Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 5:11 AM ET

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M. Stuart Sasser

Named as an officer, director or promoter on SEC Form D filings · TX · Apr 30, 2010 → May 6, 2021

1deal (issuers)

$24Mreported sold

15investors

3Form D filings

2010–2021years on file

Follow this person Look further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:21 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

M. Stuart Sasser is listed as a director on 3 SEC Form D filings by 1 issuer between Apr 2010 and May 2021: Rio Financial Services, Inc. (Mcallen, TX — commercial banking — 2010–2021; $24M reported sold to 15 investors).

What this means One deal on file with the SEC. A Form D is the notice a company files after it starts selling a private investment — it is a notice, not an approval.

Listed alongside Baldomero Vela (3 shared filings), C. Trebes Sasser (3 shared filings), Catherine L Grossman (3 shared filings), Daniel D Vela (3 shared filings), Alexander Ford Sasser (2 shared filings) and 8 others.

What this means These are the other officers, directors or promoters the companies named on the same forms — the team around M.. Each name links to their own page.

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 3 public filings for M. Stuart Sasser and found 2 differences: CRD number for Brean Capital, LLC appears on one filing and not another; Form D filed 50 days after the first sale.

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 M. Stuart Sasser has not run yet — it is joining a line of 8,976 names; searches run around the clock at the hosts' allowed rate. Searched so far: 27 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).

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, 2:21 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: AZ, CA, DE, TX, WA (crawled Oct 23, 2026)

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 M. Stuart Sasser..

State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states are not covered.

3. Bankruptcies

None found in sources searched — federal bankruptcy courts (CourtListener / RECAP), checked Oct 24, 2026

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, 2:21 AM ET.

4. Differences between public sources

Comparisons cover issuers and sponsor groups — see the issuer pages under Deals

2 differences found between the filings for M. Stuart Sasser (compared 3 filings on Oct 24, 2026)

Note · Dec 15, 2020 – May 6, 2021

CRD number for Brean Capital, LLC appears on one filing and not another — Rio Financial Services, Inc.

The May 6, 2021 filing lists Brean Capital, LLC with CRD 23723; the Dec 15, 2020 Form D lists the same name with no CRD number.

What this means A CRD number is how you look a seller up on FINRA BrokerCheck. Missing it on a later form is usually a paperwork slip — use the number from the earlier form to check them.

Form D/A · May 6, 2021 ↗Form D · Dec 15, 2020 ↗FINRA BrokerCheck ↗Rio Financial Services, Inc. — PartnerFacts page ↗

Sources

Form D/A · May 6, 2021 ↗ (May 6, 2021)
Form D · Dec 15, 2020 ↗ (Dec 15, 2020)
FINRA BrokerCheck ↗
Rio Financial Services, Inc. — PartnerFacts page ↗ (May 6, 2021)

Note · Oct 26, 2020 – Dec 15, 2020

Form D filed 50 days after the first sale — Rio Financial Services, Inc.

The filing says the first sale was Oct 26, 2020. The Form D was filed Dec 15, 2020 — 50 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 35 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.

Form D · Dec 15, 2020 ↗Rio Financial Services, Inc. — PartnerFacts page ↗

Sources

Form D · Dec 15, 2020 ↗ (Dec 15, 2020)
Rio Financial Services, Inc. — PartnerFacts page ↗ (May 6, 2021)

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

1 of 2 offerings reports sales commissions totalling $17,100; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)

Offering (latest filing)	Sales commissions	Finder's fees	To insiders	Paid to sell it	Source
May 6, 2021 D/A Rio Financial Services, Inc. File 021-383215	$17,100 (est.)	$0	$0	Brean Capital, LLC BrokerCheck CRD 23723 ↗	EDGAR ↗
Apr 30, 2010 D Rio Financial Services, Inc. File 021-141388	$0	$0	$0	None no CRD number reported	EDGAR ↗

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 1

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

Commercial Banking

Rio Financial Services, Inc.

Mcallen, TX · Apr 30, 2010 → May 6, 2021 · 3 filings

May 6, 2021 · D/A · $24,000,000 sold of $24,000,000 · 15 investors · min. No minimum reported · role: Director EDGAR ↗
Dec 15, 2020 · D · $24,000,000 sold of $24,000,000 · 15 investors · min. No minimum reported · role: Director EDGAR ↗
Apr 30, 2010 · D · $0 sold of $2,000,000 · 0 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $24M from 15 investors (100% of the $24M target) as of the latest filing. M. is listed as director on 3 filings for this deal.

Latest filing on EDGAR ↗

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: Commercial Banking / 506(b) (624 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.

People around M. 13

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

Management entity