Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 5:25 AM ET

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Michael Pfau

Named as an officer, director or promoter on SEC Form D filings · CA · Aug 11, 2010 → Dec 26, 2024

12deals (issuers)

$209.2Mreported sold

274investors

101Form D filings

2010–2024years 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, 2:18 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Michael Pfau is listed as an executive officer and director on 101 SEC Form D filings by 12 issuers between Jun 2009 and Dec 2024. Largest by amount reported sold: CytomX Therapeutics, Inc. (South San Francisco, CA — biotechnology — 2010; $70M reported sold to 33 investors), HERITAGE OAKS BANCORP (Paso Robles, CA — commercial banking — 2010; $60M reported sold to 31 investors), LungLife AI, Inc. (Thousand Oaks, CA — biotechnology — 2009–2021; $25.4M reported sold to 41 investors), Champlin/GEI Wind Holdings, LLC (Santa Barbara, CA — other energy — 2010–2013; $20M reported sold to 2 investors), AFFINITY BIOSENSORS LLC (Santa Barbara, CA — industry reported as "Other" — 2017–2024; $14.4M reported sold to 27 investors) and 7 more (all listed below).

What this means That is a lot of deals — 12 separate companies raised money with this person listed as executive officer and director, over about 15 years. Across those companies the filings report $209.2M sold in total.

Listed alongside Frederick Gluck (40 shared filings), Alan Heeger (33 shared filings), Simon Raab (30 shared filings), Tom Hyongsok Soh (24 shared filings), Andre de Fusco (21 shared filings) and 70 others.

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

The issuers belong to 2 sponsor groups: Cbrite (2 issuers, $14.2M reported sold, 2009–2015) and Aqueos (2 issuers, $3.5M reported sold, 2013–2022).

What this means This person is listed across more than one sponsor team; each group page shows that team's full track record.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AZ, CA, DE, TX, WA) — 11 court cases matching the name, 2 SEC releases, 17 bankruptcy cases matching the name listed in Key records below.

What this means 30 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 the newest 50 of 101 public filings for Michael Pfau and found 8 differences, 1 worth asking the sponsor about: 11 offerings reported fewer investors on a later filing; 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 Michael Pfau has not run yet — it is joining a line of 15,541 names; searches run around the clock at the hosts' allowed rate. Searched so far: 28 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

11 cases: 4 closed (disposition not in docket feed), 6 dismissed, 1 judgment

Pfau v. NSMG Shared Services, LLC closed

District Court, W.D. Tennessee · No. 2:21-cv-02040 · Filed Jan 19, 2021 · Closed Aug 19, 2021

Role of Pfau: Plaintiff · Outcome: Terminated 2021-08-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 69 federal dockets); surname only in the caption; court in TN (not a filing state)

Daniel Pfau v. Lowe's Companies, Inc. closed

District Court, C.D. California · No. 2:20-cv-06317 · Filed Jul 16, 2020 · Closed Jul 16, 2020

Role of Daniel Pfau: Plaintiff · Outcome: Terminated 2020-07-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 69 federal dockets); different first name (daniel); court in the person's filing state (CA)

Pietrzak and Pfau Engineering & Surveying, PLLC v. Continental Organics, LLC dismissed

District Court, S.D. New York · No. 7:16-cv-09252 · Filed Nov 30, 2016 · Closed Oct 31, 2017 · Nature of suit: 470 Racketeer/Corrupt Organization · Cause: 18:1962 Racketeering (RICO) Act

Role of Pietrzak and Pfau Engineering & Surveying, PLLC: Plaintiff · Outcome: Terminated 2017-10-31 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 69 federal dockets); surname only in the caption; court in NY (not a filing state)

Pfau v. Alaska Neurology Center LLC dismissed

District Court, D. Arizona · No. 2:14-cv-02603 · Filed Nov 26, 2014 · Closed Feb 11, 2015 · Nature of suit: 480 Other Statutes: Consumer Credit · Cause: 15:1692 Fair Debt Collection Act

Role of Pfau: Plaintiff · Outcome: Terminated 2015-02-11 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 69 federal dockets); surname only in the caption; court in AZ (not a filing state)

Pfau v. Pfizer Inc. judgment

District Court, D. South Carolina · No. 2:14-cv-01377 · Filed Apr 15, 2014 · Closed Jan 3, 2017 · Nature of suit: 367 Health care / pharm

Role of Pfau: Plaintiff · Outcome: Terminated 2017-01-03 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for defendant Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 69 federal dockets); surname only in the caption; court in SC (not a filing state)

Pfau v. Pfizer Inc. closed

District Court, E.D. Tennessee · No. 2:14-cv-00069 · Filed Mar 10, 2014 · Closed Apr 15, 2014 · Nature of suit: 367 Health care / pharm

Role of Pfau: Plaintiff · Outcome: Terminated 2014-04-15 — FJC Integrated Database disposition: Multi-district litigation transfer Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 69 federal dockets); surname only in the caption; court in TN (not a filing state)

Pfau v. Washington Mutual Inc dismissed

District Court, E.D. Washington · No. 2:08-cv-00142 · Filed Apr 29, 2008 · Closed Oct 6, 2009 · Nature of suit: Consumer Credit · Cause: 28:1332 Diversity

Role of Pfau: Plaintiff · Outcome: Terminated 2009-10-06 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 69 federal dockets); surname only in the caption; court in WA (not a filing state)

Joe Hand Promotions, Inc. v. Pfau dismissed

District Court, M.D. Alabama · No. 1:07-cv-00702 · Filed Aug 2, 2007 · Closed Sep 16, 2008 · Nature of suit: 490 Cable/Satellite TV

Role of Pfau: Defendant · Outcome: Terminated 2008-09-16 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 69 federal dockets); surname only in the caption; court in AL (not a filing state)

Pfau v. Reliant Energy Inc dismissed

District Court, S.D. Texas · No. 4:02-cv-01837 · Filed May 16, 2002 · Closed Aug 28, 2002 · Nature of suit: 850 Securities, Commodities, Exchange

Role of Pfau: Plaintiff · Outcome: Terminated 2002-08-28 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 69 federal dockets); surname only in the caption; court in TX (not a filing state)

PFAU TIRE INC v. KELLY SPRINGLFIELD T dismissed

District Court, W.D. Texas · No. · Filed Jul 30, 1984 · Closed Jul 1, 1987 · Nature of suit: 423 Bankruptcy withdrawal 28 USC 157

Role of PFAU TIRE INC: Plaintiff · Outcome: Terminated 1987-07-01 — FJC Integrated Database disposition: Dismissed: lack of jurisdiction Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 69 federal dockets); surname only in the caption; court in TX (not a filing state)

Pfau v. Gamble-Skogmo, Inc. closed

District Court, D. North Dakota · No. 2:57-cv-03493 · Filed Apr 20, 1957 · Closed Jun 2, 1958

Role of Pfau: Plaintiff · Outcome: Terminated 1958-06-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 69 federal dockets); surname only in the caption; court in ND (not a filing state)

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.

