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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 5:08 AM ET

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Richard Berman

Named as an officer, director or promoter on SEC Form D filings · CA · Mar 10, 2010 → Jan 5, 2017

5deals (issuers)
$41.2Mreported sold
249investors
17Form D filings
2010–2017years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 3:03 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Richard Berman is listed as a director on 17 SEC Form D filings by 5 issuers between Mar 2010 and Jan 2017: Cryoport, Inc. (Irvine, CA — biotechnology — 2015; $25M reported sold to 192 investors), Ontrak, Inc. (Santa Monica, CA — other health care — 2014–2017; $6.95M reported sold to 22 investors), QUANTUMSPHERE INC (Santa Ana, CA — other technology — 2013–2014; $4.5M reported sold to 17 investors), SEELOS THERAPEUTICS, INC. (New York, NY — biotechnology — 2010; $4M reported sold to 13 investors) and Lustros Inc. (Santee, CA — manufacturing — 2013; $775K reported sold to 5 investors).

What this means A repeat sponsor — 5 separate companies raised money with this person listed as director, over about 7 years. Across those companies the filings report $41.2M sold in total.

Listed alongside Douglas Carpenter (7 shared filings), Francis C. Poli (7 shared filings), Gregory L. Hrncir (7 shared filings), Kevin D. Maloney (7 shared filings), Marc H. Goroff (7 shared filings) and 35 others.

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

1 of the issuers belongs to the sponsor group Quantumsphere (2 issuers, $5.91M reported sold, 2013–2015).

What this means A sponsor group is one team that sets up a new company for each deal. Quantumsphere has 2 companies on file and $5.91M 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) — 1 court case matching the name, 12 bankruptcy cases matching the name listed in Key records below.

What this means 13 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 17 public filings for Richard Berman and found 12 differences, 1 worth asking the sponsor about: 6 Form Ds were filed more than 15 days after the first sale; 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 Richard Berman has not run yet — it is joining a line of 7,471 names; searches run around the clock at the hosts' allowed rate. Searched so far: 27 names.

Community comments are quoted as written by their authors. Sources searched: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

1 case: 1 dismissed

Zirk De Maison v. Richard Berman dismissed
District Court, C.D. California · No. 5:13-cv-01165 · Filed Jul 1, 2013 · Closed Jul 23, 2013 · Nature of suit: 850 Securities/Commodities · Cause: 15:78m(a) Securities Exchange Act
Role of Richard Berman: Defendant · Outcome: Terminated 2013-07-23 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
same full name (a name found in 27 federal dockets); 14 people with this name in Form D filings; court in the person's filing state (CA)
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, 3:03 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

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: AZ, CA, DE, TX, WA (crawled Oct 23, 2026)

What was searched

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Richard Berman..

State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states are not covered.

3. Bankruptcies

12 cases: 12 closed (disposition not in docket feed)

