PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 5:16 AM ET

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Mark Adams

Named as an officer, director or promoter on SEC Form D filings · TX · Apr 16, 2009 → Dec 13, 2022

9deals (issuers)
$103.8Mreported sold
334investors
27Form D filings
2009–2022years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:18 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Mark Adams is listed as an executive officer, director, and promoter on 27 SEC Form D filings by 9 issuers between Apr 2009 and Dec 2022. Largest by amount reported sold: Fabric.AI, Inc. (New York, NY — industry reported as "Other" — 2020; $73.1M reported sold to 15 investors), Direct Biologics, LLC (Austin, TX — biotechnology — 2022; $11.6M reported sold to 116 investors), KLD ENERGY TECHNOLOGIES INC (Austin, TX — other technology — 2009–2012; $10M reported sold to 115 investors), Austin EV, Inc. (Round Rock, TX — other technology — 2018; $3.27M reported sold to 53 investors), ASTROTECH Corp (Austin, TX — other technology — 2018–2019; $3M reported sold to 2 investors) and 4 more (all listed below).

What this means A repeat sponsor — 9 separate companies raised money with this person listed as executive officer, director, and promoter, over about 13 years. Across those companies the filings report $103.8M sold in total.

Listed alongside Christian Gerard Okonsky (16 shared filings), John Constantine (16 shared filings), Michael Winn (14 shared filings), Richard Hunter (11 shared filings), Curtis Smith (5 shared filings) and 31 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.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AZ, CA, DE, TX, WA) — 12 bankruptcy cases matching the name listed in Key records below.

What this means 12 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 27 public filings for Mark Adams and found 15 differences, 5 worth asking the sponsor about: Amount sold went down between filings; Investor count went down between filings; 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 Mark Adams has not run yet — it is joining a line of 11,618 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, 2:18 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 Mark Adams..

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

12 cases: 1 open, 11 closed (disposition not in docket feed)

Saran Tene Adams and Mark Adams open
United States Bankruptcy Court, S.D. Texas · No. 26-36454 · Filed Aug 31, 2026
Role of Mark Adams: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same full name (a name found in 471 federal dockets); 9 people with this name in Form D filings; court in the person's filing state (TX)
Mark C. Adams closed
United States Bankruptcy Court, W.D. New York · No. 2-23-20555 · Filed Nov 2, 2023 · Closed Mar 11, 2024
Role of Mark C. Adams: Debtor · Outcome: Case closed 2024-03-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 471 federal dockets); 9 people with this name in Form D filings; court in the person's filing state (NY)
Mark R. Adams and Jennifer Adams closed
United States Bankruptcy Court, S.D. New York · No. 12-37410 · Filed Sep 21, 2012 · Closed Jan 3, 2013
Role of Mark R. Adams and Jennifer Adams: Debtor · Outcome: Case closed 2013-01-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 471 federal dockets); 9 people with this name in Form D filings; court in the person's filing state (NY)
Mark H. Adams and Amanda G. Adams closed
United States Bankruptcy Court, N.D. Texas · No. 05-84771 · Filed Oct 14, 2005 · Closed Apr 15, 2008
Role of Mark H. Adams and Amanda G. Adams: Debtor · Outcome: Case closed 2008-04-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 471 federal dockets); 9 people with this name in Form D filings; court in the person's filing state (TX)
Mark B. Adams and Sandra K. Adams closed
United States Bankruptcy Court, W.D. Texas · No. 04-61582 · Filed Jul 15, 2004 · Closed Oct 19, 2004
Role of Mark B. Adams and Sandra K. Adams: Debtor · Outcome: Case closed 2004-10-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 471 federal dockets); 9 people with this name in Form D filings; court in the person's filing state (TX)
Mark B. Adams and Lisa A. Adams closed
United States Bankruptcy Court, W.D. New York · No. 1-01-13749 · Filed Jun 11, 2001 · Closed Jun 1, 2006
Role of Mark B. Adams and Lisa A. Adams: Debtor · Outcome: Case closed 2006-06-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 471 federal dockets); 9 people with this name in Form D filings; court in the person's filing state (NY)
Mark A. Adams and Sandy L. Adams closed
United States Bankruptcy Court, W.D. New York · No. 1-99-15028 · Filed Sep 10, 1999 · Closed Jan 20, 2000
Role of Mark A. Adams and Sandy L. Adams: Debtor · Outcome: Case closed 2000-01-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 471 federal dockets); 9 people with this name in Form D filings; court in the person's filing state (NY)
Mark J. Adams and Susan M. Adams closed
United States Bankruptcy Court, N.D. New York · No. 99-62680 · Filed May 17, 1999 · Closed Nov 10, 1999
Role of Mark J. Adams and Susan M. Adams: Debtor · Outcome: Case closed 1999-11-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 471 federal dockets); 9 people with this name in Form D filings; court in the person's filing state (NY)
Mark S. Adams and Nancy Lee Adams closed
United States Bankruptcy Court, N.D. New York · No. 98-60894 · Filed Feb 17, 1998 · Closed Apr 3, 2002
Role of Mark S. Adams and Nancy Lee Adams: Debtor · Outcome: Case closed 2002-04-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 471 federal dockets); 9 people with this name in Form D filings; court in the person's filing state (NY)
Mark W Adams closed
United States Bankruptcy Court, S.D. Texas · No. 96-45843 · Filed Jul 1, 1996 · Closed Nov 27, 1996
Role of Mark W Adams: Debtor · Outcome: Case closed 1996-11-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 471 federal dockets); 9 people with this name in Form D filings; court in the person's filing state (TX)
Mark R. Adams and Debra L. Adams closed
United States Bankruptcy Court, N.D. New York · No. 91-02207 · Filed Jul 30, 1991 · Closed Dec 10, 1991
Role of Mark R. Adams and Debra L. Adams: Debtor · Outcome: Case closed 1991-12-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 471 federal dockets); 9 people with this name in Form D filings; court in the person's filing state (NY)
Mark A. Adams and Sandy L. Adams closed
United States Bankruptcy Court, W.D. New York · No. 1-91-11834 · Filed May 20, 1991 · Closed Dec 31, 1991
Role of Mark A. Adams and Sandy L. Adams: Debtor · Outcome: Case closed 1991-12-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 471 federal dockets); 9 people with this name in Form D filings; court in the person's filing state (NY)
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, 2:18 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

