Sponsor Check › Person
Named as an officer, director or promoter on SEC Form D filings · CA · Jun 2, 2014 → Jun 30, 2014
Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:31 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET
Phillip Ahn is listed as an executive officer on 3 SEC Form D filings by 1 issuer between Jun 2014 and Feb 2015: B. Riley Financial, Inc. (Woodland Hills, CA — business services — 2014–2015; $51.4M reported sold to 53 investors).
What this means One deal on file with the SEC. A Form D is the notice a company files after it starts selling a private investment — it is a notice, not an approval.
Listed alongside Andrew Gumaer (3 shared filings), Bryant Richard Riley (3 shared filings), Hugh G. Hilton (3 shared filings), Matthew J. Hart (3 shared filings), Harvey Yellen (2 shared filings) and 6 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Phillip. Each name links to their own page.
The issuer belongs to the sponsor group Icg (24 issuers, $2.27B reported sold, 2009–2026).
What this means A sponsor group is one team that sets up a new company for each deal. Icg has 24 companies on file and $2.27B reported sold in total — the group page shows the whole track record in one place.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, OK, OR, PA, RI, SC, SD, TN, TX, VT, WA, WI, WV, WY) — 3 bankruptcy cases matching the name listed in Key records below.
What this means 3 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 3 public filings for Phillip Ahn and found 6 differences, 4 worth asking the sponsor about: Bankruptcy case: Phillip M Ahn; Bankruptcy case: Phillip K Ahn; and more below.
What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.
Community search for Phillip Ahn has not run yet — it is joining a line of 26,721 names; searches run around the clock at the hosts' allowed rate. Searched so far: 638 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).
Five things investors ask first. Items still in human review are counted, not shown.
None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026
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, 2:31 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.
None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: VA (crawled Oct 23, 2026)
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 Phillip Ahn..
State securities regulators: Securities regulators searched (3,318 actions): AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE DOJ Investor Protection Unit (257 actions, 1987–2026), TX State Securities Board (586 actions, 2006–2026), WA DFI (2,039 actions, 2001–2026) — last crawled Oct 23, 2026, 9:57 PM ET. No machine-readable public listing today for CO, FL, IA, IN, MN, NE, NJ, NY, OH, UT, VA (see docs/state-regulators.md).
3 cases: 1 open, 2 closed (disposition not in docket feed)
Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:31 AM ET.
Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.
State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.
Comparisons cover issuers and sponsor groups — see the issuer pages under Deals
6 differences found between the filings for Phillip Ahn — 4 worth asking about (compared 3 filings on Oct 24, 2026)
United States Bankruptcy Court, C.D. California docket "Phillip M Ahn" filed Apr 3, 2026 (Open). Phillip Ahn is listed as Debtor ("Phillip M Ahn"). Our match estimate: 44%.
What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.
United States Bankruptcy Court, C.D. California docket "Phillip K Ahn" filed Feb 5, 2018, closed Mar 26, 2018. Phillip Ahn is listed as Debtor ("Phillip K Ahn"). Our match estimate: 44%.
What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.
United States Bankruptcy Court, C.D. California docket "Phillip Ahn" filed Feb 2, 2008, closed Jun 10, 2008. Phillip Ahn is listed as Debtor. Our match estimate: 44%.
What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.
The Jun 2, 2014 Form D reports $51,446,500 sold and $30,000,000 of the proceeds used for payments to officers, directors or promoters (marked as an estimate). Issuer's note: "$30,000,000, plus accrued interest, of the proceeds will be used to repay indebtedness owed to Messrs. Gumaer and Yellen, who are directors and executive officers of the Issuer. The remaining proceeds".
What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.
listed as "Phillip Ahn" on 2 filings (from Jun 2, 2014), and "Phillip J. Ahn" on the Feb 17, 2015 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.
This page covers filings where the address state is CA. A separate record, "Phillip Ahn" with address state NY, is listed on 1 filing — most recently by Innovation X Capital Partners, LLC (Sep 7, 2021). The two records do not overlap in time: this page runs Jun 2, 2014 to Jun 30, 2014; the other has one filing dated Sep 7, 2021.
What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.
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.
0 of 3 offerings report sales commissions; 0 report finder's fees; 1 reports proceeds to related persons totalling $30,000,000. (includes amounts the issuer reported as estimates)
| Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it | Source |
|---|---|---|---|---|---|
| Feb 17, 2015 D B. Riley Financial, Inc. File 021-234183 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jun 30, 2014 D B. Riley Financial, Inc. File 021-220111 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jun 2, 2014 D B. Riley Financial, Inc. File 021-218384 | $0 | $0 | $30,000,000 (est.) $30,000,000, plus accrued interest, of the proceeds will be used to repay indebtedness owed to Messrs. Gumaer and Yellen, who are directors and executive officers of the Issuer. The remaining proceeds will be used for general working capital purposes. | None listed on this filing | EDGAR ↗ |
Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.
Counted across every filing this person is listed on (latest filing per offering, per issuer).
Every issuer that named Phillip Ahn on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.
Raised $51.4M from 53 investors (100% of the $6.67M target) as of the latest filing. Phillip is listed as executive officer on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Business Services / 506(b) (965 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.
Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.
Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.
Bryant Richard Riley is on 12 issuers in total — a repeat sponsor. Their page lists every one.
Mark D. Klein is on 10 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Phillip Ahn. Their page shows their other deals.
Listed on the same filings as Phillip Ahn. Their page shows their other deals.
Listed on the same filings as Phillip Ahn. Their page shows their other deals.
One team, 24 deal companies. Phillip Ahn is listed on 1 of them.
Issuers are grouped when their Form D filings share related persons, a management entity or a business address (automatic match from the filings). "Listed" marks the issuers that name Phillip Ahn.
None of the 1 issuer this person is listed on appears in Form ADV (searched 24,962 advisers as of Oct 2, 2026). A person is never an adviser firm; Form ADV is checked for the issuers and the management companies they are listed with.
Searched SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.
Property records are matched to companies only, never to individuals, so none are matched to Phillip Ahn 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 1 issuer this person is listed on — nothing matched.
Websites and social links of the issuers Phillip Ahn is listed on: none on file. No website or social profile named in B. Riley Financial, Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #306,464 of 374,652 in line (1,312 issuers searched so far). One-tap searches: Look further ↓
One-tap searches on sites we do not index ourselves, with the name pre-filled (Woodland Hills, CA). Each opens in a new tab; what you find there is not verified by PartnerFacts.
No corrections have been requested for this page.
Free. Logged with status: received → under review → fixed / confirmed with source.
If this is you or your firm, add a sourced explanation next to any fact. Reviewed before publishing.
Members get an email when Phillip Ahn appears on a new Form D, or when a court case or SEC action is matched to them. See plans →