PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:28 AM ET

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Richard Lim

Named as an officer, director or promoter on SEC Form D filings · MA · Apr 14, 2010 → Dec 18, 2025

7deals (issuers)
$448.1Mreported sold
119investors
11Form D filings
2010–2025years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:15 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Richard Lim is listed as an executive officer and director on 11 SEC Form D filings by 7 issuers between Sep 2009 and Dec 2025. Largest by amount reported sold: Cure Ventures Fund I, L.P. (Boston, MA — pooled investment fund — 2021–2023; $350.5M reported sold to 44 investors), PARATEK PHARMACEUTICALS INC (Boston, MA — pharmaceuticals — 2014; $93M reported sold to 54 investors), HYDROCISION INC (North Billerica, MA — biotechnology — 2009–2010; $3.02M reported sold to 12 investors), PIPER THERAPEUTICS INC. (Cambridge, MA — pharmaceuticals — 2016; $1.3M reported sold to 5 investors), TRIDENT PHARMACEUTICALS INC (Boston, MA — other technology — 2014; $275K reported sold to 4 investors) and 2 more (all listed below).

What this means A repeat sponsor — 7 separate companies raised money with this person listed as executive officer and director, over about 16 years. Across those companies the filings report $448.1M sold in total.

Listed alongside Cure Ventures Fund I GP, LLC (3 shared filings, management entity), Dave Fallace (3 shared filings), Louis Tartaglia (3 shared filings), Beverly Armstrong (2 shared filings), Dennis Molnar (2 shared filings) and 34 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 3 sponsor groups: Cure (3 issuers, $353.6M reported sold, 2011–2025), Abingworth Bioventures (4 issuers, $672.9M reported sold, 2014–2020) and Omega (7 issuers, $1.25B reported sold, 2010–2025).

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, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — 2 state regulator orders, 5 bankruptcy cases matching the name listed in Key records below.

What this means 7 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 11 public filings for Richard Lim and found 7 differences: Richard Lim appears on 2 deals that stopped filing before reaching their target; 4 offerings have no amendment in the last 12 months and may still be open; 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 Lim has not run yet — it is joining a line of 33,971 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: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.

Key records

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

1. Lawsuits

None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026

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, 2:15 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.

2. Regulatory actions

2 state regulator orders

Individuals Suspended FINRA · Financial Industry Regulatory Authority (FINRA)
Order date Jul 20, 2017 · Regulator: Financial Industry Regulatory Authority (FINRA) · Parties (regulator's caption): Richard Lim (CRD #4949289, Clark, New Jersey)
As listed by the regulator: An OHO Decision became final in which Lim was fined a total of $17,500, suspended from association with any FINRA member in all capacities for nine months for unsuitable recommendations, and suspended from association with any FINRA member in all capacities for six months for willfully failing to timely disclose outstanding judgments on his Form U4. The sanctions were based on findings that Lim recommended that his customers engage in an active trading investment strategy, which, when coupled with his high commissions, was so costly that it made it unlikely the trading could be profitable. The nine-month suspension is in effect from August 7, 2017, through May 6, 2018. The six-month suspension is in effect from May 7, 2018, through November 6, 2018. Order / docket ↗ Regulator's list ↗
same full name in the order; 2 people with this name in Form D filings; nationwide regulator (FINRA) — the state is not a signal
Complaints Filed FINRA · Financial Industry Regulatory Authority (FINRA)
Order date not stated in the index entry we read · Regulator: Financial Industry Regulatory Authority (FINRA) · Parties (regulator's caption): Caldwell International Securities Corporation (CRD #104323, Fischer, Texas), Greg Allen Caldwell (CRD #2816295, Austin, Texas), Alex Evan Etter (CRD #2981742, Old Tappan, New Jersey), Alain J. Florestan (CRD #2818942, Queens Village, New York), Lennie Simmons Freiman (CRD #1007506, Fischer, Texas), Paul Joseph Jacobs (CRD #4658235, Austin, Texas), Richard Andrew Lee (CRD #2768039, West Nyack, New York), Lucas Dylan Lichtman (CRD #5542092, Fort Lee, New Jersey) and Richard Lim (CRD #4949289, Clark, New Jersey)
As listed by the regulator: Caldwell International Securities Corporation (CRD #104323, Fischer, Texas), Greg Allen Caldwell (CRD #2816295, Austin, Texas), Alex Evan Etter (CRD #2981742, Old Tappan, New Jersey), Alain J. Florestan (CRD #2818942, Queens Village, New York), Lennie Simmons Freiman (CRD #1007506, Fischer, Texas), Paul Joseph Jacobs (CRD #4658235, Austin, Texas), Richard Andrew Lee (CRD #2768039, West Nyack, New York), Lucas Dylan Lichtman (CRD #5542092, Fort Lee, New Jersey) and Richard Lim (CRD #4949289, Clark, New Jersey) were named respondents in a FINRA complaint alleging that the firm, by and through one or more of its registered representatives and principals, put profits before customers, growth before compliance and subterfuge before transparency. The complaint alleges that the firm’s culture of non-compliance led to serious sales practice, supervisory and reporting violations at its home office and multiple branches. The complaint also alleges that the firm, Caldwell, Freiman and Jacobs fail Order / docket ↗ Regulator's list ↗
same full name in the order; 2 people with this name in Form D filings; nationwide regulator (FINRA) — the state is not a signal
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 Lim..

