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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:51 AM ET

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Thomas Wagner

Named as an officer, director or promoter on SEC Form D filings · CA · May 22, 2009 → Apr 7, 2026

11deals (issuers)
$152.8Mreported sold
69investors
15Form D filings
2009–2026years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:18 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Thomas Wagner is listed as an executive officer and director on 15 SEC Form D filings by 11 issuers between May 2009 and Apr 2026. Largest by amount reported sold: Aggregate Fund LLC (Los Angeles, CA — pooled investment fund — 2025–2026; $138.6M reported sold to 2 investors), Harvest Co-Investment Partners, LLC (Emeryville, CA — commercial — 2013; $5M reported sold to 1 investors), Harvest 4040 Investors, LLC (Emeryville, CA — commercial — 2012–2013; $2.5M reported sold to 3 investors), FRONTERA INVESTMENT INC (Poway, CA — other banking and financial services — 2009; $2.01M reported sold to 41 investors), Harvest SV Towers Co-Invest, LLC (Emeryville, CA — commercial — 2015; $1.27M reported sold to 6 investors) and 6 more (all listed below).

What this means That is a lot of deals — 11 separate companies raised money with this person listed as executive officer and director, over about 17 years. Across those companies the filings report $152.8M sold in total.

Listed alongside Awais Mughal (10 shared filings), Griff King (10 shared filings), Harvest Properties, Inc. (10 shared filings, management entity), John R. Winther (10 shared filings), Joss Hanna (10 shared filings) and 23 others.

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.

9 of the issuers belong to the sponsor group Harvest (13 issuers, $18M reported sold, 2012–2019).

What this means A sponsor group is one team that sets up a new company for each deal. Harvest has 13 companies on file and $18M 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 (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 SEC release, 3 bankruptcy cases 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 15 public filings for Thomas Wagner and found 17 differences, 7 worth asking the sponsor about: Regulator action: Robert J. Neprud, David W. Hall, William Y. Hall, William A. Hall, Thomas W. Wagner, and Alan J. Salem (Dec 22, 1998); Amount sold went down between 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 Wagner has not run yet — it is joining a line of 42,326 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

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, 2:18 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

1 SEC release

Robert J. Neprud, David W. Hall, William Y. Hall, William A. Hall, Thomas W. Wagner, and Alan J. Salem Litigation release
SEC · Dec 22, 1998 · Parties as named in the release: Robert J. Neprud, David W. Hall, William Y. Hall, William A. Hall, Thomas W. Wagner, and Alan J. Salem Read the release ↗
same full name in the release title; 11 people with this name in Form D filings; the person's filing state is named in the release
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 Wagner..

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

3 cases: 3 closed (disposition not in docket feed)

Thomas W Wagner and Cheryl A Wagner closed
United States Bankruptcy Court, C.D. California · No. 6:09-bk-27801 · Filed Aug 4, 2009 · Closed Dec 17, 2009
Role of Thomas W Wagner and Cheryl A Wagner: Debtor · Outcome: Case closed 2009-12-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 199 federal dockets); 11 people with this name in Form D filings; court in the person's filing state (CA)
Thomas W Wagner closed
United States Bankruptcy Court, C.D. California · No. 6:02-bk-13567 · Filed Mar 4, 2002 · Closed Jul 2, 2002
Role of Thomas W Wagner: Debtor · Outcome: Case closed 2002-07-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 199 federal dockets); 11 people with this name in Form D filings; court in the person's filing state (CA)
Thomas I. Wagner closed
United States Bankruptcy Court, N.D. California · No. 95-58308 · Filed Dec 15, 1995 · Closed Sep 12, 2001
Role of Thomas I. Wagner: Debtor · Outcome: Case closed 2001-09-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 199 federal dockets); 11 people with this name in Form D filings; court in the person's filing state (CA)
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, 2:18 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

17 differences found between the filings for Thomas Wagner — 7 worth asking about (compared 15 filings on Oct 24, 2026)

Worth asking · Dec 22, 1998

Regulator action: Robert J. Neprud, David W. Hall, William Y. Hall, William A. Hall, Thomas W. Wagner, and Alan J. Salem (Dec 22, 1998)

An SEC litigation release dated Dec 22, 1998 names Thomas Wagner. Our match estimate: 44%. 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.

Robert J. Neprud, David W. Hall, William Y. Hall, William A. Hall, Thomas W. Wagner, and Alan J. Salem ↗
Sources
Worth asking · May 22, 2009 – Jul 21, 2009

Amount sold went down between filings — FRONTERA INVESTMENT INC

The May 22, 2009 filing says $1,864,866 sold; the Jul 21, 2009 Form D says $548,000 sold — $1,316,866 less.

What this means Amounts sold normally only go up as a raise continues. A drop can mean investors were refunded, a figure was corrected, or an earlier number was wrong. Ask the sponsor which it was.

