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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:14 AM ET

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Roy Rose

Named as an officer, director or promoter on SEC Form D filings · OR, NV, NY, FL · Dec 14, 2010 → Aug 24, 2023

7deals (issuers)
$65.2Mreported sold
250investors
23Form D filings
2010–2023years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:22 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Roy Rose is listed as an executive officer, director, and promoter on 23 SEC Form D filings by 7 issuers between Dec 2010 and Jul 2026. Largest by amount reported sold: Health Professionals Alliance Inc. (Lake Oswego, OR — industry reported as "Other" — 2019–2026; $38.5M reported sold to 120 investors), Smith Medical Holdings Inc. (Flagler Beach, FL — other health care — 2022–2026; $22.9M reported sold to 52 investors), Patron Company, LLC (Lake Oswego, OR — retailing — 2010–2012; $1.67M reported sold to 46 investors), GENESIS FINANCIAL INC (New York, NY — other banking and financial services — 2018–2020; $1.49M reported sold to 23 investors), Twenty Percent Plus LLC (Lake Oswego, OR — industry reported as "Other" — 2022; $350K reported sold to 2 investors) and 2 more (all listed below).

What this means A repeat sponsor — 7 separate companies raised money with this person listed as executive officer, director, and promoter, over about 16 years. Across those companies the filings report $65.2M sold in total.

Listed alongside Michael Balter (14 shared filings), Grant Diggles (8 shared filings), John Van Leeuwen (7 shared filings), Daniel Barnett (6 shared filings), Kate Othus (6 shared filings) and 45 others.

What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Roy. Each name links to their own page.

The issuers belong to 2 sponsor groups: Whitestone (3 issuers, $350K reported sold, 2015–2022) and North (2 issuers, $750K reported sold, 2016–2026).

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, 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, 17 bankruptcy cases matching the name listed in Key records below.

What this means 18 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 23 public filings for Roy Rose and found 19 differences, 5 worth asking the sponsor about: Regulator action naming a team member: Genesis Financial, Inc. (Nov 23, 2020); Regulator action naming a team member: Genesis Financial, Inc. (Sep 22, 2020); 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 Roy Rose has not run yet — it is joining a line of 49,799 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.

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

1 case: 1 judgment

PC WORLD COMMUNICATIONS INC v. ROSE, ROY judgment
District Court, E.D. Pennsylvania · No. · Filed Aug 27, 1987 · Closed Sep 28, 1987 · Nature of suit: 190 Other contract actions
Role of ROSE, ROY: Defendant · Outcome: Terminated 1987-09-28 — FJC Integrated Database disposition: Judgment on default; judgment for plaintiff Docket on CourtListener ↗
same full name (a name found in 38 federal dockets); 2 people with this name in Form D filings; court in PA (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, 2:22 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

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

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 Roy Rose..

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

17 cases: 17 closed (disposition not in docket feed)

