Sponsor Check › Person
Named as an officer, director or promoter on SEC Form D filings · CA · Aug 26, 2010 → Jul 6, 2026
Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:20 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET
Robert Y. Newell is listed as an executive officer and director on 8 SEC Form D filings by 2 issuers between Oct 2009 and Jul 2026: CARDICA INC (Redwood City, CA — other health care — 2009–2010; $10.2M reported sold to 49 investors) and Peraso Inc. (San Jose, CA — other technology — 2022–2026; $7.49M reported sold to 7 investors).
What this means 2 separate companies raised money with this person listed as executive officer and director, over about 17 years. Across those companies the filings report $17.7M sold in total.
Listed alongside Andreas Melder (5 shared filings), Daniel Lewis (5 shared filings), Ronald Glibbery (5 shared filings), Ian McWalter (4 shared filings), Alexander Tomkins (3 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.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, OK, OR, PA, RI, SC, SD, TN, TX, VT, WA, WI, WV, WY) — 1 court case matching the name, 2 SEC releases, 6 bankruptcy cases matching the name listed in Key records below.
What this means 9 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 8 public filings for Robert Y. Newell and found 10 differences, 2 worth asking the sponsor about: Regulator action: Robert Newell (May 14, 2026); Regulator action: Robert Newell and Black Hawk Funding, Inc. (Jul 23, 2024); 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.
Community search for Robert Y. Newell has not run yet — it is joining a line of 26,274 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: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).
Five things investors ask first. Items still in human review are counted, not shown.
1 case: 1 closed (disposition not in docket feed)
Securities/Commodities· Cause:
15:77 Securities Fraud
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, 2:20 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 SEC releases
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 Y. Newell..
State securities regulators: Securities regulators searched (3,318 actions): 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), DE DOJ Investor Protection Unit (257 actions, 1987–2026), TX State Securities Board (586 actions, 2006–2026), WA DFI (2,039 actions, 2001–2026) — last crawled Oct 23, 2026, 9:57 PM ET. No machine-readable public listing today for CO, FL, IA, IN, MN, NE, NJ, NY, OH, UT, VA (see docs/state-regulators.md).
6 cases: 6 closed (disposition not in docket feed)
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, 2:20 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.
Comparisons cover issuers and sponsor groups — see the issuer pages under Deals
10 differences found between the filings for Robert Y. Newell — 2 worth asking about (compared 8 filings on Oct 24, 2026)
An SEC litigation release dated May 14, 2026 names Robert Y. Newell. Our match estimate: 44%. The release is the source; we do not summarize its outcome here.
What this means A regulator filed or announced an action naming this person or company (or someone on the same filings). Read the release; ask the sponsor what it was and how it ended.
An SEC litigation release dated Jul 23, 2024 names Robert Y. Newell. Our match estimate: 44%. The release is the source; we do not summarize its outcome here.
What this means A regulator filed or announced an action naming this person or company (or someone on the same filings). Read the release; ask the sponsor what it was and how it ended.
United States Bankruptcy Court, S.D. California docket "First National Bank, a National Banking Associatio v. Purvin" filed Nov 19, 1990, closed Aug 18, 1993. Jeffrey Purvin (listed on the same filings) is listed as Defendant ("Purvin"). 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.
The latest filing for this offering is dated Dec 22, 2010 (first sale Dec 14, 2010). It reports $600,001 sold of $10,600,001 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.
The latest filing for this offering is dated Oct 1, 2009 (first sale Sep 25, 2009). It reports $10,197,957 sold of $16,100,967 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.
listed as "Robert Newell" on 4 filings (from Oct 1, 2009), and "Robert Y. Newell" on 4 filings (from Aug 26, 2010).
What this means Same person, written differently — a middle name or suffix left off, or spelled another way. It is normal, but check that the full legal name matches your subscription documents.
"$5,000,001 - $25,000,000" (Oct 1, 2009); then "$1,000,001 - $5,000,000" (Aug 26, 2010).
What this means This is the size band the issuer picks for itself on the form. A change can mean the business grew or shrank — or that it chose not to say. Ask for current numbers.
This page covers filings where the address state is CA. A separate record, "Robert Newell" with address state NV, is listed on 3 filings — most recently by NeuroReserve Inc. (Apr 9, 2025). Both records have filings in the same period (Sep 12, 2022 to Apr 9, 2025).
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.
