Sponsor Check › Person
Related person on Form D filings · address states as listed: CA, NY, WA · listed Aug 11, 2009 → Jan 15, 2026
Data last updated: Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 23, 2026, 11:57 PM ET · SEC enforcement last checked: not yet
Privacy: business-related public information only. Residential addresses are never shown; only the state from the filing.
The five facts investors ask about first. Each section states what was searched and when. Items still in human review are not shown.
None found in sources searched.
Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30) — federal district + bankruptcy courts; live RECAP re-check pending. State courts: not yet searched. PACER: not searched. · Last checked Oct 23, 2026, 11:57 PM ET.
State courts: not yet searched. 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.
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. — not yet searched; State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states: not yet searched.
Not yet searched.
No SEC search has run yet for this person.
None found in sources searched.
Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Last checked Oct 23, 2026, 11:57 PM ET.
State courts: not yet searched. 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 are made for sponsors and sponsor groups, not individual people.
9 of 62 offerings report sales commissions totalling $14,715,762; 0 report finder's fees; 26 report proceeds to related persons totalling $42,899,803. (includes amounts the issuer reported as estimates)
| Source | Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it |
|---|---|---|---|---|---|
| EDGAR ↗ | Jan 15, 2026 D File 021-570154 | $0 | $0 | $3,217,506 (est.) Held by Issuer for payments of deferred compensation obligations to participants. | None listed on this filing |
| EDGAR ↗ | Jan 15, 2026 D File 021-570156 | $0 | $0 | $1,170,000 Held by Issuer for payments of deferred compensation obligations to participants. | None listed on this filing |
| EDGAR ↗ | Jan 15, 2025 D File 021-535368 | $0 | $0 | $3,338,283 (est.) Held by Issuer for payments of deferred compensation obligations to participants. | None listed on this filing |
| EDGAR ↗ | Jan 15, 2025 D File 021-535369 | $0 | $0 | $1,280,000 Held by Issuer for payments of deferred compensation obligations to participants. | None listed on this filing |
| EDGAR ↗ | Nov 26, 2024 D File 021-530561 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Mar 13, 2024 D File 021-507505 | $7,499,850 (est.) | $0 | $0 | UBS Securities LLC BrokerCheck CRD 7654 ↗ Leerink Partners LLC BrokerCheck CRD 39011 ↗ RBC Capital Markets, LLC BrokerCheck CRD 31194 ↗ Robert W. Baird & Co. Inc. BrokerCheck CRD 8158 ↗ |
| EDGAR ↗ | Jan 16, 2024 D File 021-502546 | $0 | $0 | $2,929,000 (est.) Held by Issuer for payments of deferred compensation obligations to participants. | None listed on this filing |
| EDGAR ↗ | Jan 16, 2024 D File 021-502552 | $0 | $0 | $1,280,000 Held by Issuer for payments of deferred compensation obligations to participants. | None listed on this filing |
| EDGAR ↗ | May 5, 2023 D File 021-481003 | $2,100,000 (est.) | $0 | $0 | SVB Securities LLC BrokerCheck CRD 39011 ↗ UBS Securities LLC BrokerCheck CRD 7654 ↗ |
| EDGAR ↗ | Jan 17, 2023 D File 021-470920 | $0 | $0 | $3,699,463 (est.) Held by Issuer for payments of deferred compensation obligations to participants. | None listed on this filing |
| EDGAR ↗ | Jan 17, 2023 D File 021-470925 | $0 | $0 | $980,000 Held by Issuer for payments of deferred compensation obligations to participants. | None listed on this filing |
| EDGAR ↗ | Jul 26, 2022 D File 021-453730 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jul 7, 2022 D File 021-451437 | $6,250 | $0 | $0 | Charles Harrison BrokerCheck CRD 3071551 ↗ via H & L Equities, LLC (CRD 113794 ↗) Lori Mayfield BrokerCheck CRD 4899271 ↗ via H & L Equities, LLC (CRD 113794 ↗) Patrick Whelchel BrokerCheck CRD 5389090 ↗ via H & L Equities, LLC (CRD 113794 ↗) Scott Harrison BrokerCheck CRD 4981070 ↗ via H & L Equities, LLC (CRD 113794 ↗) Charles Mathes BrokerCheck CRD 5980160 ↗ via H & L Equities, LLC (CRD 113794 ↗) |
