Sponsor Check › Person
Related person on Form D filings · address state as listed: CA · listed Feb 24, 2010 → Oct 4, 2023
Data last updated: Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: not yet · SEC enforcement last checked: not yet
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Sources to be searched: CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Search queued. Results are added automatically; check back later or follow this page to be notified.
State courts: not yet searched. 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.
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. — not yet searched; State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states: not yet searched.
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Sources to be searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Search queued. Results are added automatically; check back later or follow this page to be notified.
State courts: not yet searched. 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 are made for sponsors and sponsor groups, not individual people.
4 of 19 offerings report sales commissions totalling $5,030,034; 2 report finder's fees totalling $328,000; 3 report proceeds to related persons totalling $1,456,000. (includes amounts the issuer reported as estimates)
| Source | Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it |
|---|---|---|---|---|---|
| EDGAR ↗ | Oct 4, 2023 D File 021-493753 | $3,599,295 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Aug 11, 2020 D File 021-372998 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Mar 20, 2019 D/A File 021-292854 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Dec 22, 2017 D File 021-301474 | $1,050,000 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Feb 8, 2017 D File 021-280304 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jul 6, 2016 D File 021-266382 | $61,739 | $0 | $0 | Maxim Group LLC BrokerCheck CRD 120708 ↗ |
| EDGAR ↗ | Oct 22, 2015 D File 021-249875 | $319,000 | $0 | $0 | Maxim Group LLC BrokerCheck CRD 120708 ↗ |
| EDGAR ↗ | Oct 21, 2015 D File 021-249786 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Aug 21, 2015 D File 021-246228 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Mar 11, 2015 D File 021-235688 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Oct 3, 2013 D File 021-203964 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Sep 20, 2013 D File 021-203323 | $0 | $78,000 | $300,000 (est.) | SDDCO Brokerage Advisors BrokerCheck CRD 153563 ↗ |
| EDGAR ↗ | Sep 13, 2013 D/A File 021-199586 | $0 | $0 | $500,000 (est.) | None listed on this filing |
| EDGAR ↗ | Nov 20, 2012 D File 021-187248 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Aug 13, 2012 D/A File 021-172433 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Feb 14, 2012 D File 021-173464 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Mar 31, 2011 D File 021-157685 | $0 | $250,000 | $656,000 Wages to be paid to executive officers | A Plus Co., Ltd no CRD number reported |
| EDGAR ↗ | Nov 19, 2010 D File 021-150812 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Mar 19, 2010 D/A File 021-139006 | $0 | $0 | $0 | None listed on this filing |
As reported by the issuer on Form D (Items 12–15), 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).
| Source | Issuer | Role | Filed | Form | Offering | Sold | Investors | Min. investment |
|---|---|---|---|---|---|---|---|---|
| EDGAR ↗ | SOLENO THERAPEUTICS INC | Director | Oct 4, 2023 | D | $59,988,250 similar: $2,000,000–$19,999,994 | $59,988,250 | 14 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Orbus Therapeutics, Inc. | Director | Aug 11, 2020 | D | $27,000,000 similar: $2,000,000–$19,999,994 | $10,000,000 | 1 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Orbus Therapeutics, Inc. | Director | Mar 20, 2019 | D/A | $39,500,024 similar: $2,000,000–$19,999,994 | $18,500,014 | 16 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | SOLENO THERAPEUTICS INC | Director | Dec 22, 2017 | D | $15,000,006 similar: $829,831–$9,999,998 | $15,000,006 | 16 similar: 2–15 | No minimum reported similar: $10,000–$54,310 |
| EDGAR ↗ | Orbus Therapeutics, Inc. | Director | Aug 15, 2017 | D | $24,500,012 similar: $2,000,000–$19,999,994 | $12,500,005 | 16 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | SOLENO THERAPEUTICS INC | Director | Feb 8, 2017 | D | $17,000,000 similar: $829,831–$9,999,998 | $602,083 | 1 similar: 2–15 | No minimum reported similar: $10,000–$54,310 |