State securities regulators: Securities regulators searched (64,910 actions): FINRA (38,350 actions, 1995–2026), NASAA (31 actions, 2000–2026; listing starts 1997), AK Division of Banking and Securities (273 actions, 1971–2025), AL Securities Commission (880 actions, 2001–2026), AR Securities Department (1,305 actions, 1998–2026), 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), CO Division of Securities (731 actions, 2001–2026; older years from the Internet Archive (snapshot of 2026-05-02)), CT Department of Banking Securities Division (940 actions, 2006–2026; older years from the Internet Archive (snapshot of 2026-04-22)), DC DISB Securities Bureau (25 actions, 2012–2026), DE DOJ Investor Protection Unit (257 actions, 1987–2026), FL Office of Financial Regulation (49 actions, 2018–2026), GA Secretary of State Securities Division (65 actions, 2015–2026; listing starts 2012), HI DCCA Securities Enforcement Branch (26 actions, 2012–2026), ID Department of Finance Securities Bureau (663 actions, 1994–2026), IL Secretary of State Securities Department (4,122 actions, 2003–2023), KS Insurance Department Securities Division (58 actions), KY Department of Financial Institutions (342 actions, 2005–2026), LA Office of Financial Institutions Securities Division (13 actions, 2010–2025; listing starts 2008), MA Secretary of the Commonwealth Securities Division (125 actions, 2012–2025; live site blocks automated access — loaded from the Internet Archive snapshot of 2026-02-04), MD Attorney General Securities Division (1,054 actions, 2004–2026), ME Office of Securities (539 actions, 2000–2026), MI LARA Corporations, Securities & Commercial Licensing Bureau (201 actions), MO Secretary of State Securities Division (919 actions, 1998–2026), MS Secretary of State Securities Division (209 actions, 1995–2026), MT Commissioner of Securities and Insurance (597 actions, 2000–2026), NC Secretary of State Securities Division (265 actions, 2004–2024), ND Securities Department (711 actions, 1990–2026; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2026-01-06), NH Bureau of Securities Regulation (402 actions, 2002–2026), NM Regulation and Licensing Department Securities Division (90 actions, 2010–2025), NV Secretary of State Securities Division (118 actions, 2018–2026), NY Attorney General Investor Protection Bureau (44 actions, 2012–2026), OH Division of Securities (327 actions, 1993–2006), OK Department of Securities (2,531 actions, 1998–2026), OR Division of Financial Regulation (589 actions, 1988–2026), PA Department of Banking and Securities (1,448 actions, 2008–2024; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2024-08-09), RI DBR Securities Division (98 actions, 2005–2025), SC Attorney General Securities Division (540 actions, 2006–2026), SD Division of Insurance – Securities Regulation (106 actions, 2017–2026), TN Department of Commerce and Insurance Securities Division (405 actions, 1992–2026), TX State Securities Board (936 actions, 1999–2026), UT Division of Securities (772 actions, 2000–2026; older years from the Internet Archive (snapshot of 2010-05-27)), VT DFR Securities Division (137 actions, 2010–2026), WA DFI (2,039 actions, 2001–2026), WI DFI Division of Securities (1,072 actions, 1998–2026), WV Securities Commission (State Auditor) (64 actions), WY Secretary of State Compliance Division (6 actions, 2016–2024) — last crawled Oct 24, 2026, 8:48 AM ET. No machine-readable public listing today for IA, IN, MN, NE, NJ, VA (see docs/state-regulators.md).