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.

2. Regulatory actions

2 SEC releases

Loren D. Pfau Administrative proceeding

SEC · Sep 29, 2003 · Parties as named in the release: Loren D. Pfau Read the release ↗

same rare surname (5 people in Form D filings); different first name (loren)

Loren D. Pfau Litigation release

SEC · Sep 29, 2003 · Parties as named in the release: Loren D. Pfau Read the release ↗

same rare surname (5 people in Form D filings); different first name (loren)

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 Michael Pfau..

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

17 cases: 17 closed (disposition not in docket feed)

Drain Services Inc. v. Pfau closed

United States Bankruptcy Court, D. North Dakota · No. 24-07001 · Filed Jan 27, 2024 · Closed Dec 11, 2024 · Nature of suit: 02 Other (e.g. other actions that would have been brought in state court if unrelated to bankruptcy)

Role of Pfau: Defendant · Outcome: Case closed 2024-12-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 69 federal dockets); surname only in the caption; court in ND (not a filing state)

Pietrzak and Pfau Engineering & Surveying, PLLC v. Finnegan, Sr closed

United States Bankruptcy Court, S.D. New York · No. 16-09019 · Filed Jun 17, 2016 · Closed Mar 9, 2017

Role of Pietrzak and Pfau Engineering & Surveying, PLLC: Plaintiff · Outcome: Case closed 2017-03-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 69 federal dockets); surname only in the caption; court in NY (not a filing state)

Pietrzak and Pfau Engineering & Surveying, PLLC v. Endres closed

United States Bankruptcy Court, S.D. New York · No. 16-09017 · Filed Jun 17, 2016 · Closed Nov 1, 2018

Role of Pietrzak and Pfau Engineering & Surveying, PLLC: Plaintiff · Outcome: Case closed 2018-11-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 69 federal dockets); surname only in the caption; court in NY (not a filing state)

Rancho Mountain Properties, Inc. v. Pfau, Pfau & Pfau, LLC closed

United States Bankruptcy Court, S.D. California · No. 11-90192 · Filed Apr 8, 2011 · Closed Aug 22, 2011

Role of Pfau, Pfau & Pfau, LLC: Defendant · Outcome: Case closed 2011-08-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 69 federal dockets); different first name (pfau); court in the person's filing state (CA)

Pfau, Pfau & Pfau, LLC v. ING USA Annunity and Life Insurance Company closed

United States Bankruptcy Court, S.D. California · No. 11-90064 · Filed Feb 9, 2011 · Closed Apr 13, 2011

Role of Pfau, Pfau & Pfau, LLC: Plaintiff · Outcome: Case closed 2011-04-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 69 federal dockets); different first name (pfau); court in the person's filing state (CA)

Pfau, Pfau and Pfau, LLC v. Rancho Mountain Properties, Inc. closed

United States Bankruptcy Court, E.D. California · No. 10-01226 · Filed Sep 30, 2010 · Closed Nov 5, 2010

Role of Pfau, Pfau and Pfau, LLC: Plaintiff · Outcome: Case closed 2010-11-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 69 federal dockets); different first name (pfau); court in the person's filing state (CA)

Pfau, Pfau and Pfau, LLC v. Rancho Mountain Properties, Inc. closed

United States Bankruptcy Court, E.D. California · No. 10-00105 · Filed Sep 30, 2010 · Closed Nov 5, 2010

Role of Pfau, Pfau and Pfau, LLC: Plaintiff · Outcome: Case closed 2010-11-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 69 federal dockets); different first name (pfau); court in the person's filing state (CA)

Pfau, Pfau & Pfau, LLC v. Rancho Mountain Properties, Inc. closed

United States Bankruptcy Court, S.D. California · No. 10-90533 · Filed Sep 30, 2010 · Closed Jun 6, 2013

Role of Pfau, Pfau & Pfau, LLC: Plaintiff · Outcome: Case closed 2013-06-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 69 federal dockets); different first name (pfau); court in the person's filing state (CA)

Pfau, Pfau & Pfau, LLC v. Rancho Mountain Properties, Inc. closed

United States Bankruptcy Court, S.D. California · No. 10-90475 · Filed Sep 28, 2010 · Closed Aug 10, 2012

Role of Pfau, Pfau & Pfau, LLC: Plaintiff · Outcome: Case closed 2012-08-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 69 federal dockets); different first name (pfau); court in the person's filing state (CA)

Michael L. Pfau and Beth M. Pfau closed

United States Bankruptcy Court, W.D. Michigan · No. 10-01955 · Filed Feb 22, 2010 · Closed Aug 5, 2010

Role of Michael L. Pfau and Beth M. Pfau: Debtor · Outcome: Case closed 2010-08-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 69 federal dockets); first name matches; court in MI (not a filing state)

Pfau, Pfau & Pfau, LLC closed

United States Bankruptcy Court, S.D. California · No. 08-12840 · Filed Dec 16, 2008 · Closed Feb 28, 2014

Role of Pfau, Pfau & Pfau, LLC: Debtor · Outcome: Case closed 2014-02-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 69 federal dockets); different first name (pfau); court in the person's filing state (CA)

Robert Duane Pfau and Tamera Lynn Pfau closed

United States Bankruptcy Court, E.D. California · No. 08-35676 · Filed Oct 29, 2008 · Closed Mar 2, 2009

