Thane Plambeck is listed as an executive officer and promoter on 1 SEC Form D filing by 1 issuer in Jun 2009: Berkeley Quantitative Performance Fund LP (Fairfield, CT — pooled investment fund — 2009; $29.3M reported sold to 37 investors).
What this means One deal on file with the SEC, filed Jun 2009. A Form D is the notice a company files after it starts selling a private investment — it is a notice, not an approval.
Listed alongside Aaron Siegel (1 shared filing), Edward Raha (1 shared filing), Elwyn Berlekamp (1 shared filing) and Greg Whitehead (1 shared filing).
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Thane. Each name links to their own page.
The issuer belongs to the sponsor group Berkeley Quantitative Performance (2 issuers, $42.8M reported sold, 2009–2011).
What this means A sponsor group is one team that sets up a new company for each deal. Berkeley Quantitative Performance has 2 companies on file and $42.8M reported sold in total — the group page shows the whole track record in one place.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AZ, CA, DE, TX, WA) — 6 court cases matching the name listed in Key records below.
What this means 6 records came back, including 1 court case still open — open cases can take years and cost money. 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 1 public filing for Thane Plambeck and found 2 differences, 2 worth asking the sponsor about: Paid seller listed without a CRD number: J.P. Morgan Futures, Inc; Thane Plambeck is no longer listed on the Aug 27, 2009 amendment.
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.