15 differences found between the filings for Mark Adams — 5 worth asking about (compared 27 filings on Oct 24, 2026)

Worth asking · Aug 12, 2009 – Dec 3, 2009

Amount sold went down between filings — KLD ENERGY TECHNOLOGIES INC

The Aug 12, 2009 filing says $1,196,500 sold; the Dec 3, 2009 Form D says $262,505 sold — $933,995 less.

What this means Amounts sold normally only go up as a raise continues. A drop can mean investors were refunded, a figure was corrected, or an earlier number was wrong. Ask the sponsor which it was.

Form D/A (earlier) · Aug 12, 2009 ↗Form D (later) · Dec 3, 2009 ↗KLD ENERGY TECHNOLOGIES INC — PartnerFacts page ↗
Sources
Worth asking · Feb 25, 2010 – Mar 5, 2010

Investor count went down between filings — KLD ENERGY TECHNOLOGIES INC

The Feb 25, 2010 filing reports 30 investors; the Mar 5, 2010 Form D reports 20 investors.

What this means Investor counts normally only grow. A smaller number can mean investors left or were refunded, or a count was corrected. Ask the sponsor what happened.

Form D (earlier) · Feb 25, 2010 ↗Form D (later) · Mar 5, 2010 ↗KLD ENERGY TECHNOLOGIES INC — PartnerFacts page ↗
Sources
Worth asking · Aug 12, 2009 – Dec 3, 2009

Investor count went down between filings — KLD ENERGY TECHNOLOGIES INC

The Aug 12, 2009 filing reports 20 investors; the Dec 3, 2009 Form D reports 7 investors.

What this means Investor counts normally only grow. A smaller number can mean investors left or were refunded, or a count was corrected. Ask the sponsor what happened.

Form D/A (earlier) · Aug 12, 2009 ↗Form D (later) · Dec 3, 2009 ↗KLD ENERGY TECHNOLOGIES INC — PartnerFacts page ↗
Sources
Worth asking · Dec 13, 2022

Paid seller listed without a CRD number: IB Capital LLC — Direct Biologics, LLC

IB Capital LLC is listed as receiving sales compensation on 1 filing (Dec 13, 2022) with no FINRA CRD number given.

What this means People paid to sell securities normally hold a FINRA registration with a CRD number. Without one we cannot look them up on BrokerCheck. Ask who they are and whether they are registered.

