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

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

Thomas Baumlin

Named as an officer, director or promoter on SEC Form D filings · MA, NJ · Mar 30, 2009 → May 18, 2009

4deals (issuers)
$9.39Mreported sold
61investors
5Form D filings
2009year on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:19 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Thomas Baumlin is listed as an executive officer, director, and promoter on 5 SEC Form D filings by 4 issuers between Mar 2009 and May 2010: Roundstone Healthcare Capital VIII, LP (Acton, MA — pooled investment fund — 2009; $4.93M reported sold to 38 investors), Roundstone Healthcare Capital V, LP (Acton, MA — pooled investment fund — 2009; $4.46M reported sold to 23 investors), Two Rivers Healthcare Capital XI, LP (Rumson, NJ — pooled investment fund — 2010) and Roundstone Healthcare Capital X, LP (Acton, MA — pooled investment fund — 2009).

What this means A repeat sponsor — 4 separate companies raised money with this person listed as executive officer, director, and promoter. Across those companies the filings report $9.39M sold in total.

Listed alongside Kevin Hill (5 shared filings), Sean McNamara (5 shared filings) and Basil Bourque (4 shared filings).

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

All 4 issuers belong to the sponsor group Roundstone Healthcare (5 issuers, $10.4M reported sold, 2009–2010).

What this means A sponsor group is one team that sets up a new company for each deal. Roundstone Healthcare has 5 companies on file and $10.4M 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) — 3 court cases matching the name, 1 bankruptcy case matching the name listed in Key records below.

What this means 4 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 5 public filings for Thomas Baumlin and found 5 differences: No amendment in the last 12 months on an offering that may still be open; Thomas Baumlin is written 2 different ways on the filings; 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 Thomas Baumlin has not run yet — it is joining a line of 15,197 names; searches run around the clock at the hosts' allowed rate. Searched so far: 28 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

3 cases: 1 judgment, 2 closed (disposition not in docket feed)

BAUMLIN v. RCA CORP judgment
District Court, S.D. New York · No. · Filed Dec 8, 1983 · Closed May 31, 1988 · Nature of suit: 791 Employee Retirement Income Security Act
Role of BAUMLIN: Plaintiff · Outcome: Terminated 1988-05-31 — FJC Integrated Database disposition: Judgment on court trial; judgment for defendant Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 4 federal dockets); surname only in the caption; court in NY (not a filing state)
Baumlin v. Centuria Intl, Inc closed
District Court, D. New Hampshire · No. 1:81-cv-00287 · Filed Jun 17, 1981 · Closed Jan 18, 1985
Role of Baumlin: Plaintiff · Outcome: Terminated 1985-01-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 4 federal dockets); surname only in the caption; court in NH (not a filing state)
Centuria Intl, Inc v. Baumlin closed
District Court, D. New Hampshire · No. 1:79-cv-00276 · Filed Sep 13, 1979 · Closed Jan 18, 1985
Role of Baumlin: Defendant · Outcome: Terminated 1985-01-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 4 federal dockets); surname only in the caption; court in NH (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, 2:19 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: 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 Thomas Baumlin..

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

1 case: 1 closed (disposition not in docket feed)

Chase Bank USA, N.A. v. Baumlin closed
United States Bankruptcy Court, D. New Jersey · No. 08-01225 · Filed Mar 11, 2008 · Closed Apr 7, 2008
Role of Baumlin: Defendant · Outcome: Case closed 2008-04-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 4 federal dockets); surname only in the caption; court in the person's filing state (NJ)
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, 2:19 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

5 differences found between the filings for Thomas Baumlin (compared 5 filings on Oct 24, 2026)

Note · Sep 24, 2009 – Sep 28, 2009

No amendment in the last 12 months on an offering that may still be open — Roundstone Healthcare Capital VIII, LP (latest filing Sep 28, 2009)

The latest filing for this offering is dated Sep 28, 2009 (first sale Sep 24, 2009). It reports $4,930,000 sold of $30,000,000 offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D · Sep 28, 2009 ↗Roundstone Healthcare Capital VIII, LP — PartnerFacts page ↗
Sources
Note · Mar 27, 2009 – May 18, 2009

No amendment in the last 12 months on an offering that may still be open — Roundstone Healthcare Capital V, LP (latest filing May 18, 2009)

The latest filing for this offering is dated May 18, 2009 (first sale Mar 27, 2009). It reports $4,459,000 sold of $25,000,000 offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D/A · May 18, 2009 ↗Roundstone Healthcare Capital V, LP — PartnerFacts page ↗
Sources
Note · Mar 30, 2009 – May 19, 2010

Thomas Baumlin is written 2 different ways on the filings

listed as "Thomas Baumlin" on 4 filings (from Mar 30, 2009), and "Thomas E Baumlin" on the May 19, 2010 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 · Mar 30, 2009 ↗Form D · May 19, 2010 ↗Thomas Baumlin — PartnerFacts page ↗
Sources
Note · Jun 21, 2012

Same name, different state: "Thomas Baumlin" (FL) is a separate record

This page covers filings where the address state is MA or NJ. A separate record, "Thomas Baumlin" with address state FL, is listed on 1 filing — most recently by FANATICS HOLDINGS, INC. (Jun 21, 2012). The two records do not overlap in time: this page runs Mar 30, 2009 to May 18, 2009; the other has one filing dated Jun 21, 2012.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

Thomas Baumlin (FL) — PartnerFacts page ↗Form D · Jun 21, 2012 ↗FANATICS HOLDINGS, INC. — PartnerFacts page ↗Thomas Baumlin (MA,NJ) — this page ↗
Sources
Note · Mar 30, 2009 – May 19, 2010

Thomas Baumlin is listed with 2 different address states: MA, NJ

MA on 2 filings (Mar 30, 2009 to May 18, 2009); NJ on 3 filings (Sep 28, 2009 to May 19, 2010).

