Sponsor Check › Person
Named as an officer, director or promoter on SEC Form D filings · CA, FL · Dec 28, 2009 → Jul 21, 2020
Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:19 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET
Mark Allen is listed as an executive officer and director on 14 SEC Form D filings by 3 issuers between Dec 2009 and Sep 2021: Transphorm, Inc. (Goleta, CA — other technology — 2010–2014; $40M reported sold to 9 investors), Elevian, Inc. (Miami Beach, FL — industry reported as "Other" — 2020–2021; $22.7M reported sold to 68 investors) and BRIGHTVOLT, INC (Redmond, WA — other technology — 2009; $19.8M reported sold to 22 investors).
What this means A repeat sponsor — 3 separate companies raised money with this person listed as executive officer and director, over about 12 years. Across those companies the filings report $82.5M sold in total.
Listed alongside Primit Parikh (10 shared filings), Randy Komisar (10 shared filings), Richard Redelfs (10 shared filings), Umesh Mishra (10 shared filings), Mark Pinho (8 shared filings) and 22 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Mark. Each name links to their own page.
1 of the issuers belongs to the sponsor group Transphorm (2 issuers, $44.1M reported sold, 2010–2023).
What this means A sponsor group is one team that sets up a new company for each deal. Transphorm has 2 companies on file and $44.1M 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 (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) — 3 court cases matching the name, 1 SEC release, 1 state regulator order, 32 bankruptcy cases matching the name listed in Key records below.
What this means 37 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 14 public filings for Mark Allen and found 13 differences, 1 worth asking the sponsor about: Form D filed 166 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.
Community search for Mark Allen has not run yet — it is #3,309 of 56,080 in line; 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.
Five things investors ask first. Items still in human review are counted, not shown.
3 cases: 2 closed (disposition not in docket feed), 1 dismissed
Other Fraud· Cause:
28:1441 Notice of Removal - Fraud
Rent Lease & Ejectment· Cause:
28:1444 Notice of Removal - Foreclosure
Rent Lease & Ejectment· Cause:
28:1331 Fed. Question
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, 2:19 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.
1 SEC release; 1 state regulator order
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 Mark Allen..
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).
32 cases: 32 closed (disposition not in docket feed)
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, 2:19 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.
Comparisons cover issuers and sponsor groups — see the issuer pages under Deals
13 differences found between the filings for Mark Allen — 1 worth asking about (compared 14 filings on Oct 24, 2026)
United States Bankruptcy Court, C.D. California docket "Pinho v. JP Morgan Chase Bank, NA" filed Jan 7, 2011, closed May 31, 2011. Mark Pinho (listed on the same filings) is listed as Plaintiff ("Pinho"). Our match estimate: 62%.
What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.
The filing says the first sale was Jul 15, 2009. The Form D was filed Dec 28, 2009 — 166 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 151 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.
No amendment in the last 12 months on an offering that may still be open — Elevian, Inc. (latest filing Sep 17, 2021) · No amendment in the last 12 months on an offering that may still be open — Elevian, Inc. (latest filing Jul 21, 2020) · No amendment in the last 12 months on an offering that may still be open — Transphorm, Inc. (latest filing Jul 14, 2014) · No amendment in the last 12 months on an offering that may still be open — Transphorm, Inc. (latest filing Oct 9, 2012)
What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.
The Feb 6, 2014 filing says $15,000,001 offered; the Jul 14, 2014 Form D/A says $26,855,603.
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.
The Dec 18, 2013 filing says $20,000,000 offered; the Jul 14, 2014 Form D/A says $26,000,000.
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.
The Jun 16, 2011 filing says $30,000,002 offered; the Jan 3, 2012 Form D/A says $30,500,000.
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.
This page covers filings where the address state is CA or FL. A separate record, "Mark Allen" with address state TX, is listed on 3 filings — most recently by VILLAS AT CORSICANA LLC (Jan 21, 2025). The two records do not overlap in time: this page runs Dec 28, 2009 to Jul 21, 2020; the other runs May 3, 2022 to Jan 21, 2025.
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.
This page covers filings where the address state is CA or FL. A separate record, "Mark H Allen" with address state OK, is listed on 2 filings — most recently by Exaeris Water Innovations, LLC (Oct 1, 2018). Both records have filings in the same period (Dec 28, 2009 to Oct 1, 2018).