Richard Berman closed
United States Bankruptcy Court, S.D. Florida. · No. 19-13604 · Filed Mar 20, 2019 · Closed Jul 22, 2019
Role of Richard Berman: Debtor · Outcome: Case closed 2019-07-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 27 federal dockets); 14 people with this name in Form D filings; court in FL (not a filing state)
Richard A. Berman closed
United States Bankruptcy Court, E.D. Michigan · No. 12-64378 · Filed Nov 2, 2012 · Closed Mar 5, 2014
Role of Richard A. Berman: Debtor · Outcome: Case closed 2014-03-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 27 federal dockets); 14 people with this name in Form D filings; court in MI (not a filing state)
Richard C Berman closed
United States Bankruptcy Court, C.D. California · No. 1:12-bk-15935 · Filed Jun 28, 2012 · Closed Nov 28, 2012
Role of Richard C Berman: Debtor · Outcome: Case closed 2012-11-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 27 federal dockets); 14 people with this name in Form D filings; court in the person's filing state (CA)
Richard C. Berman closed
United States Bankruptcy Court, D. Massachusetts · No. 11-11221 · Filed Feb 16, 2011 · Closed Jun 18, 2012
Role of Richard C. Berman: Debtor · Outcome: Case closed 2012-06-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 27 federal dockets); 14 people with this name in Form D filings; court in MA (not a filing state)
Richard Berman closed
United States Bankruptcy Court, S.D. Florida. · No. 08-22281 · Filed Aug 27, 2008 · Closed Nov 26, 2008
Role of Richard Berman: Debtor · Outcome: Case closed 2008-11-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 27 federal dockets); 14 people with this name in Form D filings; court in FL (not a filing state)
Richard I. Berman closed
United States Bankruptcy Court, S.D. Georgia · No. 08-40387 · Filed Mar 3, 2008 · Closed Nov 28, 2012
Role of Richard I. Berman: Debtor · Outcome: Case closed 2012-11-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 27 federal dockets); 14 people with this name in Form D filings; court in GA (not a filing state)
Richard Berman closed
United States Bankruptcy Court, E.D. Virginia · No. 04-10160 · Filed Jan 12, 2004 · Closed Jun 16, 2004
Role of Richard Berman: Debtor · Outcome: Case closed 2004-06-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 27 federal dockets); 14 people with this name in Form D filings; court in VA (not a filing state)
Richard Berman closed
United States Bankruptcy Court, S.D. New York · No. 02-22821 · Filed May 31, 2002 · Closed Mar 26, 2003
Role of Richard Berman: Debtor · Outcome: Case closed 2003-03-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 27 federal dockets); 14 people with this name in Form D filings; court in the person's filing state (NY)
Richard J. Berman closed
United States Bankruptcy Court, S.D. Florida. · No. 01-30601 · Filed Feb 12, 2001 · Closed Jun 25, 2001
Role of Richard J. Berman: Debtor · Outcome: Case closed 2001-06-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 27 federal dockets); 14 people with this name in Form D filings; court in FL (not a filing state)
Richard Berman and Vivian Berman closed
United States Bankruptcy Court, S.D. Florida. · No. 96-24729 · Filed Oct 1, 1996 · Closed Sep 23, 1997
Role of Richard Berman and Vivian Berman: Debtor · Outcome: Case closed 1997-09-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 27 federal dockets); 14 people with this name in Form D filings; court in FL (not a filing state)
Richard Berman closed
United States Bankruptcy Court, D. New Mexico · No. 94-11007 · Filed Apr 21, 1994 · Closed Jul 25, 1994
Role of Richard Berman: Debtor · Outcome: Case closed 1994-07-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 27 federal dockets); 14 people with this name in Form D filings; court in NM (not a filing state)
Richard Berman closed
United States Bankruptcy Court, E.D. Virginia · No. 92-13236 · Filed Jul 1, 1992 · Closed Nov 24, 1995
Role of Richard Berman: Debtor · Outcome: Case closed 1995-11-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 27 federal dockets); 14 people with this name in Form D filings; court in VA (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, 3:03 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

4. Differences between public sources

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

12 differences found between the filings for Richard Berman — 1 worth asking about (compared 17 filings on Oct 24, 2026)

Worth asking · Feb 4, 2010 – Oct 15, 2015

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

Form D filed 77 days after the first sale — Ontrak, Inc. · Form D filed 423 days after the first sale — QUANTUMSPHERE INC · Form D filed 652 days after the first sale — QUANTUMSPHERE INC · Form D filed 506 days after the first sale — QUANTUMSPHERE INC · Form D filed 17 days after the first sale — Ontrak, Inc. · and 1 more

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

Form D · Oct 15, 2015 ↗Ontrak, Inc. — PartnerFacts page ↗Form D · Jun 20, 2013 ↗QUANTUMSPHERE INC — PartnerFacts page ↗
Sources
Note · Jul 23, 2013 – Feb 14, 2014

Offering amount changed between filings — QUANTUMSPHERE INC

The Jul 23, 2013 filing says $500,000 offered; the Feb 14, 2014 Form D/A says $4,500,000.

What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.

Form D (earlier) · Jul 23, 2013 ↗Form D/A (later) · Feb 14, 2014 ↗QUANTUMSPHERE INC — PartnerFacts page ↗
Sources
Note · Mar 10, 2010 – Mar 18, 2010

Offering amount changed between filings — SEELOS THERAPEUTICS, INC.

The Mar 10, 2010 filing says $2,500,000 offered; the Mar 18, 2010 Form D says $4,000,000.

What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.

