PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 5:18 AM ET

Sponsor Check › Person

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

Robert Gottlich

Named as an officer, director or promoter on SEC Form D filings · TX · Aug 11, 2020 → Aug 11, 2020

1deal (issuers)
$140Mreported sold
59investors
1Form D filing
2020year on file

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:47 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Robert Gottlich is listed as an executive officer on 1 SEC Form D filing by 1 issuer in Aug 2020: Happy Bancshares, Inc. (Amarillo, TX — other banking and financial services — 2020; $140M reported sold to 59 investors).

What this means One deal on file with the SEC, filed Aug 2020. A Form D is the notice a company files after it starts selling a private investment — it is a notice, not an approval.

Listed alongside Alan VanOngevalle (1 shared filing), Alberto Rios (1 shared filing), Bill Jennings (1 shared filing), Brian Vincent (1 shared filing), Connie Ratliff (1 shared filing) and 22 others.

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

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AZ, CA, DE, TX, WA) — 2 court cases matching the name, 1 bankruptcy case matching the name listed in Key records below.

What this means 3 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.

What the community is saying

Community search for Robert Gottlich has not run yet — it is joining a line of 12,468 names; searches run around the clock at the hosts' allowed rate. Searched so far: 27 names.

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

Key records

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

1. Lawsuits

2 cases: 1 closed (disposition not in docket feed), 1 dismissed

Gottlich v. Lowe's Home Centers, Inc. closed
District Court, N.D. Texas · No. 4:21-cv-00611 · Filed Apr 30, 2021 · Closed Apr 13, 2023
Role of Gottlich: Plaintiff · Outcome: Terminated 2023-04-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 4 federal dockets); surname only in the caption; court in the person's filing state (TX)
Gottlich v. Brace Industrial Group, L.P. dismissed
District Court, S.D. Texas · No. 2:18-cv-00034 · Filed Feb 2, 2018 · Closed Apr 4, 2018 · Nature of suit: 190 Contract: Other · Cause: 28:1330 Breach of Contract
Role of Gottlich: Plaintiff · Outcome: Terminated 2018-04-04 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 4 federal dockets); surname only in the caption; court in the person's filing state (TX)
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, 2:47 AM ET.

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

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

2. Regulatory actions

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

What was searched

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

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

3. Bankruptcies

1 case: 1 closed (disposition not in docket feed)

Robert D. Gottlich and Darlene D. Gottlich closed
United States Bankruptcy Court, D. Massachusetts · No. 10-17106 · Filed Jun 29, 2010 · Closed May 12, 2014
Role of Robert D. Gottlich and Darlene D. Gottlich: Debtor · Outcome: Case closed 2014-05-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 4 federal dockets); first name matches; court in MA (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, 2:47 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

No differences found between the public filings we have for Robert Gottlich (compared 1 filing on Oct 24, 2026).

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 1 offering reports sales commissions totalling $2,100,000; 0 report finder's fees; 0 report proceeds to related persons.

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Aug 11, 2020 D
Happy Bancshares, Inc.
File 021-372948
$2,100,000$0$0Piper Sandler & Co. BrokerCheck CRD 665 ↗
Stephens Inc. BrokerCheck CRD 3496 ↗
EDGAR ↗
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 1

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

Other Banking and Financial Services

Happy Bancshares, Inc.

Amarillo, TX · Aug 11, 2020
  • Aug 11, 2020 · D · $140,000,000 sold of $140,000,000 · 59 investors · min. $100,000 · role: Executive Officer EDGAR ↗

Raised $140M from 59 investors (100% of the $140M target) as of the latest filing. Robert is listed as executive officer.

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 Banking and Financial Services / 506(b) (1,630 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.

People around Robert 27

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

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

David Jones

Executive Officer · 1 shared filing (1 issuer) · also on 5 other issuers

David Jones is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

J. David Williams

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

Listed on the same filings as Robert Gottlich. Their page shows their other deals.

