PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:24 AM ET

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John C. Kern, Jr.

Named as an officer, director or promoter on SEC Form D filings · CA · Apr 29, 2010 → Jul 21, 2026

8deals (issuers)
$86.8Mreported sold
228investors
18Form D filings
2010–2026years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:21 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

John C. Kern, Jr. is listed as an executive officer, director, and promoter on 18 SEC Form D filings by 8 issuers between Apr 2010 and Jul 2026. Largest by amount reported sold: COHERA MEDICAL INC (Pittsburgh, PA — other health care — 2010–2015; $30M reported sold to 61 investors), Apton Biosystems, Inc. (Pleasanton, CA — other technology — 2021; $24.6M reported sold to 23 investors), Kern Cardinal LLC (Larkspur, CA — investing — 2025; $15.3M reported sold to 48 investors), Kern Australis, LLC (Larkspur, CA — biotechnology — 2024; $6.12M reported sold to 31 investors), Kern Prospector, LLC (Larkspur, CA — investing — 2023; $6.12M reported sold to 30 investors) and 3 more (all listed below).

What this means A repeat sponsor — 8 separate companies raised money with this person listed as executive officer, director, and promoter, over about 16 years. Across those companies the filings report $86.8M sold in total.

Listed alongside Albert Dombrowski (7 shared filings), Dottie Clower (7 shared filings), Patrick Daly (7 shared filings), Richard Wonsettler (7 shared filings), Doros Platika (6 shared filings) and 17 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.

5 of the issuers belong to the sponsor group Kern (6 issuers, $93.7M reported sold, 2010–2026).

What this means A sponsor group is one team that sets up a new company for each deal. Kern has 6 companies on file and $93.7M 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, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — 1 state regulator order, 6 bankruptcy cases matching the name listed in Key records below.

What this means 7 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 18 public filings for John C. Kern, Jr. and found 10 differences, 3 worth asking the sponsor about: Form D filed 64 days after the first sale; Form D filed 97 days after the first sale; 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 C. Kern, Jr. has not run yet — it is joining a line of 32,209 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: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.

Key records

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

1. Lawsuits

None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026

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, 2:21 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.

2. Regulatory actions

1 state regulator order

Order to Cease and Desist SC · South Carolina Office of the Attorney General, Securities Division
Order date Oct 31, 2014 · Regulator: South Carolina Office of the Attorney General, Securities Division · Parties (regulator's caption): John B. Kern
Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗
same full name in the order; 2 people with this name in Form D filings; regulator in SC (not a filing state); middle initial differs
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 C. Kern, Jr...

State securities regulators: Securities regulators searched (64,910 actions): FINRA (38,350 actions, 1995–2026), NASAA (31 actions, 2000–2026; listing starts 1997), AK Division of Banking and Securities (273 actions, 1971–2025), AL Securities Commission (880 actions, 2001–2026), AR Securities Department (1,305 actions, 1998–2026), 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), CO Division of Securities (731 actions, 2001–2026; older years from the Internet Archive (snapshot of 2026-05-02)), CT Department of Banking Securities Division (940 actions, 2006–2026; older years from the Internet Archive (snapshot of 2026-04-22)), DC DISB Securities Bureau (25 actions, 2012–2026), DE DOJ Investor Protection Unit (257 actions, 1987–2026), FL Office of Financial Regulation (49 actions, 2018–2026), GA Secretary of State Securities Division (65 actions, 2015–2026; listing starts 2012), HI DCCA Securities Enforcement Branch (26 actions, 2012–2026), ID Department of Finance Securities Bureau (663 actions, 1994–2026), IL Secretary of State Securities Department (4,122 actions, 2003–2023), KS Insurance Department Securities Division (58 actions), KY Department of Financial Institutions (342 actions, 2005–2026), LA Office of Financial Institutions Securities Division (13 actions, 2010–2025; listing starts 2008), MA Secretary of the Commonwealth Securities Division (125 actions, 2012–2025; live site blocks automated access — loaded from the Internet Archive snapshot of 2026-02-04), MD Attorney General Securities Division (1,054 actions, 2004–2026), ME Office of Securities (539 actions, 2000–2026), MI LARA Corporations, Securities & Commercial Licensing Bureau (201 actions), MO Secretary of State Securities Division (919 actions, 1998–2026), MS Secretary of State Securities Division (209 actions, 1995–2026), MT Commissioner of Securities and Insurance (597 actions, 2000–2026), NC Secretary of State Securities Division (265 actions, 2004–2024), ND Securities Department (711 actions, 1990–2026; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2026-01-06), NH Bureau of Securities Regulation (402 actions, 2002–2026), NM Regulation and Licensing Department Securities Division (90 actions, 2010–2025), NV Secretary of State Securities Division (118 actions, 2018–2026), NY Attorney General Investor Protection Bureau (44 actions, 2012–2026), OH Division of Securities (327 actions, 1993–2006), OK Department of Securities (2,531 actions, 1998–2026), OR Division of Financial Regulation (589 actions, 1988–2026), PA Department of Banking and Securities (1,448 actions, 2008–2024; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2024-08-09), RI DBR Securities Division (98 actions, 2005–2025), SC Attorney General Securities Division (540 actions, 2006–2026), SD Division of Insurance – Securities Regulation (106 actions, 2017–2026), TN Department of Commerce and Insurance Securities Division (405 actions, 1992–2026), TX State Securities Board (936 actions, 1999–2026), UT Division of Securities (772 actions, 2000–2026; older years from the Internet Archive (snapshot of 2010-05-27)), VT DFR Securities Division (137 actions, 2010–2026), WA DFI (2,039 actions, 2001–2026), WI DFI Division of Securities (1,072 actions, 1998–2026), WV Securities Commission (State Auditor) (64 actions), WY Secretary of State Compliance Division (6 actions, 2016–2024) — last crawled Oct 24, 2026, 8:48 AM ET. No machine-readable public listing today for IA, IN, MN, NE, NJ, VA (see docs/state-regulators.md).