Role of Robert Duane Pfau and Tamera Lynn Pfau: Debtor · Outcome: Case closed 2009-03-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 69 federal dockets); different first name (duane); court in the person's filing state (CA)

Michael L Pfau and Abbey L Pfau closed

United States Bankruptcy Court, S.D. Illinois · No. 03-34654 · Filed Nov 3, 2003 · Closed Feb 17, 2004

Role of Michael L Pfau and Abbey L Pfau: Debtor · Outcome: Case closed 2004-02-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 69 federal dockets); first name matches; court in IL (not a filing state)

MICHAEL L. PFAU closed

United States Bankruptcy Court, D. Montana · No. 00-31707 · Filed Jul 6, 2000 · Closed Oct 16, 2000

Role of MICHAEL L. PFAU: Debtor · Outcome: Case closed 2000-10-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 69 federal dockets); first name matches; court in MT (not a filing state)

Robert Pfau Guerrero closed

United States Bankruptcy Court, C.D. California · No. 2:96-bk-13865 · Filed Feb 7, 1996 · Closed Mar 22, 2001

Role of Robert Pfau Guerrero: Debtor · Outcome: Case closed 2001-03-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 69 federal dockets); different first name (robert); court in the person's filing state (CA)

Colonial National Bank of Illinois v. Pfau closed

United States Bankruptcy Court, D. North Dakota · No. 94-07059 · Filed Oct 11, 1994 · Closed Jan 23, 1995

Role of Pfau: Defendant · Outcome: Case closed 1995-01-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 69 federal dockets); surname only in the caption; court in ND (not a filing state)

FCC National Bank/First Card v. Pfau closed

United States Bankruptcy Court, D. North Dakota · No. 94-07056 · Filed Oct 3, 1994 · Closed Jan 23, 1995

Role of Pfau: Defendant · Outcome: Case closed 1995-01-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 69 federal dockets); surname only in the caption; court in ND (not a filing state)

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.

4. Differences between public sources

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

8 differences found between the filings for Michael Pfau — 1 worth asking about (compared the newest 50 of 101 filings on Oct 24, 2026; older filings not covered)

Worth asking · Aug 8, 2013 – Feb 3, 2020

11 offerings reported fewer investors on a later filing

Investor count went down between filings — AFFINITY BIOSENSORS LLC · Investor count went down between filings — LungLife AI, Inc. · Investor count went down between filings — LungLife AI, Inc. · Investor count went down between filings — AFFINITY BIOSENSORS LLC · Investor count went down between filings — BAMBOO PIPELINE, LLC · and 6 more

What this means Investor counts normally only grow. Ask the sponsor what happened on each.

Form D (earlier) · Aug 20, 2019 ↗Form D/A (later) · Feb 3, 2020 ↗AFFINITY BIOSENSORS LLC — PartnerFacts page ↗Form D/A (earlier) · Jan 18, 2019 ↗

Sources

Form D (earlier) · Aug 20, 2019 ↗ (Aug 20, 2019)
Form D/A (later) · Feb 3, 2020 ↗ (Feb 3, 2020)
AFFINITY BIOSENSORS LLC — PartnerFacts page ↗ (Oct 14, 2026)
Form D/A (earlier) · Jan 18, 2019 ↗ (Jan 18, 2019)
Form D/A (later) · Apr 1, 2019 ↗ (Apr 1, 2019)
LungLife AI, Inc. — PartnerFacts page ↗ (Mar 22, 2024)
Form D/A (earlier) · Jan 17, 2019 ↗ (Jan 17, 2019)
Form D/A (later) · Jan 18, 2019 ↗ (Jan 18, 2019)

Note · May 28, 2014 – May 26, 2021

6 offerings changed their target amount between filings

Offering amount changed between filings — LungLife AI, Inc. · Offering amount changed between filings — LungLife AI, Inc. · Offering amount changed between filings — LungLife AI, Inc. · Offering amount changed between filings — LungLife AI, Inc. · Offering amount changed between filings — LungLife AI, Inc. · and 1 more

What this means Targets change as deals grow or shrink. Ask whether later money has the same terms.

Form D/A (earlier) · Mar 19, 2020 ↗Form D/A (later) · May 26, 2021 ↗LungLife AI, Inc. — PartnerFacts page ↗Form D/A (earlier) · Oct 29, 2019 ↗

Sources

Form D/A (earlier) · Mar 19, 2020 ↗ (Mar 19, 2020)
Form D/A (later) · May 26, 2021 ↗ (May 26, 2021)
LungLife AI, Inc. — PartnerFacts page ↗ (Mar 22, 2024)
Form D/A (earlier) · Oct 29, 2019 ↗ (Oct 29, 2019)
Form D/A (later) · Mar 19, 2020 ↗ (Mar 19, 2020)
Form D/A (earlier) · Apr 1, 2019 ↗ (Apr 1, 2019)
Form D/A (later) · Sep 5, 2019 ↗ (Sep 5, 2019)
Form D/A (earlier) · Jan 17, 2019 ↗ (Jan 17, 2019)

Note · Jun 28, 2013 – Dec 26, 2024

15 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 — AFFINITY BIOSENSORS LLC (latest filing Dec 26, 2024) · No amendment in the last 12 months on an offering that may still be open — AFFINITY BIOSENSORS LLC (latest filing Jun 12, 2024) · No amendment in the last 12 months on an offering that may still be open — AFFINITY BIOSENSORS LLC (latest filing Mar 22, 2024) · No amendment in the last 12 months on an offering that may still be open — AFFINITY BIOSENSORS LLC (latest filing Feb 17, 2023) · No amendment in the last 12 months on an offering that may still be open — LungLife AI, Inc. (latest filing May 26, 2021) · and 10 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/A · Dec 26, 2024 ↗AFFINITY BIOSENSORS LLC — PartnerFacts page ↗Form D/A · Jun 12, 2024 ↗Form D/A · Mar 22, 2024 ↗

Sources

Form D/A · Dec 26, 2024 ↗ (Dec 26, 2024)
AFFINITY BIOSENSORS LLC — PartnerFacts page ↗ (Oct 14, 2026)
Form D/A · Jun 12, 2024 ↗ (Jun 12, 2024)
Form D/A · Mar 22, 2024 ↗ (Mar 22, 2024)
Form D/A · Feb 17, 2023 ↗ (Feb 17, 2023)
Form D/A · May 26, 2021 ↗ (May 26, 2021)
LungLife AI, Inc. — PartnerFacts page ↗ (Mar 22, 2024)
Form D · Nov 4, 2020 ↗ (Nov 4, 2020)

Note · Jul 12, 2013 – Dec 7, 2022

Michael Pfau is written 2 different ways on the filings

listed as "Michael Pfau" on 43 filings (from Jul 12, 2013), and "Michael E. Pfau" on 9 filings (from Dec 7, 2022).