| EDGAR ↗ | Jan 20, 2022 D File 021-430166 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jan 18, 2022 D File 021-429812 | $0 | $0 | $745,000 Held by Issuer for payments of deferred compensation obligations to participants. | None listed on this filing |
| EDGAR ↗ | Jan 18, 2022 D File 021-429813 | $0 | $0 | $3,809,375 (est.) Held by Issuer for payments of deferred compensation obligations to participants. | None listed on this filing |
| EDGAR ↗ | Dec 30, 2021 D File 021-427416 | $6,250 | $0 | $0 | Charles Harrison BrokerCheck CRD 3071551 ↗ via H & L Equities, LLC (CRD 113794 ↗) Lori Mayfield BrokerCheck CRD 4899271 ↗ via H & L Equities, LLC (CRD 113794 ↗) Patrick Whelchel BrokerCheck CRD 5389090 ↗ via H & L Equities, LLC (CRD 113794 ↗) Scott Harrison BrokerCheck CRD 4981070 ↗ via H & L Equities, LLC (CRD 113794 ↗) Charles Mathes BrokerCheck CRD 5980160 ↗ via H & L Equities, LLC (CRD 113794 ↗) |
| EDGAR ↗ | Feb 5, 2021 D File 021-388622 | $6,250 | $0 | $0 | Charles Harrison BrokerCheck CRD 3071551 ↗ via H & L Equities, LLC (CRD 113794 ↗) Lori Mayfield BrokerCheck CRD 4899271 ↗ via H & L Equities, LLC (CRD 113794 ↗) Patrick Whelchel BrokerCheck CRD 5389090 ↗ via H & L Equities, LLC (CRD 113794 ↗) Scott Harrison BrokerCheck CRD 4981070 ↗ via H & L Equities, LLC (CRD 113794 ↗) Charles Mathes BrokerCheck CRD 5980160 ↗ via H & L Equities, LLC (CRD 113794 ↗) |
| EDGAR ↗ | Jan 15, 2021 D File 021-386552 | $0 | $0 | $4,126,130 (est.) Held by Issuer for payments of deferred compensation obligations to participants. | None listed on this filing |
| EDGAR ↗ | Jan 15, 2021 D File 021-386568 | $0 | $0 | $711,000 Held by Issuer for payments of deferred compensation obligations to participants. | None listed on this filing |
| EDGAR ↗ | Nov 12, 2020 D File 021-380339 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jan 16, 2020 D File 021-358189 | $0 | $0 | $666,000 Held by Issuer for payments of deferred compensation obligations to participants. | None listed on this filing |
| EDGAR ↗ | Jan 15, 2020 D File 021-358180 | $0 | $0 | $2,049,549 (est.) Held by Issuer for payments of deferred compensation obligations to participants. | None listed on this filing |
| EDGAR ↗ | Nov 21, 2019 D File 021-353945 | $1,250,449 (est.) | $0 | $0 | John Dexter Pearson BrokerCheck CRD 6093501 ↗ via Collage Partners, a division of CIM Securities LLC (CRD 120852 ↗) N/A no CRD number reported via Cowen and Company, LLC (CRD 7616 ↗) N/A no CRD number reported via UBS Securities LLC (CRD 7654 ↗) |
| EDGAR ↗ | Jul 11, 2019 D/A File 021-294038 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Mar 29, 2019 D/A File 021-327473 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jan 15, 2019 D File 021-330594 | $0 | $0 | $576,000 Held by Issuer for payments of deferred compensation obligations to participants. | None listed on this filing |
| EDGAR ↗ | Jan 15, 2019 D File 021-330627 | $0 | $0 | $1,835,790 (est.) Held by Issuer for payments of deferred compensation obligations to participants. | None listed on this filing |
| EDGAR ↗ | Nov 19, 2018 D File 021-326111 | $521,713 | $0 | $0 | CIM Securities, LLC BrokerCheck CRD 120852 ↗ |
| EDGAR ↗ | Aug 24, 2018 D/A File 021-275911 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Aug 17, 2018 D File 021-319505 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Feb 20, 2018 D File 021-306032 | $420,000 (est.) | $0 | $0 None except for normal operation expenses | Brookline Capital Market BrokerCheck CRD 120852 ↗ via a division of CIM Securities, LLC (CRD 120852 ↗) |