3. Bankruptcies

6 cases: 6 closed (disposition not in docket feed)

John Kern closed
United States Bankruptcy Court, D. Maryland · No. 20-19131 · Filed Oct 8, 2020 · Closed Aug 19, 2025
Role of John Kern: Debtor · Outcome: Case closed 2025-08-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 53 federal dockets); 2 people with this name in Form D filings; court in MD (not a filing state)
John Kern closed
United States Bankruptcy Court, E.D. California · No. 10-36695 · Filed Jun 25, 2010 · Closed Oct 15, 2010
Role of John Kern: Debtor · Outcome: Case closed 2010-10-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 53 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (CA)
John Kern closed
United States Bankruptcy Court, C.D. California · No. 2:08-bk-22887 · Filed Aug 15, 2008 · Closed Jan 30, 2009
Role of John Kern: Debtor · Outcome: Case closed 2009-01-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 53 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (CA)
John W Kern and Nancy J Kern closed
United States Bankruptcy Court, M.D. Pennsylvania · No. 5:05-bk-51821 · Filed Apr 7, 2005 · Closed Aug 1, 2005
Role of John W Kern and Nancy J Kern: Debtor · Outcome: Case closed 2005-08-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 53 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (PA); middle initial differs
John C Kern and Tamar S Kern closed
United States Bankruptcy Court, C.D. California · No. 2:04-bk-27995 · Filed Aug 18, 2004 · Closed Dec 17, 2004
Role of John C Kern and Tamar S Kern: Debtor · Outcome: Case closed 2004-12-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 53 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (CA)
John Kern closed
United States Bankruptcy Court, M.D. Florida · No. 8:97-bk-21410 · Filed Dec 31, 1997 · Closed Apr 29, 1998
Role of John Kern: Debtor · Outcome: Case closed 1998-04-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 53 federal dockets); 2 people with this name in Form D filings; court in FL (not a filing state)
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, 2:21 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

10 differences found between the filings for John C. Kern, Jr. — 3 worth asking about (compared 18 filings on Oct 24, 2026)

Note · Nov 23, 2011 – Dec 17, 2020

John C. Kern, Jr. appears on 2 deals that stopped filing before reaching their target

Presidio Health, Inc. (last filing Dec 17, 2020; $100,000 sold of $1,750,000); Kern Medical III, LLC (last filing Nov 23, 2011; $0 sold of $5,850,000). Each has no filing in more than two years and reported under half its target sold.

What this means An issuer whose last filing is more than two years old and reported under half its target sold. The raise may have closed early or quietly stopped. Ask what happened to each.

