Sponsor Check › Person
Related person on Form D filings · address state as listed: WA · listed Jun 15, 2009 → Jul 1, 2015
Data last updated: Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 23, 2026, 11:56 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, 11:56 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.
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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, 11:56 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.
0 of 19 offerings report sales commissions; 0 report finder's fees; 1 reports proceeds to related persons totalling $4,000. (includes amounts the issuer reported as estimates)
| Source | Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it |
|---|---|---|---|---|---|
| EDGAR ↗ | Jul 1, 2015 D File 021-242883 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Feb 24, 2015 D/A File 021-223681 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Mar 21, 2014 D File 021-214038 | $0 | $0 | $0 (est.) | None listed on this filing |
| EDGAR ↗ | Dec 12, 2013 D File 021-207897 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Nov 25, 2013 D File 021-206945 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Oct 24, 2013 D File 021-205177 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | May 1, 2013 D File 021-195839 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jan 10, 2013 D File 021-189907 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Sep 10, 2012 D File 021-183859 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jun 29, 2012 D File 021-180541 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Feb 21, 2012 D File 021-173757 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Sep 22, 2011 D/A File 021-160033 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Sep 12, 2011 D/A File 021-159164 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Nov 22, 2010 D File 021-150822 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Aug 10, 2010 D/A File 021-142435 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jul 15, 2010 D File 021-145018 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | May 26, 2010 D File 021-142586 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jan 28, 2010 D File 021-84271 | $0 | $0 | $0 Share exchange in conjunction with a merger. | None listed on this filing |
| EDGAR ↗ | Oct 6, 2009 D/A File 021-127090 | $0 | $0 | $4,000 (est.) Proceeds may be used to pay ordinary salaries of executive officers. | 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 ↗ | PREPARED RESPONSE, INC | Director | Jul 1, 2015 | D | $600,000 similar: $1,100,015–$10,001,163 | $0 | 1 similar: 2–14 | No minimum reported similar: $5,000–$50,000 |
| EDGAR ↗ | PREPARED RESPONSE, INC | Director | Feb 24, 2015 | D/A | $770,000 similar: $1,100,015–$10,001,163 | $443,860 | 7 similar: 2–14 | No minimum reported similar: $5,000–$50,000 |
| EDGAR ↗ | PREPARED RESPONSE, INC | Director | Nov 5, 2014 | D/A | $440,000 similar: $1,100,015–$10,001,163 | $406,360 | 6 similar: 2–14 | No minimum reported similar: $5,000–$50,000 |
| EDGAR ↗ | PREPARED RESPONSE, INC | Director | Aug 27, 2014 | D | $200,000 similar: $1,100,015–$10,001,163 | $50,000 | 2 similar: 2–14 | No minimum reported similar: $5,000–$50,000 |
| EDGAR ↗ | DNA Response, Inc. | Director | Mar 21, 2014 | D | $1,900,000 similar: $500,000–$5,000,000 | $1,436,669 | 14 similar: 2–15 | $5,000 similar: $6,225–$50,000 |
| EDGAR ↗ | PREPARED RESPONSE, INC | Director | Dec 12, 2013 | D | $2,750,000 similar: $1,100,015–$10,001,163 | $0 | 0 similar: 2–14 | No minimum reported similar: $5,000–$50,000 |
| EDGAR ↗ | AVALARA INC | Director | Nov 25, 2013 | D | $34,999,998 similar: $1,100,015–$10,001,163 | $28,653,004 | 33 similar: 2–14 | No minimum reported similar: $5,000–$50,000 |
| EDGAR ↗ | DNA Response, Inc. | Director | Oct 24, 2013 | D | $1,000,000 similar: $500,000–$5,000,000 | $350,000 | 2 similar: 2–15 | $25,000 similar: $6,225–$50,000 |
