PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 5:13 AM ET

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Roy Tanaka

Named as an officer, director or promoter on SEC Form D filings · CA, MN, FL · May 16, 2011 → Mar 26, 2024

5deals (issuers)
$89.9Mreported sold
234investors
35Form D filings
2011–2024years on file
Follow this personLook further ↓PDF

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

The short version

Roy Tanaka is listed as a director on 35 SEC Form D filings by 5 issuers between May 2011 and Mar 2024: ADVANCED CARDIAC THERAPEUTICS INC (Santa Clara, CA — other health care — 2014–2017; $45M reported sold to 26 investors), VytronUS Inc (Sunnyvale, CA — other health care — 2011–2016; $30M reported sold to 20 investors), BioSig Technologies, Inc. (Los Angeles, CA — other health care — 2013–2019; $8.62M reported sold to 107 investors), NeuTrace, Inc. (Longwood, FL — other health care — 2021–2022; $4.8M reported sold to 74 investors) and Allevion Therapeutics, Inc. (Irvine, CA — biotechnology — 2021–2024; $1.48M reported sold to 7 investors).

What this means A repeat sponsor — 5 separate companies raised money with this person listed as director, over about 13 years. Across those companies the filings report $89.9M sold in total.

Listed alongside Kenneth Londoner (24 shared filings), Seth Fischer (22 shared filings), Steve Chaussy (20 shared filings), Jeffrey O'Donnell (17 shared filings), Asher Holzer (16 shared filings) and 44 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.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AZ, CA, DE, TX, WA) — none found.

What this means Nothing turned up where we looked (3 sources). That does not prove there is nothing — it means none was found in those sources on that date.

We compared 35 public filings for Roy Tanaka and found 10 differences, 1 worth asking the sponsor about: Form D filed 105 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.

What the community is saying

Community search for Roy Tanaka has not run yet — it is joining a line of 9,831 names; searches run around the clock at the hosts' allowed rate. Searched so far: 27 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).

Key records

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

1. Lawsuits

None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026

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, 2:23 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.

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: AZ, CA, DE, TX, WA (crawled Oct 23, 2026)

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 Tanaka..

State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states are not covered.

3. Bankruptcies

None found in sources searched — federal bankruptcy courts (CourtListener / RECAP), checked Oct 24, 2026

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, 2:23 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.

4. Differences between public sources

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

10 differences found between the filings for Roy Tanaka — 1 worth asking about (compared 35 filings on Oct 24, 2026)

Worth asking · Apr 6, 2017 – Jul 20, 2017

Form D filed 105 days after the first sale — BioSig Technologies, Inc.

The filing says the first sale was Apr 6, 2017. The Form D was filed Jul 20, 2017 — 105 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 90 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.

Form D · Jul 20, 2017 ↗BioSig Technologies, Inc. — PartnerFacts page ↗
Sources
Note · Oct 23, 2015 – Nov 23, 2015

Form D filed 31 days after the first sale — BioSig Technologies, Inc.

The filing says the first sale was Oct 23, 2015. The Form D was filed Nov 23, 2015 — 31 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 16 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.

Form D · Nov 23, 2015 ↗BioSig Technologies, Inc. — PartnerFacts page ↗
Sources
Note · May 3, 2011 – Jun 15, 2021

17 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 — NeuTrace, Inc. (latest filing Jun 15, 2021) · No amendment in the last 12 months on an offering that may still be open — BioSig Technologies, Inc. (latest filing Aug 28, 2018) · No amendment in the last 12 months on an offering that may still be open — BioSig Technologies, Inc. (latest filing Jul 20, 2017) · No amendment in the last 12 months on an offering that may still be open — ADVANCED CARDIAC THERAPEUTICS INC (latest filing May 8, 2017) · No amendment in the last 12 months on an offering that may still be open — BioSig Technologies, Inc. (latest filing Mar 30, 2017) · and 12 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 · Jun 15, 2021 ↗NeuTrace, Inc. — PartnerFacts page ↗Form D · Aug 28, 2018 ↗BioSig Technologies, Inc. — PartnerFacts page ↗
Sources
Note · May 16, 2011 – Jun 15, 2021