Form D (earlier) · Mar 10, 2010 ↗Form D (later) · Mar 18, 2010 ↗SEELOS THERAPEUTICS, INC. — PartnerFacts page ↗
Sources
Note · Feb 19, 2015 – Mar 3, 2015

No amendment in the last 12 months on an offering that may still be open — Cryoport, Inc. (latest filing Mar 3, 2015)

The latest filing for this offering is dated Mar 3, 2015 (first sale Feb 19, 2015). It reports $50,000 sold of $4,800,000 offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D · Mar 3, 2015 ↗Cryoport, Inc. — PartnerFacts page ↗
Sources
Note · Nov 15, 2013 – Nov 29, 2013

No amendment in the last 12 months on an offering that may still be open — Lustros Inc. (latest filing Nov 29, 2013)

The latest filing for this offering is dated Nov 29, 2013 (first sale Nov 15, 2013). It reports $775,000 sold of $1,500,000 offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D · Nov 29, 2013 ↗Lustros Inc. — PartnerFacts page ↗
Sources
Note · Jun 7, 2013 – Jun 21, 2013

No amendment in the last 12 months on an offering that may still be open — QUANTUMSPHERE INC (latest filing Jun 21, 2013)

The latest filing for this offering is dated Jun 21, 2013 (first sale Jun 7, 2013). It reports $500,000 sold of $1,000,000 offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D · Jun 21, 2013 ↗QUANTUMSPHERE INC — PartnerFacts page ↗
Sources
Note · Jan 13, 2023

Same name, different state: "Richard J. Berman" (WA or MI) is a separate record

This page covers filings where the address state is CA. A separate record, "Richard J. Berman" with address state WA or MI, is listed on 2 filings — most recently by Titan Environmental Solutions Inc. (Jun 24, 2024). The two records do not overlap in time: this page runs Mar 10, 2010 to Jan 5, 2017; the other has one filing dated Jan 13, 2023.

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.

Richard J. Berman (WA,MI) — PartnerFacts page ↗Form D · Jun 24, 2024 ↗Titan Environmental Solutions Inc. — PartnerFacts page ↗Richard Berman (CA) — this page ↗
Sources
Note · Jul 25, 2022

Same name, different state: "Richard J. Berman" (NV) is a separate record

This page covers filings where the address state is CA. A separate record, "Richard J. Berman" with address state NV, is listed on 1 filing — most recently by BIOVIE INC. (Jul 25, 2022). The two records do not overlap in time: this page runs Mar 10, 2010 to Jan 5, 2017; the other has one filing dated Jul 25, 2022.

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.

Richard J. Berman (NV) — PartnerFacts page ↗Form D · Jul 25, 2022 ↗BIOVIE INC. — PartnerFacts page ↗Richard Berman (CA) — this page ↗
Sources
Note · Oct 1, 2009 – Feb 11, 2022

Same name, different state: "Richard Berman" (NJ) is a separate record

This page covers filings where the address state is CA. A separate record, "Richard Berman" with address state NJ, is listed on 15 filings — most recently by Ayala Pharmaceuticals, Inc. (Feb 11, 2022). Both records have filings in the same period (Mar 10, 2010 to Jan 5, 2017).

What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.

Richard Berman (NJ) — PartnerFacts page ↗Form D · Feb 11, 2022 ↗Ayala Pharmaceuticals, Inc. — PartnerFacts page ↗Richard Berman (CA) — this page ↗
Sources
Note · Oct 31, 2014 – Sep 14, 2016

Same name, different state: "Richard J. Berman" (MA) is a separate record

This page covers filings where the address state is CA. A separate record, "Richard J. Berman" with address state MA, is listed on 7 filings — most recently by MetaStat, Inc. (Sep 14, 2016). Both records have filings in the same period (Oct 31, 2014 to Sep 14, 2016).

What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.

Richard J. Berman (MA) — PartnerFacts page ↗Form D · Sep 14, 2016 ↗MetaStat, Inc. — PartnerFacts page ↗Richard Berman (CA) — this page ↗
Sources
Note · Apr 30, 2009 – Jun 15, 2010

Same name, different state: "RICHARD MARK BERMAN" (TX) is a separate record

This page covers filings where the address state is CA. A separate record, "RICHARD MARK BERMAN" with address state TX, is listed on 17 filings — most recently by ALGAE FARM (USA), INC (Jun 15, 2010). Both records have filings in the same period (Mar 10, 2010 to Jun 15, 2010).

