Sponsor Check › Person
Related person on Form D filings · address states as listed: NY, CA, MD, NJ, NC, IA, MA, PA, VA, FL · listed Jun 6, 2011 → Feb 7, 2019
Data last updated: Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 23, 2026, 11:59 PM ET · SEC enforcement last checked: not yet
Privacy: business-related public information only. Residential addresses are never shown; only the state from the filing.
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Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30) — federal district + bankruptcy courts; live RECAP re-check pending. State courts: not yet searched. PACER: not searched. · Last checked Oct 23, 2026, 11:59 PM ET.
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 searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Last checked Oct 23, 2026, 11:59 PM ET.
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.
37 of 56 offerings report sales commissions totalling $49,350,368; 2 report finder's fees totalling $3,601,999; 11 report proceeds to related persons totalling $5,372,848. (includes amounts the issuer reported as estimates)
| Source | Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it |
|---|---|---|---|---|---|
| EDGAR ↗ | Jul 18, 2019 D/A File 021-322669 | $5,646,346 | $0 | $0 The company has agreed to pay its CEO and COO a bonus equal to their accrued/unpaid salary, half of which is due upon a closing of $15 million in the offering and half upon a closing of $30 million (or at the closing of a subsequent financing). | Maxim Group LLC BrokerCheck CRD 120708 ↗ |
| EDGAR ↗ | Feb 7, 2019 D/A File 021-293250 | $2,875,960 (est.) | $0 | $400,000 Upon a closing of $15 million in the aggregate, Mr. Edward Rosen, the Company's former CEO, is entitled to the receive up to $400,000 relating to various consulting fees and the reimbursement of expenses pursuant to the terms of his employment agreement. | Maxim Group LLC BrokerCheck CRD 12078 ↗ |
| EDGAR ↗ | Sep 21, 2018 D/A File 021-298854 | $2,373,224 (est.) | $0 | $0 | Maxim Group, LLC BrokerCheck CRD 120708 ↗ |
| EDGAR ↗ | Sep 14, 2018 D File 021-321450 | $525,000 (est.) | $0 | $0 | None no CRD number reported via Maxim Merchant Capital (CRD 120708 ↗) |
| EDGAR ↗ | Aug 3, 2018 D File 021-318453 | $1,449,250 (est.) | $0 | $0 | None no CRD number reported via Maxim Merchant Capital (CRD 120708 ↗) |
| EDGAR ↗ | Jun 5, 2018 D File 021-313861 | $299,000 (est.) | $0 | $0 | None no CRD number reported via Maxim Merchant Capital (CRD 120708 ↗) |
| EDGAR ↗ | Feb 14, 2018 D File 021-305594 | $3,148,142 | $0 | $0 | Maxim Group LLC no CRD number reported |
| EDGAR ↗ | Jan 2, 2018 D File 021-302145 | $3,630,000 (est.) | $0 | $0 | Maxim Group LLC BrokerCheck CRD 120708 ↗ Leerink Partners LLC BrokerCheck CRD 39011 ↗ |
| EDGAR ↗ | Nov 28, 2017 D File 021-299533 | $0 | $0 | $0 | none no CRD number reported |
| EDGAR ↗ | Jul 20, 2017 D/A File 021-289536 | $922,700 | $0 | $0 | Maxim Group LLC BrokerCheck CRD 120708 ↗ via Clifford Adam Teller (CRD 4631188 ↗) |
| EDGAR ↗ | May 8, 2017 D File 021-286257 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Mar 16, 2017 D File 021-282760 | $1,498,066 (est.) | $0 | $0 A portion of the proceeds may be used for general corporate purposes, including to pay salaries of some related persons listed in Item 3. | Maxim Group LLC BrokerCheck CRD 120708 ↗ |