Roy D. Rose, Jr. and Willie Jean Rose closed
United States Bankruptcy Court, N.D. Texas · No. 16-43336 · Filed Sep 2, 2016 · Closed Aug 2, 2017
Role of Roy D. Rose, Jr.: Debtor · Outcome: Case closed 2017-08-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 38 federal dockets); 2 people with this name in Form D filings; court in TX (not a filing state)
Roy D. Rose, Jr. and Willie Jean Rose closed
United States Bankruptcy Court, N.D. Texas · No. 13-43448 · Filed Aug 1, 2013 · Closed Sep 19, 2016
Role of Roy D. Rose, Jr.: Debtor · Outcome: Case closed 2016-09-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 38 federal dockets); 2 people with this name in Form D filings; court in TX (not a filing state)
Roy S Rose closed
United States Bankruptcy Court, C.D. California · No. 2:13-bk-11554 · Filed Jan 18, 2013 · Closed Feb 27, 2013
Role of Roy S Rose: Debtor · Outcome: Case closed 2013-02-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 38 federal dockets); 2 people with this name in Form D filings; court in CA (not a filing state)
Rachel H Rose and Roy E Rose closed
United States Bankruptcy Court, D. Massachusetts · No. 09-12123 · Filed Mar 16, 2009 · Closed Jun 19, 2009
Role of Roy E Rose: Debtor · Outcome: Case closed 2009-06-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 38 federal dockets); 2 people with this name in Form D filings; court in MA (not a filing state)
Roy W Rose, Jr and Joyce Victoria Hager Rose closed
United States Bankruptcy Court, W.D. Washington · No. 05-17678 · Filed Jun 14, 2005 · Closed Sep 6, 2007
Role of Roy W Rose, Jr: Debtor · Outcome: Case closed 2007-09-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 38 federal dockets); 2 people with this name in Form D filings; court in WA (not a filing state)
Roy R. Rose, III and Emily M. Rose closed
United States Bankruptcy Court, N.D. Ohio · No. 04-50208 · Filed Jan 16, 2004 · Closed Dec 27, 2007
Role of Roy R. Rose, III: Debtor · Outcome: Case closed 2007-12-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 38 federal dockets); 2 people with this name in Form D filings; court in OH (not a filing state)
Roy R. Rose and Pamela K. Rose closed
United States Bankruptcy Court, D. Connecticut · No. 03-21373 · Filed May 2, 2003 · Closed Sep 3, 2003
Role of Roy R. Rose and Pamela K. Rose: Debtor · Outcome: Case closed 2003-09-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 38 federal dockets); 2 people with this name in Form D filings; court in CT (not a filing state)
Roy D. Rose and Willie Jean Rose closed
United States Bankruptcy Court, N.D. Texas · No. 02-46067 · Filed Aug 14, 2002 · Closed Jan 2, 2003
Role of Roy D. Rose and Willie Jean Rose: Debtor · Outcome: Case closed 2003-01-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 38 federal dockets); 2 people with this name in Form D filings; court in TX (not a filing state)
Roy Rose and Tamara A Rose closed
United States Bankruptcy Court, N.D. Indiana · No. 02-11935 · Filed May 10, 2002 · Closed Aug 15, 2002
Role of Roy Rose and Tamara A Rose: Debtor · Outcome: Case closed 2002-08-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 38 federal dockets); 2 people with this name in Form D filings; court in IN (not a filing state)
Roy Rose and Debra A. Rose closed
United States Bankruptcy Court, S.D. Ohio · No. 3:01-bk-32324 · Filed Apr 6, 2001 · Closed May 17, 2002
Role of Roy Rose and Debra A. Rose: Debtor · Outcome: Case closed 2002-05-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 38 federal dockets); 2 people with this name in Form D filings; court in OH (not a filing state)
Roy Rose closed
United States Bankruptcy Court, S.D. Florida. · No. 99-23483 · Filed May 25, 1999 · Closed Sep 10, 1999
Role of Roy Rose: Debtor · Outcome: Case closed 1999-09-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 38 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (FL)
Roy R. Rose closed
United States Bankruptcy Court, W.D. Virginia · No. 96-01077 · Filed Apr 25, 1996 · Closed Aug 6, 1996
Role of Roy R. Rose: Debtor · Outcome: Case closed 1996-08-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 38 federal dockets); 2 people with this name in Form D filings; court in VA (not a filing state)
Roy R. Rose closed
United States Bankruptcy Court, C.D. California · No. 8:96-bk-12611 · Filed Mar 8, 1996 · Closed Jul 11, 1996
Role of Roy R. Rose: Debtor · Outcome: Case closed 1996-07-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 38 federal dockets); 2 people with this name in Form D filings; court in CA (not a filing state)
Roy B. Rose and Mary Ann Rose closed
United States Bankruptcy Court, C.D. California · No. 8:94-bk-19819 · Filed Sep 27, 1994 · Closed Feb 21, 1995
Role of Roy B. Rose and Mary Ann Rose: Debtor · Outcome: Case closed 1995-02-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 38 federal dockets); 2 people with this name in Form D filings; court in CA (not a filing state)
Roy Rose and Debra Rose closed
United States Bankruptcy Court, S.D. Ohio · No. 3:91-bk-30477 · Filed Jan 31, 1991 · Closed Nov 25, 1992
Role of Roy Rose and Debra Rose: Debtor · Outcome: Case closed 1992-11-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 38 federal dockets); 2 people with this name in Form D filings; court in OH (not a filing state)
Roy Rose closed
United States Bankruptcy Court, N.D. Georgia · No. 89-01226 · Filed Feb 6, 1989 · Closed Aug 21, 1989
Role of Roy Rose: Debtor · Outcome: Case closed 1989-08-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 38 federal dockets); 2 people with this name in Form D filings; court in GA (not a filing state)
Roy Rose closed
United States Bankruptcy Court, E.D. Kentucky · No. 85-30253 · Filed Aug 16, 1985 · Closed Dec 20, 1991
Role of Roy Rose: Debtor · Outcome: Case closed 1991-12-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 38 federal dockets); 2 people with this name in Form D filings; court in KY (not a filing state)
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, 2:22 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.

