PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:43 AM ET

Sponsor Check › Person

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

Frank Phillips

Named as an officer, director or promoter on SEC Form D filings · CA · Jun 18, 2010 → Jan 8, 2025

4deals (issuers)
$39.9Mreported sold
181investors
6Form D filings
2010–2025years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:21 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Frank Phillips is listed as a director on 6 SEC Form D filings by 4 issuers between Jun 2010 and Jan 2025: BAXANO, INC. (San Jose, CA — other health care — 2010; $28.5M reported sold to 12 investors), DermOQ, Inc. (Sherman Oaks, CA — biotechnology — 2025; $8.35M reported sold to 80 investors), Tetrous, Inc. (Sherman Oaks, CA — biotechnology — 2023; $1.74M reported sold to 64 investors) and TheraCell, Inc. (Northridge, CA — biotechnology — 2010–2015; $1.34M reported sold to 25 investors).

What this means A repeat sponsor — 4 separate companies raised money with this person listed as director, over about 15 years. Across those companies the filings report $39.9M sold in total.

Listed alongside Bradley E. Patt (4 shared filings), Jan Iwanczyk (4 shared filings), Andy Carter (2 shared filings), Nikhil Verma (2 shared filings), Andrew Carter (1 shared filing) and 22 others.

What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Frank. Each name links to their own page.

1 of the issuers belongs to the sponsor group Advanced (3 issuers, $3.68M reported sold, 2009–2017).

What this means A sponsor group is one team that sets up a new company for each deal. Advanced has 3 companies on file and $3.68M reported sold in total — the group page shows the whole track record in one place.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (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) — 7 bankruptcy cases matching the name listed in Key records below.

What this means 7 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 6 public filings for Frank Phillips and found 6 differences, 2 worth asking the sponsor about: Form D filed 365 days after the first sale; Form D filed 393 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 Frank Phillips has not run yet — it is #5,634 of 59,765 in line; searches run around the clock at the hosts' allowed rate. Searched so far: 680 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

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

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, 2:21 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.

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 Frank Phillips..

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

7 cases: 7 closed (disposition not in docket feed)

Frank D. Phillips and Julie A. Phillips closed
United States Bankruptcy Court, C.D. California · No. 9:11-bk-14037 · Filed Aug 25, 2011 · Closed Dec 9, 2011
Role of Frank D. Phillips and Julie A. Phillips: Debtor · Outcome: Case closed 2011-12-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 110 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (CA)
Frank R Phillips closed
United States Bankruptcy Court, C.D. California · No. 9:09-bk-13108 · Filed Aug 4, 2009 · Closed Jan 12, 2010
Role of Frank R Phillips: Debtor · Outcome: Case closed 2010-01-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 110 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (CA)
Frank L. Phillips and Diane Y. Phillips closed
United States Bankruptcy Court, N.D. California · No. 07-50022 · Filed Jan 5, 2007 · Closed Jan 19, 2011
Role of Frank L. Phillips and Diane Y. Phillips: Debtor · Outcome: Case closed 2011-01-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 110 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (CA)
Frank Phillips closed
United States Bankruptcy Court, E.D. California · No. 02-20503 · Filed Jan 15, 2002 · Closed Apr 30, 2002
Role of Frank Phillips: Debtor · Outcome: Case closed 2002-04-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 110 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (CA)
Frank G. Phillips and Cherie D. Phillips closed
United States Bankruptcy Court, S.D. California · No. 98-07322 · Filed May 21, 1998 · Closed Sep 16, 1998
Role of Frank G. Phillips and Cherie D. Phillips: Debtor · Outcome: Case closed 1998-09-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 110 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (CA)
Frank H. Phillips closed
United States Bankruptcy Court, N.D. California · No. 97-33355 · Filed Jul 21, 1997 · Closed Nov 14, 1997
Role of Frank H. Phillips: Debtor · Outcome: Case closed 1997-11-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 110 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (CA)
Frank J. Phillips and Barbara A. Phillips closed
United States Bankruptcy Court, C.D. California · No. 6:93-bk-10450 · Filed Jan 13, 1993 · Closed Sep 2, 1998
Role of Frank J. Phillips and Barbara A. Phillips: Debtor · Outcome: Case closed 1998-09-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 110 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (CA)
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, 2:21 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

6 differences found between the filings for Frank Phillips — 2 worth asking about (compared 6 filings on Oct 24, 2026)

Note · Jul 26, 2010 – Apr 8, 2016

4 bankruptcy cases name the subject or team members

Bankruptcy case: Screen Capital International Corp., derivatively o v. Saadat — filed Feb 21, 2013 · Bankruptcy case: Saadat v. KeyBank USA, National Association — filed Aug 15, 2012 · Bankruptcy case: Discover Bank, Issuer of the Discover Card v. Saadat — filed May 13, 2011 · Bankruptcy case: Chase Bank USA, N.A. v. SAADAT-SARMADI — filed Jul 26, 2010

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Docket · United States Bankruptcy Court, C.D. California ↗Vahid Saadat — PartnerFacts page ↗Docket · United States Bankruptcy Court, C.D. California ↗Docket · United States Bankruptcy Court, C.D. California ↗
Sources
Note · Mar 17, 2015

Frank Phillips appears on 1 deal that stopped filing before reaching its target

TheraCell, Inc. (last filing Mar 17, 2015; $1,344,000 sold of $3,000,000). Each has no filing in more than two years and reported under half its target sold.

