John Romiza is listed as a director on 63 SEC Form D filings by 9 issuers between Jan 2014 and Jan 2022. Largest by amount reported sold: Dimensional Funds plc (Dublin 1, Ireland (as filed: L2) — pooled investment fund — 2014–2021; $79.6M reported sold to 7 investors), Dimensional Funds plc - Global Short-Term Investment Grade Fixed Income Fund (Dublin 1, Ireland (as filed: L2) — pooled investment fund — 2014–2022), Dimensional Funds plc - Global Core Fixed Income Fund (Dublin 1, Ireland (as filed: L2) — pooled investment fund — 2019–2022), Dimensional Funds plc - Japan Core Equity Fund (Dublin 1, Ireland (as filed: L2) — pooled investment fund — 2015–2021), Dimensional Funds plc - World Allocation 60/40 Fund (Dublin 1, Ireland (as filed: L2) — pooled investment fund — 2014–2021) and 4 more (all listed below).
What this means A repeat sponsor — 9 separate companies raised money with this person listed as director, over about 8 years. Across those companies the filings report $79.6M sold in total.
All 9 issuers belong to the sponsor group Dimensional (9 issuers, $73.1M reported sold, 2011–2022).
What this means A sponsor group is one team that sets up a new company for each deal. Dimensional has 9 companies on file and $73.1M 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 (AZ, CA, DE, TX, WA) — 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 the newest 50 of 63 public filings for John Romiza and found 6 differences: No amendment in the last 12 months on an offering that may still be open; John Romiza is written 2 different ways on the 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.