Roy Tanaka is written 2 different ways on the filings

listed as "Roy Tanaka" on 34 filings (from May 16, 2011), and "Roy T Tanaka" on the Jun 15, 2021 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 · May 16, 2011 ↗Form D · Jun 15, 2021 ↗Roy Tanaka — PartnerFacts page ↗
Sources
Note · Feb 25, 2013 – Nov 17, 2017

Industry group changed between filings — BioSig Technologies, Inc.

"Biotechnology" (Feb 25, 2013 to Jul 20, 2017); then "Other Health Care" (Nov 17, 2017 to Mar 28, 2019).

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 · Feb 25, 2013 ↗Form D · Nov 17, 2017 ↗BioSig Technologies, Inc. — PartnerFacts page ↗
Sources
Note · Apr 10, 2014 – May 8, 2017

Industry group changed between filings — ADVANCED CARDIAC THERAPEUTICS INC

"Other" (Apr 10, 2014); then "Other Health Care" (May 8, 2017).

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 · Apr 10, 2014 ↗Form D · May 8, 2017 ↗ADVANCED CARDIAC THERAPEUTICS INC — PartnerFacts page ↗
Sources
Note · Mar 25, 2021 – Jul 7, 2023

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

This page covers filings where the address state is CA or MN or FL. A separate record, "Roy Tanaka" with address state OH, is listed on 4 filings — most recently by S4 Medical Corp. (Jul 7, 2023). Both records have filings in the same period (Mar 25, 2021 to Jul 7, 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 Tanaka (OH) — PartnerFacts page ↗Form D · Jul 7, 2023 ↗S4 Medical Corp. — PartnerFacts page ↗Roy Tanaka (CA,MN,FL) — this page ↗
Sources
Note · May 13, 2020 – Aug 18, 2021

Same name, different state: "Roy Tanaka" (MA) is a separate record

This page covers filings where the address state is CA or MN or FL. A separate record, "Roy Tanaka" with address state MA, is listed on 2 filings — most recently by Thermedical, Inc. (Aug 18, 2021). Both records have filings in the same period (May 13, 2020 to Aug 18, 2021).

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 Tanaka (MA) — PartnerFacts page ↗Form D/A · Aug 18, 2021 ↗Thermedical, Inc. — PartnerFacts page ↗Roy Tanaka (CA,MN,FL) — this page ↗
Sources
Note · May 16, 2011 – Nov 17, 2017

4 address changes between filings

Address moved from Minneapolis, MN to Los Angeles, CA — BioSig Technologies, Inc. · Address moved from Menlo Park, CA to Santa Clara, CA — ADVANCED CARDIAC THERAPEUTICS INC · Address moved from Los Angeles, CA to Minneapolis, MN — BioSig Technologies, Inc. · Address moved from Menlo Park, CA to Sunnyvale, CA — VytronUS Inc

What this means Businesses move. If you were told one city and the forms say another, ask which is current.

Form D · Jul 20, 2017 ↗Form D · Nov 17, 2017 ↗BioSig Technologies, Inc. — PartnerFacts page ↗Form D · Apr 10, 2014 ↗
Sources
Note · May 16, 2011 – Mar 26, 2024

Roy Tanaka is listed with 3 different address states: CA, MN, FL

CA on 29 filings (May 16, 2011 to Mar 26, 2024); MN on 4 filings (Nov 23, 2015 to Jul 20, 2017); FL on 2 filings (Jun 15, 2021 to Aug 22, 2022).