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

Drayton McLane, III

Director · 1 shared filing (1 issuer)

Listed on the same filings as Robert Gottlich. Their page shows their other deals.

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

Mike Kuhlman

Director · 1 shared filing (1 issuer)

Listed on the same filings as Robert Gottlich. Their page shows their other deals.

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

Connie Ratliff

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Robert Gottlich. Their page shows their other deals.

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

G. Bailey Peyton, IV

Director · 1 shared filing (1 issuer)

Listed on the same filings as Robert Gottlich. Their page shows their other deals.

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

J. Brian Sims, MD

Director · 1 shared filing (1 issuer)

Listed on the same filings as Robert Gottlich. Their page shows their other deals.

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

Brian Vincent

Director · 1 shared filing (1 issuer)

Listed on the same filings as Robert Gottlich. Their page shows their other deals.

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

Trent Sisemore

Director · 1 shared filing (1 issuer)

Listed on the same filings as Robert Gottlich. Their page shows their other deals.

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

J. Pat Hickman

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

Listed on the same filings as Robert Gottlich. Their page shows their other deals.

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

Eric Alexander

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Robert Gottlich. Their page shows their other deals.

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

Frank Marrs

Director · 1 shared filing (1 issuer)

Listed on the same filings as Robert Gottlich. Their page shows their other deals.

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

Victor A. Weir, II

Director · 1 shared filing (1 issuer)

Listed on the same filings as Robert Gottlich. Their page shows their other deals.

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

Ginger Nelson

Director · 1 shared filing (1 issuer)

Listed on the same filings as Robert Gottlich. Their page shows their other deals.

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

Bill Jennings

Director · 1 shared filing (1 issuer)

Listed on the same filings as Robert Gottlich. Their page shows their other deals.

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

John Zwiacher

Director · 1 shared filing (1 issuer)

Listed on the same filings as Robert Gottlich. Their page shows their other deals.

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

Ross Glenn

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Robert Gottlich. Their page shows their other deals.

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

Kayla Carpenter

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Robert Gottlich. Their page shows their other deals.

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

Mikel Williamson

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

Listed on the same filings as Robert Gottlich. Their page shows their other deals.

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

Scott Lewis

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Robert Gottlich. Their page shows their other deals.

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

Alan VanOngevalle

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Robert Gottlich. Their page shows their other deals.

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

Nancy Gaitan-Kernell

Director · 1 shared filing (1 issuer)

Listed on the same filings as Robert Gottlich. Their page shows their other deals.

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

Alberto Rios

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Robert Gottlich. Their page shows their other deals.

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

Renee McNeely

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Robert Gottlich. Their page shows their other deals.

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

Matthew Bumstead

Director · 1 shared filing (1 issuer)

Listed on the same filings as Robert Gottlich. Their page shows their other deals.

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

Wendi Costlow

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Robert Gottlich. Their page shows their other deals.

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

David W. Smith

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Robert Gottlich. Their page shows their other deals.

Registrations and other filings

Adviser registration (Form ADV)

None of the 1 issuer 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 Robert Gottlich 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 1 issuer this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Robert Gottlich is listed on: none on file. No website or social profile named in Happy Bancshares, Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #212,091 of 374,652 in line (14 issuers searched so far). One-tap searches: Look further ↓

Look further

One-tap searches on sites we do not index ourselves, with the name pre-filled (Amarillo, TX). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Change history

No corrections have been requested for this page.

Every fact links to its public-record source. Plain-English notes next to a fact are our reading of that fact, not a rating. Request a correction · Facts policy

Request a correction

Free. Logged with status: received → under review → fixed / confirmed with source.

Add a response

If this is you or your firm, add a sourced explanation next to any fact. Reviewed before publishing.

Monitor this person

Members get an email when Robert Gottlich appears on a new Form D, or when a court case or SEC action is matched to them. See plans →