What this means An issuer whose last filing is more than two years old and reported under half its target sold. The raise may have closed early or quietly stopped. Ask what happened to each.

TheraCell, Inc. — PartnerFacts page ↗
Sources
Worth asking · Jan 9, 2024 – Jan 8, 2025

Form D filed 365 days after the first sale — DermOQ, Inc.

The filing says the first sale was Jan 9, 2024. The Form D was filed Jan 8, 2025 — 365 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 350 days past that.

What this means The notice went in months after money was taken in. Late notices are common and carry no penalty by themselves, but it is fair to ask the sponsor why the paperwork lagged.

Form D · Jan 8, 2025 ↗DermOQ, Inc. — PartnerFacts page ↗
Sources
Worth asking · Sep 3, 2009 – Oct 1, 2010

Form D filed 393 days after the first sale — TheraCell, Inc.

The filing says the first sale was Sep 3, 2009. The Form D was filed Oct 1, 2010 — 393 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 378 days past that.

What this means The notice went in months after money was taken in. Late notices are common and carry no penalty by themselves, but it is fair to ask the sponsor why the paperwork lagged.

Form D · Oct 1, 2010 ↗TheraCell, Inc. — PartnerFacts page ↗
Sources
Note · Sep 3, 2009 – Jan 8, 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 — DermOQ, Inc. (latest filing Jan 8, 2025) · No amendment in the last 12 months on an offering that may still be open — Tetrous, Inc. (latest filing Dec 22, 2023) · No amendment in the last 12 months on an offering that may still be open — TheraCell, Inc. (latest filing Mar 17, 2015) · No amendment in the last 12 months on an offering that may still be open — TheraCell, Inc. (latest filing Oct 1, 2010) · No amendment in the last 12 months on an offering that may still be open — BAXANO, INC. (latest filing Jun 18, 2010)

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 · Jan 8, 2025 ↗DermOQ, Inc. — PartnerFacts page ↗Form D/A · Dec 22, 2023 ↗Tetrous, Inc. — PartnerFacts page ↗
Sources
Note · Oct 13, 2016 – May 15, 2025

Same name, different state: "Frank Phillips" (IL) is a separate record

This page covers filings where the address state is CA. A separate record, "Frank Phillips" with address state IL, is listed on 9 filings — most recently by EDGe Surgical, Inc. (May 15, 2025). Both records have filings in the same period (Oct 13, 2016 to Jan 8, 2025).

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.

Frank Phillips (IL) — PartnerFacts page ↗Form D · May 15, 2025 ↗EDGe Surgical, Inc. — PartnerFacts page ↗Frank Phillips (CA) — this page ↗
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

1 of 5 offerings reports sales commissions totalling $4,072; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Jan 8, 2025 D
DermOQ, Inc.
File 021-534640
$4,072 (est.)$0 (est.)$0Tangent Capital Partners, LLC BrokerCheck CRD 146999 ↗
via Ariel Ohana (CRD 7116886 ↗)
EDGAR ↗
Dec 22, 2023 D/A
Tetrous, Inc.
File 021-500510
$0$0$0Sutter Securities Group BrokerCheck CRD 134742 ↗EDGAR ↗
Mar 17, 2015 D
TheraCell, Inc.
File 021-236032
$0 (est.)$0$0FlashFunders Securities, LLC BrokerCheck CRD 134742 ↗EDGAR ↗
Oct 1, 2010 D
TheraCell, Inc.
File 021-148431
$0$0$0None listed on this filingEDGAR ↗
Jun 18, 2010 D
BAXANO, INC.
File 021-143751
$0$0$0None 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 4

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

D
Biotechnology

DermOQ, Inc.

Sherman Oaks, CA · Jan 8, 2025
  • Jan 8, 2025 · D · $8,352,108 sold of $12,359,189 · 80 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $8.35M from 80 investors (68% of the $12.4M target) as of the latest filing. Frank 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: 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.

T
Biotechnology

Tetrous, Inc.

Sherman Oaks, CA · Dec 21, 2023 → Dec 22, 2023 · 2 filings
  • Dec 22, 2023 · D/A · $444,639 sold of $5,000,000 · 2 investors · min. $50,000 · role: Director EDGAR ↗
  • Dec 21, 2023 · D · $444,639 sold of $5,000,000 · 2 investors · min. $50,000 · role: Director EDGAR ↗

Raised $1.74M from 64 investors (35% of the $5M target) as of the latest filing. Frank 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: Biotechnology / 506(c) (163 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.

T
Biotechnology · group: Advanced

TheraCell, Inc.