3. Bankruptcies

5 cases: 5 closed (disposition not in docket feed)

Richard Lim closed
United States Bankruptcy Court, E.D. New York · No. 1-19-40632 · Filed Jan 31, 2019 · Closed Jun 3, 2019
Role of Richard Lim: Debtor · Outcome: Case closed 2019-06-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 7 federal dockets); 2 people with this name in Form D filings; court in NY (not a filing state)
Richard Lim and Susanna Lim closed
United States Bankruptcy Court, E.D. California · No. 13-28114 · Filed Jun 15, 2013 · Closed Apr 29, 2014
Role of Richard Lim and Susanna Lim: Debtor · Outcome: Case closed 2014-04-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 7 federal dockets); 2 people with this name in Form D filings; court in CA (not a filing state)
Richard K Lim closed
United States Bankruptcy Court, C.D. California · No. 2:09-bk-26882 · Filed Jul 2, 2009 · Closed Nov 3, 2009
Role of Richard K Lim: Debtor · Outcome: Case closed 2009-11-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 7 federal dockets); 2 people with this name in Form D filings; court in CA (not a filing state)
Richard G Lim closed
United States Bankruptcy Court, C.D. California · No. 2:97-bk-37533 · Filed Jul 18, 1997 · Closed Jul 5, 2002
Role of Richard G Lim: Debtor · Outcome: Case closed 2002-07-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 7 federal dockets); 2 people with this name in Form D filings; court in CA (not a filing state)
Richard Lim closed
United States Bankruptcy Court, S.D. Texas · No. 97-45911 · Filed Jun 9, 1997 · Closed Sep 24, 1997
Role of Richard Lim: Debtor · Outcome: Case closed 1997-09-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 7 federal dockets); 2 people with this name in Form D filings; court in TX (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, 2:15 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

7 differences found between the filings for Richard Lim (compared 11 filings on Oct 24, 2026)

Note · May 21, 2014 – Nov 9, 2018

Richard Lim appears on 2 deals that stopped filing before reaching their target

Omega Fund VI, L.P. (last filing Nov 9, 2018; $0 sold of $400,000,000); TRIDENT PHARMACEUTICALS INC (last filing May 21, 2014; $275,187 sold of $825,561). Each has no filing in more than two years and reported under half its target sold.

What this means An issuer whose last filing is more than two years old and reported under half its target sold. The raise may have closed early or quietly stopped. Ask what happened to each.

Omega Fund VI, L.P. — PartnerFacts page ↗TRIDENT PHARMACEUTICALS INC — PartnerFacts page ↗
Sources
Note · Nov 18, 2008 – May 19, 2016

4 offerings have no amendment in the last 12 months and may still be open

No amendment in the last 12 months on an offering that may still be open — PIPER THERAPEUTICS INC. (latest filing May 19, 2016) · No amendment in the last 12 months on an offering that may still be open — TRIDENT PHARMACEUTICALS INC (latest filing May 21, 2014) · No amendment in the last 12 months on an offering that may still be open — HYDROCISION INC (latest filing Apr 14, 2010) · No amendment in the last 12 months on an offering that may still be open — HYDROCISION INC (latest filing Sep 11, 2009)

What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.

Form D · May 19, 2016 ↗PIPER THERAPEUTICS INC. — PartnerFacts page ↗Form D · May 21, 2014 ↗TRIDENT PHARMACEUTICALS INC — PartnerFacts page ↗
Sources
Note · May 20, 2022 – Apr 4, 2023

Offering amount lowered between filings — Cure Ventures Fund I, L.P.

