PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:51 AM ET

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Eric Rothfus

Named as an officer, director or promoter on SEC Form D filings · TX · Oct 29, 2009 → Aug 30, 2012

2deals (issuers)
$8.91Mreported sold
18investors
11Form D filings
2009–2012years on file

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:20 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Eric Rothfus is listed as a director on 11 SEC Form D filings by 2 issuers between Oct 2009 and Aug 2012: INTRANSA, INC (Cupertino, CA — other technology — 2009–2012; $7.66M reported sold to 17 investors) and EQUIPHON, INC. (Austin, TX — computers — 2009; $1.25M reported sold to 1 investors).

What this means 2 separate companies raised money with this person listed as director, over about 3 years. Across those companies the filings report $8.91M sold in total.

Listed alongside Amit Srivastava (10 shared filings), Paul Bartlett (10 shared filings), Paul Matteucci (10 shared filings), Rodgers C. Broomhead, Jr. (10 shared filings), Robert Mally (6 shared filings) and 2 others.

What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Eric. 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) — 2 court cases matching the name listed in Key records below.

What this means 2 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 11 public filings for Eric Rothfus and found 8 differences: Eric Rothfus appears on 1 deal that stopped filing before reaching its target; Form D filed 34 days after the first sale; and more below.

What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.

What the community is saying

Community search for Eric Rothfus has not run yet — it is #17,878 of 42,236 in line; searches run around the clock at the hosts' allowed rate. Searched so far: 641 names.

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

Key records

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

1. Lawsuits

2 cases: 1 dismissed, 1 closed (disposition not in docket feed)

Rothfus v. Organon USA, Inc. dismissed
District Court, E.D. Missouri · No. 4:14-cv-00639 · Filed Mar 28, 2014 · Closed Feb 10, 2017 · Nature of suit: 367 Health care / pharm
Role of Rothfus: Plaintiff · Outcome: Terminated 2017-02-10 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 2 federal dockets); surname only in the caption; court in MO (not a filing state)
Rothfus v. Organon USA, Inc. closed
District Court, S.D. Illinois · No. 3:14-cv-00253 · Filed Feb 21, 2014 · Closed Mar 25, 2014 · Nature of suit: 367 Health care / pharm
Role of Rothfus: Plaintiff · Outcome: Terminated 2014-03-25 — FJC Integrated Database disposition: Multi-district litigation transfer Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 2 federal dockets); surname only in the caption; court in IL (not a filing state)
What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:20 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: 48 regulators (FINRA, NASAA, 37 states) — crawled Oct 24, 2026, 8:48 AM ET

What was searched

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Eric Rothfus..

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

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

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, 2:20 AM ET.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

4. Differences between public sources

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

8 differences found between the filings for Eric Rothfus (compared 11 filings on Oct 24, 2026)

Note · Oct 29, 2009

Eric Rothfus appears on 1 deal that stopped filing before reaching its target

EQUIPHON, INC. (last filing Oct 29, 2009; $1,250,000 sold of $4,250,000). 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.

Sources
Note · Jan 20, 2012 – Feb 23, 2012

Form D filed 34 days after the first sale — INTRANSA, INC

The filing says the first sale was Jan 20, 2012. The Form D was filed Feb 23, 2012 — 34 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 19 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.

Sources
Note · Oct 28, 2009 – Jun 15, 2012

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 — INTRANSA, INC (latest filing Jun 15, 2012) · No amendment in the last 12 months on an offering that may still be open — INTRANSA, INC (latest filing Sep 7, 2011) · No amendment in the last 12 months on an offering that may still be open — INTRANSA, INC (latest filing Apr 21, 2011) · No amendment in the last 12 months on an offering that may still be open — INTRANSA, INC (latest filing Nov 10, 2009) · No amendment in the last 12 months on an offering that may still be open — EQUIPHON, INC. (latest filing Oct 29, 2009)

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

Sources
Note · Jul 11, 2012 – Aug 30, 2012

Offering amount changed between filings — INTRANSA, INC

The Jul 11, 2012 filing says $600,000 offered; the Aug 30, 2012 Form D/A says $1,000,000.

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.

Sources
Note · Feb 23, 2012 – Jun 15, 2012

Offering amount changed between filings — INTRANSA, INC

The Feb 23, 2012 filing says $6,792,825 offered; the Jun 15, 2012 Form D/A says $7,673,729.

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.

Sources
Note · Jun 3, 2010 – Aug 24, 2010

Offering amount changed between filings — INTRANSA, INC

The Jun 3, 2010 filing says $1,879,559 offered; the Aug 24, 2010 Form D/A says $6,357,726.

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.

Sources
Note · May 8, 2009 – Mar 21, 2012

Same name, different state: "Eric Rothfus" (PA) is a separate record

This page covers filings where the address state is TX. A separate record, "Eric Rothfus" with address state PA, is listed on 2 filings — most recently by Alara Capital Partners, LLC (Mar 21, 2012). Both records have filings in the same period (Oct 29, 2009 to Mar 21, 2012).

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

Sources
Note · Feb 23, 2012 – Jun 15, 2012

Address moved from Cupertino, CA to Santa Clara, CA — INTRANSA, INC

The people listed on the Feb 23, 2012 filing give Cupertino, CA; on the Jun 15, 2012 filing they give Santa Clara, 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.

