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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:51 AM ET

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James Ahern

Named as an officer, director or promoter on SEC Form D filings · NY, FL · Oct 23, 2019 → Oct 9, 2026

5deals (issuers)
$18Mreported sold
176investors
18Form D filings
2019–2026years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:17 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

James Ahern is listed as an executive officer and director on 18 SEC Form D filings by 5 issuers between Oct 2019 and Oct 2026: Lucius Partners Opportunity Fund, LP (New York, NY — pooled investment fund — 2024–2026; $7.41M reported sold to 13 investors), Aerwave Medical, Inc. (Naples, FL — other health care — 2022–2023; $3.97M reported sold to 58 investors), Voltron Therapeutics, Inc. (New York, NY — biotechnology — 2021–2023; $3.35M reported sold to 63 investors), Algorithm Sciences, Inc. (New York, NY — biotechnology — 2019–2024; $2.9M reported sold to 39 investors) and PD Theranostics, Inc. (New York, NY — biotechnology — 2022–2023; $358K reported sold to 3 investors).

What this means A repeat sponsor — 5 separate companies raised money with this person listed as executive officer and director, over about 7 years. Across those companies the filings report $18M sold in total.

Listed alongside Patrick Gallagher (15 shared filings), Matthew Duffy (14 shared filings), Matthew Eitner (11 shared filings), Anthony Zook (8 shared filings), Jeffrey O'Donnell (5 shared filings) and 12 others.

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

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) — 1 court case matching the name, 14 bankruptcy cases matching the name listed in Key records below.

What this means 15 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 18 public filings for James Ahern and found 10 differences, 5 worth asking the sponsor about: Bankruptcy case: James Ahern and Terri L. Ahern; Bankruptcy case: James J. Ahern; 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 James Ahern has not run yet — it is joining a line of 62,115 names; searches run around the clock at the hosts' allowed rate. Searched so far: 728 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

1 case: 1 judgment

UNITED STATES OF AMERICA v. AHERN, JAMES S judgment
District Court, N.D. Illinois · No. · Filed Nov 15, 1989 · Closed Mar 8, 1990 · Nature of suit: 153 Recovery of overpayments of vet benefits
Role of AHERN, JAMES S: Defendant · Outcome: Terminated 1990-03-08 — FJC Integrated Database disposition: Judgment on default; judgment for plaintiff Docket on CourtListener ↗
same full name (a name found in 20 federal dockets); court in IL (not a filing state)
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, 2:17 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.

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 James Ahern..

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

14 cases: 14 closed (disposition not in docket feed)

