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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:41 AM ET

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Richard Upton

Named as an officer, director or promoter on SEC Form D filings · MA, AZ, NH, PA · Jul 1, 2009 → May 26, 2026

8deals (issuers)
$84Mreported sold
280investors
58Form D filings
2009–2026years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:16 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Richard Upton is listed as a director on 58 SEC Form D filings by 8 issuers between Jul 2009 and May 2026. Largest by amount reported sold: Alcyone Therapeutics, Inc. (Lowell, MA — other health care — 2012–2025; $37.1M reported sold to 31 investors), Anuncia Medical, Inc. (Scottsdale, AZ — biotechnology — 2021–2025; $13.9M reported sold to 87 investors), Neela Therapeutics, Inc. (Lunenburg, MA — other health care — 2025–2026; $13.8M reported sold to 21 investors), Medicinal Genomics Corp (Beverly, MA — biotechnology — 2010–2021; $8M reported sold to 67 investors), Carmell Therapeutics Corp (Pittsburgh, PA — biotechnology — 2011–2020; $5.18M reported sold to 44 investors) and 3 more (all listed below).

What this means A repeat sponsor — 8 separate companies raised money with this person listed as director, over about 17 years. Across those companies the filings report $84M sold in total.

Listed alongside David Donabedian (22 shared filings), PJ Anand (22 shared filings), Stephen Oesterle (18 shared filings), James F. Jordan (17 shared filings), David W. Anderson (12 shared filings) and 51 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 Eggrock (2 issuers, $960K reported sold, 2009–2010).

What this means A sponsor group is one team that sets up a new company for each deal. Eggrock has 2 companies on file and $960K 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, 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) — 20 bankruptcy cases matching the name listed in Key records below.

What this means 20 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 the newest 50 of 58 public filings for Richard Upton and found 12 differences, 1 worth asking the sponsor about: 5 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 Upton has not run yet — it is #36,905 of 38,749 in line; searches run around the clock at the hosts' allowed rate. Searched so far: 641 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, 2:16 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

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: 48 regulators (FINRA, NASAA, 37 states) — crawled Oct 24, 2026, 8:48 AM ET

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 Upton..

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

20 cases: 20 closed (disposition not in docket feed)