| EDGAR ↗ | Jan 5, 2017 D File 021-277676 | $1,325,183 | $0 | $0 (est.) | N/A no CRD number reported via Maxim Group LLC (CRD 120708 ↗) |
| EDGAR ↗ | Dec 15, 2016 D File 021-276429 | $1,364,270 | $0 | $0 | Maxim Merchant Capital, a division of Maxim Group LLC BrokerCheck CRD 120708 ↗ |
| EDGAR ↗ | Sep 26, 2016 D File 021-271315 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Sep 16, 2016 D File 021-270815 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Sep 12, 2016 D File 021-270414 | $0 | $0 | $0 | None no CRD number reported |
| EDGAR ↗ | Sep 8, 2016 D File 021-270254 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Aug 19, 2016 D File 021-269256 | $1,521,624 | $0 | $0 | Maxim Merchant Capital, a division of Maxim Group LLC BrokerCheck CRD 120708 ↗ |
| EDGAR ↗ | Jun 21, 2016 D File 021-265466 | $669,810 | $0 | $0 (est.) | N/A no CRD number reported via Maxim Group LLC (CRD 120708 ↗) |
| EDGAR ↗ | Jun 16, 2016 D File 021-265182 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Apr 15, 2016 D File 021-261501 | $318,300 | $0 | $0 (est.) | N/A no CRD number reported via Maxim Group LLC (CRD 120708 ↗) |
| EDGAR ↗ | Apr 5, 2016 D File 021-260695 | $800,000 | $0 | $0 | Maxim Group LLC BrokerCheck CRD 12078 ↗ |
| EDGAR ↗ | Mar 28, 2016 D File 021-260088 | $48,760 | $0 | $0 | Dawson James Securities, Inc. BrokerCheck CRD 130645 ↗ |
| EDGAR ↗ | Mar 14, 2016 D File 021-259218 | $537,990 | $0 | $0 (est.) | N/A no CRD number reported via Maxim Group LLC (CRD 120708 ↗) |
| EDGAR ↗ | Jan 11, 2016 D File 021-254854 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Dec 2, 2015 D File 021-252248 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Oct 15, 2015 D File 021-249442 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Aug 28, 2015 D File 021-246624 | $3,000,000 (est.) | $0 | $150,000 (est.) | Maxim Group, LLC BrokerCheck CRD 120708 ↗ |
| EDGAR ↗ | Aug 13, 2015 D File 021-245729 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jun 25, 2015 D File 021-242461 | $1,200,000 | $0 | $0 (est.) | Brookline Group, LLC BrokerCheck CRD 153587 ↗ M.M. Dillon & Co. LLC BrokerCheck CRD 19878 ↗ |
| EDGAR ↗ | Jun 17, 2015 D/A File 021-238775 | $2,700,000 | $0 | $1,051,500 (est.) estimate includes future salaries that have not been finally determined | Maxim Group LLC BrokerCheck CRD 120708 ↗ via Maxim Group LLC (CRD 120708 ↗) |
| EDGAR ↗ | Apr 9, 2015 D File 021-237569 | $0 | $3,301,999 | $0 A portion of the proceeds may be used to pay salaries of some related persons listed in Item 3. | Maxim Group, LLC BrokerCheck CRD 120708 ↗ Leerink Partners LLC BrokerCheck CRD 39011 ↗ Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗ |
| EDGAR ↗ | Mar 17, 2015 D File 021-236037 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Feb 20, 2015 D File 021-234448 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Dec 3, 2014 D/A File 021-227875 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Nov 13, 2014 D File 021-228305 | $595,881 | $0 | $0 A portion of the proceeds may be used to pay salaries of some related persons listed in Item 3. | Maxim Group LLC BrokerCheck CRD 120708 ↗ |