| EDGAR ↗ | Jan 22, 2018 D/A File 021-254662 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jan 16, 2018 D File 021-303349 | $0 | $0 | $2,217,469 (est.) Held by Issuer for payments of deferred compensation obligations to participants. | None listed on this filing |
| EDGAR ↗ | Jan 16, 2018 D File 021-303354 | $0 | $0 | $356,000 Held by Issuer for payments of deferred compensation obligations to participants. | None listed on this filing |
| EDGAR ↗ | Aug 2, 2017 D File 021-291967 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jan 13, 2017 D File 021-278442 | $0 | $0 | $1,625,924 (est.) Held by Issuer for payments of deferred compensation obligations to participants. | None listed on this filing |
| EDGAR ↗ | Jan 13, 2017 D File 021-278452 | $0 | $0 | $110,000 Held by Issuer for payments of deferred compensation obligations to participants. | None listed on this filing |
| EDGAR ↗ | Jan 4, 2017 D/A File 021-254438 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jan 19, 2016 D File 021-255443 | $0 | $0 | $1,071,750 (est.) Held by issuer for payments of deferred compensation obligations to participants. | None listed on this filing |
| EDGAR ↗ | Jan 19, 2016 D File 021-255449 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jan 16, 2015 D File 021-232422 | $0 | $0 | $1,089,530 Held by issuer for payments of deferred compensation obligations to participants. | None listed on this filing |
| EDGAR ↗ | Jan 16, 2015 D File 021-232423 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jan 16, 2015 D File 021-232425 | $0 | $0 | $2,571,784 Held by issuer for payments of deferred compensation obligations to participants. | None listed on this filing |
| EDGAR ↗ | Jan 16, 2015 D File 021-232429 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jan 16, 2015 D File 021-232432 | $0 | $0 | $965,750 (est.) Held by issuer for payments of deferred compensation obligations to participants. | None listed on this filing |
| EDGAR ↗ | Jan 16, 2015 D File 021-232431 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jan 13, 2014 D File 021-209861 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jan 13, 2014 D File 021-209862 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jan 13, 2014 D File 021-209863 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Dec 10, 2013 D File 021-207719 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Dec 10, 2013 D File 021-207720 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Dec 10, 2013 D File 021-207721 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Sep 11, 2013 D File 021-202684 | $2,905,000 (est.) | $0 | $0 | Leerink Swann LLC BrokerCheck CRD 39011 ↗ National Securities Corporation BrokerCheck CRD 7569 ↗ Livingston Securities, LLC BrokerCheck CRD 147364 ↗ |
| EDGAR ↗ | Jun 25, 2013 D/A File 021-194277 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jun 25, 2013 D File 021-198529 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jan 13, 2012 D File 021-171830 | $0 | $0 | $200,000 (est.) Held by issuer for payments of deferred compensation obligations to participants. | None listed on this filing |
| EDGAR ↗ | Jan 13, 2012 D File 021-171883 | $0 | $0 | $0 Held by issuer for payments of deferred compensation obligations to participants. | None listed on this filing |
| EDGAR ↗ | Jan 10, 2011 D File 021-153362 | $0 | $0 | $278,500 (est.) Held by issuer for payments of deferred compensation obligations to participants. | None listed on this filing |
| EDGAR ↗ | Jan 10, 2011 D File 021-153363 | $0 | $0 | $0 Held by issuer for payments of deferred compensation obligations to participants. | None listed on this filing |
| EDGAR ↗ | Mar 8, 2010 D File 021-45025 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jan 19, 2010 D File 021-41415 | $0 | $0 | $0 Held by issuer for payments of deferred compensation obligations to participants. | None listed on this filing |
As reported by the issuer on Form D (Items 12–15), 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).
