Sponsor Check › Person
Named as an officer, director or promoter on SEC Form D filings · NY · Sep 12, 2016 → Jan 10, 2024
Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 3:05 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET
Robert Ruffolo is listed as a director on 8 SEC Form D filings by 3 issuers between Sep 2016 and Jan 2024: LB PHARMACEUTICALS INC (New York, NY — pharmaceuticals — 2020–2024; $110.7M reported sold to 74 investors), X-Vax Technology, Inc. (Jupiter, FL — biotechnology — 2016; $56.5M reported sold to 306 investors) and Sapience Therapeutics, Inc. (Harrison, NY — biotechnology — 2020; $8.01M reported sold to 83 investors).
What this means A repeat sponsor — 3 separate companies raised money with this person listed as director, over about 8 years. Across those companies the filings report $175.2M sold in total.
Listed alongside Marc Panoff (6 shared filings), Zachary Prensky (6 shared filings), Edmund Sullivan (4 shared filings), Piero Poli (4 shared filings), Vincent Grattan (4 shared filings) and 14 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) — 1 bankruptcy case matching the name listed in Key records below.
What this means 1 record 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 Ruffolo and found 12 differences, 2 worth asking the sponsor about: Paid seller listed without a CRD number: Agile Capital Markets; Form D filed 64 days after the first sale; 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 Ruffolo has not run yet — it is joining a line of 38,607 names; searches run around the clock at the hosts' allowed rate. Searched so far: 641 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.
Five things investors ask first. Items still in human review are counted, not shown.
None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026
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, 3:05 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.
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
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 Ruffolo..
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).
1 case: 1 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, 3:05 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
12 differences found between the filings for Robert Ruffolo — 2 worth asking about (compared 8 filings on Oct 24, 2026)
The Jul 6, 2022 Form D reports $903,350 sold and $115,000 of the proceeds used for payments to officers, directors or promoters (marked as an estimate).
What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.
Sapience Therapeutics, Inc. (last filing Jul 13, 2020; $8,010,876 sold of $30,000,000). 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.
Agile Capital Markets is listed as receiving sales compensation on 2 filings (Sep 21, 2023 to Jan 10, 2024) 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.
The filing says the first sale was May 3, 2022. The Form D was filed Jul 6, 2022 — 64 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 49 days past that.
What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.
The filing says the first sale was Aug 29, 2023. The Form D was filed Sep 21, 2023 — 23 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 8 days past that.
What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.
No amendment in the last 12 months on an offering that may still be open — LB PHARMACEUTICALS INC (latest filing Nov 23, 2022) · No amendment in the last 12 months on an offering that may still be open — LB PHARMACEUTICALS INC (latest filing Jul 6, 2022) · No amendment in the last 12 months on an offering that may still be open — LB PHARMACEUTICALS INC (latest filing Sep 1, 2020) · No amendment in the last 12 months on an offering that may still be open — Sapience Therapeutics, Inc. (latest filing Jul 13, 2020) · No amendment in the last 12 months on an offering that may still be open — X-Vax Technology, Inc. (latest filing Sep 12, 2016)
What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.
The Nov 1, 2022 filing says $10,000,000 offered; the Nov 23, 2022 Form D/A says $40,000,000.
What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.
This page covers filings where the address state is NY. A separate record, "Robert Ruffolo" with address state MA, is listed on 14 filings — most recently by Elicio Therapeutics, Inc. (Mar 29, 2024). Both records have filings in the same period (Oct 15, 2019 to Jan 10, 2024).
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 NY. A separate record, "Robert Ruffolo" with address state NJ, is listed on 9 filings — most recently by Elucida Oncology, Inc. (Aug 3, 2023). Both records have filings in the same period (May 26, 2020 to Aug 3, 2023).
