Sponsor Check › Person
Named as an officer, director or promoter on SEC Form D filings · CT, NY · Jan 25, 2011 → May 23, 2017
Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:23 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET
James Nelson is listed as an executive officer, director, and promoter on 4 SEC Form D filings by 4 issuers between Jan 2011 and May 2017: MKRO I, LLC (Stamford, CT — commercial — 2014; $12.2M reported sold to 79 investors), RiverOak NYC II, L.P. (Stamford, CT — pooled investment fund — 2017; $9.8M reported sold to 12 investors), RiverOak NYC II-C1, L.P. (Stamford, CT — pooled investment fund — 2017; $7.3M reported sold to 45 investors) and JournalDoc, Inc. (Chevy Chase, MD — other technology — 2011; $125K reported sold to 2 investors).
What this means A repeat sponsor — 4 separate companies raised money with this person listed as executive officer, director, and promoter, over about 6 years. Across those companies the filings report $29.5M sold in total.
Listed alongside Paul J. Massey, Jr. (3 shared filings), Robert Knakal (3 shared filings), Stephen DeNardo (3 shared filings), George Yerrall (2 shared filings), Derek Eakin (1 shared filing) and 7 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.
3 of the issuers belong to the sponsor group Riveroak (8 issuers, $46.7M reported sold, 2012–2025).
What this means A sponsor group is one team that sets up a new company for each deal. Riveroak has 8 companies on file and $46.7M 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) — 13 bankruptcy cases matching the name listed in Key records below.
What this means 13 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 4 public filings for James Nelson and found 11 differences, 3 worth asking the sponsor about: 36% of the money raised went to insiders; James Nelson appears on 4 deals that stopped filing before reaching their target; 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.
Community search for James Nelson has not run yet — it is joining a line of 27,164 names; searches run around the clock at the hosts' allowed rate. Searched so far: 638 names.
Community comments are quoted as written by their authors. Sources searched: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).
Five things investors ask first. Items still in human review are counted, not shown.
None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026
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, 2:23 AM ET.
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.
None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: VA (crawled Oct 23, 2026)
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 Nelson..
State securities regulators: Securities regulators searched (3,318 actions): 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), DE DOJ Investor Protection Unit (257 actions, 1987–2026), TX State Securities Board (586 actions, 2006–2026), WA DFI (2,039 actions, 2001–2026) — last crawled Oct 23, 2026, 9:57 PM ET. No machine-readable public listing today for CO, FL, IA, IN, MN, NE, NJ, NY, OH, UT, VA (see docs/state-regulators.md).
13 cases: 1 open, 12 closed (disposition not in docket feed)
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, 2:23 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.
Comparisons cover issuers and sponsor groups — see the issuer pages under Deals
11 differences found between the filings for James Nelson — 3 worth asking about (compared 4 filings on Oct 24, 2026)
The Jan 25, 2011 Form D reports $125,000 sold and $45,000 of the proceeds used for payments to officers, directors or promoters (marked as an estimate).
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.
RiverOak NYC II, L.P. (last filing May 23, 2017; $9,800,000 sold of $87,000,000); RiverOak NYC II-C1, L.P. (last filing May 23, 2017; $7,300,000 sold of $64,500,000); MKRO I, LLC (last filing Jan 2, 2014; $12,249,500 sold of $50,000,000); JournalDoc, Inc. (last filing Jan 25, 2011; $125,000 sold of $1,500,000). 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.
Form D filed 312 days after the first sale — RiverOak NYC II-C1, L.P. · Form D filed 312 days after the first sale — RiverOak NYC II, L.P. · Form D filed 428 days after the first sale — MKRO I, LLC · Form D filed 89 days after the first sale — JournalDoc, 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.
No amendment in the last 12 months on an offering that may still be open — RiverOak NYC II-C1, L.P. (latest filing May 23, 2017) · No amendment in the last 12 months on an offering that may still be open — RiverOak NYC II, L.P. (latest filing May 23, 2017) · No amendment in the last 12 months on an offering that may still be open — MKRO I, LLC (latest filing Jan 2, 2014) · No amendment in the last 12 months on an offering that may still be open — JournalDoc, Inc. (latest filing Jan 25, 2011)
What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.
listed as "James Nelson" on 3 filings (from Jan 25, 2011), and "James P. Nelson" on the Jan 2, 2014 filing.
What this means Same person, written differently — a middle name or suffix left off, or spelled another way. It is normal, but check that the full legal name matches your subscription documents.