4. Differences between public sources

Comparisons cover issuers and sponsor groups — see the issuer pages under Deals

19 differences found between the filings for Roy Rose — 5 worth asking about (compared 23 filings on Oct 24, 2026)

Worth asking · Nov 23, 2020

Regulator action naming a team member: Genesis Financial, Inc. (Nov 23, 2020)

A ap release dated Nov 23, 2020 names GENESIS FINANCIAL INC (related issuer). Our match estimate: 90%. 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.

Genesis Financial, Inc. ↗GENESIS FINANCIAL INC — PartnerFacts page ↗
Sources
Worth asking · Sep 22, 2020

Regulator action naming a team member: Genesis Financial, Inc. (Sep 22, 2020)

A ap release dated Sep 22, 2020 names GENESIS FINANCIAL INC (related issuer). Our match estimate: 90%. 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.

Genesis Financial, Inc. ↗GENESIS FINANCIAL INC — PartnerFacts page ↗
Sources
Worth asking · Dec 14, 2010 – Jul 13, 2026

14 filings report more than 10% of the money raised going to insiders

67% of the money raised went to insiders — Health Professionals Alliance Inc. · 119% of the money raised went to insiders — Smith Medical Holdings Inc. · 119% of the money raised went to insiders — Smith Medical Holdings Inc. · 89% of the money raised went to insiders — Smith Medical Holdings Inc. · 39% of the money raised went to insiders — Health Professionals Alliance Inc. · and 9 more

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.

Form D · Jul 13, 2026 ↗Health Professionals Alliance Inc. — PartnerFacts page ↗Form D/A · Jan 18, 2023 ↗Smith Medical Holdings Inc. — PartnerFacts page ↗
Sources
Worth asking · Oct 14, 2015 – Mar 31, 2022

Roy Rose appears on 4 deals that stopped filing before reaching their target

Twenty Percent Plus LLC (last filing Mar 31, 2022; $350,000 sold of $6,000,000); GENESIS FINANCIAL INC (last filing Mar 11, 2020; $1,485,000 sold of $5,000,000); Whitestone Investment Network, Inc. (last filing Feb 17, 2017; $310,000 sold of $6,600,000); WHITESTONE INVESTMENTS I LLC (last filing Oct 14, 2015; $0 sold of $2,000,000). 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.

Twenty Percent Plus LLC — PartnerFacts page ↗GENESIS FINANCIAL INC — PartnerFacts page ↗Whitestone Investment Network, Inc. — PartnerFacts page ↗WHITESTONE INVESTMENTS I LLC — PartnerFacts page ↗
Sources
Worth asking · Aug 5, 2019 – Apr 30, 2026

7 Form Ds were filed more than 15 days after the first sale

Form D filed 825 days after the first sale — Smith Medical Holdings Inc. · Form D filed 162 days after the first sale — GENESIS FINANCIAL INC · Form D filed 36 days after the first sale — Smith Medical Holdings Inc. · Form D filed 20 days after the first sale — Health Professionals Alliance Inc. · Form D filed 20 days after the first sale — Twenty Percent Plus LLC · and 2 more

What this means Late notices are common and carry no penalty by themselves. A pattern of late paperwork is worth asking the sponsor about.

Form D · Apr 30, 2026 ↗Smith Medical Holdings Inc. — PartnerFacts page ↗Form D · Mar 11, 2020 ↗GENESIS FINANCIAL INC — PartnerFacts page ↗
Sources
Note · Feb 17, 2015 – Jan 18, 2023

9 offerings have no amendment in the last 12 months and may still be open

No amendment in the last 12 months on an offering that may still be open — Smith Medical Holdings Inc. (latest filing Jan 18, 2023) · No amendment in the last 12 months on an offering that may still be open — Health Professionals Alliance Inc. (latest filing Jun 29, 2022) · No amendment in the last 12 months on an offering that may still be open — Twenty Percent Plus LLC (latest filing Mar 31, 2022) · No amendment in the last 12 months on an offering that may still be open — Health Professionals Alliance Inc. (latest filing Jul 1, 2021) · No amendment in the last 12 months on an offering that may still be open — Health Professionals Alliance Inc. (latest filing Jul 1, 2021) · and 4 more

What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.