The May 20, 2022 filing says $400,000,000 offered; the Apr 4, 2023 Form D/A says $350,456,853.

What this means The target raise got smaller. That can mean the plan shrank or the sponsor stopped early. Ask what changed in the deal.

Form D/A (earlier) · May 20, 2022 ↗Form D/A (later) · Apr 4, 2023 ↗Cure Ventures Fund I, L.P. — PartnerFacts page ↗
Sources
Note · Sep 11, 2009 – Apr 14, 2010

Richard Lim is written 2 different ways on the filings

listed as "Richard J Lim" on 4 filings (from Sep 11, 2009), and "Richard Lim" on 7 filings (from Apr 14, 2010).

What this means Same person, written differently — a middle name or suffix left off, or spelled another way. It is normal, but check that the full legal name matches your subscription documents.

Form D/A · Sep 11, 2009 ↗Form D · Apr 14, 2010 ↗Richard Lim — PartnerFacts page ↗
Sources
Note · Jul 27, 2009 – May 1, 2025

Same name, different state: "Richard Lim" (CA) is a separate record

This page covers filings where the address state is MA. A separate record, "Richard Lim" with address state CA, is listed on 42 filings — most recently by Alessa Therapeutics, Inc. (May 1, 2025). Both records have filings in the same period (Apr 14, 2010 to May 1, 2025).

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 Lim (CA) — PartnerFacts page ↗Form D · May 1, 2025 ↗Alessa Therapeutics, Inc. — PartnerFacts page ↗Richard Lim (MA) — this page ↗
Sources
Note · May 24, 2021 – May 20, 2022

Address moved from Framingham, MA to Boston, MA — Cure Ventures Fund I, L.P.

The people listed on the May 24, 2021 filing give Framingham, MA; on the May 20, 2022 filing they give Boston, MA.

What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.

Form D · May 24, 2021 ↗Form D/A · May 20, 2022 ↗Cure Ventures Fund I, L.P. — PartnerFacts page ↗
Sources
Note · Sep 11, 2009 – Apr 14, 2010

Address moved from Billerica, MA to North Billerica, MA — HYDROCISION INC

The people listed on the Sep 11, 2009 filing give Billerica, MA; on the Apr 14, 2010 filing they give North Billerica, MA.

What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.

Form D/A · Sep 11, 2009 ↗Form D · Apr 14, 2010 ↗HYDROCISION 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

1 of 8 offerings reports sales commissions totalling $2,500,000; 0 report finder's fees; 0 report proceeds to related persons.

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Dec 18, 2025 D
Cure Ventures Fund II, L.P.
File 021-567406
$0$0$0
An affiliate of the General Partner will receive a fee for management services. The fee will generally equal a percentage of commitments as specified in the Issuer's partnership agreement.
None listed on this filingEDGAR ↗
Apr 4, 2023 D/A
Cure Ventures Fund I, L.P.
File 021-400415
$0$0$0
An affiliate of the General Partner will receive a fee for management services. The fee will generally equal a percentage of commitments as specified in the Issuer's partnership agreement.
None listed on this filingEDGAR ↗
Nov 9, 2018 D
Omega Fund VI, L.P.
File 021-325427
$0$0$0
The Issuer's General Partner is entitled to a management fee payable by the Issuer.
None listed on this filingEDGAR ↗
May 19, 2016 D
PIPER THERAPEUTICS INC.
File 021-263541
$0$0$0None listed on this filingEDGAR ↗
Jul 16, 2014 D/A
PARATEK PHARMACEUTICALS INC
File 021-221025
$2,500,000$0$0Ladenburg Thalmann & Co. Inc. BrokerCheck CRD 505 ↗
Trout Capital LLC BrokerCheck CRD 131489 ↗		EDGAR ↗
May 21, 2014 D
TRIDENT PHARMACEUTICALS INC
File 021-217762
$0$0$0None listed on this filingEDGAR ↗
Apr 14, 2010 D
HYDROCISION INC
File 021-140572
$0$0$0None listed on this filingEDGAR ↗
Sep 11, 2009 D/A
HYDROCISION INC
File 021-42382
$0$0$0None 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 7

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

CV
Pooled Investment Fund · group: Cure

Cure Ventures Fund II, L.P.

