Roger Chen is listed as a director on 14 SEC Form D filings by 8 issuers between Jun 2019 and Mar 2026. Largest by amount reported sold: Clerk Retail, Inc. (Austin, TX — other technology — 2019–2022; $29.6M reported sold to 20 investors), Kronologic, Inc. (Austin, TX — other technology — 2020–2021; $9.95M reported sold to 17 investors), Mechademy Inc (Houston, TX — other technology — 2026; $9.5M reported sold to 11 investors), KickFin Inc. (Austin, TX — other banking and financial services — 2022; $6M reported sold to 4 investors), DocJuris Inc. (Houston, TX — other technology — 2024; $5.75M reported sold to 9 investors) and 3 more (all listed below).
What this means A repeat sponsor — 8 separate companies raised money with this person listed as director, over about 7 years. Across those companies the filings report $65M sold in total.
The issuers belong to 2 sponsor groups: Silverton (12 issuers, $158.4M reported sold, 2015–2026) and Group linked by Albert Swantner (5 issuers, $17.5M reported sold, 2015–2025).
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 (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) — 2 bankruptcy cases matching the name 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 14 public filings for Roger Chen and found 9 differences, 2 worth asking the sponsor about: Regulator action naming a team member: Don D. Lukens, individually and doing business as Community Group Funding and Global Sports & Entertainment; J.C., Inc.; and James Carter Allison, individually and doing business as Select Assets (Nov 2, 2001); 4 Form Ds were filed more than 15 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.