Sponsor Check › Person
Related person on Form D filings · address states as listed: NY, PA, FL · listed Apr 30, 2009 → Oct 8, 2019
Data last updated: Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 23, 2026, 11:57 PM ET · SEC enforcement last checked: not yet
Privacy: business-related public information only. Residential addresses are never shown; only the state from the filing.
The five facts investors ask about first. Each section states what was searched and when. Items still in human review are not shown.
None found in sources searched.
Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30) — federal district + bankruptcy courts; live RECAP re-check pending. State courts: not yet searched. PACER: not searched. · Last checked Oct 23, 2026, 11:57 PM ET.
State courts: not yet searched. 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.
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. — not yet searched; 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: not yet searched.
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None found in sources searched.
Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Last checked Oct 23, 2026, 11:57 PM ET.
State courts: not yet searched. No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.
Comparisons are made for sponsors and sponsor groups, not individual people.
10 of 16 offerings report sales commissions totalling $6,729,385; 0 report finder's fees; 2 report proceeds to related persons totalling $825,000. (includes amounts the issuer reported as estimates)
| Source | Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it |
|---|---|---|---|---|---|
| EDGAR ↗ | Mar 6, 2026 D/A File 021-538757 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Oct 8, 2019 D File 021-350641 | $0 | $0 | $0 In the ordinary course of business, the issuer may use some of the proceeds of the offering to pay salaries to certain of its executive officers and directors. | None no CRD number reported |
| EDGAR ↗ | Jul 10, 2019 D/A File 021-343016 | $688,887 | $0 | $0 In the ordinary course of business, the issuer may use some of the proceeds of the offering to pay salaries to certain of its executive officers and directors. | Alexander Capital, LP BrokerCheck CRD 40077 ↗ Brookline Capital Markets, A division of Arcadia Securities, LLC BrokerCheck CRD 44656 ↗ |
| EDGAR ↗ | May 16, 2019 D File 021-339798 | $221,150 | $0 | $0 In the ordinary course of business, the issuer may use some of the proceeds of the offering to pay salaries to certain of its executive officers and directors. | Alexander Capital, LP BrokerCheck CRD 40077 ↗ Brookline Capital Markets, A division of CIM Securities, LLC BrokerCheck CRD 120852 ↗ |
| EDGAR ↗ | Dec 10, 2018 D/A File 021-324029 | $563,861 | $0 | $0 In the ordinary course of business, the issuer may use some of the proceeds of the offering to pay salaries to certain of its executive officers and directors. | Alexander Capital, LP BrokerCheck CRD 40077 ↗ |
| EDGAR ↗ | Oct 6, 2017 D File 021-296142 | $584,500 | $0 | $0 In the ordinary course of business, the issuer may use some of the proceeds of the offering to pay salaries to certain of its executive officers and directors. | Alexander Capital, LP BrokerCheck CRD 40077 ↗ |
| EDGAR ↗ | Jun 19, 2014 D File 021-219502 | $1,069,458 | $0 | $0 In the ordinary course of business, the issuer may use some of the proceeds of the offering to pay salaries to certain of its executive officers and directors. | Laidlaw & Company (UK) Ltd. BrokerCheck CRD 119037 ↗ |
| EDGAR ↗ | Jun 4, 2014 D File 021-218540 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | May 22, 2014 D File 021-217828 | $1,806,133 | $0 | $0 In the ordinary course of business, the issuer may use some of the proceeds of the offering to pay salaries to certain of its executive officers and directors. | Laidlaw & Company (UK) Ltd. BrokerCheck CRD 119037 ↗ |
| EDGAR ↗ | Jan 21, 2014 D/A File 021-209458 | $663,672 | $0 | $0 In the ordinary course of business, the issuer may use some of the proceeds of the offering to pay salaries to certain of its executive officers and directors. | Recipient Laidlaw & Company (UK) Ltd. BrokerCheck CRD 119037 ↗ |
| EDGAR ↗ | Sep 4, 2013 D File 021-202314 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jun 7, 2013 D File 021-197621 | $18,000 | $0 | $0 | Laidlaw & Company (UK) Ltd. BrokerCheck CRD 119037 ↗ |
| EDGAR ↗ | Jun 6, 2013 D/A File 021-181601 | $495,550 | $0 | $225,000 The amount set forth above covers the annual compensation for one of the persons set forth in item 3. | Laidlaw & Company (UK) Ltd. BrokerCheck CRD 119037 ↗ |
| EDGAR ↗ | Mar 19, 2013 D File 021-193542 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Dec 31, 2012 D File 021-189157 | $618,174 | $0 | $600,000 (est.) | Laidlaw & Company (UK) Ltd. BrokerCheck CRD 119037 ↗ |
| EDGAR ↗ | Apr 30, 2009 D File 021-130594 | $0 | $0 | $0 (est.) The General Partner (or its affiliate) is entitled to receive an annual management fee in an amount equal to a specified percentage of assets under management. | None listed on this filing |
As reported by the issuer on Form D (Items 12–15), 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).