James F Ahern and Karen A Ahern closed
United States Bankruptcy Court, N.D. Ohio · No. 09-20008 · Filed Oct 22, 2009 · Closed Feb 19, 2010
Role of James F Ahern and Karen A Ahern: Debtor · Outcome: Case closed 2010-02-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 20 federal dockets); court in OH (not a filing state)
James Ahern and Terri L. Ahern closed
United States Bankruptcy Court, M.D. Florida · No. 8:09-bk-21495 · Filed Sep 24, 2009 · Closed Dec 29, 2009
Role of James Ahern and Terri L. Ahern: Debtor · Outcome: Case closed 2009-12-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 20 federal dockets); court in the person's filing state (FL)
James B Ahern and Angela D Ahern closed
United States Bankruptcy Court, E.D. Texas · No. 06-41115 · Filed Jul 21, 2006 · Closed Mar 26, 2007
Role of James B Ahern and Angela D Ahern: Debtor · Outcome: Case closed 2007-03-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 20 federal dockets); court in TX (not a filing state)
James Ahern closed
United States Bankruptcy Court, D. New Jersey · No. 02-45359 · Filed Dec 18, 2002 · Closed Jul 1, 2003
Role of James Ahern: Debtor · Outcome: Case closed 2003-07-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 20 federal dockets); court in NJ (not a filing state)
James J. Ahern closed
United States Bankruptcy Court, S.D. Florida. · No. 00-13882 · Filed May 5, 2000 · Closed Aug 18, 2000
Role of James J. Ahern: Debtor · Outcome: Case closed 2000-08-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 20 federal dockets); court in the person's filing state (FL)
James R. Ahern closed
United States Bankruptcy Court, D. New Jersey · No. 99-38189 · Filed Jul 21, 1999 · Closed Oct 28, 1999
Role of James R. Ahern: Debtor · Outcome: Case closed 1999-10-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 20 federal dockets); court in NJ (not a filing state)
James Ahern closed
United States Bankruptcy Court, N.D. Illinois · No. 98-14742 · Filed May 12, 1998 · Closed Sep 9, 1998
Role of James Ahern: Debtor · Outcome: Case closed 1998-09-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 20 federal dockets); court in IL (not a filing state)
James R. O'Ahern closed
United States Bankruptcy Court, N.D. California · No. 98-10788 · Filed Mar 9, 1998 · Closed Jun 12, 1998
Role of James R. O'Ahern: Debtor · Outcome: Case closed 1998-06-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 20 federal dockets); court in CA (not a filing state)
James G. Ahern closed
United States Bankruptcy Court, D. Massachusetts · No. 96-13329 · Filed May 3, 1996 · Closed Sep 4, 1996
Role of James G. Ahern: Debtor · Outcome: Case closed 1996-09-04 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 20 federal dockets); court in MA (not a filing state)
James R. Ahern closed
United States Bankruptcy Court, D. New Jersey · No. 96-21653 · Filed Mar 1, 1996 · Closed Dec 30, 1996
Role of James R. Ahern: Debtor · Outcome: Case closed 1996-12-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 20 federal dockets); court in NJ (not a filing state)
James G. Ahern and Theresa Ahern closed
United States Bankruptcy Court, D. Massachusetts · No. 93-18355 · Filed Sep 16, 1993 · Closed Nov 16, 1995
Role of James G. Ahern and Theresa Ahern: Debtor · Outcome: Case closed 1995-11-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 20 federal dockets); court in MA (not a filing state)
James A Ahern closed
United States Bankruptcy Court, N.D. Illinois · No. 92-25445 · Filed Nov 13, 1992 · Closed Mar 15, 1994
Role of James A Ahern: Debtor · Outcome: Case closed 1994-03-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 20 federal dockets); court in IL (not a filing state)
James A Ahern closed
United States Bankruptcy Court, N.D. Illinois · No. 91-24230 · Filed Nov 13, 1991 · Closed Feb 12, 1993
Role of James A Ahern: Debtor · Outcome: Case closed 1993-02-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 20 federal dockets); court in IL (not a filing state)
James J. Ahern closed
United States Bankruptcy Court, D. Connecticut · No. 90-00014 · Filed Jan 4, 1990 · Closed Apr 30, 1990
Role of James J. Ahern: Debtor · Outcome: Case closed 1990-04-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 20 federal dockets); court in CT (not a filing state)
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, 2:17 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

10 differences found between the filings for James Ahern — 5 worth asking about (compared 18 filings on Oct 24, 2026)

Worth asking · Sep 24, 2009 – Dec 29, 2009

Bankruptcy case: James Ahern and Terri L. Ahern — filed Sep 24, 2009

United States Bankruptcy Court, M.D. Florida docket "James Ahern and Terri L. Ahern" filed Sep 24, 2009, closed Dec 29, 2009. James Ahern is listed as Debtor ("James Ahern and Terri L. Ahern"). Our match estimate: 50%.

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, M.D. Florida ↗
Sources
Worth asking · May 5, 2000 – Aug 18, 2000

Bankruptcy case: James J. Ahern — filed May 5, 2000

United States Bankruptcy Court, S.D. Florida. docket "James J. Ahern" filed May 5, 2000, closed Aug 18, 2000. James Ahern is listed as Debtor ("James J. Ahern"). Our match estimate: 50%.

