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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 7:33 AM ET

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John Harper

Named as an officer, director or promoter on SEC Form D filings · IL · Dec 15, 2009 → May 7, 2018

5deals (issuers)
$291.3Mreported sold
536investors
30Form D filings
2009–2018years on file
Follow this personLook further ↓PDF

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

The short version

John Harper is listed as an executive officer on 30 SEC Form D filings by 5 issuers between Dec 2009 and May 2018: ROTELLA POLARIS FUND LTD (Bellevue, WA — pooled investment fund — 2010–2018; $140.5M reported sold to 306 investors), ROTELLA POLARIS FUND LLC (Bellevue, WA — pooled investment fund — 2009–2018; $73.5M reported sold to 198 investors), Rotella Orion Fund LLC (Bellevue, WA — pooled investment fund — 2009–2018; $47.9M reported sold to 15 investors), Rotella Orion Fund Ltd (Bellevue, WA — pooled investment fund — 2009; $24.4M reported sold to 15 investors) and Rotella ETA Carinae Fund, LLC (Bellevue, WA — pooled investment fund — 2017–2018; $5.01M reported sold to 2 investors).

What this means A repeat sponsor — 5 separate companies raised money with this person listed as executive officer, over about 9 years. Across those companies the filings report $291.3M sold in total.

Listed alongside Robert P Rotella (30 shared filings), Rosemarie Rotella (25 shared filings), Kenneth S Koh (18 shared filings), Joseph A Canepari (16 shared filings), Jagdeesh Prakasam (11 shared filings) and 5 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 5 issuers belong to the sponsor group Rotella Molinero (11 issuers, $352.9M reported sold, 2009–2023).

What this means A sponsor group is one team that sets up a new company for each deal. Rotella Molinero has 11 companies on file and $352.9M 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) — 1 court case matching the name, 19 bankruptcy cases matching the name listed in Key records below.

What this means 20 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 30 public filings for John Harper and found 9 differences, 3 worth asking the sponsor about: 7 offerings reported less sold on a later filing than an earlier one; Investor count went down between filings; 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.

What the community is saying

Community search for John Harper has not run yet — it is joining a line of 23,902 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).

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

1 case: 1 judgment

HARPER,E v. HARPER,JOHN judgment
District Court, N.D. Illinois · No. · Filed Apr 27, 1988 · Closed Feb 2, 1989 · Nature of suit: 370 Other fraud
Role of HARPER,JOHN: Defendant · Outcome: Terminated 1989-02-02 — FJC Integrated Database disposition: Judgment on default; judgment for plaintiff Docket on CourtListener ↗
same full name (a name found in 338 federal dockets); 10 people with this name in Form D filings; court in the person's filing state (IL)
What was searched

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.

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.

2. Regulatory actions

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: VA (crawled Oct 23, 2026)

What was searched

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 Harper..

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).

3. Bankruptcies

19 cases: 19 closed (disposition not in docket feed)

