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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:31 AM ET

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JS
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John Simon

Named as an officer, director or promoter on SEC Form D filings · MD · Jul 10, 2018 → Jan 26, 2026

2deals (issuers)
$12.3Mreported sold
17investors
4Form D filings
2018–2026years on file

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:42 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

John Simon is listed as an executive officer, director, and promoter on 4 SEC Form D filings by 2 issuers between Jul 2018 and Jan 2026: Azure Source Capital, LLC (Bethesda, MD — other banking and financial services — 2018–2019; $9.78M reported sold to 7 investors) and TOTAL IMPACT NOTES PUBLIC BENEFIT LLC (Bethesda, MD — other banking and financial services — 2026; $2.5M reported sold to 10 investors).

What this means 2 separate companies raised money with this person listed as executive officer, director, and promoter, over about 8 years. Across those companies the filings report $12.3M sold in total.

Listed alongside Beth Collins (3 shared filings), Stephen Walsh (3 shared filings), Bryan Rhodes (2 shared filings) and Paul Hicks (1 shared filing).

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.

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 bankruptcy case matching the name listed in Key records below.

What this means 1 record 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 4 public filings for John Simon and found 8 differences: Form D filed 34 days after the first sale; No amendment in the last 12 months on an offering that may still be open; 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 Simon has not run yet — it is joining a line of 55,812 names; searches run around the clock at the hosts' allowed rate. Searched so far: 641 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, 2:42 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

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: 48 regulators (FINRA, NASAA, 37 states) — crawled Oct 24, 2026, 8:48 AM ET

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 Simon..

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

1 case: 1 closed (disposition not in docket feed)

John J. Simon closed
United States Bankruptcy Court, D. Maryland · No. 01-58198 · Filed May 23, 2001 · Closed Aug 30, 2001
Role of John J. Simon: Debtor · Outcome: Case closed 2001-08-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 183 federal dockets); 9 people with this name in Form D filings; court in the person's filing state (MD)
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, 2:42 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

8 differences found between the filings for John Simon (compared 4 filings on Oct 24, 2026)

Note · Dec 23, 2025 – Jan 26, 2026

Form D filed 34 days after the first sale — TOTAL IMPACT NOTES PUBLIC BENEFIT LLC

The filing says the first sale was Dec 23, 2025. The Form D was filed Jan 26, 2026 — 34 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 19 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.

Sources
Note · Jun 25, 2018 – Dec 10, 2019

No amendment in the last 12 months on an offering that may still be open — Azure Source Capital, LLC (latest filing Dec 10, 2019)

The latest filing for this offering is dated Dec 10, 2019 (first sale Jun 25, 2018). It reports $9,775,000 sold of $10,275,000 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.

Sources
Note · Jul 10, 2018 – Sep 20, 2018

Offering amount changed between filings — Azure Source Capital, LLC

The Jul 10, 2018 filing says $2,275,000 offered; the Sep 20, 2018 Form D/A says $10,275,000.

What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.

Sources
Note · Jul 13, 2009 – Jan 6, 2020

Same name, different state: "John Simon" (MA) is a separate record

This page covers filings where the address state is MD. A separate record, "John Simon" with address state MA, is listed on 31 filings — most recently by BlueConic Holding, Inc. (Jan 6, 2020). Both records have filings in the same period (Jul 10, 2018 to Jan 6, 2020).

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.

Sources
Note · Oct 21, 2009 – Mar 31, 2014

Same name, different state: "John Simon" (VT) is a separate record

This page covers filings where the address state is MD. A separate record, "John Simon" with address state VT, is listed on 6 filings — most recently by WIND POWER HOLDINGS INC (Mar 31, 2014). The two records do not overlap in time: this page runs Jul 10, 2018 to Jan 26, 2026; the other runs Oct 21, 2009 to Mar 31, 2014.

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.

Sources
Note · Aug 23, 2010 – Feb 14, 2012

Same name, different state: "John Simon" (KS) is a separate record

This page covers filings where the address state is MD. A separate record, "John Simon" with address state KS, is listed on 2 filings — most recently by Pinnacle Properties-Everett, LLC (Feb 14, 2012). The two records do not overlap in time: this page runs Jul 10, 2018 to Jan 26, 2026; the other runs Aug 23, 2010 to Feb 14, 2012.

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.

