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

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Robert Ellis

Named as an officer, director or promoter on SEC Form D filings · Australia (as filed: C3) · Sep 24, 2009 → Sep 24, 2009

1deal (issuers)
$18.2Mreported sold
13investors
1Form D filing
2009year on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:19 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Robert Ellis is listed as an executive officer on 1 SEC Form D filing by 1 issuer in Sep 2009: Sigma Pharmaceuticals Ltd (South Croydon, Victoria, Australia (as filed: C3) — pharmaceuticals — 2009; $18.2M reported sold to 13 investors).

What this means One deal on file with the SEC, filed Sep 2009. 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 Brian Jamieson (1 shared filing), Craig Tomlinson (1 shared filing), David S Bayes (1 shared filing), Elmo de Alwis (1 shared filing), Geoffrey D W Curlewis (1 shared filing) and 12 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 (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) — none found.

What this means Nothing turned up where we looked (3 sources). That does not prove there is nothing — it means none was found in those sources on that date.

We compared 1 public filing for Robert Ellis and found 5 differences: Same name, different state: "Robert Benjamin Ellis" (MA) is a separate record; Same name, different state: "Robert Ellis" (CT) is a separate record; 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 Robert Ellis has not run yet — it is joining a line of 31,668 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, 2:19 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 Robert Ellis..

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

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

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, 2:19 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.

4. Differences between public sources

Comparisons cover issuers and sponsor groups — see the issuer pages under Deals

5 differences found between the filings for Robert Ellis (compared 1 filing on Oct 24, 2026)

Note · Jan 24, 2023 – Apr 29, 2026

Same name, different state: "Robert Benjamin Ellis" (MA) is a separate record

This page covers filings where the address state is C3. A separate record, "Robert Benjamin Ellis" with address state MA, is listed on 6 filings — most recently by C-Combinator, A Public Benefit Corp (Apr 29, 2026). The two records do not overlap in time: this page has one filing dated Sep 24, 2009; the other runs Jan 24, 2023 to Apr 29, 2026.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

Robert Benjamin Ellis (MA) — PartnerFacts page ↗Form D · Apr 29, 2026 ↗C-Combinator, A Public Benefit Corp — PartnerFacts page ↗Robert Ellis (C3) — this page ↗
Sources
Note · Mar 9, 2010 – Mar 10, 2017

Same name, different state: "Robert Ellis" (CT) is a separate record

This page covers filings where the address state is C3. A separate record, "Robert Ellis" with address state CT, is listed on 12 filings — most recently by Noroneke Partners L.P. (Mar 10, 2017). The two records do not overlap in time: this page has one filing dated Sep 24, 2009; the other runs Mar 9, 2010 to Mar 10, 2017.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

Robert Ellis (CT) — PartnerFacts page ↗Form D/A · Mar 10, 2017 ↗Noroneke Partners L.P. — PartnerFacts page ↗Robert Ellis (C3) — this page ↗
Sources
Note · Dec 4, 2012 – Dec 19, 2012

Same name, different state: "Robert A. Ellis" (A0) is a separate record

This page covers filings where the address state is C3. A separate record, "Robert A. Ellis" with address state A0, is listed on 2 filings — most recently by Scollard Energy Ltd. (Dec 19, 2012). The two records do not overlap in time: this page has one filing dated Sep 24, 2009; the other runs Dec 4, 2012 to Dec 19, 2012.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

Robert A. Ellis (A0) — PartnerFacts page ↗Form D/A · Dec 19, 2012 ↗Scollard Energy Ltd. — PartnerFacts page ↗Robert Ellis (C3) — this page ↗
Sources
Note · Jul 18, 2012

Same name, different state: "Robert Ellis" (CA) is a separate record

This page covers filings where the address state is C3. A separate record, "Robert Ellis" with address state CA, is listed on 2 filings — most recently by VERTICALRESPONSE INC (Jul 18, 2012). The two records do not overlap in time: this page has one filing dated Sep 24, 2009; the other has one filing dated Jul 18, 2012.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

Robert Ellis (CA) — PartnerFacts page ↗Form D · Jul 18, 2012 ↗VERTICALRESPONSE INC — PartnerFacts page ↗Robert Ellis (C3) — this page ↗
Sources
Note · Apr 6, 2009 – Mar 3, 2010

Same name, different state: "ROBERT ELLIS" (A5) is a separate record

This page covers filings where the address state is C3. A separate record, "ROBERT ELLIS" with address state A5, is listed on 2 filings — most recently by CAPELLA RESOURCES LTD (Mar 3, 2010). Both records have filings in the same period (Sep 24, 2009).