| EDGAR ↗ | Jul 21, 2014 D File 021-221427 | $0 | $300,000 (est.) | $755,000 | Trout Capital LLC BrokerCheck CRD 131489 ↗ |
| EDGAR ↗ | May 22, 2014 D File 021-217814 | $2,477,850 | $0 | $300,000 (est.) Past due compensation for officers and directors. | Maxim Group LLC BrokerCheck CRD 120708 ↗ via Kareem Ali (CRD 4369152 ↗) |
| EDGAR ↗ | Mar 18, 2014 D/A File 021-212399 | $1,221,718 | $0 | $0 | Maxim Group LLC BrokerCheck CRD 12078 ↗ |
| EDGAR ↗ | Mar 12, 2014 D File 021-213471 | $0 | $0 | $0 (est.) | None listed on this filing |
| EDGAR ↗ | Dec 3, 2013 D/A File 021-206864 | $1,178,311 | $0 | $416,388 (est.) To pay back salary for executive officers: (1) Kerrie L. Brady, (2) James N. Campbell and (3) Jeffrey B. Kindler. | N/A no CRD number reported via Maxim Group LLC (CRD 120708 ↗) |
| EDGAR ↗ | Dec 3, 2013 D File 021-207282 | $0 | $0 | $0 (est.) | None listed on this filing |
| EDGAR ↗ | Nov 5, 2013 D File 021-205824 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Sep 6, 2013 D File 021-202469 | $555,000 (est.) | $0 | $0 (est.) | Maxim Group, LLC BrokerCheck CRD 120708 ↗ |
| EDGAR ↗ | Jul 26, 2013 D File 021-200294 | $89,442 | $0 | $0 | Maxim Group LLC BrokerCheck CRD 12078 ↗ |
| EDGAR ↗ | Jul 2, 2013 D/A File 021-189758 | $75,000 | $0 | $0 | American Capital Partners, LLC BrokerCheck CRD 119249 ↗ |
| EDGAR ↗ | Mar 25, 2013 D File 021-193853 | $600,608 | $0 | $0 A portion of the proceeds may be used to pay salaries of some related persons listed in Item 3. | Maxim Group LLC BrokerCheck CRD 120708 ↗ |
| EDGAR ↗ | Jan 8, 2013 D File 021-189757 | $75,000 | $0 | $0 | American Capital Partners, LLC BrokerCheck CRD 119249 ↗ |
| EDGAR ↗ | Dec 14, 2012 D File 021-188403 | $548,799 | $0 | $60,000 Amount is for salaries and bonus for named executive officers in the normal course of business. | Maxim Group LLC BrokerCheck CRD 12078 ↗ |
| EDGAR ↗ | Aug 1, 2012 D/A File 021-173928 | $872,243 | $0 | $550,000 Amount is for salaries and bonus for named executive officers in the normal course of business. | Maxim Group LLC BrokerCheck CRD 120708 ↗ |
| EDGAR ↗ | Jul 2, 2012 D File 021-180622 | $952,919 (est.) | $0 | $555,000 (est.) proceeds to be used for general corporate purposes including payment of salaries | Maxim Group LLC BrokerCheck CRD 281147 ↗ |
| EDGAR ↗ | Apr 4, 2012 D File 021-176170 | $2,207,919 (est.) | $0 | $1,074,960 (est.) | Maxim Group LLC BrokerCheck CRD 120708 ↗ |
| EDGAR ↗ | Dec 2, 2011 D/A File 021-167752 | $470,850 | $0 | $60,000 Amount is for salaries for named executive officers in the normal course of business. | Maxim Group LLC BrokerCheck CRD 120708 ↗ |
| EDGAR ↗ | Sep 15, 2011 D File 021-165957 | $875,203 | $0 | $0 | Maxim Group LLC BrokerCheck CRD 120708 ↗ |
| EDGAR ↗ | Jun 6, 2011 D File 021-160795 | $700,000 | $0 | $0 | Maxim Group LLC BrokerCheck CRD 120708 ↗ Equity Source Partners, LLC no CRD number reported |
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 ↗ | X-Vax Technology, Inc. | Director Vice Chairman of the Board of Directors | Jul 18, 2019 | D/A | $58,000,000 similar: $2,000,000–$19,999,994 | $56,463,455 | 306 similar: 2–16 | $20,000 similar: $10,000–$50,000 |
