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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:42 AM ET

Sponsor Check › Person

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

Robert M. Lichten

Named as an officer, director or promoter on SEC Form D filings · NY · May 12, 2009 → Jan 30, 2019

2deals (issuers)
$10Mreported sold
1investors
4Form D filings
2009–2019years on file

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:18 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Robert M. Lichten is listed as a director on 4 SEC Form D filings by 2 issuers between May 2009 and Jan 2019: Inter-Atlantic Fund III LP (Ny, NY — pooled investment fund — 2009–2011; $10M reported sold to 1 investors) and SYNCORA HOLDINGS LTD (Hamilton, Bermuda (as filed: D0) — insurance — 2018–2019).

What this means 2 separate companies raised money with this person listed as director, over about 10 years. Across those companies the filings report $10M sold in total.

Listed alongside Michael P. Esposito, Jr. (3 shared filings), Alan Carr (2 shared filings), Andrew Lerner (2 shared filings), Brett G. Baris (2 shared filings), Coleman D. Ross (2 shared filings) and 13 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.

1 of the issuers belongs to the sponsor group Inter Atlantic (6 issuers, $83.7M reported sold, 2009–2024).

What this means A sponsor group is one team that sets up a new company for each deal. Inter Atlantic has 6 companies on file and $83.7M 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) — 1 court case matching the name, 1 state regulator order listed in Key records below.

What this means 2 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 4 public filings for Robert M. Lichten and found 3 differences, 1 worth asking the sponsor about: Paid seller listed without a CRD number: Trinity Group Limited; 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 M. Lichten has not run yet — it is joining a line of 59,613 names; searches run around the clock at the hosts' allowed rate. Searched so far: 677 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

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

Lichten v. Lucent Technologies closed
District Court, N.D. California · No. 3:97-cv-00084 · Filed Jan 8, 1997 · Closed Jan 31, 1997
Role of Lichten: Plaintiff · Outcome: Terminated 1997-01-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 2 federal dockets); surname only in the caption; court in CA (not a filing state)
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, 2:18 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

1 state regulator order

Order Initiating Investigation OK · Oklahoma Department of Securities
Order date Nov 6, 2002 · Regulator: Oklahoma Department of Securities · Parties (regulator's caption): United Ventures, Jack W. Forrester, Matthew M. Reynolds, L.Vergo Mortensen, T. Mace Lichten, Peter L. Lynch, Barbara Lynn Taylor, Mark Thompson, William T. Hurst
Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗
same rare surname (2 people in Form D filings); different first name (mace); regulator in OK (not a filing state)
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 M. Lichten..

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, 2:18 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

3 differences found between the filings for Robert M. Lichten — 1 worth asking about (compared 4 filings on Oct 24, 2026)

Note · Mar 7, 2011

Robert M. Lichten appears on 1 deal that stopped filing before reaching its target

Inter-Atlantic Fund III LP (last filing Mar 7, 2011; $10,000,000 sold of $150,000,000). Each has no filing in more than two years and reported under half its target sold.

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

Sources
Worth asking · Mar 7, 2011

Paid seller listed without a CRD number: Trinity Group Limited — Inter-Atlantic Fund III LP

Trinity Group Limited is listed as receiving sales compensation on 1 filing (Mar 7, 2011) with no FINRA CRD number given.

What this means People paid to sell securities normally hold a FINRA registration with a CRD number. Without one we cannot look them up on BrokerCheck. Ask who they are and whether they are registered.