| Source | Issuer | Role | Filed | Form | Offering | Sold | Investors | Min. investment |
|---|---|---|---|---|---|---|---|---|
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 15, 2026 | D | $1,170,000 similar: $125,000–$125,000 | $1,000,000 | 5 similar: 124–125 | No minimum reported similar: $1,000–$1,000 |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 15, 2026 | D | $4,660,978 similar: $125,000–$125,000 | $53,448 | 14 similar: 124–125 | No minimum reported similar: $1,000–$1,000 |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 15, 2025 | D | $1,280,000 similar: $125,000–$125,000 | $1,000,000 | 5 similar: 124–125 | No minimum reported similar: $1,000–$1,000 |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 15, 2025 | D | $5,543,510 similar: $125,000–$125,000 | $66,141 | 18 similar: 124–125 | No minimum reported similar: $1,000–$1,000 |
| EDGAR ↗ | TRex Holdings Inc. | Director | Nov 26, 2024 | D | $85,000,000 similar: $2,000,000–$19,999,994 | $42,279,369 | 13 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Applied Therapeutics, Inc. | Director | Mar 13, 2024 | D | $99,997,998 similar: $2,000,000–$19,999,994 | $99,997,998 | 31 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 16, 2024 | D | $1,280,000 similar: $125,000–$125,000 | $1,000,000 | 5 similar: 124–125 | No minimum reported similar: $1,000–$1,000 |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 16, 2024 | D | $5,082,207 similar: $125,000–$125,000 | $48,152 | 16 similar: 124–125 | No minimum reported similar: $1,000–$1,000 |
| EDGAR ↗ | Applied Therapeutics, Inc. | Director | May 5, 2023 | D | $30,000,002 similar: $2,000,000–$19,999,994 | $30,000,002 | 19 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 17, 2023 | D | $980,000 similar: $125,000–$125,000 | $700,000 | 4 similar: 124–125 | No minimum reported similar: $1,000–$1,000 |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 17, 2023 | D | $5,495,713 similar: $125,000–$125,000 | $34,256 | 18 similar: 124–125 | No minimum reported similar: $1,000–$1,000 |
| EDGAR ↗ | AltPep Corp | Director | Jul 26, 2022 | D | $74,999,996 similar: $2,000,000–$19,999,994 | $44,399,972 | 12 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | ARE-MA Region No. 107 REIT, LLC group: Are | Executive Officer | Jul 7, 2022 | D | $125,000 similar: $125,000–$125,000 | $125,000 | 125 similar: 124–125 | $1,000 similar: $1,000–$1,000 |
| EDGAR ↗ | Equilibre BioPharmaceuticals Corp. | Director | Jan 20, 2022 | D | $25,000,000 similar: $1,694,259–$16,000,000 | $15,902,341 | 14 similar: 1–13 | No minimum reported similar: $10,000–$55,000 |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 18, 2022 | D | $5,751,688 similar: $125,000–$125,000 | $48,917 | 15 similar: 124–125 | No minimum reported similar: $1,000–$1,000 |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 18, 2022 | D | $745,000 similar: $125,000–$125,000 | $465,000 | 3 similar: 124–125 | No minimum reported similar: $1,000–$1,000 |
| EDGAR ↗ | ARE-MA Region No. 102 REIT, LLC group: Are | Executive Officer, Director | Dec 30, 2021 | D | $125,000 similar: $125,000–$125,000 | $125,000 | 125 similar: 124–125 | $1,000 similar: $1,000–$1,000 |
| EDGAR ↗ | ARE-Winter Street REIT, LLC group: Are | Executive Officer, Director | Feb 5, 2021 | D | $125,000 similar: $125,000–$125,000 | $125,000 | 125 similar: 124–125 | $1,000 similar: $1,000–$1,000 |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 15, 2021 | D | $711,000 similar: $125,000–$125,000 | $465,000 | 3 similar: 124–125 | No minimum reported similar: $1,000–$1,000 |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 15, 2021 | D | $5,617,595 similar: $125,000–$125,000 | $43,692 | 13 similar: 124–125 | No minimum reported similar: $1,000–$1,000 |
