Richard Samuelson is listed as an executive officer, director, and promoter on 30 SEC Form D filings by 3 issuers between Sep 2017 and Jun 2022: Kineta, Inc. (Seattle, WA — biotechnology — 2017–2022; $24.4M reported sold to 182 investors), SWAN HNW Fund LP (Kirkland, WA — other banking and financial services — 2021; $450K reported sold to 3 investors) and Odysseus Technologies, Inc. (Los Alamos, NM — other technology — 2018–2021; $172K reported sold to 6 investors).
What this means A repeat sponsor — 3 separate companies raised money with this person listed as executive officer, director, and promoter, over about 5 years. Across those companies the filings report $25M sold in total.
Listed alongside Pauline Kenny (26 shared filings), Marion R. Foote (25 shared filings), Don Merlino (20 shared filings), Raymond Bartoszek (20 shared filings), Steven Mitchell (20 shared filings) and 11 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.
The issuers belong to 2 sponsor groups: Kineta (8 issuers, $19M reported sold, 2010–2023) and Odysseus Technologies (2 issuers, $19K reported sold, 2013–2022).
What this means This person is listed across more than one sponsor team; each group page shows that team's full track record.
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) — 4 bankruptcy cases matching the name listed in Key records below.
What this means 4 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 30 public filings for Richard Samuelson and found 11 differences, 2 worth asking the sponsor about: Paid seller listed without a CRD number: Alta Companies Ltd; Richard Samuelson is no longer listed on the Oct 28, 2022 amendment; 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.