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, S.D. Florida. ↗
Sources
Worth asking · Jul 28, 2022 – Apr 12, 2024

4 filings report more than 10% of the money raised going to insiders

60% of the money raised went to insiders — Algorithm Sciences, Inc. · 40% of the money raised went to insiders — PD Theranostics, Inc. · 17% of the money raised went to insiders — PD Theranostics, Inc. · 17% of the money raised went to insiders — PD Theranostics, Inc.

What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.

Form D · Apr 12, 2024 ↗Algorithm Sciences, Inc. — PartnerFacts page ↗Form D · Dec 14, 2023 ↗PD Theranostics, Inc. — PartnerFacts page ↗
Sources
Worth asking · Nov 9, 2023 – Apr 12, 2024

James Ahern appears on 3 deals that stopped filing before reaching their target

Algorithm Sciences, Inc. (last filing Apr 12, 2024; $2,899,500 sold of $23,500,000); PD Theranostics, Inc. (last filing Dec 14, 2023; $358,165 sold of $5,940,000); Voltron Therapeutics, Inc. (last filing Nov 9, 2023; $3,349,428 sold of $12,000,000). 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.

Algorithm Sciences, Inc. — PartnerFacts page ↗PD Theranostics, Inc. — PartnerFacts page ↗Voltron Therapeutics, Inc. — PartnerFacts page ↗
Sources
Worth asking · Oct 31, 2019 – Dec 14, 2023

5 Form Ds were filed more than 15 days after the first sale

Form D filed 520 days after the first sale — PD Theranostics, Inc. · Form D filed 339 days after the first sale — Algorithm Sciences, Inc. · Form D filed 621 days after the first sale — Voltron Therapeutics, Inc. · Form D filed 16 days after the first sale — PD Theranostics, Inc. · Form D filed 18 days after the first sale — Aerwave Medical, Inc.

What this means Late notices are common and carry no penalty by themselves. A pattern of late paperwork is worth asking the sponsor about.

Form D · Dec 14, 2023 ↗PD Theranostics, Inc. — PartnerFacts page ↗Form D · Apr 7, 2023 ↗Algorithm Sciences, Inc. — PartnerFacts page ↗
Sources
Note · Oct 10, 2019 – Apr 12, 2024

11 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 — Algorithm Sciences, Inc. (latest filing Apr 12, 2024) · No amendment in the last 12 months on an offering that may still be open — PD Theranostics, Inc. (latest filing Dec 14, 2023) · No amendment in the last 12 months on an offering that may still be open — Voltron Therapeutics, Inc. (latest filing Nov 9, 2023) · No amendment in the last 12 months on an offering that may still be open — Aerwave Medical, Inc. (latest filing Aug 17, 2023) · No amendment in the last 12 months on an offering that may still be open — Algorithm Sciences, Inc. (latest filing Apr 7, 2023) · and 6 more

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 · Apr 12, 2024 ↗Algorithm Sciences, Inc. — PartnerFacts page ↗Form D · Dec 14, 2023 ↗PD Theranostics, Inc. — PartnerFacts page ↗
Sources
Note · Oct 18, 2024 – Oct 10, 2025

Minimum investment changed between filings — Lucius Partners Opportunity Fund, LP

The Oct 18, 2024 filing lists a minimum of $200,000; the Oct 10, 2025 Form D/A lists $75,000.

What this means A different minimum usually means the offering terms changed. Check which terms apply to you.

Form D (earlier) · Oct 18, 2024 ↗Form D/A (later) · Oct 10, 2025 ↗Lucius Partners Opportunity Fund, LP — PartnerFacts page ↗
Sources
Note · Oct 23, 2019 – Dec 28, 2021

Industry group changed between filings — Algorithm Sciences, Inc.

"Other Technology" (Oct 23, 2019 to Mar 26, 2021); then "Biotechnology" (Dec 28, 2021 to Apr 12, 2024).

What this means The issuer described its business differently on different forms. Often it is just a different box ticked; sometimes the deal itself changed. Ask which business your money is in.

