Sponsor Check › Person
Named as an officer, director or promoter on SEC Form D filings · MA · Mar 10, 2009 → Jan 13, 2016
Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:17 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET
John O'Connor is listed as an executive officer and director on 16 SEC Form D filings by 5 issuers between Mar 2009 and Jan 2016: Battery Alternative Income Fund, LLC (Boston, MA — pooled investment fund — 2009–2012; $415.7M reported sold to 153 investors), Battery Opportunity Fund LLC (Boston, MA — pooled investment fund — 2009–2012; $282.1M reported sold to 148 investors), SEGUE MANUFACTURING SERVICES LLC (Lowell, MA — manufacturing — 2010; $8.14M reported sold), G6 Capital Management, LLC (Dedham, MA — investing — 2012–2016; $1.23M reported sold to 24 investors) and Gaia Metrics, Inc. (Somerville, MA — other technology — 2010–2011; $500K reported sold to 2 investors).
What this means A repeat sponsor — 5 separate companies raised money with this person listed as executive officer and director, over about 7 years. Across those companies the filings report $707.8M sold in total.
Listed alongside Battery Global Advisors, LLC (8 shared filings, management entity), Richard Frisbie (8 shared filings), Christopher Hanson (7 shared filings), Christopher Schiavo (4 shared filings), Edwin M. Kania, Jr. (4 shared filings) and 14 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.
The issuers belong to 2 sponsor groups: Bga Horizon (109 issuers, $4.3B reported sold, 2009–2026) and Valero (8 issuers, $44.7M reported sold, 2009–2020).
What this means This person is listed across more than one sponsor team; each group page shows that team's full track record.
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) — none found.
What this means Nothing turned up where we looked (3 sources). That does not prove there is nothing — it means none was found in those sources on that date.
We compared 16 public filings for John O'Connor and found 18 differences, 3 worth asking the sponsor about: Paid seller listed without a CRD number: D.M.B. Strategies, Ltd; John O'Connor is no longer listed on the Apr 8, 2013 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 O'Connor has not run yet — it is joining a line of 24,378 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, 2:17 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.
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)
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 O'Connor..
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).
None found in sources searched — federal bankruptcy courts (CourtListener / RECAP), checked Oct 24, 2026
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, 2:17 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.
Comparisons cover issuers and sponsor groups — see the issuer pages under Deals
18 differences found between the filings for John O'Connor — 3 worth asking about (compared 16 filings on Oct 24, 2026)
The Jun 16, 2010 Form D reports $500,000 sold and $90,000 of the proceeds used for payments to officers, directors or promoters.
What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.
The Jun 16, 2010 Form D reports $500,000 sold and $90,000 of the proceeds used for payments to officers, directors or promoters.
What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.
D.M.B. Strategies, Ltd. is listed as receiving sales compensation on 1 filing (Mar 10, 2009) with no FINRA CRD number given.
What this means People paid to sell securities normally hold a FINRA registration with a CRD number. Without one we cannot look them up on BrokerCheck. Ask who they are and whether they are registered.
The latest filing for this offering is dated Jan 13, 2016 (first sale Jan 7, 2016). It reports $525,000 sold of $1,050,000 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 Dec 2, 2014 (first sale Dec 1, 2014). It reports $1,044,000 sold of $1,200,000 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 Apr 28, 2011 (first sale Apr 15, 2011). It reports $100,000 sold of $500,000 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 O'Connor appears on the Apr 9, 2012 Form D/A (executive officer, director) but not on the Apr 8, 2013 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.
John O'Connor appears on the Feb 28, 2012 Form D/A (executive officer, director) but not on the Feb 22, 2013 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 18, 2011 filing lists John O'Connor as executive officer; the Apr 9, 2012 Form D/A 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.
The Mar 4, 2011 filing lists John O'Connor as executive officer; the Feb 28, 2012 Form D/A 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.
This page covers filings where the address state is MA. A separate record, "John O'Connor" with address state CA, is listed on 49 filings — most recently by Point Olema U.S. Venture Capital Portfolio, L.P. (Jul 23, 2026). The two records do not overlap in time: this page runs Mar 10, 2009 to Jan 13, 2016; the other runs Nov 15, 2016 to Jul 23, 2026.
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 MA. A separate record, "John O'Connor" with address state OK, is listed on 3 filings — most recently by 3DICON CORP (Dec 13, 2013). Both records have filings in the same period (Nov 16, 2012 to Dec 13, 2013).
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 MA. A separate record, "John O'Connor" with address state GA, is listed on 1 filing — most recently by OVERSIGHT SYSTEMS, INC. (May 23, 2012). Both records have filings in the same period (May 23, 2012).