Boston, MA · Dec 18, 2025
  • Dec 18, 2025 · D · $0 sold of Indefinite · 0 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗

No sales reported yet as of the latest filing. Richard is listed as executive officer.

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: Pooled Investment Fund / 506(b) (83,801 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.

CV
Pooled Investment Fund · group: Cure

Cure Ventures Fund I, L.P.

Boston, MA · May 24, 2021 → Apr 4, 2023 · 3 filings
  • Apr 4, 2023 · D/A · $350,456,853 sold of $350,456,853 · 44 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • May 20, 2022 · D/A · $207,868,020 sold of $400,000,000 · 25 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗
  • May 24, 2021 · D · $0 sold of $400,000,000 · 0 investors · min. No minimum reported · role: Executive Officer (Managing Member of the General Partner) EDGAR ↗

Raised $350.5M from 44 investors (100% of the $350.5M target) as of the latest filing. Richard is listed as executive officer on 3 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: Pooled Investment Fund / 506(b) (83,801 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.

OF
Pooled Investment Fund · group: Omega

Omega Fund VI, L.P.

Boston, MA · Nov 9, 2018
  • Nov 9, 2018 · D · $0 sold of $400,000,000 · 0 investors · min. No minimum reported · role: Executive Officer (Director of the General Partner of the General Partner of the Issuer) EDGAR ↗

No sales reported yet as of the latest filing. Richard is listed as executive officer.

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: Pooled Investment Fund / 506(b) (83,801 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.

PT
Pharmaceuticals

PIPER THERAPEUTICS INC.

Cambridge, MA · May 19, 2016
  • May 19, 2016 · D · $1,295,013 sold of $1,300,000 · 5 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $1.3M from 5 investors (100% of the $1.3M 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: Pharmaceuticals / 506(b) (800 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.

PP
Pharmaceuticals · group: Abingworth Bioventures

PARATEK PHARMACEUTICALS INC

Boston, MA · Jul 15, 2014 → Jul 16, 2014 · 2 filings
  • Jul 16, 2014 · D/A · $93,000,000 sold of $93,000,000 · 54 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jul 15, 2014 · D · $93,000,000 sold of $93,000,000 · 54 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $93M from 54 investors (100% of the $93M 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. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pharmaceuticals / 506(b) (800 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.

TP
Other Technology

TRIDENT PHARMACEUTICALS INC

Boston, MA · May 21, 2014
  • May 21, 2014 · D · $275,187 sold of $825,561 · 4 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $275K from 4 investors (33% of the $826K 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: 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.

H
Biotechnology

HYDROCISION INC

North Billerica, MA · Sep 11, 2009 → Apr 14, 2010 · 2 filings
  • Apr 14, 2010 · D · $623,635 sold of $700,000 · 8 investors · min. No minimum reported · role: Director EDGAR ↗
  • Sep 11, 2009 · D/A · $3,024,300 sold of $4,500,000 · 11 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $3.02M from 12 investors (100% of the $700K 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 (1)

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

  • Richard Lim — CA, 27 issuers, Jul 27, 2009 → May 1, 2025 · no shared issuer

People around Richard 39

Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.

CV
Management entity

Cure Ventures Fund I GP, LLC

Executive Officer · 3 shared filings (1 issuer)

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

CV
Management entity

Cure Ventures Fund II GP, LLC

Executive Officer · 1 shared filing (1 issuer)

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

OF
Management entity

Omega Fund VI GP Manager, Ltd.

Executive Officer · 1 shared filing (1 issuer)

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

OF
Management entity

Omega Fund VI GP, L.P.

Executive Officer · 1 shared filing (1 issuer)

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

OF
Management entity

Omega Fund Management, LLC

Executive Officer · 1 shared filing (1 issuer)

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

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

Louis Tartaglia

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

Louis Tartaglia is on 5 issuers in total — a repeat sponsor. Their page lists every one.