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 · May 16, 2011 ↗Form D · Nov 23, 2015 ↗Form D · Jun 15, 2021 ↗
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

8 of 24 offerings report sales commissions totalling $1,071,995; 0 report finder's fees; 4 report proceeds to related persons totalling $1,600,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Mar 26, 2024 D
Allevion Therapeutics, Inc.
File 021-508685
$0$0$300,000 (est.)
Up to approximately $300,000 of the proceeds of the offering may be used to reimburse officers for out-of-pocket expenses incurred in connection with the offering and to pay officer salaries.
None listed on this filingEDGAR ↗
Aug 22, 2022 D
NeuTrace, Inc.
File 021-456518
$0$0$400,000 (est.)
Compensation/salaries to executive officers
None listed on this filingEDGAR ↗
Jul 14, 2021 D
Allevion Therapeutics, Inc.
File 021-406273
$0$0$200,000 (est.)
Up to approximately $200,000 of the proceeds of the offering may be used to reimburse officers for out-of-pocket expenses incurred in connection with the offering and to pay officer salaries.
None listed on this filingEDGAR ↗
Jun 15, 2021 D
NeuTrace, Inc.
File 021-403026
$0$0$700,000 (est.)
Salaries of the COO and CEO
None listed on this filingEDGAR ↗
Mar 28, 2019 D
BioSig Technologies, Inc.
File 021-335957
$0$0$0None listed on this filingEDGAR ↗
Aug 28, 2018 D
BioSig Technologies, Inc.
File 021-320228
$150,035$0$0Laidlaw & Company (UK) Ltd. BrokerCheck CRD 119037 ↗EDGAR ↗
Feb 27, 2018 D
BioSig Technologies, Inc.
File 021-306571
$0$0$0None listed on this filingEDGAR ↗
Nov 17, 2017 D
BioSig Technologies, Inc.
File 021-299042
$0$0$0None listed on this filingEDGAR ↗
Jul 20, 2017 D
BioSig Technologies, Inc.
File 021-291219
$0$0$0None listed on this filingEDGAR ↗
May 8, 2017 D
ADVANCED CARDIAC THERAPEUTICS INC
File 021-286216
$0$0$0None listed on this filingEDGAR ↗
Mar 30, 2017 D
BioSig Technologies, Inc.
File 021-283700
$0$0$0None listed on this filingEDGAR ↗
Oct 31, 2016 D
BioSig Technologies, Inc.
File 021-273528
$31,191$0$0Laidlaw & Company (UK) Ltd. BrokerCheck CRD 119037 ↗EDGAR ↗
Aug 29, 2016 D/A
VytronUS Inc
File 021-267992
$0$0$0None listed on this filingEDGAR ↗
Nov 23, 2015 D
BioSig Technologies, Inc.
File 021-251698
$59,400$0$0Laidlaw & Company (UK) Ltd. BrokerCheck CRD 119037 ↗EDGAR ↗
May 19, 2015 D
BioSig Technologies, Inc.
File 021-240187
$0$0$0None listed on this filingEDGAR ↗
Apr 3, 2015 D/A
BioSig Technologies, Inc.
File 021-231214
$481,080$0$0Laidlaw & Company (UK) Ltd. BrokerCheck CRD 119037 ↗EDGAR ↗
Sep 30, 2014 D
VytronUS Inc
File 021-225523
$0$0$0None listed on this filingEDGAR ↗
Sep 25, 2014 D/A
BioSig Technologies, Inc.
File 021-223449
$46,800$0$0Laidlaw & Company (UK) Ltd. BrokerCheck CRD 119037 ↗EDGAR ↗
May 6, 2014 D/A
BioSig Technologies, Inc.
File 021-215799
$57,440$0$0Laidlaw & Company (UK) Ltd. BrokerCheck CRD 119037 ↗EDGAR ↗
Apr 10, 2014 D
ADVANCED CARDIAC THERAPEUTICS INC
File 021-215313
$0$0$0None listed on this filingEDGAR ↗
Feb 10, 2014 D/A
BioSig Technologies, Inc.
File 021-209894
$79,189$0$0Laidlaw & Company (UK) Ltd. BrokerCheck CRD 119037 ↗EDGAR ↗
Jul 26, 2013 D/A
BioSig Technologies, Inc.
File 021-192359
$166,860$0$0Laidlaw & Company (UK) Ltd. BrokerCheck CRD 119037 ↗EDGAR ↗
Feb 27, 2012 D
VytronUS Inc
File 021-174012
$0$0$0None listed on this filingEDGAR ↗
May 16, 2011 D
VytronUS Inc
File 021-159864
$0$0$0None listed on this filingEDGAR ↗
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 5

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

AT
Biotechnology

Allevion Therapeutics, Inc.

