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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:57 AM ET

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

James Utts

Named as an officer, director or promoter on SEC Form D filings · IL · Jul 2, 2010 → Jul 27, 2010

5deals (issuers)
$775.8Mreported sold
249investors
5Form D filings
2010year on file

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:22 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

James Utts is listed as an executive officer and director on 5 SEC Form D filings by 5 issuers in Jul 2010: RoundTable Healthcare Partners III, L.P. (Lake Forest, IL — pooled investment fund — 2010; $531.3M reported sold to 169 investors), RoundTable Healthcare Capital Partners II, L.P. (Lake Forest, IL — pooled investment fund — 2010; $171.8M reported sold to 46 investors), Aqua Pharmaceuticals Holdings, Inc. (Lake Forest, IL — industry reported as "Other" — 2010; $53.7M reported sold to 5 investors), RoundTable Healthcare Investors III, L.P. (Lake Forest, IL — pooled investment fund — 2010; $16.5M reported sold to 27 investors) and RoundTable Healthcare Capital Investors II, L.P. (Lake Forest, IL — pooled investment fund — 2010; $2.55M reported sold to 2 investors).

What this means A repeat sponsor — 5 separate companies raised money with this person listed as executive officer and director. Across those companies the filings report $775.8M sold in total.

Listed alongside David J. Koo (5 shared filings), Jack McGinley (5 shared filings), Joseph Damico (5 shared filings), James P. Stauner (4 shared filings), Leonard G. Kuhr (4 shared filings) and 9 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.

All 5 issuers belong to the sponsor group Roundtable Healthcare (13 issuers, $1.56B reported sold, 2009–2022).

What this means A sponsor group is one team that sets up a new company for each deal. Roundtable Healthcare has 13 companies on file and $1.56B 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, 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) — none found.

What this means Nothing turned up where we looked (3 sources). That does not prove there is nothing — it means none was found in those sources on that date.

We compared 5 public filings for James Utts and found 2 differences: 4 offerings have no amendment in the last 12 months and may still be open; Same name, different state: "James Utts" (AZ or CA) is a separate record.

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 Utts has not run yet — it is joining a line of 43,996 names; searches run around the clock at the hosts' allowed rate. Searched so far: 641 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

None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026

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, 2:22 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.

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 Utts..

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

None found in sources searched — federal bankruptcy courts (CourtListener / RECAP), checked Oct 24, 2026

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, 2:22 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.

4. Differences between public sources

Comparisons cover issuers and sponsor groups — see the issuer pages under Deals

2 differences found between the filings for James Utts (compared 5 filings on Oct 24, 2026)

Note · Jul 15, 2010 – Jul 27, 2010

4 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 — RoundTable Healthcare Capital Investors II, L.P. (latest filing Jul 27, 2010) · No amendment in the last 12 months on an offering that may still be open — RoundTable Healthcare Capital Partners II, L.P. (latest filing Jul 27, 2010) · No amendment in the last 12 months on an offering that may still be open — RoundTable Healthcare Investors III, L.P. (latest filing Jul 27, 2010) · No amendment in the last 12 months on an offering that may still be open — RoundTable Healthcare Partners III, L.P. (latest filing Jul 27, 2010)

What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.

Sources
Note · Oct 11, 2013 – Oct 30, 2014

Same name, different state: "James Utts" (AZ or CA) is a separate record

This page covers filings where the address state is IL. A separate record, "James Utts" with address state AZ or CA, is listed on 3 filings — most recently by Medipacs, Inc (Oct 30, 2014). The two records do not overlap in time: this page runs Jul 2, 2010 to Jul 27, 2010; the other runs Oct 11, 2013 to Oct 30, 2014.

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.

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

0 of 5 offerings report sales commissions; 1 reports finder's fees totalling $1,000,000; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Jul 27, 2010 D
RoundTable Healthcare Partners III, L.P.
File 021-145514
$0$0$0None listed on this filingEDGAR ↗
Jul 27, 2010 D
RoundTable Healthcare Investors III, L.P.
File 021-145515
$0$0$0None listed on this filingEDGAR ↗
Jul 27, 2010 D
RoundTable Healthcare Capital Partners II, L.P.
File 021-145516
$0$0$0None listed on this filingEDGAR ↗
Jul 27, 2010 D
RoundTable Healthcare Capital Investors II, L.P.
File 021-145517
$0$0$0None listed on this filingEDGAR ↗
Jul 2, 2010 D
Aqua Pharmaceuticals Holdings, Inc.
File 021-144371
$0$1,000,000 (est.)$0 (est.)
Proceeds are used to pay persons holding equity, but not in their capacity as officer or director.
None listed on this filingEDGAR ↗
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 Utts on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

Pooled Investment Fund · group: Roundtable Healthcare

RoundTable Healthcare Capital Investors II, L.P.