Form D · Dec 13, 2022 ↗BrokerCheck search: IB Capital LLC ↗Direct Biologics, LLC — PartnerFacts page ↗
Sources
Worth asking · Dec 17, 2010 – Dec 13, 2022

7 Form Ds were filed more than 15 days after the first sale

Form D filed 67 days after the first sale — Direct Biologics, LLC · Form D filed 354 days after the first sale — Austin EV, Inc. · Form D filed 27 days after the first sale — Fabric.AI, Inc. · Form D filed 19 days after the first sale — KLD ENERGY TECHNOLOGIES INC · Form D filed 19 days after the first sale — KLD ENERGY TECHNOLOGIES INC · and 2 more

What this means Late notices are common and carry no penalty by themselves. A pattern of late paperwork is worth asking the sponsor about.

Form D · Dec 13, 2022 ↗Direct Biologics, LLC — PartnerFacts page ↗Form D · Aug 10, 2018 ↗Austin EV, Inc. — PartnerFacts page ↗
Sources
Note · Dec 3, 2009 – Feb 25, 2010

Offering amount lowered between filings — KLD ENERGY TECHNOLOGIES INC

The Dec 3, 2009 filing says $2,100,000 offered; the Feb 25, 2010 Form D says $2,000,000.

What this means The target raise got smaller. That can mean the plan shrank or the sponsor stopped early. Ask what changed in the deal.

Form D (earlier) · Dec 3, 2009 ↗Form D (later) · Feb 25, 2010 ↗KLD ENERGY TECHNOLOGIES INC — PartnerFacts page ↗
Sources
Note · Aug 12, 2009 – Dec 3, 2009

Offering amount changed between filings — KLD ENERGY TECHNOLOGIES INC

The Aug 12, 2009 filing says $2,000,000 offered; the Dec 3, 2009 Form D says $2,100,000.

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.

Form D/A (earlier) · Aug 12, 2009 ↗Form D (later) · Dec 3, 2009 ↗KLD ENERGY TECHNOLOGIES INC — PartnerFacts page ↗
Sources
Note · May 1, 2009 – Dec 13, 2022

12 offerings have no amendment in the last 12 months and may still be open

No amendment in the last 12 months on an offering that may still be open — Direct Biologics, LLC (latest filing Dec 13, 2022) · No amendment in the last 12 months on an offering that may still be open — Fabric.AI, Inc. (latest filing Dec 7, 2020) · No amendment in the last 12 months on an offering that may still be open — Fabric.AI, Inc. (latest filing Aug 19, 2020) · No amendment in the last 12 months on an offering that may still be open — Fabric.AI, Inc. (latest filing Jul 21, 2020) · No amendment in the last 12 months on an offering that may still be open — Ayro, Inc. (latest filing Jan 3, 2020) · and 7 more

What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.

Form D · Dec 13, 2022 ↗Direct Biologics, LLC — PartnerFacts page ↗Form D · Dec 7, 2020 ↗Fabric.AI, Inc. — PartnerFacts page ↗
Sources
Note · Apr 16, 2009 – Aug 10, 2018

Mark Adams is written 3 different ways on the filings

listed as "Mark Adams" on 23 filings (from Apr 16, 2009), and "Mark E. Adams" on 3 filings (from May 15, 2009), and "Mark Ernest Adams" on the Aug 10, 2018 filing.

What this means Same person, written differently — a middle name or suffix left off, or spelled another way. It is normal, but check that the full legal name matches your subscription documents.

Form D · Apr 16, 2009 ↗Form D · May 15, 2009 ↗Form D · Aug 10, 2018 ↗Mark Adams — PartnerFacts page ↗
Sources
Note · Oct 1, 2012 – Jan 31, 2017

Same name, different state: "Mark Adams" (CA) is a separate record

This page covers filings where the address state is TX. A separate record, "Mark Adams" with address state CA, is listed on 12 filings — most recently by WaveFront Emerging Markets Fund II, LP (Jan 31, 2017). Both records have filings in the same period (Oct 1, 2012 to Jan 31, 2017).

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.

Mark Adams (CA) — PartnerFacts page ↗Form D/A · Jan 31, 2017 ↗WaveFront Emerging Markets Fund II, LP — PartnerFacts page ↗Mark Adams (TX) — this page ↗
Sources
Note · Dec 30, 2013

Same name, different state: "Mark Adams" (X0) is a separate record

This page covers filings where the address state is TX. A separate record, "Mark Adams" with address state X0, is listed on 1 filing — most recently by Vitsoe Bonds plc (Dec 30, 2013). Both records have filings in the same period (Dec 30, 2013).