Richard B Upton and Clarissa J George closed
United States Bankruptcy Court, M.D. Florida · No. 6:11-bk-03742 · Filed Mar 18, 2011 · Closed Jul 6, 2011
Role of Richard B Upton and Clarissa J George: Debtor · Outcome: Case closed 2011-07-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 40 federal dockets); 2 people with this name in Form D filings; court in FL (not a filing state)
Richard D. Upton closed
United States Bankruptcy Court, N.D. Mississippi · No. 10-14249 · Filed Sep 1, 2010 · Closed Dec 14, 2010
Role of Richard D. Upton: Debtor · Outcome: Case closed 2010-12-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 40 federal dockets); 2 people with this name in Form D filings; court in MS (not a filing state)
RICHARD W UPTON and DIANE M UPTON closed
United States Bankruptcy Court, D. Montana · No. 09-62568 · Filed Dec 24, 2009 · Closed Dec 13, 2010
Role of RICHARD W UPTON and DIANE M UPTON: Debtor · Outcome: Case closed 2010-12-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 40 federal dockets); 2 people with this name in Form D filings; court in MT (not a filing state)
Richard Z Upton and Donna L Upton closed
United States Bankruptcy Court, W.D. Washington · No. 08-46136 · Filed Nov 21, 2008 · Closed Dec 2, 2011
Role of Richard Z Upton and Donna L Upton: Debtor · Outcome: Case closed 2011-12-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 40 federal dockets); 2 people with this name in Form D filings; court in WA (not a filing state)
Richard W. Upton closed
United States Bankruptcy Court, W.D. North Carolina · No. 08-10544 · Filed Jul 11, 2008 · Closed Nov 2, 2009
Role of Richard W. Upton: Debtor · Outcome: Case closed 2009-11-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 40 federal dockets); 2 people with this name in Form D filings; court in NC (not a filing state)
Richard Upton and Jaclyn Upton closed
United States Bankruptcy Court, E.D. Kentucky · No. 07-51807 · Filed Sep 19, 2007 · Closed Apr 9, 2013
Role of Richard Upton and Jaclyn Upton: Debtor · Outcome: Case closed 2013-04-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 40 federal dockets); 2 people with this name in Form D filings; court in KY (not a filing state)
Richard W. Upton and Penny S. Upton closed
United States Bankruptcy Court, D. Maryland · No. 02-24658 · Filed Dec 23, 2002 · Closed May 29, 2003
Role of Richard W. Upton and Penny S. Upton: Debtor · Outcome: Case closed 2003-05-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 40 federal dockets); 2 people with this name in Form D filings; court in MD (not a filing state)
Richard L. Upton and Margaret A. Upton closed
United States Bankruptcy Court, E.D. Virginia · No. 02-66443 · Filed Jul 30, 2002 · Closed Nov 12, 2002
Role of Richard L. Upton and Margaret A. Upton: Debtor · Outcome: Case closed 2002-11-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 40 federal dockets); 2 people with this name in Form D filings; court in VA (not a filing state)
Richard Upton and Tamara Upton closed
United States Bankruptcy Court, W.D. Texas · No. 02-50329 · Filed Jan 25, 2002 · Closed Jul 1, 2002
Role of Richard Upton and Tamara Upton: Debtor · Outcome: Case closed 2002-07-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 40 federal dockets); 2 people with this name in Form D filings; court in TX (not a filing state)
Richard Upton and Marie Upton closed
United States Bankruptcy Court, S.D. Ohio · No. 2:01-bk-59240 · Filed Aug 6, 2001 · Closed Jan 22, 2002
Role of Richard Upton and Marie Upton: Debtor · Outcome: Case closed 2002-01-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 40 federal dockets); 2 people with this name in Form D filings; court in OH (not a filing state)
Richard D. Upton and Angela W. Upton closed
United States Bankruptcy Court, W.D. Louisiana · No. 00-12560 · Filed Sep 27, 2000 · Closed Feb 23, 2001
Role of Richard D. Upton and Angela W. Upton: Debtor · Outcome: Case closed 2001-02-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 40 federal dockets); 2 people with this name in Form D filings; court in LA (not a filing state)
Richard L. Upton, Sr. closed
United States Bankruptcy Court, E.D. Tennessee · No. 3:00-bk-31170 · Filed Mar 22, 2000 · Closed Jan 24, 2001
Role of Richard L. Upton, Sr.: Debtor · Outcome: Case closed 2001-01-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 40 federal dockets); 2 people with this name in Form D filings; court in TN (not a filing state)
Richard L. Upton, Sr. closed
United States Bankruptcy Court, E.D. Tennessee · No. 3:00-bk-30391 · Filed Feb 2, 2000 · Closed Jul 14, 2000
Role of Richard L. Upton, Sr.: Debtor · Outcome: Case closed 2000-07-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 40 federal dockets); 2 people with this name in Form D filings; court in TN (not a filing state)
Richard C. Upton and Joan E. Upton closed
United States Bankruptcy Court, N.D. Texas · No. 99-70874 · Filed Oct 19, 1999 · Closed Apr 4, 2005
Role of Richard C. Upton and Joan E. Upton: Debtor · Outcome: Case closed 2005-04-04 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 40 federal dockets); 2 people with this name in Form D filings; court in TX (not a filing state)
Richard L. Upton, Sr. closed
United States Bankruptcy Court, E.D. Tennessee · No. 3:99-bk-33399 · Filed Aug 19, 1999 · Closed May 11, 2000
Role of Richard L. Upton, Sr.: Debtor · Outcome: Case closed 2000-05-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 40 federal dockets); 2 people with this name in Form D filings; court in TN (not a filing state)
Richard Upton, Sr. closed
United States Bankruptcy Court, E.D. Tennessee · No. 3:94-bk-30138 · Filed Jan 21, 1994 · Closed Nov 10, 1997
Role of Richard Upton, Sr.: Debtor · Outcome: Case closed 1997-11-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 40 federal dockets); 2 people with this name in Form D filings; court in TN (not a filing state)
Richard D. Upton closed
United States Bankruptcy Court, N.D. Mississippi · No. 92-12406 · Filed Aug 3, 1992 · Closed Dec 16, 1992
Role of Richard D. Upton: Debtor · Outcome: Case closed 1992-12-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 40 federal dockets); 2 people with this name in Form D filings; court in MS (not a filing state)
Richard D. Upton and Barbara E. Upton closed
United States Bankruptcy Court, S.D. Alabama · No. 91-12472 · Filed Nov 25, 1991 · Closed Sep 13, 1994
Role of Richard D. Upton and Barbara E. Upton: Debtor · Outcome: Case closed 1994-09-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 40 federal dockets); 2 people with this name in Form D filings; court in AL (not a filing state)
Richard Upton, Sr. closed
United States Bankruptcy Court, E.D. Tennessee · No. 3:91-bk-32805 · Filed May 29, 1991 · Closed Nov 2, 1993
Role of Richard Upton, Sr.: Debtor · Outcome: Case closed 1993-11-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 40 federal dockets); 2 people with this name in Form D filings; court in TN (not a filing state)
Richard Upton, Sr. closed
United States Bankruptcy Court, E.D. Tennessee · No. 3:89-bk-32604 · Filed Sep 12, 1989 · Closed Jul 1, 1991
Role of Richard Upton, Sr.: Debtor · Outcome: Case closed 1991-07-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 40 federal dockets); 2 people with this name in Form D filings; court in TN (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, 2:16 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 Upton — 1 worth asking about (compared the newest 50 of 58 filings on Oct 24, 2026; older filings not covered)