John P Harper closed
United States Bankruptcy Court, N.D. Illinois · No. 15-01815 · Filed Jan 20, 2015 · Closed Jun 1, 2015
Role of John P Harper: Debtor · Outcome: Case closed 2015-06-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 338 federal dockets); 10 people with this name in Form D filings; court in the person's filing state (IL)
John T Harper and Erin Harper closed
United States Bankruptcy Court, S.D. Illinois · No. 11-32615 · Filed Dec 1, 2011 · Closed Mar 5, 2013
Role of John T Harper and Erin Harper: Debtor · Outcome: Case closed 2013-03-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 338 federal dockets); 10 people with this name in Form D filings; court in the person's filing state (IL)
John Harper closed
United States Bankruptcy Court, W.D. Washington · No. 09-47085 · Filed Sep 25, 2009 · Closed Nov 19, 2010
Role of John Harper: Debtor · Outcome: Case closed 2010-11-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 338 federal dockets); 10 people with this name in Form D filings; court in the person's filing state (WA)
John E Harper, Sr closed
United States Bankruptcy Court, S.D. Illinois · No. 09-30073 · Filed Jan 15, 2009 · Closed Mar 26, 2014
Role of John E Harper, Sr: Debtor · Outcome: Case closed 2014-03-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 338 federal dockets); 10 people with this name in Form D filings; court in the person's filing state (IL)
John G Harper closed
United States Bankruptcy Court, N.D. Illinois · No. 04-74576 · Filed Sep 15, 2004 · Closed Dec 30, 2004
Role of John G Harper: Debtor · Outcome: Case closed 2004-12-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 338 federal dockets); 10 people with this name in Form D filings; court in the person's filing state (IL)
John C Harper and Sandy L Harper closed
United States Bankruptcy Court, N.D. Illinois · No. 02-20929 · Filed May 29, 2002 · Closed Sep 26, 2002
Role of John C Harper and Sandy L Harper: Debtor · Outcome: Case closed 2002-09-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 338 federal dockets); 10 people with this name in Form D filings; court in the person's filing state (IL)
John W Harper closed
United States Bankruptcy Court, N.D. Illinois · No. 02-19944 · Filed May 21, 2002 · Closed Sep 19, 2002
Role of John W Harper: Debtor · Outcome: Case closed 2002-09-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 338 federal dockets); 10 people with this name in Form D filings; court in the person's filing state (IL)
JOHN M HARPER and ROBYN K HARPER closed
United States Bankruptcy Court, E.D. Washington · No. 01-09514 · Filed Dec 7, 2001 · Closed Apr 3, 2002
Role of JOHN M HARPER and ROBYN K HARPER: Debtor · Outcome: Case closed 2002-04-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 338 federal dockets); 10 people with this name in Form D filings; court in the person's filing state (WA)
John Harper and Olympia Harper closed
United States Bankruptcy Court, N.D. Illinois · No. 01-00755 · Filed Jan 9, 2001 · Closed Apr 20, 2001
Role of John Harper and Olympia Harper: Debtor · Outcome: Case closed 2001-04-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 338 federal dockets); 10 people with this name in Form D filings; court in the person's filing state (IL)
John Harper closed
United States Bankruptcy Court, N.D. Illinois · No. 99-38322 · Filed Dec 13, 1999 · Closed Jul 11, 2000
Role of John Harper: Debtor · Outcome: Case closed 2000-07-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 338 federal dockets); 10 people with this name in Form D filings; court in the person's filing state (IL)
John Harper and Michele Harper closed
United States Bankruptcy Court, W.D. Washington · No. 99-39766 · Filed Dec 7, 1999 · Closed Mar 23, 2000
Role of John Harper and Michele Harper: Debtor · Outcome: Case closed 2000-03-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 338 federal dockets); 10 people with this name in Form D filings; court in the person's filing state (WA)
John T. Harper and Erin N. Harper closed
United States Bankruptcy Court, S.D. Illinois · No. 97-33648 · Filed Dec 19, 1997 · Closed Apr 7, 1998
Role of John T. Harper and Erin N. Harper: Debtor · Outcome: Case closed 1998-04-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 338 federal dockets); 10 people with this name in Form D filings; court in the person's filing state (IL)
John L Harper and Anntoinette Harper closed
United States Bankruptcy Court, N.D. Illinois · No. 97-34977 · Filed Nov 12, 1997 · Closed Aug 25, 2000
Role of John L Harper and Anntoinette Harper: Debtor · Outcome: Case closed 2000-08-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 338 federal dockets); 10 people with this name in Form D filings; court in the person's filing state (IL)
JOHN M HARPER closed
United States Bankruptcy Court, E.D. Washington · No. 94-00631 · Filed Mar 10, 1994 · Closed Jun 22, 1994
Role of JOHN M HARPER: Debtor · Outcome: Case closed 1994-06-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 338 federal dockets); 10 people with this name in Form D filings; court in the person's filing state (WA)
Glenda Harper and John Harper closed
United States Bankruptcy Court, N.D. Illinois · No. 93-17030 · Filed Aug 12, 1993 · Closed Oct 20, 1998
Role of John Harper: Debtor · Outcome: Case closed 1998-10-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 338 federal dockets); 10 people with this name in Form D filings; court in the person's filing state (IL)
John W Harper and Rachel Harper closed
United States Bankruptcy Court, N.D. Illinois · No. 93-08042 · Filed Apr 13, 1993 · Closed Jan 25, 1996
Role of John W Harper and Rachel Harper: Debtor · Outcome: Case closed 1996-01-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 338 federal dockets); 10 people with this name in Form D filings; court in the person's filing state (IL)
Glenda Harper and John Harper closed
United States Bankruptcy Court, N.D. Illinois · No. 91-23894 · Filed Nov 8, 1991 · Closed Aug 13, 1993
Role of John Harper: Debtor · Outcome: Case closed 1993-08-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 338 federal dockets); 10 people with this name in Form D filings; court in the person's filing state (IL)
John Harper and Sharon Harper closed
United States Bankruptcy Court, N.D. Illinois · No. 89-09727 · Filed Jun 12, 1989 · Closed May 15, 1990
Role of John Harper and Sharon Harper: Debtor · Outcome: Case closed 1990-05-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 338 federal dockets); 10 people with this name in Form D filings; court in the person's filing state (IL)
John T Harper and Elizabeth M Harper closed
United States Bankruptcy Court, N.D. Illinois · No. 89-00643 · Filed Jan 13, 1989 · Closed Aug 15, 1989
Role of John T Harper and Elizabeth M Harper: Debtor · Outcome: Case closed 1989-08-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 338 federal dockets); 10 people with this name in Form D filings; court in the person's filing state (IL)
What was searched