What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.

RICHARD MARK BERMAN (TX) — PartnerFacts page ↗Form D/A · Jun 15, 2010 ↗ALGAE FARM (USA), INC — PartnerFacts page ↗Richard Berman (CA) — this page ↗
Sources
Note · Jun 13, 2014 – Apr 30, 2015

Reported revenue range changed between filings — Ontrak, Inc.

"$1 - $1,000,000" (Jun 13, 2014); then "$1,000,001 - $5,000,000" (Apr 30, 2015).

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 · Jun 13, 2014 ↗Form D · Apr 30, 2015 ↗Ontrak, Inc. — PartnerFacts page ↗
Sources
What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. As of Oct 24, 2026.

5. Money to insiders

5 of 15 offerings report sales commissions totalling $591,500; 0 report finder's fees; 6 report proceeds to related persons totalling $1,597,682. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Jan 5, 2017 D
Ontrak, Inc.
File 021-277748
$0$0$0None listed on this filingEDGAR ↗
Oct 15, 2015 D
Ontrak, Inc.
File 021-249410
$0$0$0None listed on this filingEDGAR ↗
Apr 30, 2015 D
Ontrak, Inc.
File 021-238927
$185,000$0$560,000
Repayment of outstanding indebtedness to a person named in Item 3.
Chardan Capital Markets LLC BrokerCheck CRD 120128 ↗EDGAR ↗
Mar 3, 2015 D
Cryoport, Inc.
File 021-235099
$6,500 (est.)$0$0Emergent Financial Group, Inc. BrokerCheck CRD 37891 ↗EDGAR ↗
Dec 31, 2014 D
Ontrak, Inc.
File 021-231172
$50,000 (est.)$0$0Chardan Capital Markets LLC BrokerCheck CRD 120128 ↗EDGAR ↗
Oct 2, 2014 D
Ontrak, Inc.
File 021-225697
$110,000 (est.)$0$0Chardan Capital Markets LLC BrokerCheck CRD 120128 ↗EDGAR ↗
Jun 13, 2014 D
Ontrak, Inc.
File 021-219153
$240,000 (est.)$0$0Chardan Capital Markets LLC BrokerCheck CRD 120128 ↗EDGAR ↗
Feb 14, 2014 D/A
QUANTUMSPHERE INC
File 021-200071
$0$0$35,000 (est.)
The above amount represents compensation payable to executive officers in the ordinary course of business.
None listed on this filingEDGAR ↗
Nov 29, 2013 D
Lustros Inc.
File 021-207197
$0 (est.)$0 (est.)$0Michael H. Takano BrokerCheck CRD 5909330 ↗
via Axiom Capital Management (CRD 5909330 ↗)
EDGAR ↗
Nov 22, 2013 D
QUANTUMSPHERE INC
File 021-206875
$0$0$0None listed on this filingEDGAR ↗
Jun 21, 2013 D
QUANTUMSPHERE INC
File 021-198435
$0$0$200,000 (est.)
The above amount represents compensation payable to executive officers in the ordinary course of business.
None listed on this filingEDGAR ↗
Jun 20, 2013 D
QUANTUMSPHERE INC
File 021-198310
$0$0$104,205 (est.)
The above amount represents compensation payable to executive officers in the ordinary course of business.
None listed on this filingEDGAR ↗
Jun 20, 2013 D
QUANTUMSPHERE INC
File 021-198311
$0$0$266,502 (est.)
The above amount represents compensation payable to executive officers in the ordinary course of business.
None listed on this filingEDGAR ↗
Jun 20, 2013 D
QUANTUMSPHERE INC
File 021-198312
$0$0$431,975 (est.)
The above amount represents compensation payable to executive officers in the ordinary course of business.
None listed on this filingEDGAR ↗
Mar 18, 2010 D
SEELOS THERAPEUTICS, INC.
File 021-45511
$0$0$0
Approximately $2.6 million of the proceeds was applied to the cancellation of indebtedness. The remaining proceeds from the offering will be used for general working capital.
None listed on this filingEDGAR ↗
How this is counted

Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Counted across every filing this person is listed on (latest filing per offering, per issuer).

