role of David S. Rosenthal: Debtor · Outcome: Case closed 2005-01-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 49 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (NY)
David L. Rosenthal closed
United States Bankruptcy Court, E.D. Michigan · No. 04-59273 · Filed Jul 8, 2004 · Closed Jan 18, 2005
Role of David L. Rosenthal: Debtor · Outcome: Case closed 2005-01-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 49 federal dockets); 3 people with this name in Form D filings; court in MI (not a filing state)
David H. Rosenthal and Karen M Rosenthal closed
United States Bankruptcy Court, N.D. Ohio · No. 03-11304 · Filed Feb 4, 2003 · Closed May 30, 2003
Role of David H. Rosenthal and Karen M Rosenthal: Debtor · Outcome: Case closed 2003-05-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 49 federal dockets); 3 people with this name in Form D filings; court in OH (not a filing state)
David Rosenthal closed
United States Bankruptcy Court, S.D. Florida. · No. 99-17124 · Filed Jul 19, 1999 · Closed Nov 3, 1999
Role of David Rosenthal: Debtor · Outcome: Case closed 1999-11-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 49 federal dockets); 3 people with this name in Form D filings; court in FL (not a filing state)
David Rosenthal closed
United States Bankruptcy Court, C.D. California · No. 1:98-bk-10188 · Filed Jan 7, 1998 · Closed Feb 24, 1998
Role of David Rosenthal: Debtor · Outcome: Case closed 1998-02-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 49 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (CA)
David M Rosenthal closed
United States Bankruptcy Court, C.D. California · No. 1:97-bk-14467 · Filed Apr 2, 1997 · Closed Jul 28, 1997
Role of David M Rosenthal: Debtor · Outcome: Case closed 1997-07-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 49 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (CA)
David L. Rosenthal and Josefina C. Rosenthal closed
United States Bankruptcy Court, S.D. Florida. · No. 95-23859 · Filed Oct 3, 1995 · Closed Jan 31, 1996
Role of David L. Rosenthal and Josefina C. Rosenthal: Debtor · Outcome: Case closed 1996-01-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 49 federal dockets); 3 people with this name in Form D filings; court in FL (not a filing state)
David G Rosenthal and Kimberly L Rosenthal closed
United States Bankruptcy Court, N.D. Illinois · No. 95-19721 · Filed Sep 20, 1995 · Closed Jan 29, 1996
Role of David G Rosenthal and Kimberly L Rosenthal: Debtor · Outcome: Case closed 1996-01-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 49 federal dockets); 3 people with this name in Form D filings; court in IL (not a filing state)
David J Rosenthal closed
United States Bankruptcy Court, N.D. Illinois · No. 94-03665 · Filed Feb 24, 1994 · Closed Aug 15, 1994
Role of David J Rosenthal: Debtor · Outcome: Case closed 1994-08-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 49 federal dockets); 3 people with this name in Form D filings; court in IL (not a filing state)
David M. Rosenthal and Jacquelyn-Mari Rosenthal closed
United States Bankruptcy Court, D. Connecticut · No. 91-23139 · Filed Oct 2, 1991 · Closed Feb 3, 1992
Role of David M. Rosenthal and Jacquelyn-Mari Rosenthal: Debtor · Outcome: Case closed 1992-02-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 49 federal dockets); 3 people with this name in Form D filings; court in CT (not a filing state)
David J. Rosenthal closed
United States Bankruptcy Court, S.D. Florida. · No. 91-21049 · Filed Apr 2, 1991 · Closed Feb 12, 1992
Role of David J. Rosenthal: Debtor · Outcome: Case closed 1992-02-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 49 federal dockets); 3 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, 2:41 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 Rosenthal — 5 worth asking about (compared 15 filings on Oct 24, 2026)

Worth asking · Dec 18, 1997

Regulator action: George Badger, Golf Communities of America, Inc., F.K.A. Golf Ventures, Inc., Duane Mar.ant, Stephen Spencer, Karl Badger, Marion Sherrill, Harmon S. Hardy, La Jolla Capital Corporation, Harold B. Gallison, Jr., Terry Hughes, Marvin Susemihl, David Rosenthal, andrew Sears, and William Slone; andrew Scudiero, Eric Nicholsberg, Dominick Caputo, Dominick Chieco, Craig Marino, Mat Matles, Anthony Selvaduri, Michael Dreitlein, Anthony Giambrone, Ian Hosang, and Frank Hartmann; Leonard Alexander Ruge, Richard Wolff, Mac Beagelman, Michael Scott Symons, Richard Balber, Stephen Evers, Eugene Flaksman, Mark Furman, Alex Grinshpon, Daniel Kolchkov, Jeff Sanders, Alex Solon, Mark Zaborsky, and Jeffery Stone; Joseph Pignatiello, John Fasano, James Manas, Robert Marsik, Mark Pierce, Peter Mazzeo, and Constance Pignatiello; Jeffrey Szur, Bertram Slutsky, First National Equity Corp., F.K.A. J.S. Securities, Inc., Vadim Kaplun, Joseph Epstein, Cary Weinstein, David Gold, Ronald Gray, Alex Levin, Diane Lakin, Elaine Szur, and George Elian (Dec 18, 1997)