Form D/A · Jan 18, 2023 ↗Smith Medical Holdings Inc. — PartnerFacts page ↗Form D/A · Jun 29, 2022 ↗Health Professionals Alliance Inc. — PartnerFacts page ↗
Sources
Note · Dec 14, 2010 – May 31, 2012

Roy Rose's role changed at Patron Company, LLC: director → director, promoter

The Dec 14, 2010 filing lists Roy Rose as director; the May 31, 2012 Form D/A lists director, promoter.

What this means Roles on Form D are self-reported by the issuer. A change can mean a real change in who runs the company, or just a different box ticked. Ask who makes decisions today.

Form D · Dec 14, 2010 ↗Form D/A · May 31, 2012 ↗Roy Rose — PartnerFacts page ↗Patron Company, LLC — PartnerFacts page ↗
Sources
Note · Nov 16, 2022 – Dec 20, 2022

Offering amount changed between filings — Smith Medical Holdings Inc.

The Nov 16, 2022 filing says $750,000 offered; the Dec 20, 2022 Form D/A says $8,500,000.

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.

Form D/A (earlier) · Nov 16, 2022 ↗Form D/A (later) · Dec 20, 2022 ↗Smith Medical Holdings Inc. — PartnerFacts page ↗
Sources
Note · Mar 31, 2022 – Jun 29, 2022

Offering amount changed between filings — Health Professionals Alliance Inc.

The Mar 31, 2022 filing says $6,000,000 offered; the Jun 29, 2022 Form D/A says $8,000,000.

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.

Form D (earlier) · Mar 31, 2022 ↗Form D/A (later) · Jun 29, 2022 ↗Health Professionals Alliance Inc. — PartnerFacts page ↗
Sources
Note · Dec 14, 2010 – May 31, 2012

Offering amount lowered between filings — Patron Company, LLC

The Dec 14, 2010 filing says $2,105,000 offered; the May 31, 2012 Form D/A says $1,665,000.

What this means The target raise got smaller. That can mean the plan shrank or the sponsor stopped early. Ask what changed in the deal.

Form D (earlier) · Dec 14, 2010 ↗Form D/A (later) · May 31, 2012 ↗Patron Company, LLC — PartnerFacts page ↗
Sources
Note · Dec 14, 2010 – Jul 13, 2026

Roy Rose is written 2 different ways on the filings

listed as "Roy Rose" on 22 filings (from Dec 14, 2010), and "Roy Robert Rose" on the Jul 13, 2026 filing.

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.

Form D · Dec 14, 2010 ↗Form D · Jul 13, 2026 ↗Roy Rose — PartnerFacts page ↗
Sources
Note · Sep 25, 2019 – Jul 13, 2026

Industry group changed between filings — Health Professionals Alliance Inc.

"Business Services" (Sep 25, 2019 to Jun 29, 2022); then "Other Health Care" (Aug 24, 2023); then "Other" (Jul 13, 2026).

What this means The issuer described its business differently on different forms. Often it is just a different box ticked; sometimes the deal itself changed. Ask which business your money is in.

Form D · Sep 25, 2019 ↗Form D · Aug 24, 2023 ↗Form D · Jul 13, 2026 ↗Health Professionals Alliance Inc. — PartnerFacts page ↗
Sources
Note · Feb 20, 2018 – Mar 11, 2020

Reported revenue range changed between filings — GENESIS FINANCIAL INC

"$1 - $1,000,000" (Feb 20, 2018); then "Decline to Disclose" (Mar 11, 2020).

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.

Form D · Feb 20, 2018 ↗Form D · Mar 11, 2020 ↗GENESIS FINANCIAL INC — PartnerFacts page ↗
Sources
Note · Feb 19, 2015 – Feb 17, 2017

Reported revenue range changed between filings — Whitestone Investment Network, Inc.

"No Revenues" (Feb 19, 2015); then "$1 - $1,000,000" (Feb 17, 2017).

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.

Form D · Feb 19, 2015 ↗Form D · Feb 17, 2017 ↗Whitestone Investment Network, Inc. — PartnerFacts page ↗
Sources
Note · Dec 14, 2010 – May 31, 2012

Reported revenue range changed between filings — Patron Company, LLC

"No Revenues" (Dec 14, 2010); then "Decline to Disclose" (May 31, 2012).

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.