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.
This page covers filings where the address state is CA or FL. A separate record, "Mark Allen" with address state VA, is listed on 2 filings — most recently by RTO Energy Trading Holdings, LLC (Jan 2, 2015). Both records have filings in the same period (Jul 16, 2014 to Jan 2, 2015).
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.
This page covers filings where the address state is CA or FL. A separate record, "Mark Allen" with address state KS, is listed on 1 filing — most recently by LasQ LLC (Dec 29, 2010). Both records have filings in the same period (Dec 29, 2010).
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.
This page covers filings where the address state is CA or FL. A separate record, "Mark G. Allen" with address state GA, is listed on 9 filings — most recently by Axion BioSystems, Inc. (May 9, 2012). Both records have filings in the same period (Dec 28, 2009 to Sep 16, 2010).
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.
The people listed on the Jul 21, 2020 filing give Menlo Park, CA; on the Aug 26, 2021 filing they give Miami Beach, FL.
What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.
CA on 12 filings (Dec 28, 2009 to Jul 21, 2020); FL on 2 filings (Aug 26, 2021 to Sep 17, 2021).
What this means The address on a Form D is usually the company's, not the person's home, so this often just reflects different companies. It can also mean a move. Nothing wrong by itself.
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.
None reported on 10 offerings — no sales commissions, finder's fees or proceeds to insiders
| Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it | Source |
|---|---|---|---|---|---|
| Sep 17, 2021 D/A Elevian, Inc. File 021-411390 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jul 21, 2020 D Elevian, Inc. File 021-371493 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Oct 6, 2014 D Transphorm, Inc. File 021-225879 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jul 14, 2014 D/A Transphorm, Inc. File 021-208188 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jul 14, 2014 D/A Transphorm, Inc. File 021-211440 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Oct 9, 2012 D Transphorm, Inc. File 021-185208 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jan 3, 2012 D/A Transphorm, Inc. File 021-161413 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Nov 16, 2010 D Transphorm, Inc. File 021-150595 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| May 5, 2010 D Transphorm, Inc. File 021-141554 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Dec 28, 2009 D BRIGHTVOLT, INC File 021-41791 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
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).
Every issuer that named Mark Allen on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.
Raised $22.7M from 68 investors (53% of the $42.7M target) as of the latest filing. Mark is listed as executive officer, director on 3 filings for this deal.
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 / 506(b) (18,678 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.
Raised $40M from 9 investors (100% of the $10M target) as of the latest filing. Mark is listed as director on 10 filings for this deal.
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 Technology / 506(b) (17,390 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.
Raised $19.8M from 22 investors (100% of the $13.3M target) as of the latest filing. Mark is listed as director.
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.
Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.
Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.
Randy Komisar is on 8 issuers in total — a repeat sponsor. Their page lists every one.
Wesley Chan is on 9 issuers in total — a repeat sponsor. Their page lists every one.
J. Casey McGlynn is on 7 issuers in total — a repeat sponsor. Their page lists every one.
William Lese is on 12 issuers in total — a repeat sponsor. Their page lists every one.
Joshua Ruch is on 7 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Mark Allen. Their page shows their other deals.
Suzanne Fletcher is on 5 issuers in total — a repeat sponsor. Their page lists every one.
One team, 2 deal companies. Mark Allen is listed on 1 of them.
Issuers are grouped when their Form D filings share related persons, a management entity or a business address (automatic match from the filings). "Listed" marks the issuers that name Mark Allen.
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).
None of the 3 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.
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 are matched to companies only, never to individuals, so none are matched to Mark Allen 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 3 issuers this person is listed on — nothing matched.
Websites and social links of the issuers Mark Allen is listed on: none on file. No website or social profile named in Transphorm, Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #301,337 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓
One-tap searches on sites we do not index ourselves, with the name pre-filled (Goleta, CA). Each opens in a new tab; what you find there is not verified by PartnerFacts.
No corrections have been requested for this page.
Free. Logged with status: received → under review → fixed / confirmed with source.
If this is you or your firm, add a sourced explanation next to any fact. Reviewed before publishing.
Members get an email when Mark Allen appears on a new Form D, or when a court case or SEC action is matched to them. See plans →