Presidio Health, Inc. — PartnerFacts page ↗Kern Medical III, LLC — PartnerFacts page ↗
Sources
Worth asking · May 18, 2026 – Jul 21, 2026

Form D filed 64 days after the first sale — Kern Indigo LLC

The filing says the first sale was May 18, 2026. The Form D was filed Jul 21, 2026 — 64 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 49 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Form D · Jul 21, 2026 ↗Kern Indigo LLC — PartnerFacts page ↗
Sources
Worth asking · Oct 18, 2024 – Jan 23, 2025

Form D filed 97 days after the first sale — Kern Cardinal LLC

The filing says the first sale was Oct 18, 2024. The Form D was filed Jan 23, 2025 — 97 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 82 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Form D · Jan 23, 2025 ↗Kern Cardinal LLC — PartnerFacts page ↗
Sources
Worth asking · Mar 15, 2024 – Jun 18, 2024

Form D filed 95 days after the first sale — Kern Australis, LLC

The filing says the first sale was Mar 15, 2024. The Form D was filed Jun 18, 2024 — 95 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 80 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Form D · Jun 18, 2024 ↗Kern Australis, LLC — PartnerFacts page ↗
Sources
Note · May 21, 2010 – Apr 29, 2021

9 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 — Apton Biosystems, Inc. (latest filing Apr 29, 2021) · No amendment in the last 12 months on an offering that may still be open — Presidio Health, Inc. (latest filing Dec 17, 2020) · No amendment in the last 12 months on an offering that may still be open — Presidio Health, Inc. (latest filing Aug 5, 2019) · No amendment in the last 12 months on an offering that may still be open — COHERA MEDICAL INC (latest filing Oct 26, 2015) · No amendment in the last 12 months on an offering that may still be open — COHERA MEDICAL INC (latest filing Jan 24, 2014) · and 4 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 · Apr 29, 2021 ↗Apton Biosystems, Inc. — PartnerFacts page ↗Form D · Dec 17, 2020 ↗Presidio Health, Inc. — PartnerFacts page ↗
Sources
Note · Apr 29, 2010 – Nov 23, 2011

John C. Kern, Jr.'s role changed at Kern Medical III, LLC: executive officer, director, promoter → executive officer, director

The Apr 29, 2010 filing lists John C. Kern, Jr. as executive officer, director, promoter; the Nov 23, 2011 Form D lists executive officer, director.

What this means Roles on Form D are self-reported by the issuer. A change can mean a real change in who runs the company, or just a different box ticked. Ask who makes decisions today.

Form D · Apr 29, 2010 ↗Form D · Nov 23, 2011 ↗John C. Kern, Jr. — PartnerFacts page ↗Kern Medical III, LLC — PartnerFacts page ↗
Sources
Note · Apr 29, 2010 – Apr 29, 2021

John C. Kern, Jr. is written 4 different ways on the filings

listed as "John C. Kern" on 2 filings (from Apr 29, 2010), and "John Kern" on 5 filings (from May 27, 2010), and "John C. Kern, Jr." on 9 filings (from Nov 14, 2011), and "John Kern, Jr." on 2 filings (from Apr 29, 2021).

What this means Same person, written differently — a middle name or suffix left off, or spelled another way. It is normal, but check that the full legal name matches your subscription documents.

Form D · Apr 29, 2010 ↗Form D · May 27, 2010 ↗Form D · Nov 14, 2011 ↗Form D · Apr 29, 2021 ↗
Sources
Note · May 27, 2010 – Jun 29, 2012

Industry group changed between filings — COHERA MEDICAL INC

"Biotechnology" (May 27, 2010 to Nov 14, 2011); then "Other Health Care" (Jun 29, 2012 to Oct 26, 2015).

What this means The issuer described its business differently on different forms. Often it is just a different box ticked; sometimes the deal itself changed. Ask which business your money is in.

Form D · May 27, 2010 ↗Form D · Jun 29, 2012 ↗COHERA MEDICAL INC — PartnerFacts page ↗
Sources
Note · Apr 29, 2010 – Nov 23, 2011

Reported revenue range changed between filings — Kern Medical III, LLC

"No Revenues" (Apr 29, 2010); then "$1 - $1,000,000" (Nov 23, 2011).

What this means This is the size band the issuer picks for itself on the form. A change can mean the business grew or shrank — or that it chose not to say. Ask for current numbers.