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.

4. Differences between public sources

Comparisons cover issuers and sponsor groups — see the issuer pages under Deals

9 differences found between the filings for John Harper — 3 worth asking about (compared 30 filings on Oct 24, 2026)

Worth asking · Dec 15, 2009 – May 7, 2018

7 offerings reported less sold on a later filing than an earlier one

Amount sold went down between filings — Rotella Orion Fund LLC · Amount sold went down between filings — Rotella Orion Fund LLC · Amount sold went down between filings — ROTELLA POLARIS FUND LTD · Amount sold went down between filings — ROTELLA POLARIS FUND LLC · Amount sold went down between filings — Rotella Orion Fund LLC · and 2 more

What this means Amounts sold normally only go up. Ask the sponsor what happened on each.

Form D/A (earlier) · May 15, 2017 ↗Form D/A (later) · May 7, 2018 ↗Rotella Orion Fund LLC — PartnerFacts page ↗Form D/A (earlier) · Dec 30, 2010 ↗
Sources
Worth asking · Jan 20, 2016 – May 15, 2017

Investor count went down between filings — Rotella Orion Fund LLC

The Jan 20, 2016 filing reports 15 investors; the May 15, 2017 Form D/A reports 5 investors.

What this means Investor counts normally only grow. A smaller number can mean investors left or were refunded, or a count was corrected. Ask the sponsor what happened.

Form D (earlier) · Jan 20, 2016 ↗Form D/A (later) · May 15, 2017 ↗Rotella Orion Fund LLC — PartnerFacts page ↗
Sources
Worth asking · Jan 1, 1998 – May 22, 2017

13 Form Ds were filed more than 15 days after the first sale

Form D filed 3,306 days after the first sale — Rotella Orion Fund LLC · Form D filed 6,593 days after the first sale — ROTELLA POLARIS FUND LTD · Form D filed 6,593 days after the first sale — ROTELLA POLARIS FUND LLC · Form D filed 6,229 days after the first sale — ROTELLA POLARIS FUND LTD · Form D filed 6,229 days after the first sale — ROTELLA POLARIS FUND LLC · and 8 more

What this means Late notices are common and carry no penalty by themselves. A pattern of late paperwork is worth asking the sponsor about.

Form D · Jan 20, 2016 ↗Rotella Orion Fund LLC — PartnerFacts page ↗Form D · Jan 20, 2016 ↗ROTELLA POLARIS FUND LTD — PartnerFacts page ↗
Sources
Note · Jan 1, 1998 – May 7, 2018

17 offerings have no amendment in the last 12 months and may still be open

No amendment in the last 12 months on an offering that may still be open — Rotella Orion Fund LLC (latest filing May 7, 2018) · No amendment in the last 12 months on an offering that may still be open — ROTELLA POLARIS FUND LTD (latest filing May 4, 2018) · No amendment in the last 12 months on an offering that may still be open — Rotella ETA Carinae Fund, LLC (latest filing May 4, 2018) · No amendment in the last 12 months on an offering that may still be open — ROTELLA POLARIS FUND LLC (latest filing May 4, 2018) · No amendment in the last 12 months on an offering that may still be open — ROTELLA POLARIS FUND LTD (latest filing Jan 21, 2015) · and 12 more

What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.