Irvine, CA · Jul 14, 2021 → Mar 26, 2024 · 2 filings
  • Mar 26, 2024 · D · $1,475,000 sold of $1,475,000 · 7 investors · min. $25,000 · role: Director (Mr. Tanaka serves as a director of the company.) EDGAR ↗
  • Jul 14, 2021 · D · $1,000,000 sold of $1,000,000 · 1 investors · min. $1,000,000 · role: Director (Mr. Tanaka serves as a director of the company.) EDGAR ↗

Raised $1.48M from 7 investors (100% of the $1.48M target) as of the latest filing. Roy is listed as 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: 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.

N
Other Health Care

NeuTrace, Inc.

Longwood, FL · Jun 15, 2021 → Aug 22, 2022 · 2 filings
  • Aug 22, 2022 · D · $2,500,000 sold of $2,500,000 · 9 investors · min. $100,000 · role: Director EDGAR ↗
  • Jun 15, 2021 · D · $4,799,999 sold of $4,800,000 · 74 investors · min. $25,000 · role: Director EDGAR ↗

Raised $4.8M from 74 investors (100% of the $2.5M target) as of the latest filing. Roy is listed as 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 Health Care / 506(b) (4,189 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.

BT
Other Health Care

BioSig Technologies, Inc.

Los Angeles, CA · Feb 25, 2013 → Mar 28, 2019 · 24 filings
  • Mar 28, 2019 · D · $8,620,506 sold of $8,620,506 · 103 investors · min. No minimum reported · role: Director EDGAR ↗
  • Aug 28, 2018 · D · $4,071,189 sold of $10,000,000 · 72 investors · min. No minimum reported · role: Director EDGAR ↗
  • Feb 27, 2018 · D · $1,500,000 sold of $1,500,000 · 2 investors · min. No minimum reported · role: Director EDGAR ↗
  • Nov 17, 2017 · D · $2,000,000 sold of $2,000,000 · 2 investors · min. No minimum reported · role: Director (Director) EDGAR ↗
  • Jul 20, 2017 · D · $1,640,398 sold of $7,000,000 · 22 investors · min. $15,000 · role: Director (Director) EDGAR ↗
  • Mar 30, 2017 · D · $0 sold of Indefinite · 1 investors · min. No minimum reported · role: Director EDGAR ↗
  • Oct 31, 2016 · D · $519,850 sold of $5,000,001 · 4 investors · min. $15,000 · role: Director EDGAR ↗
  • Nov 23, 2015 · D · $1,020,000 sold of $7,000,000 · 14 investors · min. No minimum reported · role: Director EDGAR ↗
  • May 19, 2015 · D · $450,000 sold of $450,000 · 2 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 3, 2015 · D/A · $4,009,000 sold of $10,000,000 · 107 investors · min. No minimum reported · role: Director EDGAR ↗
  • Mar 10, 2015 · D/A · $2,983,100 sold of $10,000,000 · 75 investors · min. No minimum reported · role: Director EDGAR ↗
  • Feb 18, 2015 · D/A · $2,425,600 sold of $10,000,000 · 62 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jan 30, 2015 · D/A · $1,583,100 sold of $10,000,000 · 40 investors · min. No minimum reported · role: Director EDGAR ↗
  • Dec 31, 2014 · D · $512,100 sold of $10,000,000 · 24 investors · min. No minimum reported · role: Director EDGAR ↗
  • Sep 25, 2014 · D/A · $953,000 sold of $1,000,000 · 23 investors · min. No minimum reported · role: Director EDGAR ↗
  • Aug 22, 2014 · D · $563,000 sold of $1,000,000 · 13 investors · min. No minimum reported · role: Director EDGAR ↗
  • May 6, 2014 · D/A · $574,400 sold of $5,000,000 · 28 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 17, 2014 · D · $204,900 sold of $5,000,000 · 6 investors · min. No minimum reported · role: Director EDGAR ↗
  • Feb 10, 2014 · D/A · $791,885 sold of $5,000,000 · 16 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jan 13, 2014 · D · $528,000 sold of $5,000,000 · 2 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jul 26, 2013 · D/A · $2,781,000 sold of $4,200,000 · 41 investors · min. No minimum reported · role: Director EDGAR ↗
  • May 21, 2013 · D/A · $2,422,000 sold of $4,200,000 · 28 investors · min. No minimum reported · role: Director EDGAR ↗
  • Mar 13, 2013 · D/A · $2,235,000 sold of $4,200,000 · 24 investors · min. No minimum reported · role: Director EDGAR ↗
  • Feb 25, 2013 · D · $1,820,000 sold of $4,200,000 · 16 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $8.62M from 107 investors (100% of the $8.62M target) as of the latest filing. Roy is listed as director on 24 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(b) (4,189 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.