Form D · Oct 23, 2019 ↗Form D · Dec 28, 2021 ↗Algorithm Sciences, Inc. — PartnerFacts page ↗
Sources
Note · Jul 13, 2021 – Sep 1, 2021

Industry group changed between filings — Voltron Therapeutics, Inc.

"Pharmaceuticals" (Jul 13, 2021); then "Biotechnology" (Sep 1, 2021 to Nov 9, 2023).

What this means The issuer described its business differently on different forms. Often it is just a different box ticked; sometimes the deal itself changed. Ask which business your money is in.

Form D · Jul 13, 2021 ↗Form D · Sep 1, 2021 ↗Voltron Therapeutics, Inc. — PartnerFacts page ↗
Sources
Note · Oct 23, 2019 – Oct 9, 2026

James Ahern is listed with 2 different address states: NY, FL

NY on 16 filings (Oct 23, 2019 to Oct 9, 2026); FL on 2 filings (Jul 15, 2022 to Aug 17, 2023).

What this means The address on a Form D is usually the company's, not the person's home, so this often just reflects different companies. It can also mean a move. Nothing wrong by itself.

Form D · Oct 23, 2019 ↗Form D · Jul 15, 2022 ↗
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

11 of 13 offerings report sales commissions totalling $4,681,463; 0 report finder's fees; 4 report proceeds to related persons totalling $613,500. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Oct 9, 2026 D/A
Lucius Partners Opportunity Fund, LP
File 021-527170
$0$0$0None listed on this filingEDGAR ↗
Apr 12, 2024 D
Algorithm Sciences, Inc.
File 021-510464
$420,000$0$210,000
The Company will use $210,000 to repay a non-interest bearing loan issued by an affiliate of the Company.
Laidlaw & Company (UK) Ltd. BrokerCheck CRD 000119037 ↗EDGAR ↗
Dec 14, 2023 D
PD Theranostics, Inc.
File 021-499738
$15,000 (est.)$0$60,000
The Company will use a portion of net pf proceeds to repay a promissory note in the principal amount of $60,000 issued to Matthew Eitner, the Chief Executive Officer of the placement agent and member of the Board of Directors of the Company.
Laidlaw & Company (UK) Ltd. BrokerCheck CRD 119037 ↗EDGAR ↗
Nov 9, 2023 D/A
Voltron Therapeutics, Inc.
File 021-464374
$385,282 (est.)$0$0Laidlaw & Company (UK) Ltd. BrokerCheck CRD 119037 ↗EDGAR ↗
Aug 17, 2023 D/A
Aerwave Medical, Inc.
File 021-452571
$600,000$0$0 (est.)Laidlaw & Company (UK) Ltd. BrokerCheck CRD 119037 ↗EDGAR ↗
Apr 7, 2023 D
Algorithm Sciences, Inc.
File 021-478197
$0$0$0 (est.)None listed on this filingEDGAR ↗
Jul 28, 2022 D/A
PD Theranostics, Inc.
File 021-454012
$42,980 (est.)$0$60,000
The Company will use a portion of net pf proceeds to repay a promissory note in the principal amount of $60,000 issued to Matthew Eitner, the Chief Executive Officer of the placement agent and member of the Board of Directors of the Company.
Laidlaw & Company (UK) Ltd. BrokerCheck CRD 119037 ↗EDGAR ↗
Jun 16, 2022 D
Voltron Therapeutics, Inc.
File 021-449491
$36,000 (est.)$0$0Laidlaw & Company (UK) Ltd. BrokerCheck CRD 119037 ↗EDGAR ↗
Dec 28, 2021 D
Algorithm Sciences, Inc.
File 021-426873
$560,000 (est.)$0$0 (est.)
Some of the proceeds of the offering may be used for general working capital purposes which may include the payment of salaries and other fees to those individuals listed in Item 3. To date, no offering proceeds have been used for such purposes.
Laidlaw & Company (UK) Ltd. BrokerCheck CRD 119037 ↗EDGAR ↗
Sep 1, 2021 D
Voltron Therapeutics, Inc.
File 021-411975
$250,201 (est.)$0$0Laidlaw & Company (UK) Ltd. BrokerCheck CRD 119037 ↗EDGAR ↗
Jul 13, 2021 D
Voltron Therapeutics, Inc.
File 021-406044
$402,000 (est.)$0$283,500 (est.)Laidlaw & Company (UK) Ltd. BrokerCheck CRD 119037 ↗EDGAR ↗
Mar 26, 2021 D
Algorithm Sciences, Inc.
File 021-393628
$1,200,000 (est.)$0$0 (est.)
Some of the proceeds may be used for general working capital purposes which may include the payment of salaries and other fees to those listed in Item 3.
Laidlaw & Company (UK) Ltd. BrokerCheck CRD 119037 ↗EDGAR ↗
Oct 23, 2019 D
Algorithm Sciences, Inc.
File 021-351657
$770,000 (est.)$0$0 (est.)
Some of the proceeds may be used for general working capital purposes which may include the payment of salaries and other fees to those listed in Item 3.
Laidlaw & Company (UK) Ltd. BrokerCheck CRD 119037 ↗EDGAR ↗
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 5

