John Barton is listed as an executive officer on 1 SEC Form D filing by 1 issuer in Mar 2015: TIDEWATCH PARTNERS LP (Norwalk, CT — pooled investment fund — 2015; $12M reported sold to 10 investors).
What this means One deal on file with the SEC, filed Mar 2015. A Form D is the notice a company files after it starts selling a private investment — it is a notice, not an approval.
The issuer belongs to the sponsor group Dialectic (23 issuers, $1.6B reported sold, 2009–2026).
What this means A sponsor group is one team that sets up a new company for each deal. Dialectic has 23 companies on file and $1.6B 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) — 3 bankruptcy cases matching the name listed in Key records below.
What this means 3 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 1 public filing for John Barton and found 9 differences, 2 worth asking the sponsor about: Form D filed 70 days after the first sale; John Barton is no longer listed on the Apr 7, 2016 amendment; 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.