AC
Other Health Care

ADVANCED CARDIAC THERAPEUTICS INC

Santa Clara, CA · Apr 10, 2014 → May 8, 2017 · 2 filings
  • May 8, 2017 · D · $44,999,998 sold of $45,999,997 · 4 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 10, 2014 · D · $7,300,000 sold of $8,000,000 · 6 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $45M from 26 investors (98% of the $46M target) as of the latest filing. Roy is listed as 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 Health Care / 506(b) (4,189 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.

V
Other Health Care

VytronUS Inc

Sunnyvale, CA · May 16, 2011 → Aug 29, 2016 · 5 filings
  • Aug 29, 2016 · D/A · $30,000,002 sold of $59,000,006 · 20 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jul 29, 2016 · D · $27,915,001 sold of $59,000,006 · 4 investors · min. No minimum reported · role: Director EDGAR ↗
  • Sep 30, 2014 · D · $7,844,513 sold of $33,040,000 · 7 investors · min. $1 · role: Director EDGAR ↗
  • Feb 27, 2012 · D · $8,699,999 sold of $13,000,000 · 3 investors · min. $1 · role: Director EDGAR ↗
  • May 16, 2011 · D · $5,672,964 sold of $6,000,000 · 3 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $30M from 20 investors (51% of the $59M target) as of the latest filing. Roy is listed as director 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(b) (4,189 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.

Other pages with the same name (2)

Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.

  • Roy Tanaka — MA, 1 issuer, May 13, 2020 → Aug 18, 2021 · no shared issuer
  • Roy Tanaka — OH, 1 issuer, Mar 25, 2021 → Jul 7, 2023 · 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.

JG
Management entity

Jay Graf

Director · 3 shared filings (1 issuer)

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

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

Kenneth Londoner

Executive Officer, Director · 24 shared filings (1 issuer) · also on 4 other issuers

Kenneth Londoner is on 5 issuers in total — a repeat sponsor. Their page lists every one.

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

Seth Fischer

Director · 22 shared filings (1 issuer)

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

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

Steve Chaussy

Executive Officer · 20 shared filings (1 issuer) · also on 1 other issuer

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

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

Jeffrey O'Donnell

Director · 17 shared filings (1 issuer) · also on 13 other issuers

Jeffrey O'Donnell is on 14 issuers in total — a repeat sponsor. Their page lists every one.

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

Patrick Gallagher

Director · 16 shared filings (1 issuer) · also on 12 other issuers

Patrick Gallagher is on 13 issuers in total — a repeat sponsor. Their page lists every one.