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

LP
Pooled Investment Fund

Lucius Partners Opportunity Fund, LP

New York, NY · Oct 18, 2024 → Oct 9, 2026 · 3 filings
  • Oct 9, 2026 · D/A · $7,405,000 sold of $20,000,000 · 13 investors · min. $75,000 · role: Executive Officer (Manager of Lucius Capital Partners, LLC, General Partner of Issuer) EDGAR ↗
  • Oct 10, 2025 · D/A · $5,745,000 sold of $20,000,000 · 10 investors · min. $75,000 · role: Executive Officer (Manager of Lucius Capital Partners, LLC, General Partner of Issuer) EDGAR ↗
  • Oct 18, 2024 · D · $0 sold of $20,000,000 · 0 investors · min. $200,000 · role: Executive Officer (Manager of Lucius Capital Fund Management, LLC, Issuer's Investment Manager) EDGAR ↗

Raised $7.41M from 13 investors (37% of the $20M target) as of the latest filing. James is listed as executive officer on 3 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: Pooled Investment Fund / 506(b) (83,801 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.

AS
Biotechnology

Algorithm Sciences, Inc.

New York, NY · Oct 23, 2019 → Apr 12, 2024 · 5 filings
  • Apr 12, 2024 · D · $350,000 sold of $23,500,000 · 2 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 7, 2023 · D · $684,651 sold of $5,000,000 · 35 investors · min. $50,000 · role: Director EDGAR ↗
  • Dec 28, 2021 · D · $1,135,000 sold of $7,000,000 · 10 investors · min. $25,000 · role: Director EDGAR ↗
  • Mar 26, 2021 · D · $2,899,500 sold of $10,000,000 · 39 investors · min. No minimum reported · role: Director EDGAR ↗
  • Oct 23, 2019 · D · $2,087,980 sold of $6,000,000 · 23 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $2.9M from 39 investors (12% of the $23.5M target) as of the latest filing. James is listed as director on 5 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(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.

PT
Biotechnology

PD Theranostics, Inc.

New York, NY · Jul 28, 2022 → Dec 14, 2023 · 3 filings
  • Dec 14, 2023 · D · $150,000 sold of $1,000,000 · 2 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jul 28, 2022 · D/A · $358,165 sold of $5,940,000 · 3 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jul 28, 2022 · D · $358,165 sold of $5,940,000 · 3 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $358K from 3 investors (36% of the $1M target) as of the latest filing. James is listed as director on 3 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(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.

VT
Biotechnology

Voltron Therapeutics, Inc.