Sources
Note · May 13, 2009 – Mar 7, 2011

No amendment in the last 12 months on an offering that may still be open — Inter-Atlantic Fund III LP (latest filing Mar 7, 2011)

The latest filing for this offering is dated Mar 7, 2011 (first sale May 13, 2009). It reports $10,000,000 sold of $150,000,000 offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

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 2 offerings report sales commissions; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Jan 30, 2019 D/A
SYNCORA HOLDINGS LTD
File 021-304489
$0$0$0None listed on this filingEDGAR ↗
Mar 7, 2011 D/A
Inter-Atlantic Fund III LP
File 021-130855
$0$0$0 (est.)
An affiliate of the GP Ltd. will receive a fee for management services. Amount to be paid, number of years to be paid and extent to be paid out of adjusted gross proceeds unknown at this time.
HedgeCo Securities, LLC BrokerCheck CRD 142498 ↗
Trinity Group Limited no CRD number reported
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 2

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

Insurance

SYNCORA HOLDINGS LTD

Hamilton, Bermuda (as filed: D0) · Jan 31, 2018 → Jan 30, 2019 · 2 filings
  • Jan 30, 2019 · D/A · $0 sold of Indefinite · 0 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jan 31, 2018 · D · $0 sold of Indefinite · 0 investors · min. No minimum reported · role: Director EDGAR ↗

No sales reported yet as of the latest filing. Robert is listed as director on 2 filings for this deal.

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: Insurance / 506(b) (687 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.

Pooled Investment Fund · group: Inter Atlantic

Inter-Atlantic Fund III LP

Ny, NY · May 12, 2009 → Mar 7, 2011 · 2 filings
  • Mar 7, 2011 · D/A · $10,000,000 sold of $150,000,000 · 1 investors · min. No minimum reported · role: Director (Director of the GP Ltd.) EDGAR ↗
  • May 12, 2009 · D · $0 sold of $150,000,000 · 0 investors · min. No minimum reported · role: Director (Director of the GP Ltd.) EDGAR ↗

Raised $10M from 1 investor (7% of the $150M target) as of the latest filing. Robert is listed as director on 2 filings for this deal.

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.

  • Robert Lichten — NY, 1 issuer, Oct 29, 2009 → Oct 29, 2009 · no shared issuer

People around Robert 18

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

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

Michael P. Esposito, Jr.

Director · 3 shared filings (2 issuers)

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

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

Frederick S. Hammer

Director · 2 shared filings (1 issuer)

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

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

Andrew Lerner

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

Andrew Lerner is on 12 issuers in total — a repeat sponsor. Their page lists every one.

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

Robert J. White

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

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

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

E. Grant Gibbons

Director · 2 shared filings (1 issuer)

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

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

Robert Mills

Director · 2 shared filings (1 issuer)

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

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

Coleman D. Ross

Director · 2 shared filings (1 issuer)

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

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

David M. Grande

Executive Officer · 2 shared filings (1 issuer)

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

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

Alan Carr

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

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

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

James W. Lundy, Jr.

Executive Officer · 2 shared filings (1 issuer)

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

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

Orlando Rivera

Executive Officer · 2 shared filings (1 issuer)

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

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

Frederick Arnold

Director · 2 shared filings (1 issuer)

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

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

Frederick B. Hnat

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

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

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

Drew D. Hoffman

Executive Officer · 2 shared filings (1 issuer)

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

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

Brett G. Baris

Director · 2 shared filings (1 issuer) · also on 4 other issuers

Brett G. Baris is on 5 issuers in total — a repeat sponsor. Their page lists every one.

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

Richard Louis Viton

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

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

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

Eduardo Bohorquez

Director · 1 shared filing (1 issuer)

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

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

Mary Jane Constant

Executive Officer · 1 shared filing (1 issuer)

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

The team behind the deals

Sponsor group

Inter Atlantic

6 issuers · 10 filings · $83.7M reported sold · 2009–2024

One team, 6 deal companies. Robert M. Lichten 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 Robert M. Lichten.

Same business address

13 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); KY (Kentucky Secretary of State — Business Entity Search (sosbes.sos.ky.gov), searched by issuer name, data as of Oct 24, 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 2 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 Robert M. Lichten 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 2 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Robert M. Lichten is listed on: none on file. No website or social profile named in SYNCORA HOLDINGS LTD's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #240,589 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 (Hamilton, D0). 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.

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