Form D · Dec 14, 2010 ↗Form D/A · May 31, 2012 ↗Patron Company, LLC — PartnerFacts page ↗
Sources
Note · Nov 1, 2022 – Apr 10, 2026

Same name, different state: "Roy Rose" (OH) is a separate record

This page covers filings where the address state is OR or NV or NY or FL. A separate record, "Roy Rose" with address state OH, is listed on 7 filings — most recently by Davy Gas Inc. (Apr 10, 2026). Both records have filings in the same period (Nov 1, 2022 to Aug 24, 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.

Roy Rose (OH) — PartnerFacts page ↗Form D · Apr 10, 2026 ↗Davy Gas Inc. — PartnerFacts page ↗Roy Rose (OR,NV,NY,FL) — this page ↗
Sources
Note · Jan 18, 2023 – Apr 30, 2026

Address moved from Palm Coast, FL to Flagler Beach, FL — Smith Medical Holdings Inc.

The people listed on the Jan 18, 2023 filing give Palm Coast, FL; on the Apr 30, 2026 filing they give Flagler Beach, FL.

What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.

Form D/A · Jan 18, 2023 ↗Form D · Apr 30, 2026 ↗Smith Medical Holdings Inc. — PartnerFacts page ↗
Sources
Note · Feb 20, 2018 – Mar 11, 2020

Address moved from Las Vegas, NV to New York, NY — GENESIS FINANCIAL INC

The people listed on the Feb 20, 2018 filing give Las Vegas, NV; on the Mar 11, 2020 filing they give New York, NY.

What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.

Form D · Feb 20, 2018 ↗Form D · Mar 11, 2020 ↗GENESIS FINANCIAL INC — PartnerFacts page ↗
Sources
Note · Dec 14, 2010 – Jul 13, 2026

Roy Rose is listed with 4 different address states: OR, NV, NY, FL

OR on 16 filings (Dec 14, 2010 to Jul 13, 2026); NV on 1 filing (Feb 20, 2018); NY on 1 filing (Mar 11, 2020); FL on 5 filings (Nov 10, 2022 to Apr 30, 2026).

What this means The address on a Form D is usually the company's, not the person's home, so this often just reflects different companies. It can also mean a move. Nothing wrong by itself.

Form D · Dec 14, 2010 ↗Form D · Feb 20, 2018 ↗Form D · Mar 11, 2020 ↗Form D · Nov 10, 2022 ↗
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

3 of 16 offerings report sales commissions totalling $455,800; 2 report finder's fees totalling $100,000; 14 report proceeds to related persons totalling $9,708,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Jul 13, 2026 D
Health Professionals Alliance Inc.
File 021-590547
$0$0$500,000 (est.)
Use of proceeds may include compensation payments to executive officers and directors.
None listed on this filingEDGAR ↗
Apr 30, 2026 D
Smith Medical Holdings Inc.
File 021-582417
$0$50,000 (est.)$2,000,000 (est.)
Some compensation paid to persons named above will come from the proceeds.
Finalis Securities LLC BrokerCheck CRD 305908 ↗EDGAR ↗
Aug 24, 2023 D
Health Professionals Alliance Inc.
File 021-490604
$0$0$500,000 (est.)
Use of proceeds may include compensation payments to executive officers and directors.
None listed on this filingEDGAR ↗
Jan 18, 2023 D/A
Smith Medical Holdings Inc.
File 021-464421
$0 (est.)$50,000 (est.)$800,000 (est.)
Some compensation paid to persons named above may come from this offering.
Finalis Securities LLC BrokerCheck CRD 305908 ↗EDGAR ↗
Jun 29, 2022 D/A
Health Professionals Alliance Inc.
File 021-439835
$0$0$300,000 (est.)None listed on this filingEDGAR ↗
Mar 31, 2022 D
Twenty Percent Plus LLC
File 021-439821
$0$0$50,000 (est.)
Some compensation may be paid to executive officers.
None listed on this filingEDGAR ↗
Sep 23, 2021 D
Health Professionals Alliance Inc.
File 021-414313
$0$0$1,500,000 (est.)
Some portion of the gross proceeds of the offering will likely be used to compensate executive officers and directors.
None listed on this filingEDGAR ↗
Jul 1, 2021 D/A
Health Professionals Alliance Inc.
File 021-378897
$0$0$1,500,000 (est.)
Some portion of compensation to executive officers has from proceeds and it is anticipated that this practice will continue.
None no CRD number reportedEDGAR ↗
Jul 1, 2021 D
Health Professionals Alliance Inc.
File 021-404942
$280,000 (est.)$0$400,000 (est.)
Some portion of proceeds of this offering may be used to compensate executive officers.
CIM Securities, LLC BrokerCheck CRD 120852 ↗EDGAR ↗
Mar 11, 2020 D
GENESIS FINANCIAL INC
File 021-362520
$9,300$0$0 (est.)
No specific allocation for payment to executive officers, directors or promoters; however, offering proceeds to be used for working capital may include salaries to executives
IBN Financial Services, Inc. BrokerCheck CRD 42360 ↗EDGAR ↗
Sep 25, 2019 D
Health Professionals Alliance Inc.
File 021-349552
$0$0$1,000,000 (est.)
Compensation and other payments will be made to officers, directors, and other employees from proceeds of the offering until such time as the issuer has sufficient funds from operations.
None no CRD number reportedEDGAR ↗
Feb 20, 2018 D
GENESIS FINANCIAL INC
File 021-306038
$0$0$0
No cash proceeds associated with the business combination transaction
None listed on this filingEDGAR ↗
Feb 17, 2017 D
Whitestone Investment Network, Inc.
File 021-280968
$0 (est.)$0 (est.)$300,000 (est.)None listed on this filingEDGAR ↗
Oct 14, 2015 D
WHITESTONE INVESTMENTS I LLC
File 021-249284
$0$0$40,000 (est.)None listed on this filingEDGAR ↗
May 13, 2015 D/A
Whitestone Investment Network, Inc.
File 021-234337
$0 (est.)$0 (est.)$600,000 (est.)None listed on this filingEDGAR ↗
May 31, 2012 D/A
Patron Company, LLC
File 021-151858
$166,500$0$218,000 (est.)Paulson Investment Company BrokerCheck CRD 005670 ↗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 7