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 · Jul 12, 2013 ↗Form D · Dec 7, 2022 ↗Michael Pfau — PartnerFacts page ↗

Sources

Note · Apr 1, 2019 – Sep 5, 2019

Address moved from Westlake Village, CA to Thousand Oaks, CA — LungLife AI, Inc.

The people listed on the Apr 1, 2019 filing give Westlake Village, CA; on the Sep 5, 2019 filing they give Thousand Oaks, CA.

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.

Form D/A · Apr 1, 2019 ↗Form D/A · Sep 5, 2019 ↗LungLife AI, Inc. — PartnerFacts page ↗

Sources

Form D/A · Apr 1, 2019 ↗ (Apr 1, 2019)
Form D/A · Sep 5, 2019 ↗ (Sep 5, 2019)
LungLife AI, Inc. — PartnerFacts page ↗ (Mar 22, 2024)

Note · Jul 12, 2013 – Sep 5, 2019

Reported revenue range changed between filings — LungLife AI, Inc.

"Not Applicable" (Jul 12, 2013); then "Decline to Disclose" (Sep 5, 2019).

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 · Jul 12, 2013 ↗Form D/A · Sep 5, 2019 ↗LungLife AI, Inc. — PartnerFacts page ↗

Sources

Form D · Jul 12, 2013 ↗ (Jul 12, 2013)
Form D/A · Sep 5, 2019 ↗ (Sep 5, 2019)
LungLife AI, Inc. — PartnerFacts page ↗ (Mar 22, 2024)

Note · Dec 5, 2017 – Aug 20, 2019

Reported revenue range changed between filings — AFFINITY BIOSENSORS LLC

"Not Applicable" (Dec 5, 2017); then "Decline to Disclose" (Aug 20, 2019).

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 · Dec 5, 2017 ↗Form D · Aug 20, 2019 ↗AFFINITY BIOSENSORS LLC — PartnerFacts page ↗

Sources

Form D · Dec 5, 2017 ↗ (Dec 5, 2017)
Form D · Aug 20, 2019 ↗ (Aug 20, 2019)
AFFINITY BIOSENSORS LLC — PartnerFacts page ↗ (Oct 14, 2026)

Note · May 28, 2014 – Apr 28, 2016

Reported revenue range changed between filings — Applied Silver, Inc.

"Not Applicable" (May 28, 2014); then "Decline to Disclose" (Apr 28, 2016).

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 28, 2014 ↗Form D · Apr 28, 2016 ↗Applied Silver, Inc. — PartnerFacts page ↗

Sources

Form D · May 28, 2014 ↗ (May 28, 2014)
Form D · Apr 28, 2016 ↗ (Apr 28, 2016)
Applied Silver, Inc. — PartnerFacts page ↗ (Apr 28, 2016)

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. We compared the newest 50 of 101 filings (work cap); older filings are not covered here. As of Oct 24, 2026.

5. Money to insiders

1 of 49 offerings reports sales commissions totalling $3,600,000; 0 report finder's fees; 0 report proceeds to related persons.