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

Jonathan Steinhouse

Director · 16 shared filings (1 issuer)

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

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

Asher Holzer

Executive Officer, Director · 16 shared filings (1 issuer) · also on 1 other issuer

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

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

Kalyanam Shivkumar

Director · 12 shared filings (2 issuers) · also on 1 other issuer

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

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

Gregory Cash

Executive Officer, Director · 11 shared filings (1 issuer) · also on 1 other issuer

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

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

David Weild IV

Director · 8 shared filings (1 issuer) · also on 1 other issuer

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

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

Donald E. Foley

Director · 6 shared filings (1 issuer)

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

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

Justin Klein

Director · 5 shared filings (2 issuers) · also on 5 other issuers

Justin Klein is on 7 issuers in total — a repeat sponsor. Their page lists every one.

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

Jerome Zeldis

Director · 5 shared filings (1 issuer) · also on 5 other issuers

Jerome Zeldis is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

William Uglow

Director · 4 shared filings (1 issuer)

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

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

Budimir S Drakulic

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

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

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

Lora Mikolaitis

Executive Officer · 4 shared filings (1 issuer)

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

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

Andrew Filler

Director · 4 shared filings (1 issuer)

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

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

Michael Pederson

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

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

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

David Gallup

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

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

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

Peter Justin Klein

Director · 2 shared filings (1 issuer) · also on 3 other issuers

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

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

John Maroney

Executive Officer, Director · 2 shared filings (1 issuer) · also on 6 other issuers

John Maroney is on 7 issuers in total — a repeat sponsor. Their page lists every one.

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

A. Jay Graf

Director · 2 shared filings (1 issuer)

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

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

Sami Hamade

Director · 2 shared filings (1 issuer) · also on 8 other issuers

Sami Hamade is on 9 issuers in total — a repeat sponsor. Their page lists every one.

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

John Nehra

Director · 2 shared filings (1 issuer) · also on 15 other issuers

John Nehra is on 16 issuers in total — a repeat sponsor. Their page lists every one.

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

Shahram Moaddeb

Executive Officer, Director, Promoter · 2 shared filings (1 issuer) · also on 2 other issuers

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

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

John Pavlidis

Executive Officer, Director · 2 shared filings (1 issuer) · also on 3 other issuers

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

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

Randy Werneth

Director · 2 shared filings (1 issuer) · also on 1 other issuer

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

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

Raghuveer Mendu

Executive Officer, Director, Promoter · 2 shared filings (1 issuer) · also on 2 other issuers

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

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

Duke Rohlen

Executive Officer, Director · 2 shared filings (1 issuer) · also on 9 other issuers

Duke Rohlen is on 10 issuers in total — a repeat sponsor. Their page lists every one.

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

Doug Koo

Executive Officer · 2 shared filings (1 issuer) · also on 8 other issuers

Doug Koo is on 9 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

David Foley

Director · 2 shared filings (1 issuer)

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

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

David McIntyre

Director · 2 shared filings (1 issuer) · also on 3 other issuers

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

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

Hank Kucheman

Director · 2 shared filings (1 issuer)

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

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

Jack Wang

Director · 2 shared filings (1 issuer) · also on 1 other issuer

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

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

Nalluru Murthy

Executive Officer, Director, Promoter · 2 shared filings (1 issuer) · also on 1 other issuer

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

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

Mahmood Razavi

Director · 2 shared filings (1 issuer) · also on 1 other issuer

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

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

Srijoy Mahapatra

Executive Officer · 2 shared filings (1 issuer)

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

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

John C Heinmiller

Director · 2 shared filings (1 issuer)

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

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

Pintoo Shah

Executive Officer · 2 shared filings (1 issuer)

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

The team behind the deals

Registrations and other filings

Adviser registration (Form ADV)

None of the 5 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 Tanaka 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 5 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Roy Tanaka is listed on: none on file. No website or social profile named in ADVANCED CARDIAC THERAPEUTICS INC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #272,788 of 374,652 in line (14 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 (Santa Clara, CA). 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) ↗California — find the county court ↗Los Angeles Superior Court case search ↗Minnesota court records online ↗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

California Secretary of State business search ↗Minnesota Secretary of State business search ↗Florida Secretary of State business search ↗OpenCorporates ↗

Change history

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