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

HP
Other · group: North

Health Professionals Alliance Inc.

Lake Oswego, OR · Sep 25, 2019 → Jul 13, 2026 · 9 filings
  • Jul 13, 2026 · D · $750,000 sold of $15,000,000 · 1 investors · min. $50,000 · role: Executive Officer, Director, Promoter EDGAR ↗
  • Aug 24, 2023 · D · $0 sold of $50,000,000 · 0 investors · min. $10,000 · role: Executive Officer, Director, Promoter EDGAR ↗
  • Jun 29, 2022 · D/A · $775,000 sold of $8,000,000 · 7 investors · min. $25,000 · role: Executive Officer, Director, Promoter EDGAR ↗
  • Mar 31, 2022 · D · $350,000 sold of $6,000,000 · 2 investors · min. $25,000 · role: Executive Officer, Director, Promoter EDGAR ↗
  • Sep 23, 2021 · D · $0 sold of $210,000,000 · 0 investors · min. $22,500 · role: Executive Officer, Director, Promoter EDGAR ↗
  • Jul 1, 2021 · D · $200,000 sold of $4,000,000 · 3 investors · min. $25,000 · role: Executive Officer, Director, Promoter EDGAR ↗
  • Jul 1, 2021 · D/A · $38,499,040 sold of $90,000,000 · 120 investors · min. $50,000 · role: Executive Officer, Director, Promoter EDGAR ↗
  • Oct 27, 2020 · D · $2,500,000 sold of $90,000,000 · 2 investors · min. $50,000 · role: Executive Officer, Director, Promoter EDGAR ↗
  • Sep 25, 2019 · D · $400,000 sold of $102,000,000 · 6 investors · min. $100,000 · role: Executive Officer, Director, Promoter EDGAR ↗

Raised $38.5M from 120 investors (100% of the $15M target) as of the latest filing. Roy is listed as executive officer, director, promoter on 9 filings for this deal.

Latest filing on EDGAR ↗
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: Other / 506(c) (1,881 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.

SM
Other Health Care

Smith Medical Holdings Inc.