Form D/A · May 7, 2018 ↗Rotella Orion Fund LLC — PartnerFacts page ↗Form D/A · May 4, 2018 ↗ROTELLA POLARIS FUND LTD — PartnerFacts page ↗
Sources
Note · Jul 2, 2010 – Feb 28, 2024

Same name, different state: "John Harper" (CO) is a separate record

This page covers filings where the address state is IL. A separate record, "John Harper" with address state CO, is listed on 5 filings — most recently by Triopsy Medical, Inc. (Feb 28, 2024). Both records have filings in the same period (Jul 2, 2010 to May 7, 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.

John Harper (CO) — PartnerFacts page ↗Form D · Feb 28, 2024 ↗Triopsy Medical, Inc. — PartnerFacts page ↗John Harper (IL) — this page ↗
Sources
Note · Oct 24, 2017

Same name, different state: "John Dean Harper" (NV) is a separate record

This page covers filings where the address state is IL. A separate record, "John Dean Harper" with address state NV, is listed on 2 filings — most recently by EnzymeBioSystems (Oct 24, 2017). Both records have filings in the same period (Oct 24, 2017).

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.

John Dean Harper (NV) — PartnerFacts page ↗Form D · Oct 24, 2017 ↗EnzymeBioSystems — PartnerFacts page ↗John Harper (IL) — this page ↗
Sources
Note · Oct 30, 2013 – Sep 25, 2014

Same name, different state: "John Harper" (CA) is a separate record

This page covers filings where the address state is IL. A separate record, "John Harper" with address state CA, is listed on 4 filings — most recently by Saisei Networks, Inc. (Sep 25, 2014). Both records have filings in the same period (Oct 30, 2013 to Sep 25, 2014).

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.

John Harper (CA) — PartnerFacts page ↗Form D/A · Sep 25, 2014 ↗Saisei Networks, Inc. — PartnerFacts page ↗John Harper (IL) — this page ↗
Sources
Note · Sep 10, 2009 – Jul 22, 2014

Same name, different state: "John Harper" (FL) is a separate record

This page covers filings where the address state is IL. A separate record, "John Harper" with address state FL, is listed on 12 filings — most recently by Xhale, Inc. (Jul 22, 2014). Both records have filings in the same period (Dec 15, 2009 to Jul 22, 2014).

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.

John Harper (FL) — PartnerFacts page ↗Form D · Jul 22, 2014 ↗Xhale, Inc. — PartnerFacts page ↗John Harper (IL) — this page ↗
Sources
Note · Oct 30, 2009

Same name, different state: "John T Harper" (GA) is a separate record

This page covers filings where the address state is IL. A separate record, "John T Harper" with address state GA, is listed on 1 filing — most recently by CAPITOL CITY BANCSHARES INC (Oct 30, 2009). The two records do not overlap in time: this page runs Dec 15, 2009 to May 7, 2018; the other has one filing dated Oct 30, 2009.

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.

John T Harper (GA) — PartnerFacts page ↗Form D · Oct 30, 2009 ↗CAPITOL CITY BANCSHARES INC — PartnerFacts page ↗John Harper (IL) — this page ↗
Sources
What is compared

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.

5. Money to insiders

None reported on 17 offerings — no sales commissions, finder's fees or proceeds to insiders

