Lowell Ness is listed as an executive officer on 13 SEC Form D filings by 6 issuers between Sep 2010 and Mar 2020. Largest by amount reported sold: SWIFT FINANCIAL CORP (Wilmington, DE — other banking and financial services — 2010–2014; $12.8M reported sold to 38 investors), Citizens Reserve, Inc. (Los Gatos, CA — other technology — 2017–2018; $7.15M reported sold to 29 investors), Speaktoit, Inc. (Palo Alto, CA — other technology — 2015; $3M reported sold to 4 investors), Major League Fantasy, Inc. (Walnut Creek, CA — industry reported as "Other" — 2014; $1.32M reported sold to 7 investors), Union Finance, Inc. (Duval, WA — other technology — 2020; $545K reported sold to 10 investors) and 1 more (all listed below).
What this means A repeat sponsor — 6 separate companies raised money with this person listed as executive officer, over about 10 years. Across those companies the filings report $24.9M sold in total.
Listed alongside Edward A. Harycki (5 shared filings), Tench Coxe (5 shared filings), William Zuendt (5 shared filings), Addison McKenzie (4 shared filings), James Bower (4 shared filings) and 13 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Lowell. Each name links to their own page.
1 of the issuers belongs to the sponsor group Ignite Farm (4 issuers, $4.62M reported sold, 2009–2017).
What this means A sponsor group is one team that sets up a new company for each deal. Ignite Farm has 4 companies on file and $4.62M 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 (AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, LA, ME, MO, MS, MT, NASAA, NC, NH, NM, OR, RI, 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 13 public filings for Lowell Ness and found 9 differences, 1 worth asking the sponsor about: 4 Form Ds were filed more than 15 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.