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 · Mar 30, 2009 ↗Form D · Sep 28, 2009 ↗
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 4 offerings report sales commissions totalling $5,300,000; 0 report finder's fees; 4 report proceeds to related persons totalling $1,588,686. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
May 19, 2010 D
Two Rivers Healthcare Capital XI, LP
File 021-142266
$700,000 (est.)$0$300,000 (est.)
The amount listed equals the GP's 2% annualized management fees on the invested funds over an assumed 18-month life of the fund.
National Securities Corporation BrokerCheck CRD 7569 ↗
vFinance Investments Inc. BrokerCheck CRD 44962 ↗		EDGAR ↗
Nov 10, 2009 D
Roundstone Healthcare Capital X, LP
File 021-135978
$2,100,000 (est.)$0$900,000 (est.)
The listed amount equals the GP's 2% annual management fees on the invested funds over an assumed 18-month life of the fund.
National Securities Corporation BrokerCheck CRD 7569 ↗
vFinance Investments Inc. BrokerCheck CRD 44962 ↗		EDGAR ↗
Sep 28, 2009 D
Roundstone Healthcare Capital VIII, LP
File 021-134766
$0$0$147,900 (est.)
This amount equals the GP's projected management fees over the assumed life of the fund.
None listed on this filingEDGAR ↗
May 18, 2009 D/A
Roundstone Healthcare Capital V, LP
File 021-129219
$2,500,000 (est.)$0$240,786 (est.)
This amount equals the GP's 2% annual management fees on the net proceeds over an assumed 3-year life of the fund.
National Securities Corporation BrokerCheck CRD 7569 ↗
vFinance Investments Inc. BrokerCheck CRD 44962 ↗		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 4

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

TR
Pooled Investment Fund · group: Roundstone Healthcare

Two Rivers Healthcare Capital XI, LP

Rumson, NJ · May 19, 2010
  • May 19, 2010 · D · $0 sold of $10,000,000 · 0 investors · min. No minimum reported · role: Executive Officer, Director, Promoter (Managing Member of the GP and Managing Director of the Issuer) EDGAR ↗

No sales reported yet as of the latest filing. Thomas 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.

RH
Pooled Investment Fund · group: Roundstone Healthcare

Roundstone Healthcare Capital X, LP

Acton, MA · Nov 10, 2009
  • Nov 10, 2009 · D · $0 sold of $30,000,000 · 0 investors · min. No minimum reported · role: Executive Officer, Promoter (Managing Director of the Issuer) EDGAR ↗

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

RH
Pooled Investment Fund · group: Roundstone Healthcare

Roundstone Healthcare Capital VIII, LP

Acton, MA · Sep 28, 2009
  • Sep 28, 2009 · D · $4,930,000 sold of $30,000,000 · 38 investors · min. $35,000 · role: Executive Officer, Promoter (Managing Director of the Issuer) EDGAR ↗

Raised $4.93M from 38 investors (16% of the $30M target) as of the latest filing. Thomas is listed as executive officer, 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.

RH
Pooled Investment Fund · group: Roundstone Healthcare

Roundstone Healthcare Capital V, LP

Acton, MA · Mar 30, 2009 → May 18, 2009 · 2 filings
  • May 18, 2009 · D/A · $4,459,000 sold of $25,000,000 · 23 investors · min. $10,000 · role: Executive Officer, Promoter (Officer of the General Partner) EDGAR ↗
  • Mar 30, 2009 · D · $3,200,000 sold of $25,000,000 · 5 investors · min. $10,000 · role: Executive Officer, Promoter (Officer of the General Partner) EDGAR ↗

Raised $4.46M from 23 investors (18% of the $25M target) as of the latest filing. Thomas is listed as executive officer, 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.

  • Thomas Baumlin — FL, 1 issuer, Jun 21, 2012 → Jun 21, 2012 · no shared issuer

People around Thomas 3

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

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

Sean McNamara

Executive Officer, Director, Promoter · 5 shared filings (4 issuers) · also on 1 other issuer

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

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

Kevin Hill

Executive Officer, Director, Promoter · 5 shared filings (4 issuers) · also on 7 other issuers

Kevin Hill is on 11 issuers in total — a repeat sponsor. Their page lists every one.

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

Basil Bourque

Executive Officer, Director, Promoter · 4 shared filings (3 issuers) · also on 1 other issuer

Listed on the same filings as Thomas Baumlin. Their page shows their other deals.

The team behind the deals

RH
Sponsor group

Roundstone Healthcare

5 issuers · 6 filings · $10.4M reported sold · 2009–2010

One team, 5 deal companies. Thomas Baumlin is listed on 4 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 Thomas Baumlin.

Registrations and other filings

Adviser registration (Form ADV)

None of the 4 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 Thomas Baumlin 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 4 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Thomas Baumlin is listed on: none on file. No website or social profile named in Roundstone Healthcare Capital VIII, LP's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #369,177 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 (Acton, MA). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

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Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗Massachusetts MassCourts ↗New Jersey state courts — find the court ↗

Securities regulators

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

Business registries

Massachusetts Secretary of State business search ↗New Jersey Secretary of State business search ↗OpenCorporates ↗

Change history

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