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.

Mark Adams (X0) — PartnerFacts page ↗Form D · Dec 30, 2013 ↗Vitsoe Bonds plc — PartnerFacts page ↗Mark Adams (TX) — this page ↗
Sources
Note · Sep 27, 2012

Same name, different state: "Mark Adams" (WA) is a separate record

This page covers filings where the address state is TX. A separate record, "Mark Adams" with address state WA, is listed on 1 filing — most recently by Tier 3, Inc. (Sep 27, 2012). Both records have filings in the same period (Sep 27, 2012).

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.

Mark Adams (WA) — PartnerFacts page ↗Form D · Sep 27, 2012 ↗Tier 3, Inc. — PartnerFacts page ↗Mark Adams (TX) — this page ↗
Sources
Note · May 15, 2012

Same name, different state: "Mark B. Adams" (GA) is a separate record

This page covers filings where the address state is TX. A separate record, "Mark B. Adams" with address state GA, is listed on 1 filing — most recently by Ingenious Med Inc (May 15, 2012). Both records have filings in the same period (May 15, 2012).

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.

Mark B. Adams (GA) — PartnerFacts page ↗Form D · May 15, 2012 ↗Ingenious Med Inc — PartnerFacts page ↗Mark Adams (TX) — this page ↗
Sources
Note · Jun 1, 2009

Same name, different state: "Mark Adams" (CO) is a separate record

This page covers filings where the address state is TX. A separate record, "Mark Adams" with address state CO, is listed on 1 filing — most recently by Blue River Arbitrage Strategy Investments, LLC (Jun 1, 2009). Both records have filings in the same period (Jun 1, 2009).

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.

Mark Adams (CO) — PartnerFacts page ↗Form D · Jun 1, 2009 ↗Blue River Arbitrage Strategy Investments, LLC — PartnerFacts page ↗Mark Adams (TX) — this page ↗
Sources
Note · May 15, 2009 – Mar 15, 2012

Reported revenue range changed between filings — Sozo Global, Inc.

"No Revenues" (May 15, 2009); then "Decline to Disclose" (Mar 15, 2012).

What this means This is the size band the issuer picks for itself on the form. A change can mean the business grew or shrank — or that it chose not to say. Ask for current numbers.

Form D · May 15, 2009 ↗Form D · Mar 15, 2012 ↗Sozo Global, Inc. — PartnerFacts page ↗
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

4 of 21 offerings report sales commissions totalling $930,600; 1 reports finder's fees totalling $25,000; 4 report proceeds to related persons totalling $667,500. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Dec 13, 2022 D
Direct Biologics, LLC
File 021-467216
$0$0$0IB Capital LLC no CRD number reportedEDGAR ↗
Dec 7, 2020 D
Fabric.AI, Inc.
File 021-382490
$775,000$0$0Palladium Capital Group, LLC BrokerCheck CRD 129400 ↗
Spartan Capital Securities, LLC BrokerCheck CRD 146251 ↗		EDGAR ↗
Aug 19, 2020 D
Fabric.AI, Inc.
File 021-373579
$0$0$0None listed on this filingEDGAR ↗
Jul 21, 2020 D
Fabric.AI, Inc.
File 021-371431
$0$0$0None listed on this filingEDGAR ↗
Jan 3, 2020 D
Ayro, Inc.
File 021-357152
$80,000 (est.)$25,000 (est.)$0
Proceeds of the offering will be used for working capital and general corporate purposes in the ordinary course of business.
Palladium Capital Advisors, LLC BrokerCheck CRD 129400 ↗EDGAR ↗
Apr 22, 2019 D
ASTROTECH Corp
File 021-337820
$0$0$0None listed on this filingEDGAR ↗
Oct 24, 2018 D
ASTROTECH Corp
File 021-324258
$0$0$0None listed on this filingEDGAR ↗
Aug 10, 2018 D
Austin EV, Inc.
File 021-319002
$0$0$0None listed on this filingEDGAR ↗
Feb 2, 2017 D
XPEL Technologies Corp.
File 021-279857
$0$0$0None listed on this filingEDGAR ↗
Jan 14, 2015 D
Sozo Global, Inc.
File 021-232205
$0$0$100,000 (est.)
Use of funds for raise proceeds include general working capital, which may include periodic payments of salaries to executive officers.
None listed on this filingEDGAR ↗
Jun 19, 2012 D
KLD ENERGY TECHNOLOGIES INC
File 021-179929
$600 (est.)$0$0 (est.)Gregory W. Pletz BrokerCheck CRD 2803859 ↗
via Welborn Capital LLC (CRD 152234 ↗)
EDGAR ↗
Mar 15, 2012 D
Sozo Global, Inc.
File 021-175033
$0$0$400,000
Repayment of short term loans made to Company
None listed on this filingEDGAR ↗
Dec 15, 2011 D/A
KLD ENERGY TECHNOLOGIES INC
File 021-153857
$75,000 (est.)$0$0Stuart T. Valentine BrokerCheck CRD 1646981 ↗
via Financial West Group (CRD 16668 ↗)

