James Alexander Walker is listed as a director on 14 SEC Form D filings by 2 issuers between Apr 2015 and Jul 2019: Acion Onshore Fund (Hong Kong, Hong Kong (as filed: K3) — pooled investment fund — 2015–2019; $145.9M reported sold to 20 investors) and Acion Offshore Fund (Hong Kong, Hong Kong (as filed: K3) — pooled investment fund — 2015–2019).
What this means 2 separate companies raised money with this person listed as director, over about 4 years. Across those companies the filings report $145.9M sold in total.
All 2 issuers belong to the sponsor group Acion (3 issuers, $152M reported sold, 2015–2026).
What this means A sponsor group is one team that sets up a new company for each deal. Acion has 3 companies on file and $152M 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, 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) — 2 SEC releases listed in Key records below.
What this means 2 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 14 public filings for James Alexander Walker and found 9 differences, 2 worth asking the sponsor about: James Alexander Walker is no longer listed on the Jul 27, 2020 amendment; 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.