Sponsor Check › Person
Named as an officer, director or promoter on SEC Form D filings · PA · Apr 1, 2010 → Apr 6, 2018
Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:19 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET
John E. Thomas, Jr. is listed as an executive officer on 19 SEC Form D filings by 3 issuers between Apr 2010 and Apr 2018: ALEXANDER SERIES TRUST (New York, NY — pooled investment fund — 2010–2018; $591.31B reported sold to 185 investors), ALEXANDER SERIES OFFSHORE FUND SPC (New York, NY — pooled investment fund — 2010–2017; $456.26B reported sold to 91 investors) and Alexander Series Trust - Clareant European Credit Opportunities Fund II (New York, NY — pooled investment fund — 2015–2016; $231.5M reported sold to 7 investors).
What this means A repeat sponsor — 3 separate companies raised money with this person listed as executive officer, over about 8 years. Across those companies the filings report $1047.81B sold in total.
Listed alongside Richard T. Klingman (19 shared filings), Steven M. Anderson (19 shared filings), The Bank of New York Mellon (17 shared filings), J. Charles Cardona (7 shared filings), J. Desmond MacIntyre (6 shared filings) and 4 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around John. Each name links to their own page.
All 3 issuers belong to the sponsor group Alexander (4 issuers, $1053.66B reported sold, 2009–2026).
What this means A sponsor group is one team that sets up a new company for each deal. Alexander has 4 companies on file and $1053.66B 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 SEC releases, 29 bankruptcy cases matching the name listed in Key records below.
What this means 32 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 19 public filings for John E. Thomas, Jr. and found 15 differences, 2 worth asking the sponsor about: Regulator action: Pappas, John Thomas (Sep 5, 2014); John E. Thomas, Jr. is no longer listed on the Apr 5, 2019 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.
Community search for John E. Thomas, Jr. has not run yet — it is joining a line of 29,204 names; searches run around the clock at the hosts' allowed rate. Searched so far: 638 names.
Community comments are quoted as written by their authors. Sources searched: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).
Five things investors ask first. Items still in human review are counted, not shown.
None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026
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, 2:19 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.
3 SEC releases
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 John E. Thomas, Jr...
State securities regulators: Securities regulators searched (3,318 actions): 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), DE DOJ Investor Protection Unit (257 actions, 1987–2026), TX State Securities Board (586 actions, 2006–2026), WA DFI (2,039 actions, 2001–2026) — last crawled Oct 23, 2026, 9:57 PM ET. No machine-readable public listing today for CO, FL, IA, IN, MN, NE, NJ, NY, OH, UT, VA (see docs/state-regulators.md).
29 cases: 3 open, 26 closed (disposition not in docket feed)
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, 2:19 AM ET.
Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.
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.
Comparisons cover issuers and sponsor groups — see the issuer pages under Deals
15 differences found between the filings for John E. Thomas, Jr. — 2 worth asking about (compared 19 filings on Oct 24, 2026)
A ap release dated Sep 5, 2014 names John E. Thomas, Jr.. Our match estimate: 44%. The release is the source; we do not summarize its outcome here.
What this means A regulator filed or announced an action naming this person or company (or someone on the same filings). Read the release; ask the sponsor what it was and how it ended.
United States Bankruptcy Court, S.D. New York docket "Hutter v. The Bank of New York Mellon" filed Oct 20, 2025 (Open). The Bank of New York Mellon (listed on the same filings) is listed as Defendant ("The Bank of New York Mellon"). Our match estimate: 60%.
What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.
United States Bankruptcy Court, N.D. Illinois docket "Krahulik v. Bank of New York Mellon" filed Aug 8, 2012, closed Oct 3, 2012. The Bank of New York Mellon (listed on the same filings) is listed as Defendant ("Bank of New York Mellon"). Our match estimate: 60%.
What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.
United States Bankruptcy Court, N.D. Illinois docket "Serpico v. The Bank of New York Mellon" filed Aug 25, 2010, closed Nov 9, 2010. The Bank of New York Mellon (listed on the same filings) is listed as Defendant ("The Bank of New York Mellon"). Our match estimate: 60%.
What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.
The latest filing for this offering is dated Apr 7, 2017 (first sale Feb 8, 2008). It reports $456,260,762,191 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.
What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.
The latest filing for this offering is dated Jun 17, 2016 (first sale Jun 4, 2015). It reports $231,500,000 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.
What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.
John E. Thomas, Jr. appears on the Apr 6, 2018 Form D/A (executive officer) but not on the Apr 5, 2019 Form D/A for the same offering.
What this means People leave, and the issuer must list only current officers, directors and promoters. It is still worth asking why this person left and who replaced them.
The Apr 8, 2014 filing lists a minimum of $100,000; the Apr 7, 2015 Form D/A lists $1,000,000.