An SEC litigation release dated Dec 18, 1997 names David Rosenthal. Our match estimate: 44%. 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.

George Badger, Golf Communities of America, Inc., F.K.A. Golf Ventures, Inc., Duane Mar.ant, Stephen Spencer, Karl Badger, Marion Sherrill, Harmon S. Hardy, La Jolla Capital Corporation, Harold B. Gallison, Jr., Terry Hughes, Marvin Susemihl, David Rosenthal, andrew Sears, and William Slone; andrew Scudiero, Eric Nicholsberg, Dominick Caputo, Dominick Chieco, Craig Marino, Mat Matles, Anthony Selvaduri, Michael Dreitlein, Anthony Giambrone, Ian Hosang, and Frank Hartmann; Leonard Alexander Ruge, Richard Wolff, Mac Beagelman, Michael Scott Symons, Richard Balber, Stephen Evers, Eugene Flaksman, Mark Furman, Alex Grinshpon, Daniel Kolchkov, Jeff Sanders, Alex Solon, Mark Zaborsky, and Jeffery Stone; Joseph Pignatiello, John Fasano, James Manas, Robert Marsik, Mark Pierce, Peter Mazzeo, and Constance Pignatiello; Jeffrey Szur, Bertram Slutsky, First National Equity Corp., F.K.A. J.S. Securities, Inc., Vadim Kaplun, Joseph Epstein, Cary Weinstein, David Gold, Ronald Gray, Alex Levin, Diane Lakin, Elaine Szur, and George Elian ↗
Sources
Worth asking · Apr 24, 2012 – Nov 23, 2022

4 filings report more than 10% of the money raised going to insiders

67% of the money raised went to insiders — Gravaton Energy Resources Ltd., LLC · 11% of the money raised went to insiders — Trait Biosciences Inc. · 25% of the money raised went to insiders — Trait Biosciences Inc. · 12% of the money raised went to insiders — Trait Biosciences Inc.

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.

Form D · Apr 24, 2012 ↗Gravaton Energy Resources Ltd., LLC — PartnerFacts page ↗Form D · Nov 23, 2022 ↗Trait Biosciences Inc. — PartnerFacts page ↗
Sources
Note · Apr 24, 2012

David Rosenthal appears on 1 deal that stopped filing before reaching its target

Gravaton Energy Resources Ltd., LLC (last filing Apr 24, 2012; $75,000 sold of $300,000). 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.

Gravaton Energy Resources Ltd., LLC — PartnerFacts page ↗
Sources
Worth asking · Mar 31, 2021 – Nov 23, 2022

Paid seller listed without a CRD number: PI Financial Corp. — Trait Biosciences Inc.

PI Financial Corp. is listed as receiving sales compensation on 4 filings (Mar 31, 2021 to Nov 23, 2022) with no FINRA CRD number given.

What this means People paid to sell securities normally hold a FINRA registration with a CRD number. Without one we cannot look them up on BrokerCheck. Ask who they are and whether they are registered.

Form D · Nov 23, 2022 ↗BrokerCheck search: PI Financial Corp. ↗Trait Biosciences Inc. — PartnerFacts page ↗
Sources
Worth asking · Mar 31, 2021

Paid seller listed without a CRD number: Canaccord Genuity Corp. — Trait Biosciences Inc.

Canaccord Genuity Corp. is listed as receiving sales compensation on 1 filing (Mar 31, 2021) with no FINRA CRD number given.

What this means People paid to sell securities normally hold a FINRA registration with a CRD number. Without one we cannot look them up on BrokerCheck. Ask who they are and whether they are registered.

Form D · Mar 31, 2021 ↗BrokerCheck search: Canaccord Genuity Corp. ↗Trait Biosciences Inc. — PartnerFacts page ↗
Sources
Worth asking · Jan 22, 2019 – Feb 2, 2026

5 Form Ds were filed more than 15 days after the first sale

Form D filed 124 days after the first sale — Trait Biosciences Inc. · Form D filed 231 days after the first sale — Trait Biosciences Inc. · Form D filed 17 days after the first sale — Engin Sciences Inc. · Form D filed 17 days after the first sale — Altum Investments, Inc. · Form D filed 36 days after the first sale — Redwood Holding Group, LLC

What this means Late notices are common and carry no penalty by themselves. A pattern of late paperwork is worth asking the sponsor about.