Wenkai Tsai BrokerCheck CRD 2704008 ↗
via Bridge Capital Associates, Inc. (CRD 143475 ↗)

Gregory W. Pletz BrokerCheck CRD 2803859 ↗
via Welborn Capital LLC (CRD 152234 ↗)
EDGAR ↗
Dec 15, 2011 D
KLD ENERGY TECHNOLOGIES INC
File 021-170141
$0$0$0None listed on this filingEDGAR ↗
Aug 15, 2011 D
KLD ENERGY TECHNOLOGIES INC
File 021-164487
$0$0$0None listed on this filingEDGAR ↗
Jan 18, 2011 D
KLD ENERGY TECHNOLOGIES INC
File 021-153880
$0$0$0None listed on this filingEDGAR ↗
Jan 7, 2011 D
KLD ENERGY TECHNOLOGIES INC
File 021-153191
$0$0$0None listed on this filingEDGAR ↗
Jul 7, 2010 D
KLD ENERGY TECHNOLOGIES INC
File 021-144563
$0$0$0None listed on this filingEDGAR ↗
Mar 5, 2010 D
KLD ENERGY TECHNOLOGIES INC
File 021-125715
$0$0$0None listed on this filingEDGAR ↗
Dec 31, 2009 D/A
ETMG LLC
File 021-129562
$0$0$67,500 (est.)None listed on this filingEDGAR ↗
May 15, 2009 D
Sozo Global, Inc.
File 021-131275
$0$0$100,000 (est.)
Estimate of executive salaries and advisory fees payable from offering proceeds based upon pro forma financial projections - actual amount will depend upon actual performance of business
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 9

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

DB
Biotechnology

Direct Biologics, LLC

Austin, TX · Dec 13, 2022
  • Dec 13, 2022 · D · $11,569,702 sold of Indefinite · 116 investors · min. No minimum reported · role: Executive Officer EDGAR ↗

Raised $11.6M from 116 investors as of the latest filing. Mark is listed as executive officer.

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: Biotechnology / 506(b) (3,253 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.

FA
Other

Fabric.AI, Inc.

New York, NY · Jul 21, 2020 → Dec 7, 2020 · 3 filings
  • Dec 7, 2020 · D · $0 sold of $18,131,116 · 7 investors · min. No minimum reported · role: Director EDGAR ↗
  • Aug 19, 2020 · D · $0 sold of $744,625 · 1 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jul 21, 2020 · D · $0 sold of $1,179,996 · 2 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $73.1M from 15 investors (100% of the $18.1M target) as of the latest filing. Mark 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: 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.

A
Manufacturing

Ayro, Inc.

Round Rock, TX · Jan 3, 2020
  • Jan 3, 2020 · D · $1,000,000 sold of Indefinite · 5 investors · min. No minimum reported · role: Director (Director) EDGAR ↗

Raised $1M from 5 investors as of the latest filing. Mark is listed as director.

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: Manufacturing / 506(b) (1,339 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.

AC
Other Technology

ASTROTECH Corp

Austin, TX · Oct 24, 2018 → Apr 22, 2019 · 2 filings
  • Apr 22, 2019 · D · $1,999,994 sold of $1,999,994 · 2 investors · min. $999,996 · role: Director EDGAR ↗
  • Oct 24, 2018 · D · $2,999,998 sold of $2,999,998 · 2 investors · min. $962,666 · role: Director EDGAR ↗

Raised $3M from 2 investors (100% of the $2M target) as of the latest filing. Mark is listed as director on 2 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: 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.