Note · Apr 20, 2015 – Mar 19, 2019

Bankruptcy case: JPMorgan Chase Bank, N.A. v. Altorelli — filed Apr 20, 2015

United States Bankruptcy Court, D. Connecticut docket "JPMorgan Chase Bank, N.A. v. Altorelli" filed Apr 20, 2015, closed Mar 19, 2019. John J. Altorelli (listed on the same filings) is listed as Defendant ("Altorelli"). Our match estimate: 70%.

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.

Docket · United States Bankruptcy Court, D. Connecticut ↗John J. Altorelli — PartnerFacts page ↗
Sources
Note · Oct 14, 2005 – Feb 3, 2006

Bankruptcy case: Lisa M. Velardo — filed Oct 14, 2005

United States Bankruptcy Court, D. Massachusetts docket "Lisa M. Velardo" filed Oct 14, 2005, closed Feb 3, 2006. Lisa Velardo (listed on the same filings) is listed as Debtor ("Lisa M. Velardo"). Our match estimate: 74%.

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.

Docket · United States Bankruptcy Court, D. Massachusetts ↗Lisa Velardo — PartnerFacts page ↗
Sources
Worth asking · Jun 1, 2014 – Apr 30, 2024

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

Form D filed 97 days after the first sale — Medicinal Genomics Corp · Form D filed 19 days after the first sale — Longevity Health Holdings, Inc. · Form D filed 21 days after the first sale — Carmell Therapeutics Corp · Form D filed 16 days after the first sale — Carmell Therapeutics Corp · Form D filed 18 days after the first sale — Medicinal Genomics Corp

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 · Apr 7, 2021 ↗Medicinal Genomics Corp — PartnerFacts page ↗Form D · Apr 30, 2024 ↗Longevity Health Holdings, Inc. — PartnerFacts page ↗
Sources
Note · May 24, 2012 – Jan 29, 2025

20 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 — Longevity Health Holdings, Inc. (latest filing Jan 29, 2025) · No amendment in the last 12 months on an offering that may still be open — Longevity Health Holdings, Inc. (latest filing Jan 14, 2025) · No amendment in the last 12 months on an offering that may still be open — Alcyone Therapeutics, Inc. (latest filing Jan 8, 2025) · No amendment in the last 12 months on an offering that may still be open — Anuncia Medical, Inc. (latest filing Apr 24, 2024) · No amendment in the last 12 months on an offering that may still be open — Anuncia Medical, Inc. (latest filing Dec 17, 2021) · and 15 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.

Form D · Jan 29, 2025 ↗Longevity Health Holdings, Inc. — PartnerFacts page ↗Form D · Jan 14, 2025 ↗Form D/A · Jan 8, 2025 ↗
Sources
Note · Nov 12, 2014 – May 26, 2026

12 offerings changed their target amount between filings

Offering amount changed between filings — Neela Therapeutics, Inc. · Offering amount changed between filings — Anuncia Medical, Inc. · Offering amount changed between filings — Anuncia Medical, Inc. · Offering amount changed between filings — Anuncia Medical, Inc. · Offering amount changed between filings — Anuncia Medical, Inc. · and 7 more

What this means Targets change as deals grow or shrink. Ask whether later money has the same terms.

Form D (earlier) · Nov 24, 2025 ↗Form D/A (later) · May 26, 2026 ↗Neela Therapeutics, Inc. — PartnerFacts page ↗Form D/A (earlier) · Nov 18, 2024 ↗
Sources
Note · Oct 3, 2017 – Dec 6, 2017

Minimum investment changed between filings — Carmell Therapeutics Corp

The Oct 3, 2017 filing lists a minimum of $25,000; the Dec 6, 2017 Form D/A lists $3,741.

What this means A different minimum usually means the offering terms changed. Check which terms apply to you.

Form D (earlier) · Oct 3, 2017 ↗Form D/A (later) · Dec 6, 2017 ↗Carmell Therapeutics Corp — PartnerFacts page ↗
Sources
Note · Dec 23, 2013 – Jun 11, 2014

Minimum investment changed between filings — Carmell Therapeutics Corp

The Dec 23, 2013 filing lists a minimum of $50,000; the Jun 11, 2014 Form D/A lists $25,000.

What this means A different minimum usually means the offering terms changed. Check which terms apply to you.