New York, NY · Jul 13, 2021 → Nov 9, 2023 · 5 filings
  • Nov 9, 2023 · D/A · $3,210,680 sold of Indefinite · 63 investors · min. No minimum reported · role: Director EDGAR ↗
  • Nov 9, 2022 · D · $515,000 sold of Indefinite · 8 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jun 16, 2022 · D · $300,000 sold of $5,000,000 · 1 investors · min. No minimum reported · role: Director EDGAR ↗
  • Sep 1, 2021 · D · $2,502,011 sold of $12,000,000 · 36 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jul 13, 2021 · D · $3,349,428 sold of $3,349,428 · 49 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $3.35M from 63 investors as of the latest filing. James is listed as director on 5 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(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.

AM
Other Health Care

Aerwave Medical, Inc.

Naples, FL · Jul 15, 2022 → Aug 17, 2023 · 2 filings
  • Aug 17, 2023 · D/A · $3,965,195 sold of $5,000,000 · 58 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jul 15, 2022 · D · $490,000 sold of $5,000,000 · 8 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $3.97M from 58 investors (79% of the $5M target) as of the latest filing. James 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: Other Health Care / 506(b) (4,189 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.

People around James 17

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

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

Patrick Gallagher

Director, Executive Officer · 15 shared filings (4 issuers) · also on 9 other issuers

Patrick Gallagher is on 13 issuers in total — a repeat sponsor. Their page lists every one.

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

Matthew Duffy

Executive Officer, Director · 14 shared filings (4 issuers)

Listed on the same filings as James Ahern. Their page shows their other deals.

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

Matthew Eitner

Executive Officer, Director · 11 shared filings (3 issuers) · also on 1 other issuer

Listed on the same filings as James Ahern. Their page shows their other deals.

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

Anthony Zook

Director · 8 shared filings (2 issuers) · also on 3 other issuers

Anthony Zook is on 5 issuers in total — a repeat sponsor. Their page lists every one.

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

Paul Korner

Director · 5 shared filings (1 issuer)

Listed on the same filings as James Ahern. Their page shows their other deals.

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

Jeffrey O'Donnell

Director, Executive Officer · 5 shared filings (2 issuers) · also on 12 other issuers

Jeffrey O'Donnell is on 14 issuers in total — a repeat sponsor. Their page lists every one.

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

Arthur DaPonte

Director · 3 shared filings (1 issuer)

Listed on the same filings as James Ahern. Their page shows their other deals.

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

Kamal Mubarak

Executive Officer, Director · 3 shared filings (1 issuer)

Listed on the same filings as James Ahern. Their page shows their other deals.

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

Michael Tilton

Executive Officer, Director · 3 shared filings (1 issuer)

Listed on the same filings as James Ahern. Their page shows their other deals.

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

David Cavalier

Executive Officer · 3 shared filings (1 issuer)

Listed on the same filings as James Ahern. Their page shows their other deals.

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

REINHARD J. WARNKING

Executive Officer, Director · 2 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as James Ahern. Their page shows their other deals.

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

Gary Gemignani

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

Listed on the same filings as James Ahern. Their page shows their other deals.

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

Tony Hodges

Director · 2 shared filings (1 issuer)

Listed on the same filings as James Ahern. Their page shows their other deals.

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

Kamal Mubark

Director · 2 shared filings (1 issuer)

Listed on the same filings as James Ahern. Their page shows their other deals.

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

Craig Carra

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

Listed on the same filings as James Ahern. Their page shows their other deals.

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

Jeff O'Donnell

Director · 1 shared filing (1 issuer)

Listed on the same filings as James Ahern. Their page shows their other deals.

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

Gary Gemigani

Director · 1 shared filing (1 issuer)

Listed on the same filings as James Ahern. Their page shows their other deals.

The team behind the deals

Same business address

22 other issuers file from the same address

A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.

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 5 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 James Ahern 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 5 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers James Ahern is listed on: none on file. No website or social profile named in Voltron Therapeutics, Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #113,124 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 (New York, NY). 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) ↗New York WebCivil Supreme ↗Hillsborough County FL Clerk (HOVER) ↗Miami-Dade Clerk online case search ↗

Securities regulators

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

Business registries

New York Secretary of State business search ↗Florida Secretary of State business search ↗OpenCorporates ↗

Change history

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