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.

ROBERT ELLIS (A5) — PartnerFacts page ↗Form D · Mar 3, 2010 ↗CAPELLA RESOURCES LTD — PartnerFacts page ↗Robert Ellis (C3) — this 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

0 of 1 offering report sales commissions; 0 report finder's fees; 0 report proceeds to related persons.

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Sep 24, 2009 D
Sigma Pharmaceuticals Ltd
File 021-134695
$0$0$0Deutsche Bank Securities Inc. BrokerCheck CRD 2525 ↗
via Deutsche Bank Securities Inc. (CRD 2525 ↗)
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 Ellis on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

SP
Pharmaceuticals

Sigma Pharmaceuticals Ltd

South Croydon, Victoria, Australia (as filed: C3) · Sep 24, 2009
  • Sep 24, 2009 · D · $18,215,562 sold of $18,215,562 · 13 investors · min. No minimum reported · role: Executive Officer (General Manager Business Development) EDGAR ↗

Raised $18.2M from 13 investors (100% of the $18.2M target) as of the latest filing. Robert 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.

Other pages with the same name (9)

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

  • Robert Ellis — CT, 2 issuers, Mar 9, 2010 → Mar 10, 2017 · no shared issuer
  • Robert Benjamin Ellis — MA, 1 issuer, Jan 24, 2023 → Apr 29, 2026 · no shared issuer
  • Robert A. Ellis — Alberta, Canada (as filed: A0), 1 issuer, Dec 4, 2012 → Dec 19, 2012 · no shared issuer
  • ROBERT ELLIS — Nova Scotia, Canada (as filed: A5), 1 issuer, Apr 6, 2009 → Mar 3, 2010 · no shared issuer
  • Robert Ellis — CA, 1 issuer, Jul 18, 2012 → Jul 18, 2012 · no shared issuer
  • Robert Ellis — NY, 1 issuer, Apr 3, 2020 → Apr 3, 2020 · no shared issuer
  • Robert Ellis — IN, 1 issuer, Sep 21, 2026 → Sep 21, 2026 · no shared issuer
  • Robert Ellis — MA, 1 issuer, Jun 3, 2009 → Jun 3, 2009 · no shared issuer
  • Robert B. Ellis — Alberta, Canada (as filed: A0), 1 issuer, May 22, 2009 → May 22, 2009 · no shared issuer

People around Robert 17

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

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

Linda B Nicholls

Director · 1 shared filing (1 issuer)

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

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

David S Bayes

Director · 1 shared filing (1 issuer)

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

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

Craig Tomlinson

Executive Officer · 1 shared filing (1 issuer)

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

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

Geoffrey D W Curlewis

Director · 1 shared filing (1 issuer)

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

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

Michael Long

Executive Officer · 1 shared filing (1 issuer)

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

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

Elmo de Alwis

Director · 1 shared filing (1 issuer)

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

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

James Barrie

Executive Officer · 1 shared filing (1 issuer)

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

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

Ian Finlay

Executive Officer · 1 shared filing (1 issuer)

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

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

Sue Morgan Dethick

Executive Officer · 1 shared filing (1 issuer)

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

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

Mark Smith

Executive Officer · 1 shared filing (1 issuer)

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

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

William J Scott

Director · 1 shared filing (1 issuer)

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

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

Jackie Toh

Executive Officer · 1 shared filing (1 issuer)

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

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

John W Stocker AO

Director · 1 shared filing (1 issuer)

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

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

Steve Waller

Executive Officer · 1 shared filing (1 issuer)

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

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

Keith Jeffs

Executive Officer · 1 shared filing (1 issuer)

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

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

Brian Jamieson

Director · 1 shared filing (1 issuer)

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

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

Peter Tilley

Executive Officer · 1 shared filing (1 issuer)

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

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 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 Ellis 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 Ellis is listed on: none on file. No website or social profile named in Sigma Pharmaceuticals Ltd's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #367,894 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 (South Croydon, Victoria, C3). 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) ↗

Securities regulators

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

Business registries

OpenCorporates ↗

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

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