Deals 5

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

O
Other Health Care

Ontrak, Inc.

Santa Monica, CA · Jun 13, 2014 → Jan 5, 2017 · 6 filings
  • Jan 5, 2017 · D · $5,562,796 sold of $5,562,796 · 4 investors · min. No minimum reported · role: Director EDGAR ↗
  • Oct 15, 2015 · D · $3,553,030 sold of $3,553,030 · 1 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 30, 2015 · D · $2,121,212 sold of $2,121,212 · 4 investors · min. No minimum reported · role: Director EDGAR ↗
  • Dec 31, 2014 · D · $1,100,000 sold of $1,100,000 · 8 investors · min. No minimum reported · role: Director EDGAR ↗
  • Oct 2, 2014 · D · $1,500,000 sold of $1,500,000 · 8 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jun 13, 2014 · D · $1,500,000 sold of $1,500,000 · 9 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $6.95M from 22 investors (100% of the $5.56M target) as of the latest filing. Richard is listed as director 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. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Other Health Care / 506(b) (4,189 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.

C
Biotechnology

Cryoport, Inc.

Irvine, CA · Mar 3, 2015
  • Mar 3, 2015 · D · $50,000 sold of $4,800,000 · 1 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $25M from 192 investors (100% of the $4.8M target) as of the latest filing. Richard is listed as director.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Biotechnology / 506(b) (3,253 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

Q
Other Technology · group: Quantumsphere

QUANTUMSPHERE INC

Santa Ana, CA · Jun 20, 2013 → Feb 14, 2014 · 7 filings
  • Feb 14, 2014 · D/A · $4,500,000 sold of $4,500,000 · 8 investors · min. $50,000 · role: Director EDGAR ↗
  • Nov 22, 2013 · D · $0 sold of $7,000,000 · 0 investors · min. $50,000 · role: Director EDGAR ↗
  • Jul 23, 2013 · D · $350,000 sold of $500,000 · 3 investors · min. $50,000 · role: Director EDGAR ↗
  • Jun 21, 2013 · D · $500,000 sold of $1,000,000 · 1 investors · min. $500,000 · role: Director EDGAR ↗
  • Jun 20, 2013 · D · $250,000 sold of $250,000 · 1 investors · min. $250,000 · role: Director (A director at the time of the offering (as well as currently).) EDGAR ↗
  • Jun 20, 2013 · D · $671,000 sold of $671,000 · 17 investors · min. $10,000 · role: Director (A director at the time of the offering (as well as currently).) EDGAR ↗
  • Jun 20, 2013 · D · $1,167,500 sold of $1,167,500 · 7 investors · min. $25,000 · role: Director (A director at the time of the offering (as well as currently).) EDGAR ↗

Raised $4.5M from 17 investors (100% of the $4.5M target) as of the latest filing. Richard is listed as director on 7 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Other Technology / 506(b) (17,390 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

L
Manufacturing

Lustros Inc.

Santee, CA · Nov 29, 2013
  • Nov 29, 2013 · D · $775,000 sold of $1,500,000 · 5 investors · min. $10,000 · role: Director EDGAR ↗

Raised $775K from 5 investors (52% of the $1.5M target) as of the latest filing. Richard is listed as director.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Manufacturing / 506(b) (1,339 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

ST
Biotechnology

SEELOS THERAPEUTICS, INC.

New York, NY · Mar 10, 2010 → Mar 18, 2010 · 2 filings
  • Mar 18, 2010 · D · $4,000,000 sold of $4,000,000 · 3 investors · min. No minimum reported · role: Director EDGAR ↗
  • Mar 10, 2010 · D · $2,300,000 sold of $2,500,000 · 3 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $4M from 13 investors (100% of the $4M target) as of the latest filing. Richard is listed as director on 2 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

Other pages with the same name (13)

Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.