Per-offering detail
Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
May 7, 2018 D/A
Rotella Orion Fund LLC
File 021-255610
$0$0$0
Customary advisory fees are paid to the Trading Manager as provided for in the issuer's offering materials.
None listed on this filingEDGAR ↗
May 4, 2018 D/A
ROTELLA POLARIS FUND LLC
File 021-255599
$0$0$0
Customary advisory fees are paid to the Trading Manager as provided for in the issuer's offering materials.
None listed on this filingEDGAR ↗
May 4, 2018 D/A
ROTELLA POLARIS FUND LTD
File 021-255605
$0$0$0
Customary advisory fees are paid to the Trading Manager as provided for in the issuer's offering materials.
None listed on this filingEDGAR ↗
May 4, 2018 D/A
Rotella ETA Carinae Fund, LLC
File 021-287173
$0$0$0
Customary advisory fees are paid to the Investment Manager as provided for in the issuer's offering materials.
None listed on this filingEDGAR ↗
Jan 21, 2015 D
ROTELLA POLARIS FUND LLC
File 021-232566
$0$0$0
Customary advisory fees are paid to the Trading Manager as provided for in the issuer's offering materials.
None listed on this filingEDGAR ↗
Jan 21, 2015 D
ROTELLA POLARIS FUND LTD
File 021-232624
$0$0$0
Customary advisory fees are paid to the Trading Manager as provided for in the issuer's offering materials.
None listed on this filingEDGAR ↗
Jan 20, 2015 D
Rotella Orion Fund LLC
File 021-232542
$0$0$0
Customary advisory fees are paid to the Trading Manager as provided for in the issuer's offering materials.
None listed on this filingEDGAR ↗
Feb 7, 2014 D
Rotella Orion Fund LLC
File 021-211526
$0$0$0
Customary advisory fees are paid to the Trading Manager as provided for in the issuer's offering materials.
None listed on this filingEDGAR ↗
Feb 7, 2014 D
ROTELLA POLARIS FUND LLC
File 021-211527
$0$0$0
Customary advisory fees are paid to the Trading Manager as provided for in the issuer's offering materials.
None listed on this filingEDGAR ↗
Feb 7, 2014 D
ROTELLA POLARIS FUND LTD
File 021-211529
$0$0$0
Customary advisory fees are paid to the Trading Manager as provided for in the issuer's offering materials.
None listed on this filingEDGAR ↗
Feb 6, 2013 D
ROTELLA POLARIS FUND LLC
File 021-191422
$0$0$0
Customary advisory fees are paid to the Trading Manager as provided for in the issuer's offering materials.
None listed on this filingEDGAR ↗
Feb 6, 2013 D
ROTELLA POLARIS FUND LTD
File 021-191424
$0$0$0
Customary advisory fees are paid to the Trading Manager as provided for in the issuer's offering materials.
None listed on this filingEDGAR ↗
Feb 6, 2013 D
Rotella Orion Fund LLC
File 021-191418
$0$0$0
Customary advisory fees are paid to the Trading Manager as provided for in the issuer's offering materials.
None listed on this filingEDGAR ↗
Dec 30, 2011 D/A
Rotella Orion Fund LLC
File 021-93490
$0$0$0
Customary advisory fees are paid to the Trading Manager as provided for in the issuer's offering materials.
None listed on this filingEDGAR ↗
Dec 30, 2011 D/A
ROTELLA POLARIS FUND LLC
File 021-62636
$0$0$0
Customary advisory fees are paid to the Trading Manager as provided for in the issuer's offering materials.
None listed on this filingEDGAR ↗
Dec 30, 2011 D/A
ROTELLA POLARIS FUND LTD
File 021-62916
$0$0$0
Customary advisory fees are paid to the Trading Manager as provided for in the issuer's offering materials.
None listed on this filingEDGAR ↗
Dec 23, 2009 D/A
Rotella Orion Fund Ltd
File 021-126955
$0$0$0
Customary advisory fees are paid to the Trading Manager as provided for in the issuer's offering materials.
None listed on this filingEDGAR ↗

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).

Deals 5

Every issuer that named John Harper on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

RO
Pooled Investment Fund · group: Rotella Molinero

Rotella Orion Fund LLC

Bellevue, WA · Dec 15, 2009 → May 7, 2018 · 9 filings
  • May 7, 2018 · D/A · $7,275,000 sold of Indefinite · 5 investors · min. $250,000 · role: Executive Officer (John Harper is the Executive Vice President & Director of Research of Rotella Capital Management, Inc., the Trading Manager.) EDGAR ↗
  • May 15, 2017 · D/A · $13,304,000 sold of Indefinite · 5 investors · min. $250,000 · role: Executive Officer (John Harper is the Executive Vice President & Director of Research of Rotella Capital Management, Inc., the Trading Manager.) EDGAR ↗
  • Jan 20, 2016 · D · $13,304,000 sold of Indefinite · 15 investors · min. $250,000 · role: Executive Officer (John Harper is the Executive Vice President & Director of Research of Rotella Capital Management, Inc., the Trading Manager.) EDGAR ↗
  • Jan 20, 2015 · D · $13,143,000 sold of Indefinite · 15 investors · min. $250,000 · role: Executive Officer (John Harper is the Executive Vice President & Director of Research of Rotella Capital Management, Inc., the Trading Manager.) EDGAR ↗
  • Feb 7, 2014 · D · $13,115,000 sold of Indefinite · 14 investors · min. $250,000 · role: Executive Officer (John Harper is the Managing Director - Research Technology of Rotella Capital Management, Inc., the Trading Manager.) EDGAR ↗
  • Feb 6, 2013 · D · $12,684,000 sold of Indefinite · 14 investors · min. $250,000 · role: Executive Officer (John Harper is the Managing Director - Research Technology of Rotella Capital Management, Inc., the Trading Manager.) EDGAR ↗
  • Dec 30, 2011 · D/A · $27,665,000 sold of Indefinite · 14 investors · min. $250,000 · role: Executive Officer (John Harper is the Managing Director - Research Technology of Rotella Capital Management, Inc., the Trading Manager.) EDGAR ↗
  • Dec 30, 2010 · D/A · $44,954,000 sold of Indefinite · 11 investors · min. $250,000 · role: Executive Officer (John Harper is the Managing Director - Research Technology of Rotella Capital Management, Inc., the Trading Manager.) EDGAR ↗
  • Dec 15, 2009 · D/A · $47,932,000 sold of Indefinite · 9 investors · min. $250,000 · role: Executive Officer (John Harper is the Managing Director - Research Technology of Rotella Capital Management, Inc., the Trading Manager of Rotella Polaris Fund, LLC.) EDGAR ↗