Form D · Apr 29, 2010 ↗Form D · Nov 23, 2011 ↗Kern Medical III, LLC — PartnerFacts page ↗
Sources
Note · Jul 30, 2024

Same name, different state: "John Kern, Jr." (MA) is a separate record

This page covers filings where the address state is CA. A separate record, "John Kern, Jr." with address state MA, is listed on 1 filing — most recently by Aidentified Inc. (Jul 30, 2024). Both records have filings in the same period (Jul 30, 2024).

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 Kern, Jr. (MA) — PartnerFacts page ↗Form D · Jul 30, 2024 ↗Aidentified Inc. — PartnerFacts page ↗John C. Kern, Jr. (CA) — 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

2 of 16 offerings report sales commissions totalling $10,750; 0 report finder's fees; 1 reports proceeds to related persons totalling $25,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Jul 21, 2026 D
Kern Indigo LLC
File 021-591609
$0$0$0None listed on this filingEDGAR ↗
Jan 23, 2025 D
Kern Cardinal LLC
File 021-536063
$0$0$0None listed on this filingEDGAR ↗
Jun 18, 2024 D
Kern Australis, LLC
File 021-516316
$0$0$0None listed on this filingEDGAR ↗
Jul 19, 2023 D
Kern Prospector, LLC
File 021-487348
$0$0$0None listed on this filingEDGAR ↗
Apr 29, 2021 D
Apton Biosystems, Inc.
File 021-397640
$0$0$0None listed on this filingEDGAR ↗
Dec 17, 2020 D
Presidio Health, Inc.
File 021-383520
$7,000 (est.)$0$0 (est.)Carolina Financial Securities, LLC BrokerCheck CRD 41970 ↗
via Carofin, LLC (CRD 298717 ↗)
EDGAR ↗
Sep 25, 2019 D
Presidio Health, Inc.
File 021-349656
$0$0$0 (est.)Carolina Financial Securities, LLC BrokerCheck CRD 41970 ↗
via Carofin, LLC (CRD 298717 ↗)
EDGAR ↗
Aug 5, 2019 D/A
Presidio Health, Inc.
File 021-343565
$3,750 (est.)$0$0 (est.)Carolina Financial Securities, LLC BrokerCheck CRD 41970 ↗
via Carofin, LLC (CRD 298717 ↗)
EDGAR ↗
Oct 26, 2015 D
COHERA MEDICAL INC
File 021-250048
$0$0$0None listed on this filingEDGAR ↗
Jan 24, 2014 D/A
COHERA MEDICAL INC
File 021-210680
$0$0$0None listed on this filingEDGAR ↗
Feb 15, 2013 D
COHERA MEDICAL INC
File 021-191918
$0$0$0None listed on this filingEDGAR ↗
Jun 29, 2012 D
COHERA MEDICAL INC
File 021-180494
$0$0$0None listed on this filingEDGAR ↗
Nov 23, 2011 D
Kern Medical III, LLC
File 021-169191
$0$0$0None listed on this filingEDGAR ↗
Nov 14, 2011 D
COHERA MEDICAL INC
File 021-168586
$0$0$0None listed on this filingEDGAR ↗
May 27, 2010 D
COHERA MEDICAL INC
File 021-142641
$0$0$0None listed on this filingEDGAR ↗
Apr 29, 2010 D
Kern Medical III, LLC
File 021-141274
$0$0$25,000None listed on this filingEDGAR ↗
How this is counted

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 8

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

KI
Investing · group: Kern

Kern Indigo LLC

Larkspur, CA · Jul 21, 2026
  • Jul 21, 2026 · D · $4,590,000 sold of $4,590,000 · 33 investors · min. No minimum reported · role: Executive Officer, Director (Manager of Kern Capital, LLC) EDGAR ↗

Raised $4.59M from 33 investors (100% of the $4.59M target) as of the latest filing. John is listed as executive officer, director.

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: Investing / 506(b) (2,521 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.

KC
Investing · group: Kern

Kern Cardinal LLC

Larkspur, CA · Jan 23, 2025
  • Jan 23, 2025 · D · $15,300,000 sold of $15,300,000 · 48 investors · min. $50,000 · role: Executive Officer, Director (Manager of Kern Capital, LLC) EDGAR ↗

Raised $15.3M from 48 investors (100% of the $15.3M target) as of the latest filing. John is listed as executive officer, director.