Flagler Beach, FL · Nov 10, 2022 → Apr 30, 2026 · 5 filings
  • Apr 30, 2026 · D · $22,874,000 sold of $24,874,000 · 52 investors · min. $10,000 · role: Director, Promoter EDGAR ↗
  • Jan 18, 2023 · D/A · $675,000 sold of $8,500,000 · 16 investors · min. $25,000 · role: Director, Promoter EDGAR ↗
  • Dec 20, 2022 · D/A · $675,000 sold of $8,500,000 · 10 investors · min. $25,000 · role: Director, Promoter EDGAR ↗
  • Nov 16, 2022 · D/A · $450,000 sold of $750,000 · 5 investors · min. $25,000 · role: Director, Promoter EDGAR ↗
  • Nov 10, 2022 · D · $450,000 sold of $750,000 · 5 investors · min. $25,000 · role: Director, Promoter EDGAR ↗

Raised $22.9M from 52 investors (92% of the $24.9M target) as of the latest filing. Roy is listed as director, promoter on 5 filings for this deal.

Latest filing on EDGAR ↗
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: Other Health Care / 506(c) (171 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.

TP
Other · group: Whitestone

Twenty Percent Plus LLC

Lake Oswego, OR · Mar 31, 2022
  • Mar 31, 2022 · D · $350,000 sold of $6,000,000 · 2 investors · min. $25,000 · role: Executive Officer, Director, Promoter EDGAR ↗

Raised $350K from 2 investors (6% of the $6M target) as of the latest filing. Roy is listed as executive officer, director, promoter.

Latest filing on EDGAR ↗
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: Other / 506(c) (1,881 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.

GF
Other Banking and Financial Services

GENESIS FINANCIAL INC

New York, NY · Feb 20, 2018 → Mar 11, 2020 · 2 filings
  • Mar 11, 2020 · D · $1,485,000 sold of $5,000,000 · 13 investors · min. No minimum reported · role: Executive Officer, Director (Resigned as CEO and Chairman effective as of January 2, 2020.) EDGAR ↗
  • Feb 20, 2018 · D · $0 sold of Indefinite · 23 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗

Raised $1.49M from 23 investors (30% of the $5M target) as of the latest filing. Roy is listed as executive officer, director on 2 filings for this deal.

Latest filing on EDGAR ↗
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: Other Banking and Financial Services / 506(b) (1,630 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.

WI
Business Services · group: Whitestone

Whitestone Investment Network, Inc.

Lake Oswego, OR · Feb 19, 2015 → Feb 17, 2017 · 3 filings
  • Feb 17, 2017 · D · $0 sold of $605,150 · 0 investors · min. $50,000 · role: Executive Officer, Director, Promoter EDGAR ↗
  • May 13, 2015 · D/A · $310,000 sold of $6,600,000 · 7 investors · min. $10,000 · role: Executive Officer, Director, Promoter EDGAR ↗
  • Feb 19, 2015 · D · $185,000 sold of $6,600,000 · 5 investors · min. $10,000 · role: Executive Officer, Director, Promoter EDGAR ↗

Raised $310K from 7 investors (51% of the $605K target) as of the latest filing. Roy is listed as executive officer, director, promoter on 3 filings for this deal.

Latest filing on EDGAR ↗
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: Business Services / 506(b) (965 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.

WI
Investing · group: Whitestone

WHITESTONE INVESTMENTS I LLC

Lake Oswego, OR · Oct 14, 2015
  • Oct 14, 2015 · D · $0 sold of $2,000,000 · 0 investors · min. $20,000 · role: Executive Officer EDGAR ↗

No sales reported yet as of the latest filing. Roy is listed as executive officer.

Latest filing on EDGAR ↗
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: Investing / 506(b) (2,521 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.

PC
Retailing

Patron Company, LLC

Lake Oswego, OR · Dec 14, 2010 → May 31, 2012 · 2 filings
  • May 31, 2012 · D/A · $1,665,000 sold of $1,665,000 · 46 investors · min. $25,000 · role: Director, Promoter EDGAR ↗
  • Dec 14, 2010 · D · $50,000 sold of $2,105,000 · 1 investors · min. $25,000 · role: Director EDGAR ↗

Raised $1.67M from 46 investors (100% of the $1.67M target) as of the latest filing. Roy is listed as director, promoter on 2 filings for this deal.

Latest filing on EDGAR ↗
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.

  • Roy Rose — OH, 1 issuer, Nov 1, 2022 → Apr 10, 2026 · no shared issuer

People around Roy 40

Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET. Showing the 40 with the most shared filings.

WI
Management entity

Whitestone Investment Network, Inc.

Executive Officer, Director, Promoter · 1 shared filing (1 issuer)

Listed on the same filings as Roy Rose. Their page shows their other deals.

WV
Management entity

Whitestone Ventures Inc.