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

Dave Fallace

Executive Officer · 3 shared filings (1 issuer)

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

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

Dennis Molnar

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

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

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

Marc Goldberg

Director · 2 shared filings (1 issuer) · also on 9 other issuers

Marc Goldberg is on 10 issuers in total — a repeat sponsor. Their page lists every one.

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

Michael Bigham

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

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

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

Douglas J Daniels

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

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

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

Evan Loh

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

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

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

Sean M. Johnston

Executive Officer · 2 shared filings (1 issuer)

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

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

Beverly Armstrong

Executive Officer · 2 shared filings (1 issuer)

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

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

Kathryn Boxmeyer

Executive Officer · 2 shared filings (1 issuer)

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

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

S. Ken Tanaka

Executive Officer · 2 shared filings (1 issuer)

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

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

David Fallace

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

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

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

Jeffrey Barnes

Director · 1 shared filing (1 issuer) · also on 3 other issuers

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

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

Dennis Costello

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

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

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

James H Hill

Executive Officer · 1 shared filing (1 issuer)

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

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

Lew Bennett

Director · 1 shared filing (1 issuer)

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

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

PAUL KOWALSKI

Executive Officer · 1 shared filing (1 issuer)

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

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

Alastair J.T. Clemow, Ph.D.

Director · 1 shared filing (1 issuer)

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

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

Patricia A Van Blarcom

Executive Officer · 1 shared filing (1 issuer)

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

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

Kevin P Staid

Executive Officer · 1 shared filing (1 issuer)

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

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

Robin Brown

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

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

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

Alastair JT Clemow PhD

Director · 1 shared filing (1 issuer)

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

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

Lou Tartaglia

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

Lou Tartaglia is on 5 issuers in total — a repeat sponsor. Their page lists every one.

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

Jason Fisherman

Director · 1 shared filing (1 issuer) · also on 3 other issuers

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

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

Thomas Needham

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

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

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

Russell J. Wilcox

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

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

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

Claudio Nessi

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

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

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

Charlie Cohen

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

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

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

LOIS SMITH

Executive Officer · 1 shared filing (1 issuer)

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

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

Otello Stampacchia

Executive Officer · 1 shared filing (1 issuer) · also on 6 other issuers

Otello Stampacchia is on 7 issuers in total — a repeat sponsor. Their page lists every one.

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

Anne-Mari Paster

Executive Officer · 1 shared filing (1 issuer)

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

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

John C Miller

Executive Officer · 1 shared filing (1 issuer)

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

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

James Murray

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

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

The team behind the deals

C
Sponsor group

Cure

3 issuers · 5 filings · $353.6M reported sold · 2011–2025

One team, 3 deal companies. Richard Lim is listed on 2 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 Lim.

AB
Sponsor group

Abingworth Bioventures

4 issuers · 7 filings · $672.9M reported sold · 2014–2020

One team, 4 deal companies. Richard Lim 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 Lim.

O
Sponsor group

Omega

7 issuers · 11 filings · $1.25B reported sold · 2010–2025

One team, 7 deal companies. Richard Lim 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 Lim.

Same business address

16 other issuers file from the same address

A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.

Registrations and other filings

Business registration (state registry / Secretary of State)

Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file).

Adviser registration (Form ADV)

A person is never an adviser firm. 1 of the 7 issuers this person is listed on matches a Form ADV adviser (searched 24,962 advisers as of Oct 2, 2026): Omega Fund VI, L.P..

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 Lim 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 7 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Richard Lim is listed on: none on file. No website or social profile named in PARATEK PHARMACEUTICALS INC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #314,838 of 374,652 in line (1,386 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 (Boston, MA). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

LinkedIn people search ↗Instagram ↗X (Twitter) ↗Facebook ↗YouTube ↗Google ↗Google Images ↗Google News ↗Meta Ad Library ↗

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗Massachusetts MassCourts ↗

Securities regulators

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

Business registries

Massachusetts Secretary of State business search ↗OpenCorporates ↗

Change history

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