James Phillips is listed as an executive officer and director on 5 SEC Form D filings by 3 issuers between Oct 2014 and Mar 2019: Motion PT Holdings, Inc. (Dallas, TX — other health care — 2015; $30.7M reported sold to 6 investors), Principia Atlas Fund, LP (Austin, TX — pooled investment fund — 2016; $5.45M reported sold to 38 investors) and Principia Ventures LLC (San Antonio, TX — investing — 2014–2019; $1.04M reported sold to 13 investors).
What this means A repeat sponsor — 3 separate companies raised money with this person listed as executive officer and director, over about 5 years. Across those companies the filings report $37.2M sold in total.
Listed alongside Jared A Delgin (4 shared filings), Robert D Morgan (4 shared filings), David S Menche, MD (1 shared filing), Edward R Miersch (1 shared filing), Greg Porter (1 shared filing) and 1 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.
2 of the issuers belong to the sponsor group Principia (2 issuers, $5.52M reported sold, 2012–2019).
What this means A sponsor group is one team that sets up a new company for each deal. Principia has 2 companies on file and $5.52M 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) — 1 SEC release, 9 bankruptcy cases matching the name listed in Key records below.
What this means 10 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 5 public filings for James Phillips and found 10 differences, 1 worth asking the sponsor about: 4 Form Ds were filed more than 15 days after the first sale; 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.