  • Richard Berman — NJ, 2 issuers, Oct 1, 2009 → Feb 11, 2022 · no shared issuer
  • Richard J Berman — CA, 2 issuers, May 6, 2014 → Dec 31, 2018 · shares 1 issuer with this record
  • Richard Berman — NY, 2 issuers, Mar 28, 2012 → May 8, 2014 · no shared issuer
  • Richard J. Berman — AZ, TX, 2 issuers, May 6, 2020 → Aug 25, 2020 · no shared issuer
  • RICHARD MARK BERMAN — TX, 1 issuer, Apr 30, 2009 → Jun 15, 2010 · no shared issuer
  • Richard J. Berman — MA, 1 issuer, Oct 31, 2014 → Sep 14, 2016 · no shared issuer
  • Richard J. Berman — NV, 1 issuer, Jul 25, 2022 → Jul 25, 2022 · no shared issuer
  • Richard J. Berman — WA, MI, 1 issuer, Jan 13, 2023 → Jan 13, 2023 · no shared issuer
  • Richard Jay Berman — PA, 1 issuer, May 16, 2024 → May 16, 2024 · no shared issuer
  • Richard Berman — FL, 1 issuer, Dec 31, 2024 → Dec 31, 2024 · no shared issuer
  • Richard Berman — TX, 1 issuer, Feb 4, 2009 → May 1, 2009 · no shared issuer
  • Richard J Berman — NY, 1 issuer, Jul 1, 2009 → Jul 1, 2009 · no shared issuer
  • Richard A. Berman — CA, 1 issuer, Nov 12, 2020 → Nov 12, 2021 · shares 1 issuer with this record

People around Richard 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.

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

Robert S. Venable

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

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Steven S. Meyers

Director · 7 shared filings (1 issuer)

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Francis C. Poli

Director · 7 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Marc H. Goroff

Director · 7 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Kevin D. Maloney

Executive Officer, Director · 7 shared filings (1 issuer) · also on 3 other issuers

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Douglas Carpenter

Executive Officer · 7 shared filings (1 issuer)

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Gregory L. Hrncir

Executive Officer · 7 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

David Smith

Director · 6 shared filings (1 issuer) · also on 13 other issuers

David Smith is on 14 issuers in total — a repeat sponsor. Their page lists every one.

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

Terren Peizer

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

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Richard A. Anderson

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

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Susan Etzel

Executive Officer · 6 shared filings (1 issuer)

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Steve Gorlin

Director · 4 shared filings (1 issuer) · also on 14 other issuers

Steve Gorlin is on 15 issuers in total — a repeat sponsor. Their page lists every one.

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

Thomas Candelaria

Executive Officer · 4 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Steven Kriegsman

Director · 4 shared filings (1 issuer)

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Marvin Ingelman

Director · 3 shared filings (1 issuer)

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Marvin Igelman

Director · 3 shared filings (1 issuer)

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Vivian Liu

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

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Rusty Ray

Director · 2 shared filings (1 issuer)

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Henry Esber

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

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Edward Cox

Executive Officer · 2 shared filings (1 issuer) · also on 3 other issuers

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Roberto Crea

Director · 2 shared filings (1 issuer)

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Mark Westgate

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

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Leonard Oppenheim

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

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Bassam Damaj

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

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Minal Patel

Director · 2 shared filings (1 issuer)

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Ramkumar Mandalam

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

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Richard G. Rathmann

Director · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Laurence Dunn

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

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Trisha Malone

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

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

William Farley

Executive Officer, Director · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Jerrell W Shelton

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

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Edward Zecchini

Director · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Martin Pajor

Director · 1 shared filing (1 issuer)

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Juan Troncuso

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

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Izak Zirk de Maison

Director · 1 shared filing (1 issuer)

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

William Hlavin

Director · 1 shared filing (1 issuer)

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Todd Sluzas

Director · 1 shared filing (1 issuer)

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Steve Gillings

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Stephen C. Gillings

Executive Officer · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Robert Stefanovich

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Richard Berman. Their page shows their other deals.

The team behind the deals

Q
Sponsor group

Quantumsphere

2 issuers · 12 filings · $5.91M reported sold · 2013–2015

One team, 2 deal companies. Richard Berman 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 Richard Berman.

Registrations and other filings

Adviser registration (Form ADV)

None of the 5 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 Richard Berman 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 5 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Richard Berman is listed on: none on file. No website or social profile named in SEELOS THERAPEUTICS, INC.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #94,399 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 (New York, NY). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

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Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗California — find the county court ↗Los Angeles Superior Court case search ↗New York WebCivil Supreme ↗

Securities regulators

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

Business registries

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

Change history

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