AE
Other Technology

Austin EV, Inc.

Round Rock, TX · Aug 10, 2018
  • Aug 10, 2018 · D · $3,272,500 sold of $3,272,500 · 53 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $3.27M from 53 investors (100% of the $3.27M target) as of the latest filing. Mark is listed as director.

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: 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.

XT
Other

XPEL Technologies Corp.

San Antonio, TX · Feb 2, 2017
  • Feb 2, 2017 · D · $0 sold of $3,000,000 · 0 investors · min. No minimum reported · role: Director EDGAR ↗

No sales reported yet as of the latest filing. Mark is listed as director.

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: 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.

SG
Retailing

Sozo Global, Inc.

Austin, TX · May 15, 2009 → Jan 14, 2015 · 3 filings
  • Jan 14, 2015 · D · $810,000 sold of $6,000,000 · 16 investors · min. $50,000 · role: Executive Officer, Director, Promoter EDGAR ↗
  • Mar 15, 2012 · D · $300,000 sold of $5,000,000 · 3 investors · min. $50,000 · role: Executive Officer, Director, Promoter EDGAR ↗
  • May 15, 2009 · D · $400,000 sold of $2,250,000 · 7 investors · min. $50,000 · role: Executive Officer, Director, Promoter ((Manager of LLC)) EDGAR ↗

Raised $810K from 16 investors (14% of the $6M target) as of the latest filing. Mark is listed as executive officer, director, promoter 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: Retailing / 506(b) (959 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.

KE
Other Technology

KLD ENERGY TECHNOLOGIES INC

Austin, TX · Apr 16, 2009 → Jun 19, 2012 · 14 filings
  • Jun 19, 2012 · D · $601,700 sold of $10,000,000 · 17 investors · min. $5,000 · role: Director EDGAR ↗
  • Dec 15, 2011 · D · $1,090,000 sold of $5,000,000 · 5 investors · min. $50,000 · role: Director EDGAR ↗
  • Dec 15, 2011 · D/A · $10,000,000 sold of $10,000,000 · 115 investors · min. $50,000 · role: Director EDGAR ↗
  • Aug 15, 2011 · D · $1,800,000 sold of $1,800,000 · 5 investors · min. $225,000 · role: Director EDGAR ↗
  • Jan 18, 2011 · D · $2,157,673 sold of $10,000,000 · 39 investors · min. $50,000 · role: Director EDGAR ↗
  • Jan 18, 2011 · D · $2,157,673 sold of $10,000,000 · 39 investors · min. $50,000 · role: Director EDGAR ↗
  • Jan 7, 2011 · D · $2,800,000 sold of $2,800,000 · 1 investors · min. $2,800,000 · role: Director EDGAR ↗
  • Jul 7, 2010 · D · $4,932,086 sold of $6,000,000 · 73 investors · min. $50,000 · role: Director EDGAR ↗
  • Mar 5, 2010 · D · $2,000,000 sold of $2,000,000 · 20 investors · min. No minimum reported · role: Director EDGAR ↗
  • Feb 25, 2010 · D · $2,000,000 sold of $2,000,000 · 30 investors · min. No minimum reported · role: Director EDGAR ↗
  • Dec 3, 2009 · D · $262,505 sold of $2,100,000 · 7 investors · min. No minimum reported · role: Director EDGAR ↗
  • Aug 12, 2009 · D/A · $1,196,500 sold of $2,000,000 · 20 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jun 8, 2009 · D/A · $1,046,000 sold of $2,000,000 · 16 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 16, 2009 · D · $771,000 sold of $2,000,000 · 10 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $10M from 115 investors (100% of the $10M target) as of the latest filing. Mark is listed as director on 14 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.

E
Health Insurance

ETMG LLC

Austin, TX · Dec 31, 2009
  • Dec 31, 2009 · D/A · $1,025,000 sold of $1,025,000 · 12 investors · min. $50,000 · role: Executive Officer, Director ((Manager of LLC)) EDGAR ↗

Raised $1.02M from 12 investors (100% of the $1.02M target) as of the latest filing. Mark is listed as executive officer, director.

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.

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.