Director · 1 shared filing (1 issuer)

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

Michael Balter

Executive Officer, Director, Promoter · 14 shared filings (3 issuers)

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

Grant Diggles

Executive Officer, Promoter · 8 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

John Van Leeuwen

Executive Officer · 7 shared filings (1 issuer)

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

Murray G Smith

Executive Officer, Promoter, Director · 6 shared filings (3 issuers) · also on 3 other issuers

Murray G Smith is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

Kate Othus

Executive Officer, Director · 6 shared filings (1 issuer)

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

Daniel Barnett

Executive Officer, Director, Promoter · 6 shared filings (2 issuers)

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

Justin Valley

Executive Officer · 5 shared filings (1 issuer)

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

Brendon Lundberg

Executive Officer, Promoter · 5 shared filings (2 issuers)

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

James Mortinsen

Executive Officer, Director, Promoter · 5 shared filings (1 issuer)

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

Trent Davis

Executive Officer, Director, Promoter · 4 shared filings (2 issuers) · also on 6 other issuers

Trent Davis is on 8 issuers in total — a repeat sponsor. Their page lists every one.

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

Doug Fettig

Executive Officer · 4 shared filings (1 issuer)

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

P. Brendon Lundberg

Executive Officer, Promoter · 4 shared filings (1 issuer)

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

J. Paul Elliot

Executive Officer, Promoter · 4 shared filings (1 issuer)

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

Allan A Fulsher

Executive Officer, Promoter · 3 shared filings (1 issuer) · also on 6 other issuers

Allan A Fulsher is on 7 issuers in total — a repeat sponsor. Their page lists every one.

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

Thomas E McChesney

Director, Promoter · 3 shared filings (1 issuer) · also on 3 other issuers

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

James H Caplan

Promoter · 3 shared filings (1 issuer)

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

Mark Holifer

Promoter · 3 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

Scott Bishop

Executive Officer · 3 shared filings (1 issuer)

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

Dan Barnett

Executive Officer, Promoter · 3 shared filings (2 issuers)

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

Jeffrey Wilson

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

Ed Arinello

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

Bonnie Clasen

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

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

Ron Menconi

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

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

Tom McChesney

Director · 2 shared filings (1 issuer)

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

David Orkney

Director · 2 shared filings (1 issuer)

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

Mekmany Anna Miller

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

Brooks Eilertson

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

Bruce Mandel

Director · 2 shared filings (1 issuer)

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

Steven A Shassetz

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

Karen C Molis

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

Glen Lawrence

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

George Johnson

Director · 1 shared filing (1 issuer)

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

Gary Larkin

Director · 1 shared filing (1 issuer)

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

Manny A Lopez

Executive Officer, Promoter · 1 shared filing (1 issuer)

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

Russell E Cameron

Executive Officer, Promoter · 1 shared filing (1 issuer)

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

David G Roberts

Executive Officer, Promoter · 1 shared filing (1 issuer)

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

Russel Cameron

Executive Officer, Director · 1 shared filing (1 issuer)

Listed on the same filings as Roy Rose. Their page shows their other deals.

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

Christopher Eddy

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Roy Rose. Their page shows their other deals.

The team behind the deals

W
Sponsor group

Whitestone

3 issuers · 5 filings · $350K reported sold · 2015–2022

One team, 3 deal companies. Roy Rose is listed on 3 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 Roy Rose.

N
Sponsor group

North

2 issuers · 11 filings · $750K reported sold · 2016–2026

One team, 2 deal companies. Roy Rose 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 Roy Rose.

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); 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 7 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 Roy Rose 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 7 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Roy Rose is listed on: none on file. No website or social profile named in Smith Medical Holdings Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #29,006 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 (Flagler Beach, FL). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

LinkedIn people search ↗Instagram ↗X (Twitter) ↗Facebook ↗YouTube ↗Google ↗Google Images ↗Google News ↗Meta Ad Library ↗

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗Oregon state courts — find the court ↗Clark County NV District Court portal ↗New York WebCivil Supreme ↗Hillsborough County FL Clerk (HOVER) ↗Miami-Dade Clerk online case search ↗

Securities regulators

SEC EDGAR full-text search ↗SEC action look-up ↗FINRA BrokerCheck ↗SEC IAPD adviser search ↗

Business registries

Oregon Secretary of State business search ↗Nevada Secretary of State business search ↗New York Secretary of State business search ↗Florida Secretary of State business search ↗OpenCorporates ↗

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