This page covers filings where the address state is CA. A separate record, "Robert Newell" with address state ID, is listed on 5 filings — most recently by Trustee Opportunity Partners, L.P. (Oct 27, 2015). Both records have filings in the same period (Oct 26, 2011 to Oct 27, 2015).
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.
This page covers filings where the address state is CA. A separate record, "Robert Y. IV Newell" with address state WI, is listed on 1 filing — most recently by ARI NETWORK SERVICES INC /WI (Mar 27, 2013). Both records have filings in the same period (Mar 27, 2013).
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.
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.
4 of 8 offerings report sales commissions totalling $1,211,020; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)
| Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it | Source |
|---|---|---|---|---|---|
| Jul 6, 2026 D Peraso Inc. File 021-589678 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Sep 24, 2025 D Peraso Inc. File 021-558438 | $244,477 | $0 | $0 | Ladenburg Thalmann & Co. Inc. BrokerCheck CRD 000000505 ↗ | EDGAR ↗ |
| Nov 19, 2024 D Peraso Inc. File 021-529879 | $518,273 | $0 | $0 | Ladenburg Thalman & Co. Inc. BrokerCheck CRD 000000505 ↗ | EDGAR ↗ |
| Jun 6, 2023 D Peraso Inc. File 021-483389 | $277,575 (est.) | $0 | $0 | The Benchmark Company, LLC BrokerCheck CRD 22982 ↗ | EDGAR ↗ |
| Dec 9, 2022 D Peraso Inc. File 021-467083 | $170,695 | $0 | $0 | The Benchmark Company, LLC BrokerCheck CRD 22982 ↗ | EDGAR ↗ |
| Dec 22, 2010 D CARDICA INC File 021-152376 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Aug 26, 2010 D CARDICA INC File 021-146946 | $0 | $0 | $0 Proceeds from the private placement are to be used for working capital and other general corporate purposes. | None listed on this filing | EDGAR ↗ |
| Oct 1, 2009 D CARDICA INC File 021-46239 | $0 | $0 | $0 Proceeds from the private placement are to be used for working capital and other general corporate purposes. | None listed on this filing | EDGAR ↗ |
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).
Every issuer that named Robert Y. Newell on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.
Raised $7.49M from 7 investors (30% of the $25M target) as of the latest filing. Robert is listed as director on 5 filings for this deal.
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 Technology / 506(b) (17,390 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.
Raised $10.2M from 49 investors (96% of the $10.6M target) as of the latest filing. Robert is listed as executive officer on 3 filings for this deal.
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.
Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.
Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.
Listed on the same filings as Robert Y. Newell. Their page shows their other deals.
Listed on the same filings as Robert Y. Newell. Their page shows their other deals.
Listed on the same filings as Robert Y. Newell. Their page shows their other deals.
Listed on the same filings as Robert Y. Newell. Their page shows their other deals.
Listed on the same filings as Robert Y. Newell. Their page shows their other deals.
Listed on the same filings as Robert Y. Newell. Their page shows their other deals.
Listed on the same filings as Robert Y. Newell. Their page shows their other deals.
Listed on the same filings as Robert Y. Newell. Their page shows their other deals.
Listed on the same filings as Robert Y. Newell. Their page shows their other deals.
Listed on the same filings as Robert Y. Newell. Their page shows their other deals.
Listed on the same filings as Robert Y. Newell. Their page shows their other deals.
Listed on the same filings as Robert Y. Newell. Their page shows their other deals.
Listed on the same filings as Robert Y. Newell. Their page shows their other deals.
Listed on the same filings as Robert Y. Newell. Their page shows their other deals.
Listed on the same filings as Robert Y. Newell. Their page shows their other deals.
Listed on the same filings as Robert Y. Newell. Their page shows their other deals.
Listed on the same filings as Robert Y. Newell. Their page shows their other deals.
A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.
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.
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 are matched to companies only, never to individuals, so none are matched to Robert Y. Newell 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.
Websites and social links of the issuers Robert Y. Newell is listed on: none on file. No website or social profile named in CARDICA INC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #356,093 of 374,652 in line (1,307 issuers searched so far). One-tap searches: Look further ↓
One-tap searches on sites we do not index ourselves, with the name pre-filled (Redwood City, CA). Each opens in a new tab; what you find there is not verified by PartnerFacts.
No corrections have been requested for this page.
Free. Logged with status: received → under review → fixed / confirmed with source.
If this is you or your firm, add a sourced explanation next to any fact. Reviewed before publishing.
Members get an email when Robert Y. Newell appears on a new Form D, or when a court case or SEC action is matched to them. See plans →