Phillip Caplan is listed as an executive officer, director, and promoter on 7 SEC Form D filings by 5 issuers between Mar 2010 and May 2021: Sustainable Living Partners, LLC (Seattle, WA — industry reported as "Other" — 2021; $29.6M reported sold to 14 investors), 303 Battery LLC (Denver, CO — commercial — 2018; $2.75M reported sold to 4 investors), Renova Building Innovations, LLC (Denver, CO — other real estate — 2017; $600K reported sold to 6 investors), Renova Capital Partners, LLC (Denver, CO — other energy — 2010–2011; $100K reported sold to 1 investors) and Renova Development Holdings, LLC (Denver, CO — other energy — 2011; $100K reported sold to 1 investors).
What this means A repeat sponsor — 5 separate companies raised money with this person listed as executive officer, director, and promoter, over about 11 years. Across those companies the filings report $33.2M sold in total.
Listed alongside Richard S Tallman (7 shared filings), Robert Doherty (7 shared filings), Adam Rohde (2 shared filings), Arlan Collins (2 shared filings), Eric Hinckley (2 shared filings) and 1 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.
All 5 issuers belong to the sponsor group Renova (6 issuers, $35.2M reported sold, 2010–2021).
What this means A sponsor group is one team that sets up a new company for each deal. Renova has 6 companies on file and $35.2M 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 (AZ, CA, DE, TX, WA) — none found.
What this means Nothing turned up where we looked (3 sources). That does not prove there is nothing — it means none was found in those sources on that date.
We compared 7 public filings for Phillip Caplan and found 5 differences: Phillip Caplan's role changed at Renova Capital Partners, LLC: executive officer, promoter → executive officer, director; Offering amount changed 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.