Form D · Nov 23, 2022 ↗Trait Biosciences Inc. — PartnerFacts page ↗Form D · Nov 23, 2022 ↗Form D · Feb 2, 2026 ↗
Sources
Note · Apr 12, 2012 – Mar 28, 2025

5 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 — Engin Sciences Inc. (latest filing Mar 28, 2025) · No amendment in the last 12 months on an offering that may still be open — Engin Sciences Inc. (latest filing Jun 20, 2024) · No amendment in the last 12 months on an offering that may still be open — Altum Investments, Inc. (latest filing Aug 17, 2020) · No amendment in the last 12 months on an offering that may still be open — Wave I, L.P. (latest filing Jun 8, 2018) · No amendment in the last 12 months on an offering that may still be open — Gravaton Energy Resources Ltd., LLC (latest filing Apr 24, 2012)

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 · Mar 28, 2025 ↗Engin Sciences Inc. — PartnerFacts page ↗Form D · Jun 20, 2024 ↗Form D · Aug 17, 2020 ↗
Sources
Note · Feb 9, 2018 – Jun 8, 2018

David Rosenthal's role changed at Wave I, L.P.: executive officer → executive officer, director

The Feb 9, 2018 filing lists David Rosenthal as executive officer; the Jun 8, 2018 Form D/A lists executive officer, director.

What this means Roles on Form D are self-reported by the issuer. A change can mean a real change in who runs the company, or just a different box ticked. Ask who makes decisions today.

Form D · Feb 9, 2018 ↗Form D/A · Jun 8, 2018 ↗David Rosenthal — PartnerFacts page ↗Wave I, L.P. — PartnerFacts page ↗
Sources
Note · Feb 9, 2018 – Jun 8, 2018

Offering amount changed between filings — Wave I, L.P.

The Feb 9, 2018 filing says $35,000,000 offered; the Jun 8, 2018 Form D/A says $60,000,000.

What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.

Form D (earlier) · Feb 9, 2018 ↗Form D/A (later) · Jun 8, 2018 ↗Wave I, L.P. — PartnerFacts page ↗
Sources
Note · Mar 29, 2016 – Apr 24, 2024

Same name, different state: "DAVID ROSENTHAL" (WA) is a separate record

This page covers filings where the address state is CO or CA or NY. A separate record, "DAVID ROSENTHAL" with address state WA, is listed on 2 filings — most recently by Acquired Capital Fund I LP (Apr 24, 2024). Both records have filings in the same period (Feb 9, 2018 to Sep 25, 2023).

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 ROSENTHAL (WA) — PartnerFacts page ↗Form D · Apr 24, 2024 ↗Acquired Capital Fund I LP — PartnerFacts page ↗David Rosenthal (CO,CA,NY) — this page ↗
Sources
Note · Nov 12, 2013

Same name, different state: "David A. Rosenthal" (VA) is a separate record

This page covers filings where the address state is CO or CA or NY. A separate record, "David A. Rosenthal" with address state VA, is listed on 1 filing — most recently by FoundationDB, Inc. (Nov 12, 2013). The two records do not overlap in time: this page runs Feb 9, 2018 to Sep 25, 2023; the other has one filing dated Nov 12, 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.

David A. Rosenthal (VA) — PartnerFacts page ↗Form D · Nov 12, 2013 ↗FoundationDB, Inc. — PartnerFacts page ↗David Rosenthal (CO,CA,NY) — this page ↗
Sources
Note · May 3, 2018 – Feb 27, 2019

Address moved from Studio City, CA to Culver City, CA — Redwood Holding Group, LLC

The people listed on the May 3, 2018 filing give Studio City, CA; on the Feb 27, 2019 filing they give Culver City, CA.

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.

Form D · May 3, 2018 ↗Form D · Feb 27, 2019 ↗Redwood Holding Group, LLC — PartnerFacts page ↗
Sources
Note · Apr 24, 2012 – Feb 2, 2026

David Rosenthal is listed with 3 different address states: CO, CA, NY

CO on 2 filings (Apr 24, 2012 to Aug 17, 2020); CA on 9 filings (Feb 9, 2018 to Sep 25, 2023); NY on 4 filings (May 3, 2018 to Feb 2, 2026).

What this means The address on a Form D is usually the company's, not the person's home, so this often just reflects different companies. It can also mean a move. Nothing wrong by itself.