| EDGAR ↗ | X-Vax Technology, Inc. | Director Vice Chairman of the Board of Directors | May 31, 2019 | D/A | $55,000,000 similar: $2,000,000–$19,999,994 | $46,682,455 | 269 similar: 2–16 | $20,000 similar: $10,000–$50,000 |
| EDGAR ↗ | X-Vax Technology, Inc. | Director Vice Chairman of the Board of Directors | Apr 17, 2019 | D/A | $55,000,000 similar: $2,000,000–$19,999,994 | $42,187,450 | 242 similar: 2–16 | $20,000 similar: $10,000–$50,000 |
| EDGAR ↗ | X-Vax Technology, Inc. | Director Vice Chairman of the Board of Directors | Apr 15, 2019 | D/A | $55,000,000 similar: $2,000,000–$19,999,994 | $39,267,450 | 230 similar: 2–16 | $20,000 similar: $10,000–$50,000 |
| EDGAR ↗ | Elucida Oncology, Inc. | Director | Feb 7, 2019 | D/A | $30,000,000 similar: $2,000,000–$19,999,994 | $28,759,605 | 175 similar: 2–16 | $25,000 similar: $10,000–$50,000 |
| EDGAR ↗ | Elucida Oncology, Inc. | Director | Jan 3, 2019 | D/A | $30,000,000 similar: $2,000,000–$19,999,994 | $28,094,604 | 170 similar: 2–16 | $25,000 similar: $10,000–$50,000 |
| EDGAR ↗ | X-Vax Technology, Inc. | Executive Officer, Director Vice Chairman of the Board of Directors | Oct 3, 2018 | D | $30,000,000 similar: $2,000,000–$19,999,994 | $6,550,000 | 9 similar: 2–16 | $25,000 similar: $10,000–$50,000 |
| EDGAR ↗ | X4 Pharmaceuticals, Inc. group: X4 Pharmaceuticals | Director | Sep 21, 2018 | D/A | $34,999,150 similar: $1,694,259–$16,000,000 | $34,999,150 | 214 similar: 1–13 | $50,000 similar: $10,000–$55,000 |
| EDGAR ↗ | Elicio Therapeutics, Inc. group: Elicio Therapeutics | Director | Sep 14, 2018 | D | $36,235,347 similar: $2,000,000–$19,999,994 | $25,817,848 | 137 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Elicio Therapeutics, Inc. group: Elicio Therapeutics | Director | Aug 3, 2018 | D | $14,492,501 similar: $2,000,000–$19,999,994 | $14,492,501 | 115 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Elicio Therapeutics, Inc. group: Elicio Therapeutics | Director | Jun 5, 2018 | D | $3,000,000 similar: $2,000,000–$19,999,994 | $2,990,000 | 27 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Alveo Technologies Inc. | Director | Feb 14, 2018 | D | $47,605,531 similar: $2,000,000–$19,999,994 | $47,605,531 | 248 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Centrexion Therapeutics Corp | Director | Jan 2, 2018 | D | $69,566,532 similar: $2,000,000–$19,999,994 | $69,566,532 | 67 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Adhera Therapeutics, Inc. | Director | Nov 28, 2017 | D | $500,000 similar: $2,000,000–$19,999,994 | $500,000 | 1 similar: 2–16 | $500,000 similar: $10,000–$50,000 |
| EDGAR ↗ | X4 Pharmaceuticals, Inc. group: X4 Pharmaceuticals | Director | Nov 15, 2017 | D | $30,000,000 similar: $1,694,259–$16,000,000 | $25,838,812 | 213 similar: 1–13 | $50,000 similar: $10,000–$55,000 |
| EDGAR ↗ | Elucida Oncology, Inc. | Director | Aug 22, 2017 | D | $30,000,000 similar: $2,000,000–$19,999,994 | $10,859,249 | 94 similar: 2–16 | $25,000 similar: $10,000–$50,000 |
| EDGAR ↗ | Nacuity Pharmaceuticals, Inc. | Director | Jul 20, 2017 | D/A | $10,000,000 similar: $2,000,000–$19,999,994 | $9,227,000 | 125 similar: 2–16 | $25,000 similar: $10,000–$50,000 |
