Sponsor Check › Person
Named as an officer, director or promoter on SEC Form D filings · TX, NY · Jan 4, 2013 → Jul 19, 2021
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: covered by the index scan as of Oct 24, 2026, 2:50 AM ET
Richard Braddock is listed as a director and promoter on 8 SEC Form D filings by 3 issuers between Jun 2012 and Jul 2021: Mozido, LLC (Dallas, TX — other technology — 2012; $18.7M reported sold to 92 investors), Pypestream Inc. (New York, NY — other technology — 2017–2021; $10M reported sold to 22 investors) and Brentwood Financial, LLC (Windermere, FL — other technology — 2013; $6.05M reported sold to 12 investors).
What this means A repeat sponsor — 3 separate companies raised money with this person listed as director and promoter, over about 9 years. Across those companies the filings report $34.7M sold in total.
Listed alongside Michael Singer (5 shared filings), Richard Smullen (5 shared filings), Martin Smullen (4 shared filings), Michael Liberty (3 shared filings), Trevor Harris (3 shared filings) and 18 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.
2 of the issuers belong to the sponsor group Mozido (7 issuers, $260.8M reported sold, 2012–2016).
What this means A sponsor group is one team that sets up a new company for each deal. Mozido has 7 companies on file and $260.8M 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) — 8 bankruptcy cases matching the name listed in Key records below.
What this means 8 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 8 public filings for Richard Braddock and found 13 differences, 3 worth asking the sponsor about: Regulator action naming a team member: Michael A. Liberty, et al. (Apr 4, 2018); Investor count went down 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.
Community search for Richard Braddock has not run yet — it is joining a line of 29,096 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, 2:20 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 Richard Braddock..
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).
8 cases: 1 open, 7 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, 2:20 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 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
13 differences found between the filings for Richard Braddock — 3 worth asking about (compared 8 filings on Oct 24, 2026)
An SEC litigation release dated Apr 4, 2018 names Michael Liberty (listed on the same filings). The release is the source; we do not summarize its outcome here.
What this means A regulator filed or announced an action naming this person or company (or someone on the same filings). Read the release; ask the sponsor what it was and how it ended.
Bankruptcy case: Richard A. Smullen and Janet L. Smullen — filed Feb 25, 2009 · Bankruptcy case: Richard A. Smullen and Janet L. Smullen — filed Oct 6, 2003 · Bankruptcy case: Richard A. Smullen and Janet L. Smullen — filed Oct 6, 2003 · Bankruptcy case: Richard Smullen — filed Jul 18, 2000
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 Jan 4, 2013 filing reports 12 investors; the Nov 22, 2013 Form D/A reports 7 investors.
What this means Investor counts normally only grow. A smaller number can mean investors left or were refunded, or a count was corrected. Ask the sponsor what happened.
The filing says the first sale was Sep 13, 2012. The Form D was filed Jan 4, 2013 — 113 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 98 days past that.
What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.
The filing says the first sale was Jul 31, 2020. The Form D was filed Sep 25, 2020 — 56 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 41 days past that.
What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.
No amendment in the last 12 months on an offering that may still be open — Pypestream Inc. (latest filing Jul 19, 2021) · No amendment in the last 12 months on an offering that may still be open — Pypestream Inc. (latest filing Sep 25, 2020) · No amendment in the last 12 months on an offering that may still be open — Pypestream Inc. (latest filing Jul 19, 2018) · No amendment in the last 12 months on an offering that may still be open — Pypestream Inc. (latest filing Aug 23, 2017) · No amendment in the last 12 months on an offering that may still be open — Pypestream Inc. (latest filing Jan 26, 2017) · and 1 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.
"$1,000,001 - $5,000,000" (Jan 26, 2017); then "$5,000,001 - $25,000,000" (Jul 19, 2021).
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.
This page covers filings where the address state is TX or NY. A separate record, "RICHARD S BRADDOCK, JR." with address state SC, is listed on 8 filings — most recently by Case Status, Inc. (Oct 3, 2024). The two records do not overlap in time: this page runs Jan 4, 2013 to Jul 19, 2021; the other runs Sep 7, 2022 to Oct 3, 2024.
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.
This page covers filings where the address state is TX or NY. A separate record, "Richard Braddock" with address state NJ, is listed on 7 filings — most recently by Axtria, Inc. (May 17, 2021). Both records have filings in the same period (Jan 4, 2013 to May 17, 2021).
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.
This page covers filings where the address state is TX or NY. A separate record, "Richard S. Braddock" with address state VA, is listed on 7 filings — most recently by Gravy Analytics, Inc. (Jan 6, 2022). Both records have filings in the same period (Jan 6, 2015 to Nov 28, 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.
