Gavin Bates is listed as an executive officer and director on 4 SEC Form D filings by 3 issuers between Jul 2016 and Feb 2022: CALTIUS PARTNERS VI (SBIC), LP (Los Angeles, CA — pooled investment fund — 2021; $102.6M reported sold to 43 investors), GLM Holdco, LLC (Chicago, IL — industry reported as "Other" — 2016–2018; $13.9M reported sold to 5 investors) and CALTIUS PARTNERS VI, LP (Los Angeles, CA — pooled investment fund — 2022).
What this means A repeat sponsor — 3 separate companies raised money with this person listed as executive officer and director, over about 6 years. Across those companies the filings report $116.5M sold in total.
The issuers belong to 2 sponsor groups: Caltius (14 issuers, $594.1M reported sold, 2010–2025) and Glm (4 issuers, $25.9M reported sold, 2015–2018).
What this means This person is listed across more than one sponsor team; each group page shows that team's full track record.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, OK, OR, PA, RI, SC, SD, TN, TX, VT, WA, WI, WV, WY) — none found.
What this means Nothing turned up where we looked (3 sources). That does not prove there is nothing — it means none was found in those sources on that date.
We compared 4 public filings for Gavin Bates and found 2 differences: No amendment in the last 12 months on an offering that may still be open; Gavin Bates is written 2 different ways on the filings.
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.