| EDGAR ↗ | Nacuity Pharmaceuticals, Inc. | Director | Jun 27, 2017 | D | $10,000,000 similar: $2,000,000–$19,999,994 | $7,310,000 | 102 similar: 2–16 | $25,000 similar: $10,000–$50,000 |
| EDGAR ↗ | Avalo Therapeutics, Inc. | Director | May 8, 2017 | D | $5,000,000 similar: $2,000,000–$19,999,994 | $5,000,000 | 1 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Diffusion Pharmaceuticals Inc. group: Diffusion Pharmaceuticals | Director | Mar 16, 2017 | D | $25,000,000 similar: $1,694,259–$16,000,000 | $15,830,661 | 145 similar: 1–13 | No minimum reported similar: $10,000–$55,000 |
| EDGAR ↗ | Centrexion Therapeutics Corp | Director | Jan 5, 2017 | D | $16,564,789 similar: $2,000,000–$19,999,994 | $16,564,789 | 14 similar: 2–16 | $25,000 similar: $10,000–$50,000 |
| EDGAR ↗ | Aridis Pharmaceuticals, Inc. | Director Vice Chairman | Dec 15, 2016 | D | $25,000,000 similar: $1,694,259–$16,000,000 | $13,642,707 | 14 similar: 1–13 | $25,000 similar: $10,000–$55,000 |
| EDGAR ↗ | root9B Technologies, Inc. | Director | Sep 26, 2016 | D | $10,000,000 similar: $500,000–$5,000,000 | $3,636,000 | 6 similar: 2–15 | No minimum reported similar: $6,225–$50,000 |
| EDGAR ↗ | Avalo Therapeutics, Inc. | Director | Sep 16, 2016 | D | $15,000,000 similar: $2,000,000–$19,999,994 | $1,000,000 | 1 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | X-Vax Technology, Inc. | Executive Officer, Director Vice Chairman | Sep 12, 2016 | D | $1,000,000 similar: $2,000,000–$19,999,994 | $100,000 | 1 similar: 2–16 | $25,000 similar: $10,000–$50,000 |
| EDGAR ↗ | Regenovation, Inc. | Director | Sep 8, 2016 | D | $4,000,000 similar: $2,000,000–$19,999,994 | $1,375,500 | 10 similar: 2–16 | $50,000 similar: $10,000–$50,000 |
| EDGAR ↗ | Aridis Pharmaceuticals, Inc. | Director Vice Chairman | Aug 19, 2016 | D | $40,000,000 similar: $1,694,259–$16,000,000 | $15,216,241 | 133 similar: 1–13 | $50,000 similar: $10,000–$55,000 |
| EDGAR ↗ | Centrexion Therapeutics Corp | Director | Jun 21, 2016 | D | Indefinite similar: $2,000,000–$19,999,994 | $11,163,500 | 61 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | InspireMD, Inc. | Director | Jun 16, 2016 | D | $182,399 similar: $2,000,000–$19,999,994 | $182,399 | 1 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Centrexion Therapeutics Corp | Director | Apr 15, 2016 | D | Indefinite similar: $2,000,000–$19,999,994 | $6,905,000 | 21 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Sapience Therapeutics, Inc. | Director | Apr 5, 2016 | D | $22,500,000 similar: $2,000,000–$19,999,994 | $0 | 0 similar: 2–16 | $50,000 similar: $10,000–$50,000 |
| EDGAR ↗ | InspireMD, Inc. | Director | Mar 28, 2016 | D | $609,500 similar: $2,000,000–$19,999,994 | $609,500 | 4 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Centrexion Therapeutics Corp | Director | Mar 14, 2016 | D | Indefinite similar: $2,000,000–$19,999,994 | $10,516,500 | 25 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Sapience Therapeutics, Inc. | Director | Jan 11, 2016 | D | $1,000,000 similar: $2,000,000–$19,999,994 | $300,000 | 3 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | root9B Technologies, Inc. | Director | Dec 2, 2015 | D | $7,700,000 similar: $500,000–$5,000,000 | $845,750 | 4 similar: 2–15 | No minimum reported similar: $6,225–$50,000 |