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 MA. A separate record, "John O'Connor" with address state NY, is listed on 18 filings — most recently by WHITNEY JAPAN PARTNERS LP (Sep 29, 2011). Both records have filings in the same period (Mar 13, 2009 to Sep 29, 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.
This page covers filings where the address state is MA. A separate record, "John O'Connor" with address state OH, is listed on 2 filings — most recently by Fort Washington Private Equity Investors VII, L.P. (Jun 27, 2011). Both records have filings in the same period (Jun 28, 2010 to Jun 27, 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.
The people listed on the Jan 17, 2014 filing give Needham, MA; on the Dec 2, 2014 filing they give Dedham, MA.
What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.
The people listed on the Apr 8, 2013 filing give Waltham, MA; on the Apr 2, 2014 filing they give Boston, MA.
What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.
The people listed on the Feb 22, 2013 filing give Waltham, MA; on the Feb 19, 2014 filing they give Boston, MA.
What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.
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.
0 of 10 offerings report sales commissions; 0 report finder's fees; 2 report proceeds to related persons totalling $180,000.
| Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it | Source |
|---|---|---|---|---|---|
| Jan 13, 2016 D G6 Capital Management, LLC File 021-255034 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Dec 2, 2014 D G6 Capital Management, LLC File 021-229312 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jan 17, 2014 D G6 Capital Management, LLC File 021-210339 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| May 31, 2012 D G6 Capital Management, LLC File 021-179065 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Apr 9, 2012 D/A Battery Alternative Income Fund, LLC File 021-130685 | $0 | $0 | $0 Battery Global Advisors, LLC is entitled to a periodic fee for its investment management services in accordance with the organizational documents of the Issuer. | None listed on this filing | EDGAR ↗ |
| Feb 28, 2012 D/A Battery Opportunity Fund LLC File 021-95929 | $0 | $0 | $0 Battery Global Advisors, LLC is entitled to a periodic fee for its investment management services in accordance with the organizational documents of the Issuer. | None listed on this filing | EDGAR ↗ |
| Apr 28, 2011 D Gaia Metrics, Inc. File 021-158986 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Dec 8, 2010 D SEGUE MANUFACTURING SERVICES LLC File 021-151600 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jun 16, 2010 D Gaia Metrics, Inc. File 021-143573 | $0 | $0 | $90,000 | None listed on this filing | EDGAR ↗ |
| Jun 16, 2010 D Gaia Metrics, Inc. File 021-143575 | $0 | $0 | $90,000 | None listed on this filing | 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 O'Connor on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.
Raised $1.23M from 24 investors (100% of the $1.05M target) as of the latest filing. John is listed as director on 4 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: 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.
Raised $415.7M from 153 investors as of the latest filing. John is listed as executive officer, director on 4 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.
Raised $282.1M from 148 investors as of the latest filing. John is listed as executive officer, director on 4 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.
Raised $500K from 2 investors (100% of the $500K target) as of the latest filing. John is listed as executive officer, director on 3 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.
Raised $8.14M (100% of the $8.14M target) as of the latest filing. John is listed as director.
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.
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.
Battery Global Advisors, LLC is on 109 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as John O'Connor. Their page shows their other deals.
Listed on the same filings as John O'Connor. Their page shows their other deals.
Edwin M. Kania, Jr. is on 6 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as John O'Connor. Their page shows their other deals.
Listed on the same filings as John O'Connor. Their page shows their other deals.
Listed on the same filings as John O'Connor. Their page shows their other deals.
James A. Pelusi is on 9 issuers in total — a repeat sponsor. Their page lists every one.
Peter Simone is on 5 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as John O'Connor. Their page shows their other deals.
One team, 109 deal companies. John O'Connor is listed on 2 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 O'Connor.
One team, 8 deal companies. John O'Connor is listed on 1 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 O'Connor.
A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.
A person is never an adviser firm. 2 of the 5 issuers this person is listed on match a Form ADV adviser (searched 24,962 advisers as of Oct 2, 2026): Battery Alternative Income Fund, LLC, Battery Opportunity Fund LLC.
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 O'Connor 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.
Websites and social links of the issuers John O'Connor is listed on: none on file. No website or social profile named in Battery Opportunity Fund LLC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #240,237 of 374,652 in line (1,218 issuers searched so far). One-tap searches: Look further ↓
One-tap searches on sites we do not index ourselves, with the name pre-filled (Boston, MA). Each opens in a new tab; what you find there is not verified by PartnerFacts.
No corrections have been requested for this page.
Free. Logged with status: received → under review → fixed / confirmed with source.
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