| EDGAR ↗ | Equilibre BioPharmaceuticals Corp. | Director | Nov 12, 2020 | D | $35,799,973 similar: $1,694,259–$16,000,000 | $25,799,973 | 14 similar: 1–13 | No minimum reported similar: $10,000–$55,000 |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 16, 2020 | D | $666,000 similar: $125,000–$125,000 | $420,000 | 3 similar: 124–125 | No minimum reported similar: $1,000–$1,000 |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 15, 2020 | D | $4,617,554 similar: $125,000–$125,000 | $43,931 | 14 similar: 124–125 | No minimum reported similar: $1,000–$1,000 |
| EDGAR ↗ | Applied Therapeutics, Inc. | Director | Nov 21, 2019 | D | $20,014,988 similar: $2,000,000–$19,999,994 | $20,014,988 | 12 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Proniras Corp | Director | Jul 11, 2019 | D/A | $4,300,000 similar: $2,000,000–$19,999,994 | $4,300,000 | 7 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Rodeo Therapeutics Corp | Director | Mar 29, 2019 | D/A | $7,949,999 similar: $2,000,000–$19,999,994 | $7,949,999 | 8 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 15, 2019 | D | $4,331,728 similar: $125,000–$125,000 | $39,228 | 17 similar: 124–125 | No minimum reported similar: $1,000–$1,000 |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 15, 2019 | D | $576,000 similar: $125,000–$125,000 | $330,000 | 3 similar: 124–125 | No minimum reported similar: $1,000–$1,000 |
| EDGAR ↗ | Rodeo Therapeutics Corp | Director | Dec 10, 2018 | D | $4,571,475 similar: $2,000,000–$19,999,994 | $3,685,714 | 6 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Applied Therapeutics, Inc. | Director | Nov 19, 2018 | D | $56,584,093 similar: $2,000,000–$19,999,994 | $27,158,092 | 37 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | ApoGen Biotechnologies, Inc. | Director | Aug 24, 2018 | D/A | $7,565,892 similar: $2,000,000–$19,999,994 | $7,565,892 | 24 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Magnolia Neurosciences Corp | Director | Aug 17, 2018 | D | $13,090,909 similar: $2,000,000–$19,999,994 | $8,000,000 | 11 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Applied Therapeutics, Inc. | Director | Feb 20, 2018 | D | $6,000,000 similar: $829,831–$9,999,998 | $6,000,000 | 23 similar: 2–15 | No minimum reported similar: $10,000–$54,310 |
| EDGAR ↗ | Petra Pharma Corp | Director | Jan 22, 2018 | D/A | $48,250,000 similar: $2,000,000–$19,999,994 | $31,204,516 | 13 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 16, 2018 | D | $356,000 similar: $125,000–$125,000 | $220,000 | 2 similar: 124–125 | No minimum reported similar: $1,000–$1,000 |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 16, 2018 | D | $4,113,287 similar: $125,000–$125,000 | $41,738 | 22 similar: 124–125 | No minimum reported similar: $1,000–$1,000 |
| EDGAR ↗ | Proniras Corp | Director | Sep 5, 2017 | D | $2,800,000 similar: $2,000,000–$19,999,994 | $2,800,000 | 7 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Rodeo Therapeutics Corp | Director | Aug 2, 2017 | D | $5,900,000 similar: $2,000,000–$19,999,994 | $5,354,000 | 8 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 13, 2017 | D | $110,000 similar: $125,000–$125,000 | $110,000 | 1 similar: 124–125 | No minimum reported similar: $1,000–$1,000 |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 13, 2017 | D | $3,563,233 similar: $125,000–$125,000 | $40,345 | 20 similar: 124–125 | No minimum reported similar: $1,000–$1,000 |
| EDGAR ↗ | Petra Pharma Corp | Director | Jan 4, 2017 | D/A | $48,250,000 similar: $2,000,000–$19,999,994 | $21,204,511 | 11 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Lodo Therapeutics Corp | Director | Jan 4, 2017 | D/A | $19,867,600 similar: $2,000,000–$19,999,994 | $19,867,600 | 13 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | ApoGen Biotechnologies, Inc. | Director | Dec 8, 2016 | D | $7,315,892 similar: $2,000,000–$19,999,994 | $3,815,892 | 23 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 19, 2016 | D | Indefinite similar: $125,000–$125,000 | $0 | 0 similar: 124–125 | No minimum reported similar: $1,000–$1,000 |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 19, 2016 | D | $2,133,161 similar: $125,000–$125,000 | $28,254 | 16 similar: 124–125 | No minimum reported similar: $1,000–$1,000 |
