Greg Wasserman is listed as an executive officer and director on 4 SEC Form D filings by 2 issuers between Dec 2018 and Nov 2020: Galaxy Digital Holdings Ltd. (New York, NY — other banking and financial services — 2020; $50M reported sold to 25 investors) and Clause, Inc. (New York, NY — other technology — 2018; $4.25M reported sold to 6 investors).
What this means 2 separate companies raised money with this person listed as executive officer and director, over about 2 years. Across those companies the filings report $54.2M sold in total.
Listed alongside Andrew Siegel (3 shared filings), Ashwin Prithipaul (3 shared filings), Bill Koutsouras (3 shared filings), Chris Ferraro (3 shared filings), Dominic Docherty (3 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 Greg. Each name links to their own page.
1 of the issuers belongs to the sponsor group Galaxy (49 issuers, $1.49B reported sold, 2017–2026).
What this means A sponsor group is one team that sets up a new company for each deal. Galaxy has 49 companies on file and $1.49B 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 (AZ, CA, DE, TX, WA) — 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 Greg Wasserman and found 4 differences, 1 worth asking the sponsor about: Paid seller listed without a CRD number: Syzygy Investment Advisory Ltd; 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.