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: Investing / 506(b) (2,521 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.

KA
Biotechnology · group: Kern

Kern Australis, LLC

Larkspur, CA · Jun 18, 2024
  • Jun 18, 2024 · D · $6,120,000 sold of $6,120,000 · 31 investors · min. $50,000 · role: Executive Officer, Director (Manager of Kern Capital, LLC) EDGAR ↗

Raised $6.12M from 31 investors (100% of the $6.12M target) as of the latest filing. John is listed as executive officer, director.

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: Biotechnology / 506(b) (3,253 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.

KP
Investing · group: Kern

Kern Prospector, LLC

Larkspur, CA · Jul 19, 2023
  • Jul 19, 2023 · D · $6,120,000 sold of $6,120,000 · 30 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗

Raised $6.12M from 30 investors (100% of the $6.12M target) as of the latest filing. John is listed as executive officer, director.

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: Investing / 506(b) (2,521 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.

AB
Other Technology

Apton Biosystems, Inc.

Pleasanton, CA · Apr 29, 2021
  • Apr 29, 2021 · D · $24,600,278 sold of $24,800,278 · 23 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $24.6M from 23 investors (99% of the $24.8M target) as of the latest filing. John is listed as director.

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: Other Technology / 506(b) (17,390 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.

PH
Other Technology

Presidio Health, Inc.

San Francisco, CA · Jul 5, 2019 → Dec 17, 2020 · 4 filings
  • Dec 17, 2020 · D · $100,000 sold of $250,000 · 2 investors · min. $50,000 · role: Director EDGAR ↗
  • Sep 25, 2019 · D · $0 sold of $1,325,000 · 0 investors · min. $25,000 · role: Director EDGAR ↗
  • Aug 5, 2019 · D/A · $75,000 sold of $1,750,000 · 2 investors · min. $25,000 · role: Director EDGAR ↗
  • Jul 5, 2019 · D · $50,000 sold of $1,750,000 · 1 investors · min. $25,000 · role: Director EDGAR ↗

Raised $100K from 2 investors (40% of the $250K target) as of the latest filing. John is listed as director on 4 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: Other Technology / 506(b) (17,390 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.

CM
Other Health Care

COHERA MEDICAL INC

Pittsburgh, PA · May 27, 2010 → Oct 26, 2015 · 7 filings
  • Oct 26, 2015 · D · $30,000,000 sold of $50,000,000 · 43 investors · min. $1,242 · role: Director EDGAR ↗
  • Jan 24, 2014 · D/A · $9,221,833 sold of $12,000,000 · 61 investors · min. $4,121 · role: Director EDGAR ↗
  • Jan 24, 2014 · D · $9,221,833 sold of $12,000,000 · 32 investors · min. $4,121 · role: Director EDGAR ↗
  • Feb 15, 2013 · D · $7,303,655 sold of $10,000,000 · 23 investors · min. $5,000 · role: Director EDGAR ↗
  • Jun 29, 2012 · D · $8,417,783 sold of $24,907,613 · 29 investors · min. $6,262 · role: Director EDGAR ↗
  • Nov 14, 2011 · D · $6,250,000 sold of $11,289,397 · 20 investors · min. $5,000 · role: Director EDGAR ↗
  • May 27, 2010 · D · $12,207,054 sold of $19,940,284 · 30 investors · min. $5,000 · role: Director EDGAR ↗

Raised $30M from 61 investors (60% of the $50M target) as of the latest filing. John is listed as director on 7 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: 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.

KM
Pooled Investment Fund · group: Kern

Kern Medical III, LLC

San Francisco, CA · Apr 29, 2010 → Nov 23, 2011 · 2 filings
  • Nov 23, 2011 · D · $0 sold of $4,008,600 · 0 investors · min. $1,310 · role: Executive Officer, Director (Manager) EDGAR ↗
  • Apr 29, 2010 · D · $0 sold of $5,850,000 · 0 investors · min. $1,000 · role: Executive Officer, Director, Promoter EDGAR ↗

No sales reported yet as of the latest filing. John is listed as executive officer, director, promoter 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.

Other pages with the same name (1)

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

  • John Kern, Jr. — MA, 1 issuer, Jul 30, 2024 → Jul 30, 2024 · no shared issuer

People around John 22

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

KC
Management entity

Kern Capital, LLC

Executive Officer, Director · 2 shared filings (2 issuers)

Listed on the same filings as John C. Kern, Jr.. Their page shows their other deals.