| EDGAR ↗ | SOLENO THERAPEUTICS INC | Director | Jul 6, 2016 | D | $13,780,000 similar: $829,831–$9,999,998 | $3,151,000 | 3 similar: 2–15 | No minimum reported similar: $10,000–$54,310 |
| EDGAR ↗ | SOLENO THERAPEUTICS INC | Director | Oct 22, 2015 | D | $10,000,000 similar: $829,831–$9,999,998 | $4,555,000 | 3 similar: 2–15 | No minimum reported similar: $10,000–$54,310 |
| EDGAR ↗ | SOLENO THERAPEUTICS INC | Director | Oct 21, 2015 | D | $10,000,000 similar: $829,831–$9,999,998 | $1,434,194 | 1 similar: 2–15 | No minimum reported similar: $10,000–$54,310 |
| EDGAR ↗ | Orbus Therapeutics, Inc. | Director | Aug 21, 2015 | D | $32,500,010 similar: $2,000,000–$19,999,994 | $18,000,005 | 15 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | SOLENO THERAPEUTICS INC | Director | Mar 11, 2015 | D | $3,684,438 similar: $829,831–$9,999,998 | $3,684,438 | 8 similar: 2–15 | No minimum reported similar: $10,000–$54,310 |
| EDGAR ↗ | Delpor, Inc. | Director | Oct 3, 2013 | D | $500,000 similar: $1,694,259–$16,000,000 | $470,000 | 8 similar: 1–13 | No minimum reported similar: $10,000–$55,000 |
| EDGAR ↗ | Kindred Biosciences, Inc. | Director | Sep 20, 2013 | D | $5,309,755 similar: $2,000,000–$19,999,994 | $5,309,755 | 18 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Kindred Biosciences, Inc. | Director | Sep 13, 2013 | D/A | $6,340,000 similar: $2,000,000–$19,999,994 | $5,896,848 | 50 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Kindred Biosciences, Inc. | Director | Jul 12, 2013 | D | $6,340,000 similar: $2,000,000–$19,999,994 | $2,550,524 | 18 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | XENOPORT INC | Director | Nov 20, 2012 | D | $40,000,000 similar: $1,694,259–$16,000,000 | $20,000,000 | 1 similar: 1–13 | No minimum reported similar: $10,000–$55,000 |
| EDGAR ↗ | SOLENO THERAPEUTICS INC | Executive Officer, Director | Aug 13, 2012 | D/A | $5,193,532 similar: $829,831–$9,999,998 | $5,017,396 | 17 similar: 2–15 | $1 similar: $10,000–$54,310 |
| EDGAR ↗ | Peninsula Skincare Labs, Inc. | Director | Feb 14, 2012 | D | $300,002 similar: $829,831–$9,999,998 | $300,002 | 1 similar: 2–15 | No minimum reported similar: $10,000–$54,310 |
| EDGAR ↗ | SOLENO THERAPEUTICS INC | Executive Officer, Director | Jan 25, 2012 | D | $2,000,200 similar: $829,831–$9,999,998 | $1,893,202 | 17 similar: 2–15 | $1 similar: $10,000–$54,310 |
| EDGAR ↗ | Peninsula Skincare Labs, Inc. | Director | Mar 31, 2011 | D | $3,257,600 similar: $829,831–$9,999,998 | $3,257,600 | 2 similar: 2–15 | No minimum reported similar: $10,000–$54,310 |
| EDGAR ↗ | SOLENO THERAPEUTICS INC | Executive Officer, Director | Nov 19, 2010 | D | $2,000,201 similar: $829,831–$9,999,998 | $1,892,464 | 16 similar: 2–15 | $1 similar: $10,000–$54,310 |
| EDGAR ↗ | SOLENO THERAPEUTICS INC | Executive Officer, Director | Mar 19, 2010 | D/A | $4,700,470 similar: $829,831–$9,999,998 | $3,309,227 | 28 similar: 2–15 | $1 similar: $10,000–$54,310 |
| EDGAR ↗ | SOLENO THERAPEUTICS INC | Executive Officer, Director | Feb 24, 2010 | D | $4,700,470 similar: $829,831–$9,999,998 | $3,097,214 | 12 similar: 2–15 | $1 similar: $10,000–$54,310 |
Every row is a Form D or D/A on which the issuer listed this name as a related person. Related-person names are matched on first + last name and the address state on the filing; records that share a name but could not be tied together by a second identifier are listed separately below.
"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Biotechnology / 506(b) (3,253 filings); Other Health Care / 506(b) (4,189 filings); Pharmaceuticals / 506(b) (800 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.
Not linked to this profile — a second identifier (same issuer, same sponsor group) was not found. Could be the same person or a different one.
People and management entities the issuers listed as related persons on the same Form D filings as Ernest Mario. Source: the EDGAR rows in the table above. Showing the 40 with the most shared filings.
None found in sources searched.
Sources 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 · Last checked Oct 23, 2026, 8:41 PM ET.
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