| Source | Issuer | Role | Filed | Form | Offering | Sold | Investors | Min. investment |
|---|---|---|---|---|---|---|---|---|
| EDGAR ↗ | EnZeta Immunotherapies, Inc. | Director | Mar 6, 2026 | D/A | $2,370,000 similar: $2,000,000–$19,999,994 | $840,000 | 10 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | EnZeta Immunotherapies, Inc. | Director | Feb 20, 2025 | D | $1,000,000 similar: $2,000,000–$19,999,994 | $200,000 | 3 similar: 2–16 | $50,000 similar: $10,000–$50,000 |
| EDGAR ↗ | RELMADA THERAPEUTICS, INC. group: Relmada Therapeutics | Executive Officer, Director CEO | Oct 8, 2019 | D | $825,750 similar: $2,000,000–$19,999,994 | $825,750 | 7 similar: 2–16 | $10,000 similar: $10,000–$50,000 |
| EDGAR ↗ | RELMADA THERAPEUTICS, INC. group: Relmada Therapeutics | Executive Officer, Director CEO | Jul 10, 2019 | D/A | $10,000,000 similar: $2,000,000–$19,999,994 | $8,432,437 | 116 similar: 2–16 | $10,000 similar: $10,000–$50,000 |
| EDGAR ↗ | RELMADA THERAPEUTICS, INC. group: Relmada Therapeutics | Executive Officer, Director CEO | Jun 27, 2019 | D | $10,000,000 similar: $2,000,000–$19,999,994 | $8,002,248 | 108 similar: 2–16 | $10,000 similar: $10,000–$50,000 |
| EDGAR ↗ | RELMADA THERAPEUTICS, INC. group: Relmada Therapeutics | Executive Officer, Director CEO | May 16, 2019 | D | $10,000,000 similar: $2,000,000–$19,999,994 | $3,414,505 | 43 similar: 2–16 | $10,000 similar: $10,000–$50,000 |
| EDGAR ↗ | RELMADA THERAPEUTICS, INC. group: Relmada Therapeutics | Executive Officer, Director | Dec 10, 2018 | D/A | $10,000,000 similar: $2,000,000–$19,999,994 | $5,834,407 | 66 similar: 2–16 | $10,000 similar: $10,000–$50,000 |
| EDGAR ↗ | RELMADA THERAPEUTICS, INC. group: Relmada Therapeutics | Executive Officer, Director | Nov 13, 2018 | D/A | $10,000,000 similar: $2,000,000–$19,999,994 | $4,629,507 | 55 similar: 2–16 | $10,000 similar: $10,000–$50,000 |
| EDGAR ↗ | RELMADA THERAPEUTICS, INC. group: Relmada Therapeutics | Executive Officer, Director | Oct 22, 2018 | D | $10,000,000 similar: $2,000,000–$19,999,994 | $3,279,998 | 30 similar: 2–16 | $10,000 similar: $10,000–$50,000 |
| EDGAR ↗ | RELMADA THERAPEUTICS, INC. group: Relmada Therapeutics | Executive Officer, Director | Oct 6, 2017 | D | $6,890,000 similar: $2,000,000–$19,999,994 | $6,890,000 | 65 similar: 2–16 | $5,000 similar: $10,000–$50,000 |
| EDGAR ↗ | RELMADA THERAPEUTICS, INC. group: Relmada Therapeutics | Executive Officer, Director Chief Executive Officer | Jun 19, 2014 | D | $10,694,588 similar: $2,000,000–$19,999,994 | $10,694,588 | 236 similar: 2–16 | $100,000 similar: $10,000–$50,000 |
| EDGAR ↗ | RELMADA THERAPEUTICS, INC. group: Relmada Therapeutics | Executive Officer, Director Chief Executive Officer | Jun 4, 2014 | D | $0 similar: $2,000,000–$19,999,994 | $0 | 382 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Relmada Therapeutics, Inc. group: Relmada Therapeutics | Executive Officer, Director Chief Executive Officer | May 22, 2014 | D | $15,051,110 similar: $2,000,000–$19,999,994 | $15,051,110 | 225 similar: 2–16 | $100,000 similar: $10,000–$50,000 |