Form D · Apr 24, 2012 ↗Form D · Feb 9, 2018 ↗Form D · May 3, 2018 ↗
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

0 of 14 offerings report sales commissions; 3 report finder's fees totalling $14,224; 7 report proceeds to related persons totalling $700,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Feb 2, 2026 D
Engin Sciences Inc.
File 021-572077
$0$0$0None listed on this filingEDGAR ↗
Mar 28, 2025 D
Engin Sciences Inc.
File 021-542422
$0$0$0None listed on this filingEDGAR ↗
Jun 20, 2024 D
Engin Sciences Inc.
File 021-516407
$0$0$0None listed on this filingEDGAR ↗
Sep 25, 2023 D
Trait Biosciences Inc.
File 021-492902
$0$0$150,000 (est.)None listed on this filingEDGAR ↗
Nov 23, 2022 D
Trait Biosciences Inc.
File 021-465683
$0$5,509$25,000 (est.)PI Financial Corp. no CRD number reportedEDGAR ↗
Nov 23, 2022 D
Trait Biosciences Inc.
File 021-465686
$0$2,676$25,000 (est.)PI Financial Corp. no CRD number reportedEDGAR ↗
Nov 23, 2022 D
Trait Biosciences Inc.
File 021-465688
$0$6,039$25,000 (est.)PI Financial Corp. no CRD number reportedEDGAR ↗
Oct 22, 2021 D
Trait Biosciences Inc.
File 021-418226
$0$0$25,000 (est.)None listed on this filingEDGAR ↗
Mar 31, 2021 D
Trait Biosciences Inc.
File 021-394094
$0$0$400,000 (est.)
Amount above is an estimate of salary per annum.
Canaccord Genuity Corp. no CRD number reported
PI Financial Corp. no CRD number reported		EDGAR ↗
Aug 17, 2020 D
Altum Investments, Inc.
File 021-373356
$0$0$0None listed on this filingEDGAR ↗
Feb 27, 2019 D
Redwood Holding Group, LLC
File 021-333629
$0$0$0None no CRD number reportedEDGAR ↗
Jun 8, 2018 D/A
Wave I, L.P.
File 021-305333
$0$0$0None listed on this filingEDGAR ↗
May 3, 2018 D
Redwood Holding Group, LLC
File 021-311639
$0$0$0None no CRD number reportedEDGAR ↗
Apr 24, 2012 D
Gravaton Energy Resources Ltd., LLC
File 021-177149
$0$0$50,000 (est.)None 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 6

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

ES
Other

Engin Sciences Inc.

New York City, NY · Jun 20, 2024 → Feb 2, 2026 · 3 filings
  • Feb 2, 2026 · D · $2,269,222 sold of $3,519,222 · 4 investors · min. No minimum reported · role: Director EDGAR ↗
  • Mar 28, 2025 · D · $700,000 sold of $1,000,000 · 4 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jun 20, 2024 · D · $650,000 sold of $1,000,000 · 4 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $2.27M from 6 investors (64% of the $3.52M target) as of the latest filing. David is listed as director on 3 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.

TB
Biotechnology

Trait Biosciences Inc.

Vancouver, British Columbia, Canada (as filed: A1) · Mar 31, 2021 → Sep 25, 2023 · 6 filings
  • Sep 25, 2023 · D · $3,687,316 sold of $3,687,316 · 3 investors · min. $1 · role: Director EDGAR ↗
  • Nov 23, 2022 · D · $230,073 sold of $230,073 · 4 investors · min. $1 · role: Director EDGAR ↗
  • Nov 23, 2022 · D · $101,934 sold of $101,934 · 4 investors · min. $1 · role: Director EDGAR ↗
  • Nov 23, 2022 · D · $209,849 sold of $209,849 · 4 investors · min. $1 · role: Director EDGAR ↗
  • Oct 22, 2021 · D · $618,750 sold of $618,750 · 4 investors · min. $1 · role: Director EDGAR ↗
  • Mar 31, 2021 · D · $12,081,915 sold of $12,081,915 · 4 investors · min. $1 · role: Director EDGAR ↗

Raised $12.1M from 4 investors (100% of the $3.69M target) as of the latest filing. David is listed as director on 6 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.

AI
Other

Altum Investments, Inc.

Denver, CO · Aug 17, 2020
  • Aug 17, 2020 · D · $3,331,185 sold of $6,000,000 · 6 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $17M from 37 investors (100% of the $6M target) as of the latest filing. David is listed as director.

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.