Form D (earlier) · Dec 23, 2013 ↗Form D/A (later) · Jun 11, 2014 ↗Carmell Therapeutics Corp — PartnerFacts page ↗
Sources
Note · Feb 3, 2010

Same name, different state: "Richard Upton" (VA) is a separate record

This page covers filings where the address state is MA or AZ or NH or PA. A separate record, "Richard Upton" with address state VA, is listed on 1 filing — most recently by LeClairRyan, A Professional Corp (Feb 3, 2010). Both records have filings in the same period (Feb 3, 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 Upton (VA) — PartnerFacts page ↗Form D · Feb 3, 2010 ↗LeClairRyan, A Professional Corp — PartnerFacts page ↗Richard Upton (MA,AZ,NH,PA) — this page ↗
Sources
Note · Nov 2, 2017 – Apr 7, 2021

Address moved from Woburn, MA to Beverly, MA — Medicinal Genomics Corp

The people listed on the Nov 2, 2017 filing give Woburn, MA; on the Apr 7, 2021 filing they give Beverly, MA. The address now on file (100 Cummings Center, Suite 406l, Beverly, MA) is a registered-agent or shared-office address used by 20 issuers.

What this means A registered agent's address is a mailbox, not where the team works. Ask where the business actually operates.

Form D/A · Nov 2, 2017 ↗Form D · Apr 7, 2021 ↗Medicinal Genomics Corp — PartnerFacts page ↗
Sources
Note · Jun 15, 2015 – Sep 21, 2017

Address moved from New York, NY to Woburn, MA — Medicinal Genomics Corp

The people listed on the Jun 15, 2015 filing give New York, NY; on the Sep 21, 2017 filing they give Woburn, MA. The address now on file (100 Cummings Center, Suite 406l, Beverly, MA) is a registered-agent or shared-office address used by 20 issuers.

What this means A registered agent's address is a mailbox, not where the team works. Ask where the business actually operates.

Form D · Jun 15, 2015 ↗Form D · Sep 21, 2017 ↗Medicinal Genomics Corp — PartnerFacts page ↗
Sources
Note · Jan 13, 2014 – Dec 24, 2015

Address moved from Concord, MA to Lowell, MA — Alcyone Therapeutics, Inc.

The people listed on the Jan 13, 2014 filing give Concord, MA; on the Dec 24, 2015 filing they give Lowell, MA. The address now on file (116 John Street, Suite 300, Lowell, MA) is a registered-agent or shared-office address used by 10 issuers.

What this means A registered agent's address is a mailbox, not where the team works. Ask where the business actually operates.

Form D · Jan 13, 2014 ↗Form D · Dec 24, 2015 ↗Alcyone Therapeutics, Inc. — PartnerFacts page ↗
Sources
Note · Jun 6, 2012 – May 26, 2026

Richard Upton is listed with 4 different address states: MA, NH, PA, AZ

MA on 16 filings (Jun 6, 2012 to May 26, 2026); NH on 10 filings (Dec 14, 2012 to Feb 5, 2016); PA on 15 filings (Jan 9, 2017 to Mar 30, 2026); AZ on 9 filings (Oct 25, 2021 to Nov 21, 2025).

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.

Form D · Jun 6, 2012 ↗Form D · Dec 14, 2012 ↗Form D · Jan 9, 2017 ↗Form D · Oct 25, 2021 ↗
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. We compared the newest 50 of 58 filings (work cap); older filings are not covered here. As of Oct 24, 2026.