Offering (latest filing)	Sales commissions	Finder's fees	To insiders	Paid to sell it	Source
Dec 26, 2024 D/A AFFINITY BIOSENSORS LLC File 021-530840	$0	$0	$0	None listed on this filing	EDGAR ↗
Jun 12, 2024 D/A AFFINITY BIOSENSORS LLC File 021-515388	$0	$0	$0	None listed on this filing	EDGAR ↗
Mar 22, 2024 D/A AFFINITY BIOSENSORS LLC File 021-497165	$0	$0	$0	None listed on this filing	EDGAR ↗
Oct 10, 2023 D/A AFFINITY BIOSENSORS LLC File 021-488215	$0	$0	$0	None listed on this filing	EDGAR ↗
Feb 17, 2023 D/A AFFINITY BIOSENSORS LLC File 021-466804	$0	$0	$0	None listed on this filing	EDGAR ↗
Nov 17, 2021 D AFFINITY BIOSENSORS LLC File 021-421468	$0	$0	$0	None listed on this filing	EDGAR ↗
May 26, 2021 D/A LungLife AI, Inc. File 021-297796	$0	$0	$0	None listed on this filing	EDGAR ↗
Dec 7, 2020 D LungLife AI, Inc. File 021-382365	$0	$0	$0	None listed on this filing	EDGAR ↗
Nov 4, 2020 D AFFINITY BIOSENSORS LLC File 021-379728	$0	$0	$0	None listed on this filing	EDGAR ↗
Feb 5, 2020 D BAMBOO PIPELINE, LLC File 021-359819	$0	$0	$0	None listed on this filing	EDGAR ↗
Feb 3, 2020 D/A AFFINITY BIOSENSORS LLC File 021-346949	$0	$0	$0	None listed on this filing	EDGAR ↗
Dec 11, 2019 D BAMBOO PIPELINE, LLC File 021-355304	$0	$0	$0	None listed on this filing	EDGAR ↗
Dec 17, 2018 D/A AFFINITY BIOSENSORS LLC File 021-300038	$0	$0	$0	None listed on this filing	EDGAR ↗
Oct 31, 2018 D/A BAMBOO PIPELINE, LLC File 021-313716	$0	$0	$0	None listed on this filing	EDGAR ↗
Mar 9, 2017 D Communication Infrastructure Corp File 021-282146	$0	$0	$0	None listed on this filing	EDGAR ↗
Apr 28, 2016 D Applied Silver, Inc. File 021-262218	$0	$0	$0	None listed on this filing	EDGAR ↗
Dec 2, 2015 D Applied Silver, Inc. File 021-252271	$0	$0	$0	None listed on this filing	EDGAR ↗
Jun 4, 2015 D LungLife AI, Inc. File 021-241155	$0	$0	$0	None listed on this filing	EDGAR ↗
Feb 13, 2015 D CytomX Therapeutics Holdings, LLC File 021-234034	$0	$0	$0	None listed on this filing	EDGAR ↗
Sep 2, 2014 D/A LungLife AI, Inc. File 021-221018	$0	$0	$0	None listed on this filing	EDGAR ↗
Aug 26, 2014 D/A Applied Silver, Inc. File 021-218119	$0	$0	$0	None listed on this filing	EDGAR ↗
Apr 29, 2014 D CytomX Therapeutics Holdings, LLC File 021-216462	$0	$0	$0	None listed on this filing	EDGAR ↗
Jan 28, 2014 D/A LungLife AI, Inc. File 021-207376	$0	$0	$0	None listed on this filing	EDGAR ↗
Dec 31, 2013 D Aqueos Corp File 021-209038	$0	$0	$0	None listed on this filing	EDGAR ↗
Nov 25, 2013 D LungLife AI, Inc. File 021-206952	$0	$0	$0	None listed on this filing	EDGAR ↗
Oct 18, 2013 D/A LungLife AI, Inc. File 021-199492	$0	$0	$0	None listed on this filing	EDGAR ↗
Feb 28, 2013 D/A Champlin/GEI Wind Holdings, LLC File 021-150202	$0	$0	$0	None listed on this filing	EDGAR ↗
Dec 11, 2012 D Applied Silver, Inc. File 021-188161	$0	$0	$0	None listed on this filing	EDGAR ↗
Nov 26, 2012 D/A LungLife AI, Inc. File 021-181708	$0	$0	$0	None listed on this filing	EDGAR ↗
May 7, 2012 D/A LungLife AI, Inc. File 021-169351	$0	$0	$0	None listed on this filing	EDGAR ↗
Feb 16, 2012 D/A Agile RF Inc File 021-168682	$0	$0	$0	None listed on this filing	EDGAR ↗
Nov 29, 2011 D LungLife AI, Inc. File 021-169347	$0	$0	$0	None listed on this filing	EDGAR ↗
Sep 14, 2011 D Agile RF Inc File 021-165816	$0	$0	$0	None listed on this filing	EDGAR ↗
May 24, 2011 D/A LungLife AI, Inc. File 021-146227	$0	$0	$0	None listed on this filing	EDGAR ↗
Apr 11, 2011 D Agile RF Inc File 021-158148	$0	$0	$0	None listed on this filing	EDGAR ↗
Nov 9, 2010 D Champlin/GEI Wind Holdings, LLC File 021-150203	$0	$0	$0	None listed on this filing	EDGAR ↗
Nov 2, 2010 D Vapore, Inc. File 021-149897	$0	$0	$0	None listed on this filing	EDGAR ↗
Sep 28, 2010 D CytomX Therapeutics, Inc. File 021-148274	$0	$0	$0	None listed on this filing	EDGAR ↗
Sep 28, 2010 D CytomX Therapeutics, Inc. File 021-148277	$0	$0	$0	None listed on this filing	EDGAR ↗
Sep 28, 2010 D CytomX Therapeutics, Inc. File 021-148279	$0	$0	$0	None listed on this filing	EDGAR ↗
Sep 28, 2010 D CytomX Therapeutics, Inc. File 021-148280	$0	$0	$0	None listed on this filing	EDGAR ↗
Sep 28, 2010 D CytomX Therapeutics, Inc. File 021-148281	$0	$0	$0	None listed on this filing	EDGAR ↗
Sep 23, 2010 D CytomX Therapeutics Holdings, LLC File 021-148112	$0	$0	$0	None listed on this filing	EDGAR ↗
Aug 31, 2010 D Agile RF Inc File 021-147116	$0	$0	$0	None listed on this filing	EDGAR ↗
Jun 29, 2010 D/A Vapore, Inc. File 021-133631	$0	$0	$0	None listed on this filing	EDGAR ↗
Mar 25, 2010 D Agile RF Inc File 021-107853	$0	$0	$0	None listed on this filing	EDGAR ↗
Mar 24, 2010 D HERITAGE OAKS BANCORP File 021-139896	$3,600,000	$0	$0 Proceeds will be used to support the capital position of the issuer and its banking subsidiary, Heritage Oaks Bank.	Sandler O'Neill & Partners, L.P. BrokerCheck CRD 23328 ↗ Fig Partners L.L.C. BrokerCheck CRD 41554 ↗	EDGAR ↗
Mar 3, 2010 D/A CytomX Therapeutics Holdings, LLC File 021-131732	$0	$0	$0 Proceeds will be used for working capital	None listed on this filing	EDGAR ↗
Jan 11, 2010 D LungLife AI, Inc. File 021-122777	$0	$0	$0 Proceeds will be used for working capital	None listed on this filing	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 12