Raised $47.9M from 15 investors as of the latest filing. John is listed as executive officer on 9 filings for this deal.

Latest filing on EDGAR ↗
Sources

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.

RP
Pooled Investment Fund · group: Rotella Molinero

ROTELLA POLARIS FUND LLC

Bellevue, WA · Dec 31, 2009 → May 4, 2018 · 9 filings
  • May 4, 2018 · D/A · $22,228,000 sold of Indefinite · 198 investors · min. $250,000 · role: Executive Officer (John Harper is the Executive Vice President & Director of Research of Rotella Capital Management, Inc., the Trading Manager.) EDGAR ↗
  • May 16, 2017 · D/A · $22,228,000 sold of Indefinite · 198 investors · min. $250,000 · role: Executive Officer (John Harper is the Executive Vice President & Director of Research of Rotella Capital Management, Inc., the Trading Manager.) EDGAR ↗
  • Jan 20, 2016 · D · $22,228,000 sold of Indefinite · 198 investors · min. $250,000 · role: Executive Officer (John Harper is the Executive Vice President & Director of Research of Rotella Capital Management, Inc., the Trading Manager.) EDGAR ↗
  • Jan 21, 2015 · D · $20,549,000 sold of Indefinite · 197 investors · min. $250,000 · role: Executive Officer (John Harper is the Executive Vice President & Director of Research of Rotella Capital Management, Inc., the Trading Manager.) EDGAR ↗
  • Feb 7, 2014 · D · $6,876,000 sold of Indefinite · 197 investors · min. $250,000 · role: Executive Officer (John Harper is the Managing Director - Research Technology of Rotella Capital Management, Inc., the Trading Manager.) EDGAR ↗
  • Feb 6, 2013 · D · $6,949,000 sold of Indefinite · 197 investors · min. $250,000 · role: Executive Officer (John Harper is the Managing Director - Research Technology of Rotella Capital Management, Inc., the Trading Manager.) EDGAR ↗
  • Dec 30, 2011 · D/A · $39,929,000 sold of Indefinite · 197 investors · min. $250,000 · role: Executive Officer (John Harper is the Managing Director - Research Technology of Rotella Capital Management, Inc., the Trading Manager.) EDGAR ↗
  • Dec 30, 2010 · D/A · $65,718,000 sold of Indefinite · 193 investors · min. $250,000 · role: Executive Officer (John Harper is the Managing Director - Research Technology of Rotella Capital Management, Inc., the Trading Manager.) EDGAR ↗
  • Dec 31, 2009 · D/A · $73,479,000 sold of Indefinite · 188 investors · min. $250,000 · role: Executive Officer (John Harper is the Managing Director - Research Technology of Rotella Capital Management, Inc., the Trading Manager of Rotella Polaris Fund, LLC.) EDGAR ↗

Raised $73.5M from 198 investors as of the latest filing. John is listed as executive officer on 9 filings for this deal.

Latest filing on EDGAR ↗
Sources

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.