| EDGAR ↗ | Petra Pharma Corp | Director | Jan 6, 2016 | D | $10,410,478 similar: $2,000,000–$19,999,994 | $9,992,200 | 12 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Lodo Therapeutics Corp | Director | Jan 4, 2016 | D | $3,658,304 similar: $2,000,000–$19,999,994 | $3,517,600 | 13 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 16, 2015 | D | Indefinite similar: $125,000–$125,000 | $0 | 0 similar: 124–125 | No minimum reported similar: $1,000–$1,000 |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 16, 2015 | D | $1,075,500 similar: $125,000–$125,000 | $17,337 | 4 similar: 124–125 | No minimum reported similar: $1,000–$1,000 |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 16, 2015 | D | Indefinite similar: $125,000–$125,000 | $0 | 0 similar: 124–125 | No minimum reported similar: $1,000–$1,000 |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 16, 2015 | D | $2,701,298 similar: $125,000–$125,000 | $2,701,298 | 7 similar: 124–125 | No minimum reported similar: $1,000–$1,000 |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 16, 2015 | D | Indefinite similar: $125,000–$125,000 | $0 | 0 similar: 124–125 | No minimum reported similar: $1,000–$1,000 |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 16, 2015 | D | $1,089,530 similar: $125,000–$125,000 | $1,089,530 | 3 similar: 124–125 | No minimum reported similar: $1,000–$1,000 |
| EDGAR ↗ | Santa Maria Biotherapeutics, Inc. group: Santa | Director | Jan 13, 2014 | D | $6,311,156 similar: $2,000,000–$19,999,994 | $6,311,156 | 10 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Pinta Biotherapeutics, Inc. group: Santa | Director | Jan 13, 2014 | D | $6,311,156 similar: $2,000,000–$19,999,994 | $6,311,156 | 10 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Nina Biotherapeutics, Inc. group: Santa | Director | Jan 13, 2014 | D | $877,688 similar: $2,000,000–$19,999,994 | $877,688 | 10 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Santa Maria Biotherapeutics, Inc. group: Santa | Director | Dec 10, 2013 | D | $17,998,555 similar: $2,000,000–$19,999,994 | $17,998,555 | 12 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Pinta Biotherapeutics, Inc. group: Santa | Director | Dec 10, 2013 | D | $17,998,555 similar: $2,000,000–$19,999,994 | $17,998,555 | 12 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Nina Biotherapeutics, Inc. group: Santa | Director | Dec 10, 2013 | D | $2,503,048 similar: $2,000,000–$19,999,994 | $2,503,048 | 12 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | INTRA CELLULAR THERAPIES INC group: Intra Cellular Therapies | Director | Sep 11, 2013 | D | $60,000,000 | $60,000,000 | 185 | No minimum reported |
| EDGAR ↗ | INTRA CELLULAR THERAPIES INC group: Intra Cellular Therapies | Director | Jun 25, 2013 | D | $241,633 | $241,633 | 1 | No minimum reported |
| EDGAR ↗ | INTRA CELLULAR THERAPIES INC group: Intra Cellular Therapies | Director | Jun 25, 2013 | D/A | $15,400,000 | $15,289,893 | 12 | No minimum reported |
| EDGAR ↗ | INTRA CELLULAR THERAPIES INC group: Intra Cellular Therapies | Director | May 17, 2013 | D/A | $15,400,000 | $15,289,893 | 12 | No minimum reported |
| EDGAR ↗ | INTRA CELLULAR THERAPIES INC group: Intra Cellular Therapies | Director | Apr 1, 2013 | D | $15,400,000 | $15,289,893 | 12 | No minimum reported |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 13, 2012 | D | Indefinite | $0 | 0 | No minimum reported |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 13, 2012 | D | $580,000 | $0 | 3 | No minimum reported |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 10, 2011 | D | Indefinite | $0 | 0 | No minimum reported |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 10, 2011 | D | $576,000 | $0 | 3 | No minimum reported |
