Robert Thomas is listed as an executive officer, director, and promoter on 9 SEC Form D filings by 7 issuers between Sep 2009 and Aug 2016. Largest by amount reported sold: CLAYTON WILLIAMS ENERGY INC /DE (Midland, TX — oil and gas — 2016; $150M reported sold to 13 investors), Alloy Merchant Finance LP (Houston, TX — other banking and financial services — 2015; $15.1M reported sold to 24 investors), Emerging Infrastructure Capital Partners, LLC (Kingwood, TX — pooled investment fund — 2015; $10M reported sold to 1 investors), Continuus Energy, Inc. (Kingwood, TX — other energy — 2015; $2M reported sold to 1 investors), Paradigm Exploration Co (Addison, TX — oil and gas — 2011–2013; $600K reported sold to 15 investors) and 2 more (all listed below).
What this means A repeat sponsor — 7 separate companies raised money with this person listed as executive officer, director, and promoter, over about 7 years. Across those companies the filings report $178.2M sold in total.
The issuers belong to 3 sponsor groups: Pagf (4 issuers, $39.6M reported sold, 2013–2015), Paradigm (2 issuers, $650K reported sold, 2009–2013) and Kerogen (2 issuers, $26.5M reported sold, 2010–2012).
What this means This person is listed across more than one sponsor team; each group page shows that team's full track record.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AZ, CA, DE, TX, WA) — 4 bankruptcy cases matching the name listed in Key records below.
What this means 4 records came back. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.
We compared 9 public filings for Robert Thomas and found 11 differences, 1 worth asking the sponsor about: Paid seller listed without a CRD number: Hugh Reid; 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.