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

Other

AFFINITY BIOSENSORS LLC

Santa Barbara, CA · Dec 5, 2017 → Dec 26, 2024 · 18 filings

Dec 26, 2024 · D/A · $14,395,832 sold of $15,000,000 · 27 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Dec 2, 2024 · D · $12,376,349 sold of $15,000,000 · 26 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Jun 12, 2024 · D/A · $3,730,553 sold of $4,000,000 · 27 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Jun 7, 2024 · D · $2,016,436 sold of $4,000,000 · 20 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Mar 22, 2024 · D/A · $2,419,485 sold of $3,000,000 · 12 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Dec 1, 2023 · D/A · $2,317,264 sold of $3,000,000 · 11 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Nov 14, 2023 · D · $400,000 sold of $3,000,000 · 3 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Oct 10, 2023 · D/A · $3,500,000 sold of $3,500,000 · 17 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Jul 28, 2023 · D · $3,397,859 sold of $3,500,000 · 15 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Feb 17, 2023 · D/A · $3,705,881 sold of $4,000,000 · 15 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Dec 7, 2022 · D · $2,570,601 sold of $4,000,000 · 13 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Nov 17, 2021 · D · $5,000,000 sold of $5,000,000 · 21 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Nov 4, 2020 · D · $4,269,942 sold of $5,100,000 · 21 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Feb 3, 2020 · D/A · $6,058,245 sold of $9,999,999 · 1 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Aug 20, 2019 · D · $5,958,245 sold of $9,999,999 · 13 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Dec 17, 2018 · D/A · $5,494,923 sold of $6,500,000 · 1 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Dec 12, 2017 · D/A · $4,796,014 sold of $6,500,000 · 3 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Dec 5, 2017 · D · $3,646,015 sold of $6,500,000 · 14 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗

Raised $14.4M from 27 investors (96% of the $15M target) as of the latest filing. Michael is listed as executive officer on 18 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.

Other

LungLife AI, Inc.

Thousand Oaks, CA · Jun 4, 2009 → May 26, 2021 · 42 filings

May 26, 2021 · D/A · $10,246,366 sold of $12,332,080 · 35 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Dec 7, 2020 · D · $90,000 sold of $90,000 · 1 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Mar 19, 2020 · D/A · $7,844,124 sold of $10,332,080 · 35 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Oct 29, 2019 · D/A · $6,564,711 sold of $7,500,000 · 35 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Sep 5, 2019 · D/A · $5,717,163 sold of $7,500,000 · 35 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Apr 1, 2019 · D/A · $4,300,207 sold of $6,000,000 · 2 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Jan 18, 2019 · D/A · $3,800,207 sold of $6,000,000 · 5 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Jan 17, 2019 · D/A · $3,631,648 sold of $3,631,648 · 15 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Nov 13, 2017 · D/A · $2,173,752 sold of $3,000,000 · 3 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Oct 31, 2017 · D · $1,756,081 sold of $3,000,000 · 29 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Jun 4, 2015 · D · $25,426,258 sold of $25,426,258 · 41 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Sep 2, 2014 · D/A · $3,000,000 sold of $3,000,000 · 23 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Jul 29, 2014 · D/A · $2,000,000 sold of $3,000,000 · 2 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Jul 15, 2014 · D · $1,782,845 sold of $3,000,000 · 29 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Jan 28, 2014 · D/A · $1,482,979 sold of $2,800,000 · 3 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Dec 4, 2013 · D · $1,429,789 sold of $2,800,000 · 17 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Nov 25, 2013 · D · $3,284,704 sold of $3,284,704 · 25 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Oct 18, 2013 · D/A · $3,202,814 sold of $4,000,000 · 2 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Oct 9, 2013 · D/A · $2,552,814 sold of $4,000,000 · 1 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Oct 8, 2013 · D/A · $2,352,814 sold of $4,000,000 · 2 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Aug 8, 2013 · D/A · $1,952,814 sold of $4,000,000 · 5 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Jul 12, 2013 · D · $1,756,069 sold of $4,000,000 · 21 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Nov 26, 2012 · D/A · $2,992,665 sold of $3,000,000 · 15 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Nov 8, 2012 · D/A · $2,204,802 sold of $3,000,000 · 7 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Aug 1, 2012 · D/A · $2,000,000 sold of $3,000,000 · 3 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Jul 25, 2012 · D · $1,240,780 sold of $3,000,000 · 22 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
May 7, 2012 · D/A · $2,650,000 sold of $2,650,000 · 25 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Dec 5, 2011 · D/A · $1,220,000 sold of $2,000,000 · 12 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Nov 29, 2011 · D · $500,000 sold of $2,000,000 · 1 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Nov 29, 2011 · D · $1,966,802 sold of $1,966,802 · 16 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
May 24, 2011 · D/A · $1,866,334 sold of $2,500,000 · 3 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
May 24, 2011 · D/A · $1,605,334 sold of $2,500,000 · 1 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Nov 2, 2010 · D/A · $1,105,334 sold of $2,500,000 · 4 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Aug 30, 2010 · D/A · $480,406 sold of $2,500,000 · 4 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Aug 11, 2010 · D · $360,000 sold of $2,500,000 · 6 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Jan 11, 2010 · D · $1,968,783 sold of $2,212,630 · 1 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Dec 17, 2009 · D/A · $1,718,783 sold of $2,212,630 · 2 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Nov 24, 2009 · D/A · $1,668,783 sold of $1,668,783 · 5 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Nov 12, 2009 · D/A · $1,498,783 sold of $1,667,050 · 4 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Sep 29, 2009 · D/A · $1,303,783 sold of $1,667,050 · 4 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Aug 12, 2009 · D/A · $1,184,641 sold of $1,667,050 · 5 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Jun 4, 2009 · D · $1,024,485 sold of $1,667,050 · 8 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗

Raised $25.4M from 41 investors (100% of the $12.3M target) as of the latest filing. Michael is listed as executive officer on 42 filings for this deal.

Latest filing on EDGAR ↗

Sources

Other

BAMBOO PIPELINE, LLC

Camarillo, CA · Jun 1, 2018 → Feb 5, 2020 · 4 filings

Feb 5, 2020 · D · $250,000 sold of $250,000 · 2 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Dec 11, 2019 · D · $350,000 sold of $1,113,000 · 3 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Oct 31, 2018 · D/A · $6,550,037 sold of $7,050,037 · 6 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Jun 1, 2018 · D · $6,300,037 sold of $7,050,037 · 40 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗

Raised $6.55M from 40 investors (100% of the $250K target) as of the latest filing. Michael is listed as executive officer on 4 filings for this deal.

Latest filing on EDGAR ↗

Sources

Other

Communication Infrastructure Corp

East Greenwich, RI · Mar 9, 2017

Mar 9, 2017 · D · $1,759,500 sold of $1,759,500 · 1 investors · min. No minimum reported · role: Executive Officer, Director (Secretary) EDGAR ↗

Raised $1.76M from 1 investor (100% of the $1.76M target) as of the latest filing. Michael is listed as executive officer, director.