RP
Pooled Investment Fund · group: Rotella Molinero

ROTELLA POLARIS FUND LTD

Bellevue, WA · Jan 4, 2010 → May 4, 2018 · 9 filings
  • May 4, 2018 · D/A · $290,000 sold of Indefinite · 306 investors · min. $250,000 · role: Executive Officer (John Harper is the Executive Vice President & Director of Research of Rotella Capital Management, Inc., the Trading Manager.) EDGAR ↗
  • May 16, 2017 · D/A · $290,000 sold of Indefinite · 306 investors · min. $250,000 · role: Executive Officer (John Harper is the Executive Vice President & Director of Research of Rotella Capital Management, Inc., the Trading Manager.) EDGAR ↗
  • Jan 20, 2016 · D · $290,000 sold of Indefinite · 306 investors · min. $250,000 · role: Executive Officer (John Harper is the Executive Vice President & Director of Research of Rotella Capital Management, Inc., the Trading Manager.) EDGAR ↗
  • Jan 21, 2015 · D · $513,000 sold of Indefinite · 306 investors · min. $500,000 · role: Executive Officer (John Harper is the Executive Vice President & Director of Research of Rotella Capital Management, Inc., the Trading Manager.) EDGAR ↗
  • Feb 7, 2014 · D · $455,000 sold of Indefinite · 306 investors · min. $500,000 · role: Executive Officer (John Harper is the Managing Director - Research Technology of Rotella Capital Management, Inc., the Trading Manager.) EDGAR ↗
  • Feb 6, 2013 · D · $460,000 sold of Indefinite · 306 investors · min. $500,000 · role: Executive Officer (John Harper is the Managing Director - Research Technology of Rotella Capital Management, Inc., the Trading Manager.) EDGAR ↗
  • Dec 30, 2011 · D/A · $71,917,000 sold of Indefinite · 306 investors · min. $500,000 · role: Executive Officer (John Harper is the Managing Director - Research Technology of Rotella Capital Management, Inc., the Trading Manager.) EDGAR ↗
  • Dec 30, 2010 · D/A · $117,943,000 sold of Indefinite · 303 investors · min. $500,000 · role: Executive Officer (John Harper is the Managing Director - Research Technology of Rotella Capital Management, Inc., the Trading Manager.) EDGAR ↗
  • Jan 4, 2010 · D/A · $140,452,000 sold of Indefinite · 300 investors · min. $500,000 · role: Executive Officer (John Harper is the Managing Director - Research Technology of Rotella Capital Management, Inc., the Trading Manager of Rotella Polaris Fund, Ltd.) EDGAR ↗

Raised $140.5M from 306 investors as of the latest filing. John is listed as executive officer on 9 filings for this deal.

Latest filing on EDGAR ↗
Sources

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.

RE
Pooled Investment Fund · group: Rotella Molinero

Rotella ETA Carinae Fund, LLC

Bellevue, WA · May 22, 2017 → May 4, 2018 · 2 filings
  • May 4, 2018 · D/A · $5,010,000 sold of Indefinite · 2 investors · min. $250,000 · role: Executive Officer (Executive Vice President and Director of Research of Rotella Capital Management, Inc., the managing member and investment manager to the Fund.) EDGAR ↗
  • May 22, 2017 · D · $5,010,000 sold of Indefinite · 2 investors · min. $250,000 · role: Executive Officer (Executive Vice President and Director of Research of Rotella Capital Management, Inc., the managing member and investment manager to the Fund.) EDGAR ↗

Raised $5.01M from 2 investors as of the latest filing. John is listed as executive officer on 2 filings for this deal.

Latest filing on EDGAR ↗
Sources

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.

RO
Pooled Investment Fund · group: Rotella Molinero

Rotella Orion Fund Ltd

Bellevue, WA · Dec 23, 2009
  • Dec 23, 2009 · D/A · $24,430,000 sold of Indefinite · 15 investors · min. $500,000 · role: Executive Officer (John Harper is the Managing Director - Research Technology of Rotella Capital Management, Inc., the Trading Manager of Rotella Orion Fund, Ltd.) EDGAR ↗

Raised $24.4M from 15 investors as of the latest filing. John is listed as executive officer.

Latest filing on EDGAR ↗
Sources

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.

Other pages with the same name (9)

Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.