This page covers filings where the address state is CT or NY. A separate record, "James G. Nelson" with address state NC, is listed on 3 filings — most recently by Kerdea Technologies, Inc. (May 5, 2020). Both records have filings in the same period (May 13, 2016 to May 23, 2017).
What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.
This page covers filings where the address state is CT or NY. A separate record, "JAMES B. NELSON" with address state CA, is listed on 17 filings — most recently by Liquipel Corp (Jun 9, 2015). Both records have filings in the same period (Jan 25, 2011 to Mar 2, 2012).
What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.
This page covers filings where the address state is CT or NY. A separate record, "James A. Nelson" with address state NJ, is listed on 2 filings — most recently by ROUNDBOX INC (Mar 1, 2010). The two records do not overlap in time: this page runs Jan 25, 2011 to May 23, 2017; the other runs Mar 2, 2009 to Mar 1, 2010.
What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.
This page covers filings where the address state is CT or NY. A separate record, "James H. Nelson, III" with address state OH, is listed on 3 filings — most recently by AMERICAN KIDNEY STONE MANAGEMENT LTD (Nov 5, 2009). The two records do not overlap in time: this page runs Jan 25, 2011 to May 23, 2017; the other runs Sep 11, 2009 to Nov 5, 2009.
What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.
This page covers filings where the address state is CT or NY. A separate record, "James A Nelson" with address state FL, is listed on 1 filing — most recently by International RV Rental,LLC (Jul 16, 2009). The two records do not overlap in time: this page runs Jan 25, 2011 to May 23, 2017; the other has one filing dated Jul 16, 2009.
What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.
CT on 2 filings (Jan 25, 2011 to May 23, 2017); NY on 2 filings (Jan 2, 2014 to May 23, 2017).
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.
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.
0 of 4 offerings report sales commissions; 2 report finder's fees totalling $135,000; 1 reports proceeds to related persons totalling $45,000. (includes amounts the issuer reported as estimates)
| Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it | Source |
|---|---|---|---|---|---|
| May 23, 2017 D RiverOak NYC II, L.P. File 021-287282 | $0 | $60,000 | $0 (est.) | Mallory Capital Group BrokerCheck CRD 108486 ↗ via N/A (CRD 00000 ↗) | EDGAR ↗ |
| May 23, 2017 D RiverOak NYC II-C1, L.P. File 021-287283 | $0 | $75,000 | $0 (est.) | Mallory Capital Group BrokerCheck CRD 108486 ↗ via N/A (CRD 000000 ↗) | EDGAR ↗ |
| Jan 2, 2014 D MKRO I, LLC File 021-209137 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jan 25, 2011 D JournalDoc, Inc. File 021-154299 | $0 | $0 | $45,000 (est.) | None listed on this filing | EDGAR ↗ |
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).
Every issuer that named James Nelson on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.
Raised $7.3M from 45 investors (11% of the $64.5M target) as of the latest filing. James is listed as executive officer.
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.
Raised $9.8M from 12 investors (11% of the $87M target) as of the latest filing. James is listed as executive officer.
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.
Raised $12.2M from 79 investors (24% of the $50M target) as of the latest filing. James is listed as executive officer.
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: Commercial / 506(b) (6,713 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.
Raised $125K from 2 investors (8% of the $1.5M target) as of the latest filing. James is listed as director, promoter.
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.
Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.
Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.
Listed on the same filings as James Nelson. Their page shows their other deals.
Listed on the same filings as James Nelson. Their page shows their other deals.
Listed on the same filings as James Nelson. Their page shows their other deals.
Stephen DeNardo is on 7 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as James Nelson. Their page shows their other deals.
George Yerrall is on 6 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as James Nelson. Their page shows their other deals.
One team, 8 deal companies. James Nelson is listed on 3 of them.
Issuers are grouped when their Form D filings share related persons, a management entity or a business address (automatic match from the filings). "Listed" marks the issuers that name James Nelson.
A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.
A person is never an adviser firm. 1 of the 4 issuers this person is listed on matches a Form ADV adviser (searched 24,962 advisers as of Oct 2, 2026): MKRO I, LLC.
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 are matched to companies only, never to individuals, so none are matched to James Nelson 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 4 issuers this person is listed on — nothing matched.
Websites and social links of the issuers James Nelson is listed on: none on file. No website or social profile named in MKRO I, LLC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #322,428 of 374,652 in line (1,330 issuers searched so far). One-tap searches: Look further ↓
One-tap searches on sites we do not index ourselves, with the name pre-filled (Stamford, CT). Each opens in a new tab; what you find there is not verified by PartnerFacts.
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Free. Logged with status: received → under review → fixed / confirmed with source.
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