| EDGAR ↗ | Aevi Genomic Medicine, Inc. | Director | Oct 15, 2015 | D | $3,200,000 similar: $2,000,000–$19,999,994 | $3,200,000 | 1 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | X4 Pharmaceuticals, Inc. group: X4 Pharmaceuticals | Director | Aug 28, 2015 | D | $37,500,000 similar: $1,694,259–$16,000,000 | $37,499,999 | 220 similar: 1–13 | $24,579 similar: $10,000–$55,000 |
| EDGAR ↗ | root9B Technologies, Inc. | Director | Aug 13, 2015 | D | $0 similar: $500,000–$5,000,000 | $0 | 2 similar: 2–15 | No minimum reported similar: $6,225–$50,000 |
| EDGAR ↗ | CONTRAFECT Corp | Director | Jun 25, 2015 | D | $20,000,000 similar: $2,000,000–$14,000,000 | $20,000,000 | 9 similar: 1–19 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | WaveGuide Corp | Director | Jun 17, 2015 | D/A | $27,000,000 similar: $829,831–$9,999,998 | $27,000,000 | 197 similar: 2–15 | $9,875 similar: $10,000–$54,310 |
| EDGAR ↗ | WaveGuide Corp | Director | Apr 28, 2015 | D | $20,000,000 similar: $829,831–$9,999,998 | $13,920,380 | 148 similar: 2–15 | $50,000 similar: $10,000–$54,310 |
| EDGAR ↗ | Edge Therapeutics, Inc. | Director | Apr 9, 2015 | D | $56,000,000 similar: $1,694,259–$16,000,000 | $55,999,978 | 19 similar: 1–13 | No minimum reported similar: $10,000–$55,000 |
| EDGAR ↗ | root9B Technologies, Inc. | Director | Mar 17, 2015 | D | $4,055,498 similar: $500,000–$5,000,000 | $4,055,498 | 17 similar: 2–15 | $50,000 similar: $6,225–$50,000 |
| EDGAR ↗ | root9B Technologies, Inc. | Director | Feb 20, 2015 | D | $7,353,753 similar: $500,000–$5,000,000 | $7,353,753 | 1 similar: 2–15 | $50,000 similar: $6,225–$50,000 |
| EDGAR ↗ | root9B Technologies, Inc. | Director | Dec 3, 2014 | D/A | $2,000,000 similar: $500,000–$5,000,000 | $1,800,000 | 7 similar: 2–15 | $50,000 similar: $6,225–$50,000 |
| EDGAR ↗ | Edge Therapeutics, Inc. | Director | Nov 13, 2014 | D | $25,000,000 similar: $1,694,259–$16,000,000 | $7,937,236 | 104 similar: 1–13 | $10,000 similar: $10,000–$55,000 |
| EDGAR ↗ | root9B Technologies, Inc. | Director | Nov 6, 2014 | D | $2,000,000 similar: $500,000–$5,000,000 | $1,250,000 | 5 similar: 2–15 | $50,000 similar: $6,225–$50,000 |
| EDGAR ↗ | Avalo Therapeutics, Inc. | Director | Jul 21, 2014 | D | $33,259,016 similar: $2,000,000–$19,999,994 | $16,259,016 | 13 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Diffusion Pharmaceuticals Inc. group: Diffusion Pharmaceuticals | Director | May 22, 2014 | D | $50,000,000 similar: $1,694,259–$16,000,000 | $24,778,500 | 146 similar: 1–13 | No minimum reported similar: $10,000–$55,000 |
| EDGAR ↗ | SpendSmart Payments Co | Director | Mar 18, 2014 | D/A | $15,000,000 similar: $500,000–$7,000,000 | $12,217,186 | 147 similar: 2–14 | $50,000 similar: $5,000–$50,000 |
| EDGAR ↗ | CONTRAFECT Corp | Director | Mar 12, 2014 | D | Indefinite similar: $2,000,000–$14,000,000 | $0 | 1 similar: 1–19 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | SpendSmart Payments Co | Director | Feb 24, 2014 | D | $10,000,000 similar: $500,000–$7,000,000 | $6,440,729 | 86 similar: 2–14 | $50,000 similar: $5,000–$50,000 |