  • John Harper — FL, 4 issuers, Sep 10, 2009 → Jul 22, 2014 · no shared issuer
  • John Harper — CO, 2 issuers, Jul 2, 2010 → Feb 28, 2024 · no shared issuer
  • John T Harper — GA, 1 issuer, Oct 30, 2009 → Oct 30, 2009 · no shared issuer
  • John Harper — CA, 1 issuer, Oct 30, 2013 → Sep 25, 2014 · no shared issuer
  • John Dean Harper — NV, 1 issuer, Oct 24, 2017 → Oct 24, 2017 · no shared issuer
  • John Harper — British Columbia, Canada (as filed: A1), 1 issuer, Aug 26, 2020 → Aug 26, 2020 · no shared issuer
  • John Price Harper — DC, 1 issuer, Feb 16, 2023 → Feb 16, 2023 · no shared issuer
  • John Harper — AK, 1 issuer, Dec 19, 2023 → Dec 19, 2023 · no shared issuer
  • John L. Harper — AL, 1 issuer, Nov 4, 2024 → Nov 4, 2024 · no shared issuer

People around John 10

Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.

RR
No photo found yet (own website and image search run after this page is viewed)
Person

Robert P Rotella

Executive Officer · 30 shared filings (5 issuers) · also on 5 other issuers

Robert P Rotella is on 10 issuers in total — a repeat sponsor. Their page lists every one.

RR
No photo found yet (own website and image search run after this page is viewed)
Person

Rosemarie Rotella

Executive Officer · 25 shared filings (4 issuers)

Listed on the same filings as John Harper. Their page shows their other deals.

KK
No photo found yet (own website and image search run after this page is viewed)
Person

Kenneth S Koh

Executive Officer · 18 shared filings (3 issuers) · also on 6 other issuers

Kenneth S Koh is on 9 issuers in total — a repeat sponsor. Their page lists every one.

JC
No photo found yet (own website and image search run after this page is viewed)
Person

Joseph A Canepari

Executive Officer · 16 shared filings (4 issuers) · also on 5 other issuers

Joseph A Canepari is on 9 issuers in total — a repeat sponsor. Their page lists every one.

JP
No photo found yet (own website and image search run after this page is viewed)
Person

Jagdeesh Prakasam

Executive Officer · 11 shared filings (4 issuers) · also on 2 other issuers

Jagdeesh Prakasam is on 6 issuers in total — a repeat sponsor. Their page lists every one.

MB
No photo found yet (own website and image search run after this page is viewed)
Person

Milton K Buckingham

Executive Officer · 9 shared filings (3 issuers) · also on 2 other issuers

Milton K Buckingham is on 5 issuers in total — a repeat sponsor. Their page lists every one.

KF
No photo found yet (own website and image search run after this page is viewed)
Person

Kelly A Fetzer

Executive Officer · 9 shared filings (3 issuers)

Listed on the same filings as John Harper. Their page shows their other deals.

RJ
No photo found yet (own website and image search run after this page is viewed)
Person

Richard L Johnson

Executive Officer · 7 shared filings (4 issuers)

Listed on the same filings as John Harper. Their page shows their other deals.

DC
No photo found yet (own website and image search run after this page is viewed)
Person

Dean W Crowder, III

Executive Officer · 7 shared filings (4 issuers)

Listed on the same filings as John Harper. Their page shows their other deals.

IR
No photo found yet (own website and image search run after this page is viewed)
Person

Ian Ram

Executive Officer · 4 shared filings (4 issuers)

Listed on the same filings as John Harper. Their page shows their other deals.

The team behind the deals

RM
Sponsor group

Rotella Molinero

11 issuers · 42 filings · $352.9M reported sold · 2009–2023

One team, 11 deal companies. John Harper is listed on 5 of them.

Sources

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 Harper.

Same business address

20 other issuers file from the same address

A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.

Registrations and other filings

Adviser registration (Form ADV)

None of the 5 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.

Other offering types (Regulation A and Regulation Crowdfunding)

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 none — individuals are not matched

Property records are matched to companies only, never to individuals, so none are matched to John Harper 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 5 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers John Harper is listed on: none on file. No website or social profile named in ROTELLA POLARIS FUND LTD's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #254,386 of 374,652 in line (1,195 issuers searched so far). One-tap searches: Look further ↓

Look further

One-tap searches on sites we do not index ourselves, with the name pre-filled (Bellevue, WA). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

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Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗Cook County Clerk of Court case search ↗Washington Courts case search (dw.courts.wa.gov) ↗

Securities regulators

SEC EDGAR full-text search ↗SEC action look-up ↗FINRA BrokerCheck ↗SEC IAPD adviser search ↗

Business registries

Illinois Secretary of State business search ↗Washington Secretary of State business search ↗OpenCorporates ↗

Change history

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