Jim Phillips is listed as an executive officer, director, and promoter on 8 SEC Form D filings by 4 issuers between Jul 2010 and Sep 2016: NanoMech, Inc. (Springdale, AR — other technology — 2010–2011; $7.1M reported sold to 48 investors), ushealthrecord, inc. (Fayetteville, AR — other health care — 2011–2015; $2.24M reported sold to 34 investors), Edafio Builders LLC (Roland, AR — commercial — 2016; $306K reported sold to 11 investors) and Magnolia Banking Corp (Magnolia, AR — commercial banking — 2016; 7 investors reported).
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 $9.65M sold in total.
Listed alongside Richard Roblee (4 shared filings), Scott Bailey (4 shared filings), James Lewis (3 shared filings), Jeff Amerine (3 shared filings), Tony Sherman (3 shared filings) and 18 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Jim. Each name links to their own page.
The issuers belong to 2 sponsor groups: Ushealthrecord (2 issuers, $264K reported sold, 2009–2015) and Patmos (2 issuers, $10M reported sold, 2013–2016).
What this means This person is listed across more than one sponsor team; each group page shows that team's full track record.
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) — 9 bankruptcy cases matching the name listed in Key records below.
What this means 9 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 8 public filings for Jim Phillips and found 6 differences: Jim Phillips appears on 2 deals that stopped filing before reaching their target; 4 offerings have no amendment in the last 12 months and may still be open; 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.