CK
Management entity

C Kern Capital, LLC

Director · 1 shared filing (1 issuer)

Listed on the same filings as John C. Kern, Jr.. Their page shows their other deals.

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

Dottie Clower

Executive Officer · 7 shared filings (1 issuer)

Listed on the same filings as John C. Kern, Jr.. Their page shows their other deals.

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

Richard Wonsettler

Executive Officer · 7 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as John C. Kern, Jr.. Their page shows their other deals.

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

Patrick Daly

Executive Officer, Director · 7 shared filings (1 issuer)

Listed on the same filings as John C. Kern, Jr.. Their page shows their other deals.

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

Albert Dombrowski

Director · 7 shared filings (1 issuer)

Listed on the same filings as John C. Kern, Jr.. Their page shows their other deals.

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

James Liken

Director · 6 shared filings (1 issuer) · also on 2 other issuers

Listed on the same filings as John C. Kern, Jr.. Their page shows their other deals.

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

Doros Platika

Director · 6 shared filings (1 issuer)

Listed on the same filings as John C. Kern, Jr.. Their page shows their other deals.

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

Martin J. Calihan

Director · 6 shared filings (1 issuer)

Listed on the same filings as John C. Kern, Jr.. Their page shows their other deals.

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

Eric Beckman

Executive Officer · 4 shared filings (1 issuer)

Listed on the same filings as John C. Kern, Jr.. Their page shows their other deals.

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

Douglas Evans

Executive Officer, Director · 4 shared filings (1 issuer)

Listed on the same filings as John C. Kern, Jr.. Their page shows their other deals.

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

Rick Toren

Director · 2 shared filings (1 issuer)

Listed on the same filings as John C. Kern, Jr.. Their page shows their other deals.

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

Robert Evans

Director · 2 shared filings (1 issuer)

Listed on the same filings as John C. Kern, Jr.. Their page shows their other deals.

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

Rajesh Swaminathan

Director · 1 shared filing (1 issuer) · also on 4 other issuers

Rajesh Swaminathan is on 5 issuers in total — a repeat sponsor. Their page lists every one.

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

William Cotter

Executive Officer · 1 shared filing (1 issuer) · also on 15 other issuers

William Cotter is on 16 issuers in total — a repeat sponsor. Their page lists every one.

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

Chad Coberly

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as John C. Kern, Jr.. Their page shows their other deals.

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

Mart Pearson

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as John C. Kern, Jr.. Their page shows their other deals.

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

Bryan Staker

Executive Officer, Director · 1 shared filing (1 issuer)

Listed on the same filings as John C. Kern, Jr.. Their page shows their other deals.

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

Satvat J. Ali

Director · 1 shared filing (1 issuer)

Listed on the same filings as John C. Kern, Jr.. Their page shows their other deals.

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

John C Hanna

Executive Officer, Director · 1 shared filing (1 issuer)

Listed on the same filings as John C. Kern, Jr.. Their page shows their other deals.

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

Heiner Dreissman

Director · 1 shared filing (1 issuer)

Listed on the same filings as John C. Kern, Jr.. Their page shows their other deals.

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

Geoff Smith

Director · 1 shared filing (1 issuer)

Listed on the same filings as John C. Kern, Jr.. Their page shows their other deals.

The team behind the deals

K
Sponsor group

Kern

6 issuers · 10 filings · $93.7M reported sold · 2010–2026

One team, 6 deal companies. John C. Kern, Jr. 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 C. Kern, Jr..

Same business address

42 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

Business registration (state registry / Secretary of State)

Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file).

Adviser registration (Form ADV)

None of the 8 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 C. Kern, 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 8 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers John C. Kern, Jr. is listed on: none on file. No website or social profile named in Apton Biosystems, Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #192,520 of 374,652 in line (1,386 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 (Pleasanton, CA). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

LinkedIn people search ↗Instagram ↗X (Twitter) ↗Facebook ↗YouTube ↗Google ↗Google Images ↗Google News ↗Meta Ad Library ↗

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗California — find the county court ↗Los Angeles Superior Court case search ↗Pennsylvania UJS portal case search ↗

Securities regulators

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

Business registries

California Secretary of State business search ↗Pennsylvania Secretary of State business search ↗OpenCorporates ↗

Change history

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