RH
Other

Redwood Holding Group, LLC

Culver City, CA · May 3, 2018 → Feb 27, 2019 · 2 filings
  • Feb 27, 2019 · D · $14,699,969 sold of $14,699,969 · 17 investors · min. No minimum reported · role: Director EDGAR ↗
  • May 3, 2018 · D · $6,445,178 sold of $6,445,178 · 15 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $14.7M from 17 investors (100% of the $14.7M 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: 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.

WI
Pooled Investment Fund

Wave I, L.P.

San Francisco, CA · Feb 9, 2018 → Jun 8, 2018 · 2 filings
  • Jun 8, 2018 · D/A · $53,225,000 sold of $60,000,000 · 38 investors · min. No minimum reported · role: Executive Officer, Director (MANAGING DIRECTOR OF WAVE GP I LLC, GENERAL PARTNER) EDGAR ↗
  • Feb 9, 2018 · D · $31,525,000 sold of $35,000,000 · 28 investors · min. No minimum reported · role: Executive Officer (MANAGING DIRECTOR OF WAVE GP I LLC, GENERAL PARTNER) EDGAR ↗

Raised $53.2M from 38 investors (89% of the $60M target) as of the latest filing. David is listed as executive officer, 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: Pooled Investment Fund / 506(b) (83,801 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.

GE
Other Energy

Gravaton Energy Resources Ltd., LLC

Lakewood, CO · Apr 24, 2012
  • Apr 24, 2012 · D · $75,000 sold of $300,000 · 3 investors · min. $10,000 · role: Executive Officer, Promoter EDGAR ↗

Raised $75K from 3 investors (25% of the $300K target) as of the latest filing. David is listed as executive officer, 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.

Other pages with the same name (2)

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

  • DAVID ROSENTHAL — WA, 2 issuers, Mar 29, 2016 → Apr 24, 2024 · no shared issuer
  • David A. Rosenthal — VA, 1 issuer, Nov 12, 2013 → Nov 12, 2013 · no shared issuer

People around David 21

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

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

David William Smalley

Executive Officer · 6 shared filings (1 issuer) · also on 6 other issuers

David William Smalley is on 7 issuers in total — a repeat sponsor. Their page lists every one.

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

Andrew Templeton Hunter

Executive Officer · 6 shared filings (1 issuer) · also on 3 other issuers

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

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

Ronan David Levy

Director · 6 shared filings (1 issuer)

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

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

Peter Flint

Director · 4 shared filings (2 issuers) · also on 3 other issuers

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

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

Hanny Kanafani

Executive Officer · 4 shared filings (1 issuer)

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

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

Sloane Barbour

Executive Officer, Director · 3 shared filings (1 issuer)

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

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

Palle Pedersen

Director · 3 shared filings (1 issuer)

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

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

Riley Newman

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

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

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

Alan Rader

Director · 2 shared filings (1 issuer)

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

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

Cindy Capobianco

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

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

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

Robert Rosenheck

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

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

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

Michael Henderson-Cohen

Director · 2 shared filings (1 issuer) · also on 3 other issuers

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

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

Peter J. McDonough

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

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

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

Jay Sweeney

Executive Officer · 2 shared filings (1 issuer)

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

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

John Farrell

Director · 2 shared filings (1 issuer)

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

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

Mike Brewer

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

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

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

Edward Peterson

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

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

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

Sara Adler

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

Sara Adler is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

Lisa McClung

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

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

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

Jim Flanigan

Director · 1 shared filing (1 issuer)

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

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

Andres Azcarraga

Director · 1 shared filing (1 issuer)

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

The team behind the deals

Same business address

1 other issuer 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); KY (Kentucky Secretary of State — Business Entity Search (sosbes.sos.ky.gov), searched by issuer name, data as of Oct 24, 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 6 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 Rosenthal 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 6 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers David Rosenthal is listed on: none on file. No website or social profile named in Wave I, L.P.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #252,800 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 (San Francisco, 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) ↗Colorado state courts — find the court ↗California — find the county court ↗Los Angeles Superior Court case search ↗New York WebCivil Supreme ↗

Securities regulators

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

Business registries

Colorado Secretary of State business search ↗California Secretary of State business search ↗New York Secretary of State business search ↗OpenCorporates ↗

Change history

No corrections have been requested for this page.

Every fact links to its public-record source. Plain-English notes next to a fact are our reading of that fact, not a rating. Request a correction · Facts policy

Request a correction

Free. Logged with status: received → under review → fixed / confirmed with source.

Add a response

If this is you or your firm, add a sourced explanation next to any fact. Reviewed before publishing.

Monitor this person

Members get an email when David Rosenthal appears on a new Form D, or when a court case or SEC action is matched to them. See plans →