5. Money to insiders

5 of 40 offerings report sales commissions totalling $1,732,137; 2 report finder's fees totalling $319,200; 1 reports proceeds to related persons totalling $450,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
May 26, 2026 D/A
Neela Therapeutics, Inc.
File 021-564918
$0$0$0None listed on this filingEDGAR ↗
Mar 30, 2026 D
Longevity Health Holdings, Inc.
File 021-578166
$0$0$0None listed on this filingEDGAR ↗
Nov 21, 2025 D/A
Anuncia Medical, Inc.
File 021-523914
$0$66,450$450,000 (est.)U.S. Boston Capital Corporation BrokerCheck CRD 5251 ↗EDGAR ↗
Jan 29, 2025 D
Longevity Health Holdings, Inc.
File 021-536716
$0$0$0None listed on this filingEDGAR ↗
Jan 14, 2025 D
Longevity Health Holdings, Inc.
File 021-535097
$127,925$0$0Arcadia Securities, LLC BrokerCheck CRD 44656 ↗EDGAR ↗
Jan 8, 2025 D/A
Alcyone Therapeutics, Inc.
File 021-497946
$0$252,750 (est.)$0 (est.)Brookline Capital Markets BrokerCheck CRD 44656 ↗
via Arcadia Securities, LLC (CRD 44656 ↗)
EDGAR ↗
Apr 30, 2024 D
Longevity Health Holdings, Inc.
File 021-511918
$212,212$0$0Arcadia Securities, LLC BrokerCheck CRD 44656 ↗EDGAR ↗
Apr 24, 2024 D/A
Anuncia Medical, Inc.
File 021-458336
$0$0$0None listed on this filingEDGAR ↗
Dec 17, 2021 D/A
Anuncia Medical, Inc.
File 021-418399
$0$0$0None listed on this filingEDGAR ↗
Jun 17, 2021 D
Alcyone Therapeutics, Inc.
File 021-403333
$0$0$0 (est.)None listed on this filingEDGAR ↗
Apr 7, 2021 D
Medicinal Genomics Corp
File 021-394882
$0$0$0None listed on this filingEDGAR ↗
Sep 25, 2020 D/A
Carmell Therapeutics Corp
File 021-351149
$37,000$0$0Alere Financial Partners BrokerCheck CRD 109761 ↗EDGAR ↗
Sep 2, 2020 D
Alcyone Therapeutics, Inc.
File 021-374667
$0$0$0 (est.)None listed on this filingEDGAR ↗
Jul 8, 2020 D
Carmell Therapeutics Corp
File 021-370440
$0$0$0None listed on this filingEDGAR ↗
Jul 3, 2019 D
Alcyone Therapeutics, Inc.
File 021-343432
$0$0$0None listed on this filingEDGAR ↗
Apr 11, 2019 D
Alcyone Therapeutics, Inc.
File 021-337003
$0$0$0None listed on this filingEDGAR ↗
Mar 14, 2019 D/A
Carmell Therapeutics Corp
File 021-316859
$855,000 (est.)$0$0Dalmore Group, LLC BrokerCheck CRD 136352 ↗EDGAR ↗
Apr 25, 2018 D/A
Carmell Therapeutics Corp
File 021-302818
$500,000 (est.)$0$0Dalmore Group, LLC BrokerCheck CRD 136352 ↗EDGAR ↗
Jan 17, 2018 D
Alcyone Therapeutics, Inc.
File 021-303428
$0$0$0None listed on this filingEDGAR ↗
Dec 6, 2017 D/A
Carmell Therapeutics Corp
File 021-295847
$0$0$0None listed on this filingEDGAR ↗
Nov 2, 2017 D/A
Medicinal Genomics Corp
File 021-295130
$0$0$0None listed on this filingEDGAR ↗
Apr 14, 2017 D/A
Carmell Therapeutics Corp
File 021-277897
$0$0$0None listed on this filingEDGAR ↗
Feb 5, 2016 D
Carmell Therapeutics Corp
File 021-256860
$0$0$0None listed on this filingEDGAR ↗
Dec 24, 2015 D
Alcyone Therapeutics, Inc.
File 021-253842
$0$0$0 (est.)
Certain proceeds will be used by the Company for general working capital, including payment of salaries to certain executive officers and/or directors who are listed as Related Persons herein.
None listed on this filingEDGAR ↗
Aug 4, 2015 D
Carmell Therapeutics Corp
File 021-245065
$0$0$0None listed on this filingEDGAR ↗
Jun 15, 2015 D
Medicinal Genomics Corp
File 021-241792
$0$0$0None listed on this filingEDGAR ↗
Dec 30, 2014 D/A
Carmell Therapeutics Corp
File 021-228137
$0$0$0None listed on this filingEDGAR ↗
Jun 19, 2014 D
Medicinal Genomics Corp
File 021-219492
$0$0$0None listed on this filingEDGAR ↗
Jun 11, 2014 D/A
Carmell Therapeutics Corp
File 021-208619
$0$0$0None listed on this filingEDGAR ↗
Jan 13, 2014 D
Alcyone Therapeutics, Inc.
File 021-209926
$0$0$0
Certain proceeds will be used by the Company for general working capital, including the payment of salaries to certain executive officers and/or directors who are listed as Related Persons herein.
None listed on this filingEDGAR ↗
May 20, 2013 D
Alcyone Therapeutics, Inc.
File 021-196745
$0$0$0
Certain proceeds will be used by the Company for general working capital, including the payment of salaries to certain executive officers and/or directors who are listed as Related Persons herein.
None listed on this filingEDGAR ↗
Mar 26, 2013 D
Medicinal Genomics Corp
File 021-193926
$0$0$0None listed on this filingEDGAR ↗
Dec 14, 2012 D
Carmell Therapeutics Corp
File 021-188411
$0$0$0None listed on this filingEDGAR ↗
Jun 6, 2012 D
CASTLEWOOD SURGICAL INC
File 021-179360
$0 (est.)$0 (est.)$0 (est.)None listed on this filingEDGAR ↗
Mar 27, 2012 D
Alcyone Therapeutics, Inc.
File 021-175689
$0$0$0None listed on this filingEDGAR ↗
Oct 7, 2011 D
Medicinal Genomics Corp
File 021-166905
$0$0$0None listed on this filingEDGAR ↗
Apr 13, 2011 D
Carmell Therapeutics Corp
File 021-158316
$0$0$0None listed on this filingEDGAR ↗
Aug 16, 2010 D
Medicinal Genomics Corp
File 021-146444
$0$0$0None listed on this filingEDGAR ↗
Aug 5, 2010 D
Eggrock, Inc.
File 021-146002
$0$0$0 (est.)
A portion of the use of proceeds may be used to pay officer salaries in the ordinary course of business.
None listed on this filingEDGAR ↗
Nov 12, 2009 D
Eggrock, Inc.
File 021-132389
$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 8

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

NT
Other Health Care

Neela Therapeutics, Inc.