Sources
Note · Oct 1, 2009 – Dec 22, 2010

Same name, different state: "John Simon" (NY) is a separate record

This page covers filings where the address state is MD. A separate record, "John Simon" with address state NY, is listed on 3 filings — most recently by CARDICA INC (Dec 22, 2010). The two records do not overlap in time: this page runs Jul 10, 2018 to Jan 26, 2026; the other runs Oct 1, 2009 to Dec 22, 2010.

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.

Sources
Note · Apr 13, 2009 – Feb 25, 2010

Same name, different state: "John S. Simon" (GA) is a separate record

This page covers filings where the address state is MD. A separate record, "John S. Simon" with address state GA, is listed on 5 filings — most recently by Liaison Technologies, Inc. (Apr 15, 2011). The two records do not overlap in time: this page runs Jul 10, 2018 to Jan 26, 2026; the other runs Apr 13, 2009 to Feb 25, 2010.

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.

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

0 of 2 offerings report sales commissions; 0 report finder's fees; 1 reports proceeds to related persons totalling $175,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Jan 26, 2026 D
TOTAL IMPACT NOTES PUBLIC BENEFIT LLC
File 021-571096
$0 (est.)$0 (est.)$0 (est.)None listed on this filingEDGAR ↗
Dec 10, 2019 D/A
Azure Source Capital, LLC
File 021-316384
$0$0$175,000 (est.)
This is an estimate through December 31, 2020.
None 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 2

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

Other Banking and Financial Services

TOTAL IMPACT NOTES PUBLIC BENEFIT LLC

Bethesda, MD · Jan 26, 2026
  • Jan 26, 2026 · D · $2,500,000 sold of $10,000,000 · 10 investors · min. $100,000 · role: Executive Officer EDGAR ↗

Raised $2.5M from 10 investors (25% of the $10M target) as of the latest filing. John is listed as executive officer.

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 Banking and Financial Services / 506(b) (1,630 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.

Other Banking and Financial Services

Azure Source Capital, LLC

Bethesda, MD · Jul 10, 2018 → Dec 10, 2019 · 3 filings
  • Dec 10, 2019 · D/A · $9,775,000 sold of $10,275,000 · 7 investors · min. $10,000 · role: Executive Officer, Director, Promoter EDGAR ↗
  • Sep 20, 2018 · D/A · $2,275,000 sold of $10,275,000 · 4 investors · min. $10,000 · role: Executive Officer, Director, Promoter EDGAR ↗
  • Jul 10, 2018 · D · $2,275,000 sold of $2,275,000 · 4 investors · min. $10,000 · role: Executive Officer, Director, Promoter EDGAR ↗

Raised $9.78M from 7 investors (95% of the $10.3M target) as of the latest filing. John is listed as executive officer, director, promoter on 3 filings for this deal.

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 Banking and Financial Services / 506(b) (1,630 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.

Other pages with the same name (8)

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

  • John Simon — MA, 13 issuers, Jul 13, 2009 → Jan 6, 2020 · no shared issuer
  • John S. Simon — GA, 2 issuers, Apr 13, 2009 → Feb 25, 2010 · no shared issuer
  • John Simon — VT, 1 issuer, Oct 21, 2009 → Mar 31, 2014 · no shared issuer
  • John Simon — NY, 1 issuer, Oct 1, 2009 → Dec 22, 2010 · no shared issuer
  • John Simon — KS, 1 issuer, Aug 23, 2010 → Feb 14, 2012 · no shared issuer
  • John Simon — CO, 1 issuer, Apr 6, 2017 → Oct 10, 2017 · no shared issuer
  • John Simon — FL, 1 issuer, Jun 12, 2019 → Apr 30, 2020 · no shared issuer
  • John R Simon — NY, 1 issuer, Nov 25, 2024 → Nov 25, 2024 · no shared issuer

People around John 4

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

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

Beth Collins

Director · 3 shared filings (1 issuer)

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

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

Stephen Walsh

Director · 3 shared filings (1 issuer)

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

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

Bryan Rhodes

Director · 2 shared filings (1 issuer)

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

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

Paul Hicks

Director · 1 shared filing (1 issuer)

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

The team behind the deals

Same business address

29 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); KY (Kentucky Secretary of State — Business Entity Search (sosbes.sos.ky.gov), searched by issuer name, data as of Oct 24, 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 2 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 Simon 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 2 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers John Simon is listed on: none on file. No website or social profile named in TOTAL IMPACT NOTES PUBLIC BENEFIT LLC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #44,434 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 (Bethesda, MD). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Change history

No corrections have been requested for this page.

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Members get an email when John Simon appears on a new Form D, or when a court case or SEC action is matched to them. See plans →