| EDGAR ↗ | INTRA CELLULAR THERAPIES INC group: Intra Cellular Therapies | Director | Mar 8, 2010 | D | $8,000,000 | $5,335,780 | 10 | No minimum reported |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 19, 2010 | D | Indefinite | $0 | 0 | No minimum reported |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Jan 19, 2010 | D | $403,250 | $0 | 4 | No minimum reported |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Aug 12, 2009 | D | $1,414,150 | $1,414,150 | 5 | No minimum reported |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Aug 12, 2009 | D | $276,611 | $276,611 | 6 | No minimum reported |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Aug 12, 2009 | D | $78,750 | $78,750 | 1 | No minimum reported |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Aug 12, 2009 | D | Indefinite | $0 | 0 | No minimum reported |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Aug 12, 2009 | D | $998,488 | $998,488 | 4 | No minimum reported |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Aug 12, 2009 | D | $387,232 | $387,232 | 5 | No minimum reported |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Aug 12, 2009 | D | $372,375 | $372,375 | 6 | No minimum reported |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Aug 12, 2009 | D | $262,435 | $262,435 | 6 | No minimum reported |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Aug 12, 2009 | D | $40,000 | $0 | 1 | No minimum reported |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Aug 12, 2009 | D | $1,009,300 | $1,009,300 | 5 | No minimum reported |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Aug 11, 2009 | D | $285,656 | $285,656 | 7 | No minimum reported |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Aug 11, 2009 | D | $325,873 | $325,873 | 6 | No minimum reported |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Aug 11, 2009 | D | $517,009 | $517,009 | 6 | No minimum reported |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Aug 11, 2009 | D | $632,948 | $632,948 | 6 | No minimum reported |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Aug 11, 2009 | D | $250,505 | $250,505 | 1 | No minimum reported |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Aug 11, 2009 | D | $293,352 | $293,352 | 1 | No minimum reported |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Aug 11, 2009 | D | $215,480 | $215,480 | 2 | No minimum reported |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Aug 11, 2009 | D | $127,793 | $127,793 | 1 | No minimum reported |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Aug 11, 2009 | D | $94,000 | $94,000 | 1 | No minimum reported |
| EDGAR ↗ | ALEXANDRIA REAL ESTATE EQUITIES, INC. group: Are | Executive Officer, Director | Aug 11, 2009 | D | $115,780 | $115,780 | 2 | No minimum reported |
Every row is a Form D or D/A on which the issuer listed this name as a related person. Related-person names are matched on first + last name and the address state on the filing; records that share a name but could not be tied together by a second identifier are listed separately below.
"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: REITS and Finance / 506(b) (3,490 filings); Biotechnology / 506(b) (3,253 filings); Pharmaceuticals / 506(b) (800 filings); Other Health Care / 506(b) (4,189 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.
Separate person records under the same name, not combined with this page. Each line says whether it is listed on an issuer this record is also listed on (a second identifier); where it is not, it could be the same person or a different one.
People and management entities the issuers listed as related persons on the same Form D filings as Joel S. Marcus. Source: the EDGAR rows in the table above. Showing the 40 with the most shared filings.
None found in sources searched.
Sources 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 · Last checked Oct 23, 2026, 8:41 PM ET.
Export this report as PDF (members · included free during the launch period)
No corrections have been requested for this page.
Free. Logged with status: received → under review → fixed / confirmed with source.
If this is you or your firm, add a sourced explanation next to any fact. Reviewed before publishing.
Members get an email when Joel S. Marcus appears on a new Form D, or when a court case or SEC action is matched to them. See plans →