Sponsor Check › Person
Named as an officer, director or promoter on SEC Form D filings · CA · Nov 9, 2009 → Aug 28, 2013
Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:20 AM ET · SEC enforcement last checked: not yet
Rafael Torres is listed as an executive officer and director on 11 SEC Form D filings by 3 issuers between Nov 2009 and Aug 2013: CARDIODX INC (Redwood City, CA — biotechnology — 2010–2011; $57.5M reported sold to 28 investors), OCZ TECHNOLOGY GROUP INC (San Jose, CA — computers — 2013; $31.7M reported sold to 52 investors) and CAPELLA PHOTONICS INC (San Jose, CA — other technology — 2009–2011; $21.6M reported sold to 25 investors).
What this means A repeat sponsor — 3 separate companies raised money with this person listed as executive officer and director, over about 4 years. Across those companies the filings report $110.8M sold in total.
Listed alongside Bert Zaccaria (8 shared filings), Brendan Joseph Cassin (8 shared filings), Donald A. Lucas (8 shared filings), George Berberis (8 shared filings), Larry Schwerin (8 shared filings) and 27 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Rafael. Each name links to their own page.
Public records searched: federal courts (CourtListener / RECAP), state securities regulators (AZ, CA, DE, TX, WA) — 3 court cases matching the name, 37 bankruptcy cases matching the name listed in Key records below. Not yet searched: SEC enforcement releases.
What this means 40 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.
Nothing found on Reddit, BiggerPockets or community forums for high-net-worth investors (searched Oct 24, 2026) — search queued; this line updates when it has run.
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.
3 cases: 2 closed (disposition not in docket feed), 1 dismissed
Cable/Satellite TV· Cause:
47:521 Violations of Cable Communications Act of 1984
Cable/Satellite TV· Cause:
47:521 Violations of Cable Communications Act of 1984
864 S.S.I.D.
Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts; live RECAP re-check pending. State courts: not yet searched. PACER: not searched. · Last checked Oct 24, 2026, 2:20 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 yet searched. 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.
Not yet 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. — not yet searched.
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: not yet searched.
No SEC search has run yet for this person.
37 cases: 2 open, 35 closed (disposition not in docket feed)
Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:20 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 yet searched. 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.
Not made for individual people — comparisons cover issuers and sponsor groups
1 of 7 offerings reports sales commissions totalling $1,064,254; 0 report finder's fees; 2 report proceeds to related persons totalling $3,002,507. (includes amounts the issuer reported as estimates)
| Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it | Source |
|---|---|---|---|---|---|
| Aug 28, 2013 D OCZ TECHNOLOGY GROUP INC File 021-202024 | $1,064,254 | $0 | $0 None | Roth Capital Partners, LLC BrokerCheck CRD 15407 ↗ Cowen and Company, LLC BrokerCheck CRD 7616 ↗ | EDGAR ↗ |
| May 25, 2011 D CAPELLA PHOTONICS INC File 021-160312 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Apr 5, 2011 D/A CAPELLA PHOTONICS INC File 021-147836 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Mar 2, 2011 D CARDIODX INC File 021-156088 | $0 | $0 | $2,279,507 (est.) This estimate excludes amounts paid and that may be paid to the law firm which two executive officers were/are affiliated. | None listed on this filing | EDGAR ↗ |
| Sep 1, 2010 D CAPELLA PHOTONICS INC File 021-147182 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| May 14, 2010 D CARDIODX INC File 021-142039 | $0 | $0 | $723,000 (est.) This estimate excludes amounts paid and that may be paid to the law firm which two executive officers were/are affiliated and also excludes amounts previously received from the issuance of convertible promissory notes that were converted in the financing. | None listed on this filing | EDGAR ↗ |
| Apr 28, 2010 D/A CAPELLA PHOTONICS INC File 021-55027 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.
Counted across every filing this person is listed on (latest filing per offering, per issuer).
Every issuer that named Rafael Torres on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.
Raised $31.7M from 52 investors (100% of the $13.1M target) as of the latest filing. Rafael is listed as executive officer.
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.
Raised $21.6M from 25 investors (100% of the $4M target) as of the latest filing. Rafael is listed as executive officer on 8 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.
Raised $57.5M from 28 investors (73% of the $78.3M target) as of the latest filing. Rafael is listed as director on 2 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.
Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.
Listed on the same filings as Rafael Torres. Their page shows their other deals.
Donald A. Lucas is on 14 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Rafael Torres. Their page shows their other deals.
Listed on the same filings as Rafael Torres. Their page shows their other deals.
Thomas Unterman is on 5 issuers in total — a repeat sponsor. Their page lists every one.
Conrad Burke is on 5 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Rafael Torres. Their page shows their other deals.
Neal Hansch is on 5 issuers in total — a repeat sponsor. Their page lists every one.
Brook Byers is on 22 issuers in total — a repeat sponsor. Their page lists every one.
Fred Cohen is on 24 issuers in total — a repeat sponsor. Their page lists every one.
Louis Lange is on 9 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Rafael Torres. Their page shows their other deals.
Listed on the same filings as Rafael Torres. Their page shows their other deals.
Patrick Enright is on 16 issuers in total — a repeat sponsor. Their page lists every one.
Michael Kim is on 32 issuers in total — a repeat sponsor. Their page lists every one.
William Ericson is on 12 issuers in total — a repeat sponsor. Their page lists every one.
Risa Stack is on 14 issuers in total — a repeat sponsor. Their page lists every one.
Michael Goldberg is on 11 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Rafael Torres. Their page shows their other deals.
Listed on the same filings as Rafael Torres. Their page shows their other deals.
Not yet searched. Sources to be searched: SEC Investment Adviser Information Reports — Form ADV data for SEC-registered advisers and exempt reporting advisers (file dated 2026-10-02); SEC Investment Adviser Public Disclosure (IAPD) firm search — registered and exempt reporting advisers · Search queued. Results are added automatically; check back later.
None found in sources searched.
Sources 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 · Last checked Oct 23, 2026, 8:41 PM ET.
One-tap searches on sites we do not index ourselves, with the name pre-filled (Redwood City, CA). Each opens in a new tab; what you find there is not verified by PartnerFacts.
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Free. Logged with status: received → under review → fixed / confirmed with source.
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