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

None reported on 8 offerings — no sales commissions, finder's fees or proceeds to insiders

Per-offering detail
Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Aug 30, 2012 D/A
INTRANSA, INC
File 021-181045
$0$0$0None listed on this filingEDGAR ↗
Jun 15, 2012 D/A
INTRANSA, INC
File 021-173861
$0$0$0None listed on this filingEDGAR ↗
Sep 7, 2011 D
INTRANSA, INC
File 021-165421
$0$0$0None listed on this filingEDGAR ↗
Aug 8, 2011 D
INTRANSA, INC
File 021-164072
$0$0$0None listed on this filingEDGAR ↗
Apr 21, 2011 D
INTRANSA, INC
File 021-158722
$0$0$0None listed on this filingEDGAR ↗
Aug 24, 2010 D/A
INTRANSA, INC
File 021-142884
$0$0$0None listed on this filingEDGAR ↗
Nov 10, 2009 D
INTRANSA, INC
File 021-51501
$0$0$0None listed on this filingEDGAR ↗
Oct 29, 2009 D
EQUIPHON, INC.
File 021-135690
$0$0$0
No such payments other than compensation to executive officers in their roles as employees.
None listed on this filingEDGAR ↗

Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Counted across every filing this person is listed on (latest filing per offering, per issuer).

Deals 2

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

Other Technology

INTRANSA, INC

Cupertino, CA · Nov 10, 2009 → Aug 30, 2012 · 10 filings
  • Aug 30, 2012 · D/A · $1,000,000 sold of $1,000,000 · 8 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jul 11, 2012 · D · $600,000 sold of $600,000 · 8 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jun 15, 2012 · D/A · $7,655,639 sold of $7,673,729 · 17 investors · min. No minimum reported · role: Director EDGAR ↗
  • Feb 23, 2012 · D · $4,407,257 sold of $6,792,825 · 17 investors · min. No minimum reported · role: Director EDGAR ↗
  • Sep 7, 2011 · D · $3,750,000 sold of $4,888,700 · 8 investors · min. No minimum reported · role: Director EDGAR ↗
  • Aug 8, 2011 · D · $750,000 sold of $750,000 · 8 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 21, 2011 · D · $2,999,999 sold of $3,100,048 · 8 investors · min. No minimum reported · role: Director EDGAR ↗
  • Aug 24, 2010 · D/A · $6,357,726 sold of $6,357,726 · 13 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jun 3, 2010 · D · $1,879,559 sold of $1,879,559 · 12 investors · min. No minimum reported · role: Director EDGAR ↗
  • Nov 10, 2009 · D · $1,500,000 sold of $3,000,000 · 12 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $7.66M from 17 investors (100% of the $1M target) as of the latest filing. Eric is listed as director on 10 filings for this deal.

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.

Computers

EQUIPHON, INC.

Austin, TX · Oct 29, 2009
  • Oct 29, 2009 · D · $1,250,000 sold of $4,250,000 · 1 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $1.25M from 1 investor (29% of the $4.25M target) as of the latest filing. Eric is listed as director.

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 (1)

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

  • Eric Rothfus — PA, 2 issuers, May 8, 2009 → Mar 21, 2012 · no shared issuer

People around Eric 7

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

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

Amit Srivastava

Director · 10 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Eric Rothfus. Their page shows their other deals.

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

Paul Matteucci

Director · 10 shared filings (1 issuer) · also on 4 other issuers

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

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

Paul Bartlett

Director · 10 shared filings (1 issuer)

Listed on the same filings as Eric Rothfus. Their page shows their other deals.

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

Rodgers C. Broomhead, Jr.

Executive Officer, Director · 10 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Eric Rothfus. Their page shows their other deals.

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

Robert Mally

Executive Officer · 6 shared filings (1 issuer)

Listed on the same filings as Eric Rothfus. Their page shows their other deals.

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

Mark Alexander

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

Listed on the same filings as Eric Rothfus. Their page shows their other deals.

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

Bill Roeschlein

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Eric Rothfus. 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); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file).

Adviser registration (Form ADV)

None of the 2 issuers this person is listed on appears in Form ADV (searched 24,962 advisers as of Oct 2, 2026). A person is never an adviser firm; Form ADV is checked for the issuers and the management companies they are listed with.

Other offering types (Regulation A and Regulation Crowdfunding)

Searched SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.

Property records none — individuals are not matched

Property records are matched to companies only, never to individuals, so none are matched to Eric Rothfus by design. Searched property records in Hillsborough County FL (Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026 + FL DOR 2026 ownership roll), Miami-Dade County FL (FL DOR 2026 ownership roll), Harris County TX (HCAD 2026 ownership roll), Dallas County TX (DCAD 2026 ownership roll), New York City ACRIS documents and PLUTO ownership rows already retrieved for other issuers, Cook County IL sale and ownership rows already retrieved for other issuers (814,874 records as of Oct 23, 2026, 8:59 PM ET) for the 2 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Eric Rothfus is listed on: none on file. No website or social profile named in INTRANSA, INC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #337,737 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 (Cupertino, CA). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Change history

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