Northridge, CA · Oct 1, 2010 → Mar 17, 2015 · 2 filings
  • Mar 17, 2015 · D · $75,000 sold of $3,000,000 · 3 investors · min. $10,000 · role: Director EDGAR ↗
  • Oct 1, 2010 · D · $1,344,000 sold of $3,000,000 · 25 investors · min. $10,000 · role: Director EDGAR ↗

Raised $1.34M from 25 investors (45% of the $3M target) as of the latest filing. Frank 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: Biotechnology / 506(c) (163 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.

B
Other Health Care

BAXANO, INC.

San Jose, CA · Jun 18, 2010
  • Jun 18, 2010 · D · $28,500,000 sold of $30,000,000 · 12 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $28.5M from 12 investors (95% of the $30M target) as of the latest filing. Frank 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.

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.

  • Frank Phillips — IL, 1 issuer, Oct 13, 2016 → May 15, 2025 · no shared issuer

People around Frank 27

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

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

Bradley E. Patt

Director, Executive Officer · 4 shared filings (2 issuers) · also on 2 other issuers

Listed on the same filings as Frank Phillips. Their page shows their other deals.

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

Jan Iwanczyk

Director · 4 shared filings (2 issuers) · also on 1 other issuer

Listed on the same filings as Frank Phillips. Their page shows their other deals.

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

Nikhil Verma

Director · 2 shared filings (1 issuer)

Listed on the same filings as Frank Phillips. Their page shows their other deals.

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

Andy Carter

Director · 2 shared filings (1 issuer)

Listed on the same filings as Frank Phillips. Their page shows their other deals.

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

Russell Hirsch

Director · 1 shared filing (1 issuer) · also on 11 other issuers

Russell Hirsch is on 12 issuers in total — a repeat sponsor. Their page lists every one.

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

James Shapiro

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

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

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

David Clapper

Director · 1 shared filing (1 issuer) · also on 6 other issuers

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

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

Jeffery Bleich

Director · 1 shared filing (1 issuer)

Listed on the same filings as Frank Phillips. Their page shows their other deals.

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

Vahid Saadat

Director · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as Frank Phillips. Their page shows their other deals.

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

Anthony Recupero

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

Listed on the same filings as Frank Phillips. Their page shows their other deals.

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

Stephen Thau

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

Listed on the same filings as Frank Phillips. Their page shows their other deals.

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

Michael Gandy

Executive Officer · 1 shared filing (1 issuer) · also on 2 other issuers

Listed on the same filings as Frank Phillips. Their page shows their other deals.

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

Richard K. Grant

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

Listed on the same filings as Frank Phillips. Their page shows their other deals.

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

Danny Gazit

Director · 1 shared filing (1 issuer)

Listed on the same filings as Frank Phillips. Their page shows their other deals.

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

William Harrington

Director · 1 shared filing (1 issuer) · also on 9 other issuers

William Harrington is on 10 issuers in total — a repeat sponsor. Their page lists every one.

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

Andrew Carter

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Frank Phillips. Their page shows their other deals.

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

Nelson Scarborough

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Frank Phillips. Their page shows their other deals.

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

John Bojanowski

Director · 1 shared filing (1 issuer)

Listed on the same filings as Frank Phillips. Their page shows their other deals.

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

Gunnar Andersson

Director · 1 shared filing (1 issuer)

Listed on the same filings as Frank Phillips. Their page shows their other deals.

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

Simon Berry

Director · 1 shared filing (1 issuer)

Listed on the same filings as Frank Phillips. Their page shows their other deals.

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

Neel Anand

Director · 1 shared filing (1 issuer)

Listed on the same filings as Frank Phillips. Their page shows their other deals.

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

Melissa Jochim

Director · 1 shared filing (1 issuer)

Listed on the same filings as Frank Phillips. Their page shows their other deals.

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

Gerard Camme

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

Listed on the same filings as Frank Phillips. Their page shows their other deals.

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

Nima Gharavi

Director · 1 shared filing (1 issuer)

Listed on the same filings as Frank Phillips. Their page shows their other deals.

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

Patt E. Bradley

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

Listed on the same filings as Frank Phillips. Their page shows their other deals.

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

Joseph Miller

Director · 1 shared filing (1 issuer) · also on 11 other issuers

Joseph Miller is on 12 issuers in total — a repeat sponsor. Their page lists every one.

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

Joseph M. Miller

Director · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as Frank Phillips. Their page shows their other deals.

The team behind the deals

A
Sponsor group

Advanced

3 issuers · 5 filings · $3.68M reported sold · 2009–2017

One team, 3 deal companies. Frank Phillips is listed on 1 of them.

Sources

Issuers are grouped when their Form D filings share related persons, a management entity or a business address (automatic match from the filings). "Listed" marks the issuers that name Frank Phillips.

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 4 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 Frank Phillips 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 4 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Frank Phillips is listed on: none on file. No website or social profile named in BAXANO, INC.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #360,745 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 Jose, 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) ↗California — find the county court ↗Los Angeles Superior Court case search ↗

Securities regulators

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

Business registries

California Secretary of State business search ↗OpenCorporates ↗

Change history

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