  • Mark Adams — CA, 7 issuers, Oct 1, 2012 → Jan 31, 2017 · no shared issuer
  • Mark Adams — CO, 1 issuer, Jun 1, 2009 → Jun 1, 2009 · no shared issuer
  • Mark B. Adams — GA, 1 issuer, May 15, 2012 → May 15, 2012 · no shared issuer
  • Mark Adams — WA, 1 issuer, Sep 27, 2012 → Sep 27, 2012 · no shared issuer
  • Mark Adams — United Kingdom (as filed: X0), 1 issuer, Dec 30, 2013 → Dec 30, 2013 · no shared issuer
  • Mark W. Adams — MA, NY, 1 issuer, Sep 29, 2015 → Jul 16, 2020 · no shared issuer
  • Mark Adams — VA, 1 issuer, Jan 5, 2021 → Jan 5, 2021 · no shared issuer
  • Mark William Adams — TX, 1 issuer, Apr 14, 2015 → Apr 11, 2019 · no shared issuer

People around Mark 36

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

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

Christian Gerard Okonsky

Executive Officer, Director · 16 shared filings (3 issuers) · also on 1 other issuer

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

John Constantine

Director, Promoter, Executive Officer · 16 shared filings (4 issuers)

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

Michael Winn

Director · 14 shared filings (1 issuer)

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

Richard Hunter

Director · 11 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

Curtis Smith

Executive Officer · 5 shared filings (3 issuers) · also on 1 other issuer

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

Larry Cantrell

Executive Officer, Director, Promoter · 3 shared filings (1 issuer)

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

George Devlin

Director · 3 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

Keller C. Rodney

Executive Officer, Director · 3 shared filings (1 issuer)

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

Richard Perley

Executive Officer · 3 shared filings (1 issuer)

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

Brian Groh

Executive Officer · 3 shared filings (1 issuer)

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

Joshua Silverman

Director · 3 shared filings (1 issuer) · also on 10 other issuers

Joshua Silverman is on 11 issuers in total — a repeat sponsor. Their page lists every one.

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

Greg Schiffman

Director · 3 shared filings (1 issuer)

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

Sebastian Giordano

Director · 3 shared filings (1 issuer)

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

Zvi Joseph

Director · 3 shared filings (1 issuer)

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

Thomas Boone Pickens

Executive Officer · 2 shared filings (1 issuer) · also on 8 other issuers

Thomas Boone Pickens is on 9 issuers in total — a repeat sponsor. Their page lists every one.

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

Rodney Carlyle Keller, Jr.

Executive Officer, Director · 2 shared filings (2 issuers)

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

Daniel T Russler Jr

Director · 2 shared filings (1 issuer)

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

Tom Wilkinson

Director · 2 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

Rajesh Mellacheruvu

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

Eric N Stober

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

Ronald W Cantwell

Director · 2 shared filings (1 issuer)

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

Tom Newby

Executive Officer, Director · 1 shared filing (1 issuer)

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

Mark Wabschall

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

DeWitt VanWisse

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

Tim Hartt

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

Richard Crumly

Director · 1 shared filing (1 issuer)

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

Barry Wood

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

Ryan Pape

Executive Officer, Director · 1 shared filing (1 issuer)

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

Gordon Feller

Executive Officer, Director · 1 shared filing (1 issuer)

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

Emil Joseph Schmidt IV

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

Timothy Moseley

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

Aline M. Betancourt

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

Amy Lightner

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

John Vacalis

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

Matthew Rogers

Executive Officer, Director · 1 shared filing (1 issuer)

Listed on the same filings as Mark Adams. Their page shows their other deals.

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

Jeffrey Mims

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Adams. Their page shows their other deals.

The team behind the deals

Same business address

27 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

Adviser registration (Form ADV)

None of the 9 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 1 records on 1 issuer

Property records are matched to companies only, never to individuals, so none are matched to Mark Adams 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 9 issuers this person is listed on — 1 issuer has property records: XPEL Technologies Corp. (1).

Public profiles and social

Websites and social links of the issuers Mark Adams is listed on: none on file. No website or social profile named in Direct Biologics, LLC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #138,948 of 374,652 in line (14 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 (Austin, TX). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

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Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗Texas re:SearchTX court records ↗New York WebCivil Supreme ↗

Securities regulators

SEC EDGAR full-text search ↗SEC action look-up ↗FINRA BrokerCheck ↗SEC IAPD adviser search ↗

Business registries

Texas Secretary of State business search ↗New York Secretary of State business search ↗OpenCorporates ↗

Change history

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