What this means A different minimum usually means the offering terms changed. Check which terms apply to you.
The Apr 8, 2013 filing lists a minimum of $0; the Apr 8, 2014 Form D/A lists $1,000,000.
What this means A different minimum usually means the offering terms changed. Check which terms apply to you.
The Apr 1, 2009 filing lists a minimum of $5,000,000; the Apr 1, 2010 Form D/A lists $0.
What this means A different minimum usually means the offering terms changed. Check which terms apply to you.
This page covers filings where the address state is PA. A separate record, "John Thomas" with address state A6, is listed on 11 filings — most recently by PPX Mining Corp. (Sep 19, 2025). Both records have filings in the same period (Aug 19, 2010 to Apr 6, 2018).
What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.
This page covers filings where the address state is PA. A separate record, "John Thomas" with address state AL, is listed on 3 filings — most recently by Microflex Partners, LP (Dec 20, 2024). The two records do not overlap in time: this page runs Apr 1, 2010 to Apr 6, 2018; the other runs Nov 29, 2021 to Dec 20, 2024.
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.
This page covers filings where the address state is PA. A separate record, "John Thomas" with address state CA or GA or CO or FL, is listed on 43 filings — most recently by CoRegen, Inc. (May 22, 2025). Both records have filings in the same period (Apr 1, 2010 to Apr 6, 2018).
What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.
This page covers filings where the address state is PA. A separate record, "John Thomas" with address state IL, is listed on 2 filings — most recently by SmartBiz Bancshares, Inc. (Mar 25, 2016). Both records have filings in the same period (Mar 21, 2016 to Mar 25, 2016).
What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.
This page covers filings where the address state is PA. A separate record, "John Thomas" with address state OH, is listed on 1 filing — most recently by LLUMCM, LLC (Jul 19, 2011). Both records have filings in the same period (Jul 19, 2011).
What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.
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.
2 of 3 offerings report sales commissions totalling $3,183,548; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)
| Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it | Source |
|---|---|---|---|---|---|
| Apr 6, 2018 D/A ALEXANDER SERIES TRUST File 021-121383 | $3,174,473 (est.) | $0 | $0 | MBSC Securities Corporation BrokerCheck CRD 231 ↗ | EDGAR ↗ |
| Apr 7, 2017 D/A ALEXANDER SERIES OFFSHORE FUND SPC File 021-121371 | $9,075 (est.) | $0 | $0 | MBSC Securities Corporation BrokerCheck CRD 231 ↗ | EDGAR ↗ |
| Jun 17, 2016 D/A Alexander Series Trust - Clareant European Credit Opportunities Fund II File 021-242103 | $0 | $0 | $0 | MBSC Securities Corporation BrokerCheck CRD 231 ↗ | EDGAR ↗ |
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).
Every issuer that named John E. Thomas, Jr. on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.
Raised $591.31B from 185 investors as of the latest filing. John is listed as executive officer on 9 filings for this deal.
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. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 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.
Raised $456.26B from 91 investors as of the latest filing. John is listed as executive officer on 8 filings for this deal.
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. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 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.
Raised $231.5M from 7 investors as of the latest filing. John is listed as executive officer on 2 filings for this deal.
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. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 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 shares an issuer with this record.
Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.
The Bank of New York Mellon is on 24 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as John E. Thomas, Jr.. Their page shows their other deals.
Listed on the same filings as John E. Thomas, Jr.. Their page shows their other deals.
Listed on the same filings as John E. Thomas, Jr.. Their page shows their other deals.
Listed on the same filings as John E. Thomas, Jr.. Their page shows their other deals.
Listed on the same filings as John E. Thomas, Jr.. Their page shows their other deals.
Alan Milgate is on 37 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as John E. Thomas, Jr.. Their page shows their other deals.
Listed on the same filings as John E. Thomas, Jr.. Their page shows their other deals.
One team, 4 deal companies. John E. Thomas, Jr. is listed on 3 of them.
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 John E. Thomas, Jr..
A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.
None of the 3 issuers this person is listed on appears in Form ADV (searched 24,962 advisers as of Oct 2, 2026). A person is never an adviser firm; Form ADV is checked for the issuers and the management companies they are listed with.
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 are matched to companies only, never to individuals, so none are matched to John E. Thomas, Jr. 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 3 issuers this person is listed on — nothing matched.
Websites and social links of the issuers John E. Thomas, Jr. is listed on: none on file. No website or social profile named in ALEXANDER SERIES TRUST's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #34,587 of 374,652 in line (1,381 issuers searched so far). One-tap searches: Look further ↓
One-tap searches on sites we do not index ourselves, with the name pre-filled (New York, NY). Each opens in a new tab; what you find there is not verified by PartnerFacts.
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Free. Logged with status: received → under review → fixed / confirmed with source.
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