| EDGAR ↗ | Centrexion Therapeutics Corp | Director | Dec 3, 2013 | D/A | $35,000,000 similar: $2,000,000–$19,999,994 | $14,728,886 | 98 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Centrexion Therapeutics Corp | Director | Dec 3, 2013 | D | $8,750,000 similar: $2,000,000–$19,999,994 | $8,750,000 | 20 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Centrexion Therapeutics Corp | Director | Nov 22, 2013 | D | $35,000,000 similar: $2,000,000–$19,999,994 | $14,728,886 | 98 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | SpendSmart Payments Co | Director | Nov 5, 2013 | D | $1,000,000 similar: $500,000–$7,000,000 | $500,000 | 2 similar: 2–14 | $50,000 similar: $5,000–$50,000 |
| EDGAR ↗ | Avalo Therapeutics, Inc. | Director | Sep 6, 2013 | D | $10,000,000 | $6,805,883 | 146 | $5,000 |
| EDGAR ↗ | SpendSmart Payments Co | Director | Jul 26, 2013 | D | $1,490,715 | $1,490,715 | 117 | $100 |
| EDGAR ↗ | root9B Technologies, Inc. | Director | Jul 2, 2013 | D/A | $1,000,000 | $750,000 | 6 | $25,000 |
| EDGAR ↗ | Edge Therapeutics, Inc. | Director | Mar 25, 2013 | D | $20,000,000 | $6,673,405 | 52 | $50,000 |
| EDGAR ↗ | root9B Technologies, Inc. | Director | Mar 7, 2013 | D/A | $15,000,000 | $13,126,000 | 118 | $25,000 |
| EDGAR ↗ | root9B Technologies, Inc. | Director | Jan 31, 2013 | D/A | $15,000,000 | $11,100,100 | 99 | $25,000 |
| EDGAR ↗ | root9B Technologies, Inc. | Director | Jan 8, 2013 | D | $15,000,000 | $7,046,000 | 38 | $25,000 |
| EDGAR ↗ | root9B Technologies, Inc. | Director | Jan 8, 2013 | D | $1,000,000 | $750,000 | 7 | $50,000 |
| EDGAR ↗ | SpendSmart Payments Co | Director | Dec 14, 2012 | D | $8,500,000 | $5,487,990 | 62 | $25,000 |
| EDGAR ↗ | SpendSmart Payments Co | Director | Aug 1, 2012 | D/A | $10,146,431 | $10,146,431 | 97 | $5,000 |
| EDGAR ↗ | Aevi Genomic Medicine, Inc. | Director | Jul 2, 2012 | D | $9,529,382 | $9,529,196 | 88 | $15,000 |
| EDGAR ↗ | SpendSmart Payments Co | Director | Jun 29, 2012 | D/A | $10,000,000 | $9,756,431 | 92 | $5,000 |
| EDGAR ↗ | SpendSmart Payments Co | Director | Jun 5, 2012 | D/A | $10,000,000 | $5,941,431 | 63 | $5,000 |
| EDGAR ↗ | Avalo Therapeutics, Inc. | Director | Apr 4, 2012 | D | $22,500,000 | $22,137,301 | 156 | $24,000 |
| EDGAR ↗ | SpendSmart Payments Co | Director | Feb 24, 2012 | D | $10,000,000 | $229,000 | 6 | $5,000 |
| EDGAR ↗ | SpendSmart Payments Co | Director | Dec 2, 2011 | D/A | $10,000,000 | $4,708,500 | 39 | $5,000 |
| EDGAR ↗ | SpendSmart Payments Co | Director | Oct 25, 2011 | D | $10,000,000 | $2,542,500 | 17 | $5,000 |
| EDGAR ↗ | CONTRAFECT Corp | Director | Sep 15, 2011 | D | $25,000,000 | $12,502,905 | 125 | $25,000 |
| EDGAR ↗ | SpendSmart Payments Co | Director | Jun 6, 2011 | D | Indefinite | $7,000,000 | 1 | $1,000,000 |
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 (6 industry/exemption sets on this page); 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.
People and management entities the issuers listed as related persons on the same Form D filings as Isaac Blech. 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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