| EDGAR ↗ | Actinium Pharmaceuticals, Inc. group: Relmada Therapeutics | Executive Officer, Director Interim Chief Financial Officer | Jan 21, 2014 | D/A | $6,636,720 similar: $1,694,259–$16,000,000 | $6,636,720 | 63 similar: 1–13 | $5,000 similar: $10,000–$55,000 |
| EDGAR ↗ | Actinium Pharmaceuticals, Inc. group: Relmada Therapeutics | Executive Officer, Director Interim Chief Financial Officer | Jan 7, 2014 | D | $6,000,000 similar: $1,694,259–$16,000,000 | $3,325,860 | 36 similar: 1–13 | $5,000 similar: $10,000–$55,000 |
| EDGAR ↗ | Actinium Pharmaceuticals, Inc. group: Relmada Therapeutics | Executive Officer, Director Interim President, Interim Chief Executive Officer & Interim Chief Financial Officer | Sep 4, 2013 | D | Indefinite similar: $1,694,259–$16,000,000 | $0 | 13 similar: 1–13 | No minimum reported similar: $10,000–$55,000 |
| EDGAR ↗ | Relmada Therapeutics, Inc. group: Relmada Therapeutics | Executive Officer, Director | Jun 7, 2013 | D | $750,000 similar: $1,694,259–$16,000,000 | $180,000 | 6 similar: 1–13 | $15,000 similar: $10,000–$55,000 |
| EDGAR ↗ | Relmada Therapeutics, Inc. group: Relmada Therapeutics | Executive Officer, Director | Jun 6, 2013 | D/A | $8,000,000 similar: $1,694,259–$16,000,000 | $4,955,500 | 98 similar: 1–13 | $4,900 similar: $10,000–$55,000 |
| EDGAR ↗ | Actinium Pharmaceuticals, Inc. group: Relmada Therapeutics | Executive Officer, Director Interim President, Chief Executive Officer & Chief Financial Officer | Mar 19, 2013 | D | Indefinite similar: $1,694,259–$16,000,000 | $0 | 348 similar: 1–13 | No minimum reported similar: $10,000–$55,000 |
| EDGAR ↗ | Actinium Pharmaceuticals, Inc. group: Relmada Therapeutics | Director | Dec 31, 2012 | D | $15,000,000 similar: $1,694,259–$16,000,000 | $5,141,450 | 108 similar: 1–13 | $3,000 similar: $10,000–$55,000 |
| EDGAR ↗ | Relmada Therapeutics, Inc. group: Relmada Therapeutics | Executive Officer, Director | Jul 23, 2012 | D | $6,000,000 similar: $1,694,259–$16,000,000 | $3,008,000 | 61 similar: 1–13 | $4,900 similar: $10,000–$55,000 |
| EDGAR ↗ | Ardana Healthcare Fund LP group: Relmada Therapeutics | Executive Officer Sergio Traversa is an executive officer of Ardana Healthcare LLC, the General Partner of the Issuer. | Apr 30, 2009 | D | Indefinite similar: $155,000–$5,250,000 | $1,250,000 | 2 similar: 4–27 | $1,000,000 similar: $1,000–$100,000 |
Every row is a Form D or D/A on which the issuer listed this name as a related person. Related-person names are matched on first + last name and the address state on the filing; records that share a name but could not be tied together by a second identifier are listed separately below.
"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Biotechnology / 506(b) (3,253 filings); Pharmaceuticals / 506(b) (800 filings); Pooled Investment Fund / 506(b) (83,801 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.
People and management entities the issuers listed as related persons on the same Form D filings as Sergio Traversa. Source: the EDGAR rows in the table above.
None found in sources searched.
Sources 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 · Last checked Oct 23, 2026, 8:41 PM ET.
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