Lunenburg, MA · Nov 24, 2025 → May 26, 2026 · 2 filings
  • May 26, 2026 · D/A · $13,821,643 sold of $21,510,000 · 21 investors · min. No minimum reported · role: Director EDGAR ↗
  • Nov 24, 2025 · D · $12,010,000 sold of $13,510,000 · 17 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $13.8M from 21 investors (64% of the $21.5M 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: 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.

LH
Other Health Care

Longevity Health Holdings, Inc.

Pittsburgh, PA · Apr 30, 2024 → Mar 30, 2026 · 4 filings
  • Mar 30, 2026 · D · $200,000 sold of $200,000 · 1 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jan 29, 2025 · D · $975,463 sold of $1,075,463 · 1 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jan 14, 2025 · D · $1,854,998 sold of $3,709,996 · 14 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 30, 2024 · D · $3,000,000 sold of $3,000,000 · 19 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $3M from 19 investors (100% of the $200K target) as of the latest filing. Richard is listed as director on 4 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.

AM
Biotechnology

Anuncia Medical, Inc.

Scottsdale, AZ · Oct 25, 2021 → Nov 21, 2025 · 9 filings
  • Nov 21, 2025 · D/A · $13,908,008 sold of $16,442,486 · 87 investors · min. No minimum reported · role: Director EDGAR ↗
  • Nov 18, 2024 · D/A · $12,189,298 sold of $13,422,486 · 69 investors · min. No minimum reported · role: Director EDGAR ↗
  • Sep 12, 2024 · D · $10,751,861 sold of $13,422,486 · 66 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 24, 2024 · D/A · $3,409,306 sold of $4,000,000 · 28 investors · min. No minimum reported · role: Director EDGAR ↗
  • Oct 19, 2023 · D/A · $2,614,306 sold of $3,500,000 · 22 investors · min. No minimum reported · role: Director EDGAR ↗
  • Mar 29, 2023 · D/A · $1,825,607 sold of $2,500,000 · 14 investors · min. No minimum reported · role: Director EDGAR ↗
  • Sep 8, 2022 · D · $998,607 sold of $1,500,000 · 8 investors · min. No minimum reported · role: Director EDGAR ↗
  • Dec 17, 2021 · D/A · $427,500 sold of $1,500,000 · 7 investors · min. No minimum reported · role: Director EDGAR ↗
  • Oct 25, 2021 · D · $127,500 sold of $700,000 · 2 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $13.9M from 87 investors (85% of the $16.4M target) as of the latest filing. Richard is listed as director on 9 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: 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.

AT
Other Health Care

Alcyone Therapeutics, Inc.

Lowell, MA · Mar 27, 2012 → Jan 8, 2025 · 11 filings
  • Jan 8, 2025 · D/A · $19,032,812 sold of $31,608,219 · 25 investors · min. No minimum reported · role: Director EDGAR ↗
  • Nov 22, 2023 · D · $17,257,814 sold of $31,608,219 · 22 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jun 17, 2021 · D · $37,103,349 sold of $37,103,349 · 31 investors · min. No minimum reported · role: Director EDGAR ↗
  • Sep 2, 2020 · D · $17,550,174 sold of $19,458,809 · 28 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jul 3, 2019 · D · $2,208,330 sold of $3,000,000 · 17 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 11, 2019 · D · $1,650,000 sold of $1,650,000 · 17 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jan 17, 2018 · D · $5,140,609 sold of $5,140,609 · 22 investors · min. No minimum reported · role: Director EDGAR ↗
  • Dec 24, 2015 · D · $3,640,319 sold of $3,720,388 · 20 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jan 13, 2014 · D · $4,000,000 sold of $4,000,000 · 19 investors · min. No minimum reported · role: Director EDGAR ↗
  • May 20, 2013 · D · $1,000,004 sold of $1,000,004 · 18 investors · min. No minimum reported · role: Director EDGAR ↗
  • Mar 27, 2012 · D · $1,835,007 sold of $2,000,000 · 14 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $37.1M from 31 investors (100% of the $31.6M target) as of the latest filing. Richard is listed as director on 11 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.