| EDGAR ↗ | PREPARED RESPONSE, INC | Director | May 1, 2013 | D | $60,000 similar: $1,100,015–$10,001,163 | $60,000 | 6 similar: 2–14 | No minimum reported similar: $5,000–$50,000 |
| EDGAR ↗ | AVALARA INC | Director | Jan 10, 2013 | D | $425,355 similar: $1,100,015–$10,001,163 | $425,355 | 1 similar: 2–14 | No minimum reported similar: $5,000–$50,000 |
| EDGAR ↗ | Calico Energy, Inc. | Director | Sep 10, 2012 | D | $5,500,000 similar: $1,000,000–$12,941,590 | $2,000,000 | 1 similar: 1–13 | $25,000 similar: $5,286–$25,000 |
| EDGAR ↗ | AVALARA INC | Director | Jun 29, 2012 | D | $20,000,000 similar: $1,100,015–$10,001,163 | $20,000,000 | 2 similar: 2–14 | No minimum reported similar: $5,000–$50,000 |
| EDGAR ↗ | DNA Response, Inc. | Director | Feb 21, 2012 | D | $4,000,000 similar: $500,000–$5,000,000 | $1,580,000 | 7 similar: 2–15 | $25,000 similar: $6,225–$50,000 |
| EDGAR ↗ | Calico Energy, Inc. | Director | Sep 22, 2011 | D/A | $6,480,000 similar: $1,000,000–$12,941,590 | $4,014,820 | 15 similar: 1–13 | $25,000 similar: $5,286–$25,000 |
| EDGAR ↗ | AVALARA INC | Director | Sep 12, 2011 | D/A | $21,250,001 similar: $1,100,015–$10,001,163 | $21,218,987 | 17 similar: 2–14 | No minimum reported similar: $5,000–$50,000 |
| EDGAR ↗ | Calico Energy, Inc. | Director | May 19, 2011 | D | $2,500,000 similar: $1,000,000–$12,941,590 | $1,764,820 | 7 similar: 1–13 | $25,000 similar: $5,286–$25,000 |
| EDGAR ↗ | AVALARA INC | Director | May 2, 2011 | D | $21,000,000 similar: $1,100,015–$10,001,163 | $10,000,000 | 1 similar: 2–14 | No minimum reported similar: $5,000–$50,000 |
| EDGAR ↗ | AVALARA INC | Director | Nov 22, 2010 | D | $5,000,000 similar: $1,100,015–$10,001,163 | $600,000 | 2 similar: 2–14 | No minimum reported similar: $5,000–$50,000 |
| EDGAR ↗ | PREPARED RESPONSE, INC | Director | Aug 10, 2010 | D/A | $700,000 similar: $1,100,015–$10,001,163 | $700,000 | 6 similar: 2–14 | No minimum reported similar: $5,000–$50,000 |
| EDGAR ↗ | CEQUINT INC | Director | Jul 15, 2010 | D | $1,650,000 similar: $1,100,015–$10,001,163 | $750,000 | 2 similar: 2–14 | No minimum reported similar: $5,000–$50,000 |
| EDGAR ↗ | AVALARA INC | Director | May 26, 2010 | D | $9,400,000 similar: $1,100,015–$10,001,163 | $4,946,725 | 36 similar: 2–14 | No minimum reported similar: $5,000–$50,000 |
| EDGAR ↗ | PREPARED RESPONSE, INC | Director | May 24, 2010 | D | $600,000 similar: $1,100,015–$10,001,163 | $125,000 | 2 similar: 2–14 | No minimum reported similar: $5,000–$50,000 |
| EDGAR ↗ | AVALARA INC | Director | Jan 28, 2010 | D | $5,000,000 similar: $1,100,015–$10,001,163 | $5,000,000 | 30 similar: 2–14 | $1 similar: $5,000–$50,000 |
| EDGAR ↗ | VERATECT Corp | Director | Oct 6, 2009 | D/A | $5,000,000 similar: $500,000–$7,000,000 | $4,209,801 | 15 similar: 2–14 | No minimum reported similar: $5,000–$50,000 |
| EDGAR ↗ | VERATECT Corp | Director | Jul 17, 2009 | D/A | $4,000,000 similar: $500,000–$7,000,000 | $3,164,801 | 15 similar: 2–14 | No minimum reported similar: $5,000–$50,000 |
| EDGAR ↗ | AVALARA INC | Director | Jun 24, 2009 | D | $3,100,000 similar: $500,000–$5,000,000 | $3,085,433 | 15 similar: 2–15 | $20,000 similar: $6,225–$50,000 |
| EDGAR ↗ | VERATECT Corp | Director | Jun 15, 2009 | D/A | $3,000,000 similar: $500,000–$7,000,000 | $266,480 | 15 similar: 2–14 | No minimum reported similar: $5,000–$50,000 |
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: Other Technology / 506(b) (17,390 filings); Business Services / 506(b) (965 filings); Energy Conservation / 506(b) (92 filings); Other / 506(b) (18,678 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.
People and management entities the issuers listed as related persons on the same Form D filings as John Carleton. 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.
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