Kellie Ann Bauer is listed as an executive officer, director, and promoter on 3 SEC Form D filings by 3 issuers between Jan 2011 and Mar 2022: LFE Growth Fund III, L.P. (Wayzata, MN — pooled investment fund — 2016; $21.4M reported sold to 22 investors), LFE Growth Fund IV, L.P. (Naples, FL — pooled investment fund — 2022; $19.9M reported sold to 10 investors) and PORTERO INC (Armonk, NY — retailing — 2011; $1.41M reported sold to 1 investors).
What this means A repeat sponsor — 3 separate companies raised money with this person listed as executive officer, director, and promoter, over about 11 years. Across those companies the filings report $42.8M sold in total.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, LA, ME, MO, MS, MT, NASAA, NC, NH, NM, OR, RI, TX, WA) — 2 bankruptcy cases matching the name listed in Key records below.
What this means 2 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 3 public filings for Kellie Ann Bauer and found 9 differences, 2 worth asking the sponsor about: Form D filed 570 days after the first sale; Form D filed 126 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.