Latest filing on EDGAR ↗

Sources

Other

Applied Silver, Inc.

Hayward, CA · Dec 11, 2012 → Apr 28, 2016 · 5 filings

Apr 28, 2016 · D · $2,724,997 sold of $5,433,758 · 14 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Dec 2, 2015 · D · $0 sold of $495,886 · 1 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Aug 26, 2014 · D/A · $3,259,999 sold of $3,259,999 · 14 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
May 28, 2014 · D · $549,967 sold of $550,000 · 12 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Dec 11, 2012 · D · $1,750,000 sold of $2,750,000 · 2 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗

Raised $3.26M from 14 investors (60% of the $5.43M target) as of the latest filing. Michael is listed as executive officer on 5 filings for this deal.

Latest filing on EDGAR ↗

Sources

Other · group: Cbrite

CytomX Therapeutics Holdings, LLC

Santa Barbara, CA · Jun 4, 2009 → Feb 13, 2015 · 7 filings

Feb 13, 2015 · D · $1,500,612 sold of $1,500,612 · 40 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Apr 29, 2014 · D · $1,423,488 sold of $2,500,000 · 25 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Sep 23, 2010 · D · $2,660,000 sold of $2,660,000 · 32 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Mar 3, 2010 · D/A · $2,500,000 sold of $2,500,000 · 19 investors · min. $1,000 · role: Executive Officer (Secretary) EDGAR ↗
Dec 17, 2009 · D/A · $1,625,000 sold of $1,750,000 · 2 investors · min. $1,000 · role: Executive Officer (Secretary) EDGAR ↗
Oct 21, 2009 · D/A · $1,500,000 sold of $1,750,000 · 9 investors · min. $1,000 · role: Executive Officer (Secretary) EDGAR ↗
Jun 4, 2009 · D · $1,000,000 sold of $1,000,000 · 5 investors · min. $1,000 · role: Executive Officer (Secretary) EDGAR ↗

Raised $2.66M from 40 investors (100% of the $1.5M target) as of the latest filing. Michael is listed as executive officer on 7 filings for this deal.

Latest filing on EDGAR ↗

Sources

Other · group: Aqueos

Aqueos Corp

Broussard, LA · Dec 31, 2013

Dec 31, 2013 · D · $3,500,000 sold of $3,500,000 · 3 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗

Raised $3.5M from 3 investors (100% of the $3.5M target) as of the latest filing. Michael is listed as executive officer.

Latest filing on EDGAR ↗

Sources

Other Energy

Champlin/GEI Wind Holdings, LLC

Santa Barbara, CA · Nov 9, 2010 → Feb 28, 2013 · 5 filings

Feb 28, 2013 · D/A · $9,140,000 sold of $50,000,000 · 2 investors · min. No minimum reported · role: Director (Manager) EDGAR ↗
Dec 2, 2011 · D/A · $9,000,000 sold of $50,000,000 · 1 investors · min. No minimum reported · role: Director (Manager) EDGAR ↗
May 5, 2011 · D/A · $7,000,000 sold of $50,000,000 · 2 investors · min. No minimum reported · role: Director (Manager) EDGAR ↗
Nov 9, 2010 · D · $20,000,000 sold of $20,000,000 · 1 investors · min. No minimum reported · role: Director (Manager) EDGAR ↗
Nov 9, 2010 · D · $5,000,000 sold of $50,000,000 · 2 investors · min. No minimum reported · role: Director (Manager) EDGAR ↗

Raised $20M from 2 investors (40% of the $50M target) as of the latest filing. Michael is listed as director on 5 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.

Other

Agile RF Inc

Goleta, CA · Mar 25, 2010 → Feb 16, 2012 · 6 filings

Feb 16, 2012 · D/A · $500,000 sold of $500,000 · 2 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Nov 15, 2011 · D · $300,000 sold of $300,000 · 2 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Sep 14, 2011 · D · $150,000 sold of $150,000 · 2 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Apr 11, 2011 · D · $500,000 sold of $500,000 · 2 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Aug 31, 2010 · D · $500,000 sold of $750,000 · 2 investors · min. No minimum reported · role: Executive Officer (Assistant Secretary) EDGAR ↗
Mar 25, 2010 · D · $500,000 sold of $1,000,000 · 5 investors · min. No minimum reported · role: Executive Officer (Assistant Secretary) EDGAR ↗

Raised $500K from 5 investors (100% of the $500K target) as of the latest filing. Michael is listed as executive officer on 6 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.

Other

Vapore, Inc.

Alamenda, CA · Aug 13, 2009 → Nov 2, 2010 · 6 filings

Nov 2, 2010 · D · $1,100,000 sold of $1,100,000 · 30 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Jun 29, 2010 · D/A · $686,873 sold of $700,001 · 1 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
May 6, 2010 · D/A · $616,873 sold of $700,001 · 37 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Apr 14, 2010 · D/A · $1,006,873 sold of $1,166,667 · 13 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Sep 24, 2009 · D/A · $500,000 sold of $500,000 · 2 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Aug 13, 2009 · D · $348,166 sold of $500,000 · 9 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗

Raised $1.1M from 37 investors (100% of the $1.1M target) as of the latest filing. Michael is listed as executive officer on 6 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.

Other

CytomX Therapeutics, Inc.

South San Francisco, CA · Sep 28, 2010 → Sep 28, 2010 · 5 filings

Sep 28, 2010 · D · $2,660,000 sold of $2,660,000 · 1 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Sep 28, 2010 · D · $10,000,000 sold of $30,000,000 · 2 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Sep 28, 2010 · D · $652,903 sold of $652,903 · 1 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Sep 28, 2010 · D · $102,097 sold of $102,097 · 1 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗
Sep 28, 2010 · D · $524,994 sold of $524,994 · 19 investors · min. No minimum reported · role: Executive Officer (Secretary) EDGAR ↗

Raised $70M from 33 investors (100% of the $2.66M target) as of the latest filing. Michael is listed as executive officer on 5 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.