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 NY. A separate record, "Robert Ruffolo, Jr." with address state CA, is listed on 4 filings — most recently by Aridis Pharmaceuticals, Inc. (Dec 20, 2022). Both records have filings in the same period (Dec 15, 2016 to Dec 20, 2022).
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 NY. A separate record, "Robert Ruffolo" with address state TX, is listed on 2 filings — most recently by Nacuity Pharmaceuticals, Inc. (Jan 3, 2022). Both records have filings in the same period (Mar 30, 2021 to Jan 3, 2022).
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 NY. A separate record, "Robert, Jr. Ruffolo" with address state PA, is listed on 1 filing — most recently by TREVENA INC (Jul 16, 2010). The two records do not overlap in time: this page runs Sep 12, 2016 to Jan 10, 2024; the other has one filing dated Jul 16, 2010.
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.
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 of 6 offerings report sales commissions totalling $5,364,802; 1 reports finder's fees totalling $735,000; 4 report proceeds to related persons totalling $2,339,200. (includes amounts the issuer reported as estimates)
| Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it | Source |
|---|---|---|---|---|---|
| Jan 10, 2024 D/A LB PHARMACEUTICALS INC File 021-492682 | $2,465,000 | $735,000 | $1,333,000 | Maxim Group LLC BrokerCheck CRD 120708 ↗ Agile Capital Markets no CRD number reported via Agile Capital Markets | EDGAR ↗ |
| Nov 23, 2022 D/A LB PHARMACEUTICALS INC File 021-463476 | $1,657,400 | $0 | $437,200 (est.) | Maxim Group LLC BrokerCheck CRD 120708 ↗ | EDGAR ↗ |
| Jul 6, 2022 D LB PHARMACEUTICALS INC File 021-451258 | $85,895 (est.) | $0 | $115,000 (est.) | Maxim Group LLC BrokerCheck CRD 120708 ↗ | EDGAR ↗ |
| Sep 1, 2020 D LB PHARMACEUTICALS INC File 021-374620 | $455,420 | $0 | $454,000 (est.) | Maxim Group LLC BrokerCheck CRD 120708 ↗ | EDGAR ↗ |
| Jul 13, 2020 D Sapience Therapeutics, Inc. File 021-370845 | $701,087 | $0 | $0 | Maxim Group LLC BrokerCheck CRD 12078 ↗ | EDGAR ↗ |
| Sep 12, 2016 D X-Vax Technology, Inc. File 021-270414 | $0 | $0 | $0 | None no CRD number reported | 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 Ruffolo on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.
Raised $110.7M from 74 investors (100% of the $110.7M target) as of the latest filing. Robert is listed as director on 6 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: Pharmaceuticals / 506(b) (800 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 $8.01M from 83 investors (27% of the $30M target) as of the latest filing. Robert is listed as director.
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: Biotechnology / 506(b) (3,253 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 $56.5M from 306 investors (100% of the $1M target) as of the latest filing. Robert is listed as director.
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: Biotechnology / 506(b) (3,253 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.
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 Ruffolo. Their page shows their other deals.
Listed on the same filings as Robert Ruffolo. Their page shows their other deals.
Listed on the same filings as Robert Ruffolo. Their page shows their other deals.
Listed on the same filings as Robert Ruffolo. Their page shows their other deals.
Isaac Blech is on 20 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Robert Ruffolo. Their page shows their other deals.
Listed on the same filings as Robert Ruffolo. Their page shows their other deals.
Listed on the same filings as Robert Ruffolo. Their page shows their other deals.
Listed on the same filings as Robert Ruffolo. 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.
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).
None of the 3 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 Ruffolo 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 3 issuers this person is listed on — nothing matched.
Websites and social links of the issuers Robert Ruffolo is listed on: none on file. No website or social profile named in Sapience Therapeutics, Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #212,443 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓
One-tap searches on sites we do not index ourselves, with the name pre-filled (Harrison, NY). 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 Ruffolo appears on a new Form D, or when a court case or SEC action is matched to them. See plans →