MG
Biotechnology

Medicinal Genomics Corp

Beverly, MA · Aug 16, 2010 → Apr 7, 2021 · 8 filings
  • Apr 7, 2021 · D · $2,684,362 sold of $2,684,362 · 65 investors · min. No minimum reported · role: Director EDGAR ↗
  • Nov 2, 2017 · D/A · $5,003,160 sold of $5,003,160 · 43 investors · min. No minimum reported · role: Director EDGAR ↗
  • Sep 21, 2017 · D · $3,795,027 sold of $5,000,000 · 16 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jun 15, 2015 · D · $7,500,000 sold of Indefinite · 3 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jun 19, 2014 · D · $6,272,598 sold of Indefinite · 44 investors · min. No minimum reported · role: Director EDGAR ↗
  • Mar 26, 2013 · D · $0 sold of Indefinite · 0 investors · min. No minimum reported · role: Director EDGAR ↗
  • Oct 7, 2011 · D · $8,000,000 sold of $8,000,000 · 67 investors · min. No minimum reported · role: Director EDGAR ↗
  • Aug 16, 2010 · D · $7,008,402 sold of $7,008,402 · 49 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $8M from 67 investors (100% of the $2.68M target) as of the latest filing. Richard is listed as director on 8 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: 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.

CT
Biotechnology

Carmell Therapeutics Corp

Pittsburgh, PA · Apr 13, 2011 → Sep 25, 2020 · 19 filings
  • Sep 25, 2020 · D/A · $2,384,324 sold of $3,500,000 · 37 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jul 8, 2020 · D · $50,000 sold of $50,000 · 1 investors · min. No minimum reported · role: Director EDGAR ↗
  • Oct 16, 2019 · D · $80,000 sold of $2,300,000 · 2 investors · min. No minimum reported · role: Director EDGAR ↗
  • Mar 14, 2019 · D/A · $5,184,535 sold of $7,500,000 · 44 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jul 13, 2018 · D · $1,150,000 sold of $4,500,000 · 8 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 25, 2018 · D/A · $439,160 sold of $6,000,000 · 6 investors · min. $25,000 · role: Director EDGAR ↗
  • Jan 10, 2018 · D · $364,160 sold of $6,000,000 · 5 investors · min. $25,000 · role: Director EDGAR ↗
  • Dec 6, 2017 · D/A · $1,967,009 sold of $2,000,000 · 25 investors · min. $3,741 · role: Director EDGAR ↗
  • Oct 3, 2017 · D · $398,235 sold of $1,500,000 · 4 investors · min. $25,000 · role: Director EDGAR ↗
  • Apr 14, 2017 · D/A · $1,055,575 sold of $2,000,000 · 25 investors · min. $10,000 · role: Director EDGAR ↗
  • Jan 9, 2017 · D · $767,474 sold of $1,500,000 · 17 investors · min. $10,000 · role: Director EDGAR ↗
  • Feb 5, 2016 · D · $774,853 sold of $1,000,000 · 8 investors · min. $5,683 · role: Director EDGAR ↗
  • Aug 4, 2015 · D · $137,233 sold of $300,000 · 5 investors · min. No minimum reported · role: Director EDGAR ↗
  • Dec 30, 2014 · D/A · $556,172 sold of $556,172 · 11 investors · min. No minimum reported · role: Director EDGAR ↗
  • Nov 12, 2014 · D · $303,818 sold of $500,000 · 6 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jun 11, 2014 · D/A · $681,456 sold of $1,000,000 · 11 investors · min. $25,000 · role: Director EDGAR ↗
  • Dec 23, 2013 · D · $370,000 sold of $1,000,000 · 5 investors · min. $50,000 · role: Director EDGAR ↗
  • Dec 14, 2012 · D · $410,797 sold of $500,000 · 8 investors · min. $4,257 · role: Director EDGAR ↗
  • Apr 13, 2011 · D · $2,389,228 sold of $2,970,000 · 9 investors · min. $25,000 · role: Director EDGAR ↗

Raised $5.18M from 44 investors (100% of the $3.5M target) as of the latest filing. Richard is listed as director on 19 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: 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.

CS
Other Health Care

CASTLEWOOD SURGICAL INC

Concord, MA · Jun 6, 2012
  • Jun 6, 2012 · D · $408,763 sold of $1,000,000 · 9 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $1M from 9 investors (100% of the $1M 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.

E
Manufacturing · group: Eggrock

Eggrock, Inc.

Littleton, MA · Jul 1, 2009 → Aug 5, 2010 · 4 filings
  • Aug 5, 2010 · D · $500,000 sold of $2,500,000 · 2 investors · min. $100,000 · role: Director EDGAR ↗
  • Nov 12, 2009 · D · $750,000 sold of $750,000 · 1 investors · min. No minimum reported · role: Director EDGAR ↗
  • Sep 22, 2009 · D · $750,000 sold of $750,000 · 2 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jul 1, 2009 · D · $1,999,999 sold of $1,999,999 · 1 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $2M from 2 investors (80% of the $2.5M target) as of the latest filing. Richard is listed as director on 4 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 Upton — VA, 1 issuer, Feb 3, 2010 → Feb 3, 2010 · no shared issuer

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.