Lake Forest, IL · Jul 27, 2010
  • Jul 27, 2010 · D · $2,550,000 sold of Indefinite · 2 investors · min. $50,000 · role: Executive Officer EDGAR ↗

Raised $2.55M from 2 investors as of the latest filing. James is listed as executive officer.

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.

Pooled Investment Fund · group: Roundtable Healthcare

RoundTable Healthcare Capital Partners II, L.P.

Lake Forest, IL · Jul 27, 2010
  • Jul 27, 2010 · D · $171,800,000 sold of Indefinite · 46 investors · min. $50,000 · role: Executive Officer EDGAR ↗

Raised $171.8M from 46 investors as of the latest filing. James is listed as executive officer.

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.

Pooled Investment Fund · group: Roundtable Healthcare

RoundTable Healthcare Investors III, L.P.

Lake Forest, IL · Jul 27, 2010
  • Jul 27, 2010 · D · $16,455,000 sold of Indefinite · 27 investors · min. $50,000 · role: Executive Officer EDGAR ↗

Raised $16.5M from 27 investors as of the latest filing. James is listed as executive officer.

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.

Pooled Investment Fund · group: Roundtable Healthcare

RoundTable Healthcare Partners III, L.P.

Lake Forest, IL · Jul 27, 2010
  • Jul 27, 2010 · D · $531,345,000 sold of Indefinite · 169 investors · min. $50,000 · role: Executive Officer EDGAR ↗

Raised $531.3M from 169 investors as of the latest filing. James is listed as executive officer.

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.

Other · group: Roundtable Healthcare

Aqua Pharmaceuticals Holdings, Inc.

Lake Forest, IL · Jul 2, 2010
  • Jul 2, 2010 · D · $53,672,333 sold of $53,672,333 · 5 investors · min. $150,000 · role: Director EDGAR ↗

Raised $53.7M from 5 investors (100% of the $53.7M target) as of the latest filing. James is listed as director.

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.

Other pages with the same name (1)

Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.

  • James Utts — AZ, CA, 1 issuer, Oct 11, 2013 → Oct 30, 2014 · no shared issuer

People around James 14

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

Management entity

RoundTable Healthcare Management Inc.

Executive Officer · 4 shared filings (4 issuers) · also on 7 other issuers

RoundTable Healthcare Management Inc. is on 11 issuers in total — a repeat sponsor. Their page lists every one.

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

David J. Koo

Executive Officer, Director · 5 shared filings (5 issuers) · also on 4 other issuers

David J. Koo is on 9 issuers in total — a repeat sponsor. Their page lists every one.

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

Jack McGinley

Executive Officer, Director · 5 shared filings (5 issuers) · also on 1 other issuer

Jack McGinley is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

Joseph Damico

Executive Officer, Director · 5 shared filings (5 issuers) · also on 4 other issuers

Joseph Damico is on 9 issuers in total — a repeat sponsor. Their page lists every one.

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

James P. Stauner

Executive Officer · 4 shared filings (4 issuers) · also on 1 other issuer

James P. Stauner is on 5 issuers in total — a repeat sponsor. Their page lists every one.

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

Leonard G. Kuhr

Executive Officer · 4 shared filings (4 issuers) · also on 3 other issuers

Leonard G. Kuhr is on 7 issuers in total — a repeat sponsor. Their page lists every one.

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

R. Craig Collister

Executive Officer · 4 shared filings (4 issuers) · also on 7 other issuers

R. Craig Collister is on 11 issuers in total — a repeat sponsor. Their page lists every one.

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

Lester B. Knight

Executive Officer · 4 shared filings (4 issuers) · also on 4 other issuers

Lester B. Knight is on 8 issuers in total — a repeat sponsor. Their page lists every one.

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

T. Sands Thompson

Executive Officer · 4 shared filings (4 issuers)

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

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

Thomas Jay Gooding

Executive Officer, Director · 1 shared filing (1 issuer)

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

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

Craig Ballaron

Executive Officer, Director · 1 shared filing (1 issuer)

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

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

Andrew B. Hochman

Director · 1 shared filing (1 issuer) · also on 7 other issuers

Andrew B. Hochman is on 8 issuers in total — a repeat sponsor. Their page lists every one.

The team behind the deals

Sponsor group

Roundtable Healthcare

13 issuers · 13 filings · $1.56B reported sold · 2009–2022

One team, 13 deal companies. James Utts is listed on 5 of them.

Sources

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 Utts.

Same business address

11 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); 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)

A person is never an adviser firm. 4 of the 5 issuers this person is listed on match a Form ADV adviser (searched 24,962 advisers as of Oct 2, 2026): RoundTable Healthcare Capital Investors II, L.P., RoundTable Healthcare Capital Partners II, L.P., RoundTable Healthcare Investors III, L.P., RoundTable Healthcare Partners III, L.P..

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 Utts 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 Utts is listed on: none on file. No website or social profile named in RoundTable Healthcare Partners III, L.P.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #359,791 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 (Lake Forest, IL). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Change history

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