This page covers filings where the address state is TX or NY. A separate record, "Richard S. Braddock" with address state MA, is listed on 2 filings — most recently by Intelligent Medical Devices, Inc. (Jul 29, 2014). Both records have filings in the same period (Jul 29, 2014).
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.
This page covers filings where the address state is TX or NY. A separate record, "Richard S. Braddock" with address state NY, is listed on 2 filings — most recently by EASTMAN KODAK CO (Aug 8, 2013). Both records have filings in the same period (Jan 4, 2013 to Aug 8, 2013).
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.
TX on 1 filing (Jun 26, 2012); NY on 7 filings (Jan 4, 2013 to Jul 19, 2021).
What this means The address on a Form D is usually the company's, not the person's home, so this often just reflects different companies. It can also mean a move. Nothing wrong by itself.
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.
None reported on 7 offerings — no sales commissions, finder's fees or proceeds to insiders
| Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it | Source |
|---|---|---|---|---|---|
| Jul 19, 2021 D Pypestream Inc. File 021-406754 | $0 | $0 | $0 All proceeds will be used for general working capital along with other cash reserves and operating revenues. | None listed on this filing | EDGAR ↗ |
| Sep 25, 2020 D Pypestream Inc. File 021-376379 | $0 | $0 | $0 None of the funds have been allocated to pay any executive or employees. The purpose of the offering is to raise funds for capital purposes | None listed on this filing | EDGAR ↗ |
| Jul 19, 2018 D Pypestream Inc. File 021-317291 | $0 | $0 | $0 None of the funds have been allocated to pay any executives or employees. The purpose of the offering is to raise funds for capital purposes. | None listed on this filing | EDGAR ↗ |
| Aug 23, 2017 D Pypestream Inc. File 021-293368 | $0 | $0 | $0 None of the funds have been allocated to pay any executives or employees. The purpose of the offering is to raise funds for capital purposes. | None listed on this filing | EDGAR ↗ |
| Jan 26, 2017 D Pypestream Inc. File 021-279265 | $0 | $0 | $0 None of the funds have been allocated to pay any executives or employees. The purpose of the offering is to raise funds for capital purposes. | None listed on this filing | EDGAR ↗ |
| Nov 22, 2013 D/A Brentwood Financial, LLC File 021-189527 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jun 26, 2012 D Mozido, LLC File 021-180325 | $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 Richard Braddock on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.
Raised $10M from 22 investors (74% of the $13.5M target) as of the latest filing. Richard is listed as director on 5 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: Other Technology / 506(c) (805 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.
Raised $6.05M from 12 investors (61% of the $10M target) as of the latest filing. Richard is listed as promoter 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. "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.
Raised $18.7M from 92 investors (100% of the $18.7M target) as of the latest filing. Richard is listed as director.
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.
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.
Michael Singer is on 5 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Richard Braddock. Their page shows their other deals.
Listed on the same filings as Richard Braddock. Their page shows their other deals.
Michael Liberty is on 8 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Richard Braddock. Their page shows their other deals.
Listed on the same filings as Richard Braddock. Their page shows their other deals.
Listed on the same filings as Richard Braddock. Their page shows their other deals.
Listed on the same filings as Richard Braddock. Their page shows their other deals.
Listed on the same filings as Richard Braddock. Their page shows their other deals.
Listed on the same filings as Richard Braddock. Their page shows their other deals.
Peter Smith is on 7 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Richard Braddock. Their page shows their other deals.
Listed on the same filings as Richard Braddock. Their page shows their other deals.
Listed on the same filings as Richard Braddock. Their page shows their other deals.
Listed on the same filings as Richard Braddock. Their page shows their other deals.
Bart Swanson is on 7 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Richard Braddock. Their page shows their other deals.
Listed on the same filings as Richard Braddock. Their page shows their other deals.
Listed on the same filings as Richard Braddock. Their page shows their other deals.
Listed on the same filings as Richard Braddock. Their page shows their other deals.
Listed on the same filings as Richard Braddock. Their page shows their other deals.
Listed on the same filings as Richard Braddock. Their page shows their other deals.
One team, 7 deal companies. Richard Braddock is listed on 2 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 Richard Braddock.
A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.
None of the 3 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.
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 Richard Braddock 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 3 issuers this person is listed on — nothing matched.
Websites and social links of the issuers Richard Braddock is listed on: none on file. No website or social profile named in Mozido, LLC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #339,545 of 374,652 in line (1,376 issuers searched so far). One-tap searches: Look further ↓
One-tap searches on sites we do not index ourselves, with the name pre-filled (Dallas, TX). 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 Richard Braddock appears on a new Form D, or when a court case or SEC action is matched to them. See plans →