Ron Phillips is listed as a director on 2 SEC Form D filings by 2 issuers between Sep 2016 and Nov 2016: Shadowbrooke Capital Fund LLC (Draper, UT — residential — 2016; $5M reported sold to 36 investors) and Hickory Hills Condo Capital Fund LLC (Draper, UT — residential — 2016; $1.55M reported sold to 22 investors).
What this means 2 separate companies raised money with this person listed as director. Across those companies the filings report $6.55M sold in total.
Listed alongside Brandon Rooks (2 shared filings).
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Ron. Each name links to their own page.
All 2 issuers belong to the sponsor group Hickory (2 issuers, $6.55M reported sold, 2016).
What this means A sponsor group is one team that sets up a new company for each deal. Hickory has 2 companies on file and $6.55M 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, 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 SEC release, 1 bankruptcy case 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 2 public filings for Ron Phillips and found 4 differences, 1 worth asking the sponsor about: Form D filed 62 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.