Commercial Banking

HERITAGE OAKS BANCORP

Paso Robles, CA · Mar 24, 2010

Mar 24, 2010 · D · $60,000,000 sold of $60,000,000 · 31 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $60M from 31 investors (100% of the $60M target) as of the latest filing. Michael 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.

People around Michael 40

Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET. Showing the 40 with the most shared filings.

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

Person

Frederick Gluck

Executive Officer, Director · 40 shared filings (2 issuers) · also on 2 other issuers

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

Alan Heeger

Director, Executive Officer · 33 shared filings (3 issuers) · also on 1 other issuer

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

Simon Raab

Director, Executive Officer · 30 shared filings (1 issuer) · also on 2 other issuers

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

Tom Hyongsok Soh

Director · 24 shared filings (1 issuer)

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

Andre de Fusco

Executive Officer, Director · 21 shared filings (1 issuer)

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

L. Robert Johnson

Director, Executive Officer · 18 shared filings (1 issuer) · also on 3 other issuers

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

Kenneth Babcock

Executive Officer, Director · 18 shared filings (1 issuer)

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

Amit Munshi

Director · 16 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

James Iuliano

Director · 15 shared filings (1 issuer)

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

Paul Meyer

Executive Officer · 13 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

Andre de Fusco

Executive Officer, Director · 11 shared filings (1 issuer)

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

Nancy Stagliano

Executive Officer, Director · 10 shared filings (2 issuers) · also on 2 other issuers

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

Harry Gelles

Director · 10 shared filings (1 issuer)

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

Justin Xiang

Director · 10 shared filings (1 issuer)

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

Gary Wilcox

Director, Executive Officer · 7 shared filings (2 issuers) · also on 1 other issuer

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

Larry Hood

Director · 6 shared filings (1 issuer)

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

Cheryl Hess

Director · 6 shared filings (1 issuer)

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

Harold Shattuck

Director · 6 shared filings (1 issuer)

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

Robert Hallewell

Director · 6 shared filings (1 issuer)

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

Kelly Brodbeck

Executive Officer · 6 shared filings (1 issuer)

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

George Holbrook

Director · 6 shared filings (1 issuer) · also on 2 other issuers

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

Thomas Goodwin

Executive Officer, Director · 6 shared filings (1 issuer)

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

Robert Balch

Director · 6 shared filings (1 issuer) · also on 2 other issuers

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

Daotian Fu

Director · 6 shared filings (1 issuer)

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

Sara Barrington

Executive Officer, Director · 5 shared filings (1 issuer) · also on 2 other issuers

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

K. Leonard Judson

Director · 5 shared filings (1 issuer) · also on 5 other issuers

K. Leonard Judson is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

Person

John Breckenridge

Director · 5 shared filings (1 issuer) · also on 2 other issuers

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

Michael D. Cutbirth

Executive Officer, Director · 5 shared filings (1 issuer)

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

R. Ian Blakely

Director · 5 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

Sean Morham

Executive Officer, Director · 5 shared filings (1 issuer)

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

Russell Bik

Director · 5 shared filings (1 issuer)

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

Paul McCabe

Executive Officer, Director · 5 shared filings (1 issuer)

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

James McCullough

Director · 5 shared filings (1 issuer) · also on 2 other issuers

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

Charles King

Director · 4 shared filings (1 issuer) · also on 6 other issuers

Charles King is on 7 issuers in total — a repeat sponsor. Their page lists every one.

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

Person

Michael Cornell

Executive Officer, Director · 4 shared filings (1 issuer)

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

Gene Pretti

Director · 4 shared filings (1 issuer)

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

Paul Billings

Director · 4 shared filings (1 issuer) · also on 3 other issuers

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

Matthew White

Director · 4 shared filings (1 issuer)

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

Scott Bogart

Executive Officer · 4 shared filings (1 issuer)

Listed on the same filings as Michael Pfau. Their page shows their other deals.

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

Person

Jianing Liu

Director · 4 shared filings (1 issuer)

Listed on the same filings as Michael Pfau. Their page shows their other deals.

The team behind the deals

Sponsor group

Cbrite

2 issuers · 12 filings · $14.2M reported sold · 2009–2015

C CBRITE Inc. Other Technology · $12.7M sold · 2009
CT CytomX Therapeutics Holdings, LLC Other · $2.66M sold · 2009 · listed

One team, 2 deal companies. Michael Pfau is listed on 1 of them.

Sources

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 Michael Pfau.

Sponsor group

Aqueos

2 issuers · 2 filings · $3.5M reported sold · 2013–2022

AH Aqueos Holdings, Inc. Other · $628 sold · 2022
AC Aqueos Corp Other · $3.5M sold · 2013 · listed

One team, 2 deal companies. Michael Pfau is listed on 1 of them.

Sources

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 Michael Pfau.

Same business address

1 other issuer file from the same address

WISER CAPITAL, LLC Santa Barbara, CA · 2014

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 12 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 none — individuals are not matched

Property records are matched to companies only, never to individuals, so none are matched to Michael Pfau 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 12 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Michael Pfau is listed on: none on file. No website or social profile named in HERITAGE OAKS BANCORP's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #364,219 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 (Paso Robles, CA). Each opens in a new tab; what you find there is not verified by PartnerFacts.

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Michael Pfau

The short version

What the community is saying

Key records

1. Lawsuits

2. Regulatory actions

3. Bankruptcies

4. Differences between public sources

11 offerings reported fewer investors on a later filing

6 offerings changed their target amount between filings

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

Michael Pfau is written 2 different ways on the filings

Address moved from Westlake Village, CA to Thousand Oaks, CA — LungLife AI, Inc.

Reported revenue range changed between filings — LungLife AI, Inc.

Reported revenue range changed between filings — AFFINITY BIOSENSORS LLC

Reported revenue range changed between filings — Applied Silver, Inc.

5. Money to insiders

Deals 12

People around Michael 40

The team behind the deals

1 other issuer file from the same address

Registrations and other filings

Adviser registration (Form ADV)

Other offering types (Regulation A and Regulation Crowdfunding)

Public profiles and social

Look further

Social and web

Courts

Securities regulators

Business registries

Change history

Request a correction

Add a response

Monitor this person