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

David Donabedian

Director · 22 shared filings (3 issuers) · also on 22 other issuers

David Donabedian is on 25 issuers in total — a repeat sponsor. Their page lists every one.

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

PJ Anand

Executive Officer, Director · 22 shared filings (3 issuers) · also on 1 other issuer

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

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

Stephen Oesterle

Director · 18 shared filings (3 issuers) · also on 1 other issuer

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

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

James F. Jordan

Director · 17 shared filings (1 issuer) · also on 1 other issuer

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

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

David W. Anderson

Director · 12 shared filings (2 issuers) · also on 5 other issuers

David W. Anderson is on 7 issuers in total — a repeat sponsor. Their page lists every one.

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

Cameron Durrant

Director · 11 shared filings (2 issuers)

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

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

Edgar D. Jannotta, Jr.

Director · 11 shared filings (2 issuers) · also on 1 other issuer

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

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

Randolph Hubbell

Executive Officer, Director · 11 shared filings (1 issuer)

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

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

Donna Godward

Executive Officer · 10 shared filings (1 issuer)

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

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

James Hart

Executive Officer · 10 shared filings (1 issuer) · also on 1 other issuer

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

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

Stephanie Kladakis

Executive Officer · 10 shared filings (1 issuer)

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

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

Stanton Rowe

Director · 9 shared filings (1 issuer)

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

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

Elsa Abruzzo

Executive Officer, Director · 9 shared filings (1 issuer)

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

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

Edgar D Janotta

Director · 9 shared filings (1 issuer)

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

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

William R. Newlin

Director, Executive Officer · 8 shared filings (1 issuer) · also on 5 other issuers

William R. Newlin is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

Richard T. McKernan

Director · 8 shared filings (1 issuer)

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

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

Brendan L. McKernan

Executive Officer, Director · 8 shared filings (1 issuer)

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

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

Alan I. West

Executive Officer, Director · 8 shared filings (1 issuer)

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

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

Paul Kornblith

Director, Executive Officer · 8 shared filings (1 issuer) · also on 2 other issuers

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

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

Philip Chapman

Director · 8 shared filings (1 issuer)

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

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

Patrick B. Costello

Executive Officer · 6 shared filings (1 issuer)

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

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

Stephen M. McLean

Director · 5 shared filings (1 issuer)

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

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

John J. Altorelli

Executive Officer, Director · 5 shared filings (1 issuer)

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

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

Ghassan Kassab

Director · 4 shared filings (1 issuer)

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

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

Jeffrey L. Barrett

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

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

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

William Seery

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

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

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

Joshua Tolkoff

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

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

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

Wendy DiCicco

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

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

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

R. Brian McKernan

Executive Officer, Director · 4 shared filings (1 issuer)

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

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

Emery G. Olcott

Director · 4 shared filings (1 issuer)

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

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

Gilles Spenlehauer

Director · 4 shared filings (1 issuer)

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

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

Kathryn Gregory

Director · 4 shared filings (1 issuer)

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

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

Patrick Sturgeon

Director · 4 shared filings (1 issuer)

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

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

Rajiv S. Shukla

Executive Officer, Director · 4 shared filings (1 issuer)

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

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

Todd Warden

Director · 4 shared filings (1 issuer)

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

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

Norbert Riedel

Director · 4 shared filings (2 issuers)

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

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

Mark H. DeBlois

Director · 3 shared filings (1 issuer) · also on 8 other issuers

Mark H. DeBlois is on 9 issuers in total — a repeat sponsor. Their page lists every one.

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

Kevin J. McKernan

Executive Officer · 3 shared filings (1 issuer)

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

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

Scott Frisch

Director · 3 shared filings (1 issuer)

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

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

Bryan Cassaday

Executive Officer · 3 shared filings (1 issuer)

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

The team behind the deals

E
Sponsor group

Eggrock

2 issuers · 6 filings · $960K reported sold · 2009–2010

One team, 2 deal companies. Richard Upton 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 Upton.

Same business address

41 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)

None of the 8 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 Upton 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 8 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Richard Upton is listed on: none on file. No website or social profile named in Neela Therapeutics, Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #25,194 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 (Lunenburg, 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 ↗Arizona Judicial Branch public access ↗New Hampshire state courts — find the court ↗Pennsylvania UJS portal case search ↗

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 ↗Arizona Secretary of State business search ↗New Hampshire Secretary of State business search ↗Pennsylvania Secretary of State business search ↗OpenCorporates ↗

Change history

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