Form D (earlier) · May 22, 2009 ↗Form D (later) · Jul 21, 2009 ↗FRONTERA INVESTMENT INC — PartnerFacts page ↗
Sources
Worth asking · Jul 21, 2009

Amount sold went down between filings — FRONTERA INVESTMENT INC

The Jul 21, 2009 filing says $548,000 sold; the Jul 21, 2009 Form D says $30,000 sold — $518,000 less.

What this means Amounts sold normally only go up as a raise continues. A drop can mean investors were refunded, a figure was corrected, or an earlier number was wrong. Ask the sponsor which it was.

Form D (earlier) · Jul 21, 2009 ↗Form D (later) · Jul 21, 2009 ↗FRONTERA INVESTMENT INC — PartnerFacts page ↗
Sources
Worth asking · May 22, 2009 – Jul 21, 2009

Investor count went down between filings — FRONTERA INVESTMENT INC

The May 22, 2009 filing reports 41 investors; the Jul 21, 2009 Form D reports 16 investors.

What this means Investor counts normally only grow. A smaller number can mean investors left or were refunded, or a count was corrected. Ask the sponsor what happened.

Form D (earlier) · May 22, 2009 ↗Form D (later) · Jul 21, 2009 ↗FRONTERA INVESTMENT INC — PartnerFacts page ↗
Sources
Worth asking · Jul 21, 2009

Investor count went down between filings — FRONTERA INVESTMENT INC

The Jul 21, 2009 filing reports 16 investors; the Jul 21, 2009 Form D reports 1 investor.

What this means Investor counts normally only grow. A smaller number can mean investors left or were refunded, or a count was corrected. Ask the sponsor what happened.

Form D (earlier) · Jul 21, 2009 ↗Form D (later) · Jul 21, 2009 ↗FRONTERA INVESTMENT INC — PartnerFacts page ↗
Sources
Worth asking · Mar 21, 2013

26% of the money raised went to insiders — Harvest Co-Investment Partners, LLC

The Mar 21, 2013 Form D reports $5,000,000 sold and $1,300,000 of the proceeds used for payments to officers, directors or promoters (marked as an estimate). Issuer's note: "Represents the aggregate amount that would be paid by the series of the Issuer, if fully subscribed, to acquire a portion of interests in joint ventures that are currently owned by an affiliate of Har".

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 · Mar 21, 2013 ↗Harvest Co-Investment Partners, LLC — PartnerFacts page ↗
Sources
Note · Aug 8, 2012 – Mar 13, 2017

Thomas Wagner appears on 2 deals that stopped filing before reaching their target

Harvest Chess Drive Co-Invest, LLC (last filing Mar 13, 2017; $200,000 sold of $935,000); FRONTERA INVESTMENT INC (last filing Aug 8, 2012; $2,009,684 sold of $5,900,001). 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.

Harvest Chess Drive Co-Invest, LLC — PartnerFacts page ↗FRONTERA INVESTMENT INC — PartnerFacts page ↗
Sources
Worth asking · Mar 18, 2008 – May 16, 2014

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

Form D filed 215 days after the first sale — FRONTERA INVESTMENT INC · Form D filed 430 days after the first sale — FRONTERA INVESTMENT INC · Form D filed 18 days after the first sale — Harvest Century Centre Co-Invest, LLC · Form D filed 17 days after the first sale — Harvest 60 South Market Co-Invest, LLC · Form D filed 16 days after the first sale — Harvest 4040 Investors, 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 · Jul 21, 2009 ↗FRONTERA INVESTMENT INC — PartnerFacts page ↗Form D · May 22, 2009 ↗Form D · May 16, 2014 ↗
Sources
Note · Mar 18, 2008 – Mar 13, 2017

6 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 — Harvest Chess Drive Co-Invest, LLC (latest filing Mar 13, 2017) · No amendment in the last 12 months on an offering that may still be open — Harvest SV Towers Co-Invest, LLC (latest filing Aug 27, 2015) · No amendment in the last 12 months on an offering that may still be open — Harvest 55 Hawthorne Co-Invest, LLC (latest filing Oct 20, 2014) · No amendment in the last 12 months on an offering that may still be open — Harvest CPP Co-Invest, LLC (latest filing Dec 10, 2013) · No amendment in the last 12 months on an offering that may still be open — Harvest Co-Investment Partners, LLC (latest filing Mar 21, 2013) · and 1 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 · Mar 13, 2017 ↗Harvest Chess Drive Co-Invest, LLC — PartnerFacts page ↗Form D · Aug 27, 2015 ↗Harvest SV Towers Co-Invest, LLC — PartnerFacts page ↗
Sources
Note · May 22, 2009 – Jul 21, 2009

Offering amount lowered between filings — FRONTERA INVESTMENT INC

The May 22, 2009 filing says $2,000,000 offered; the Jul 21, 2009 Form D says $548,000.

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) · May 22, 2009 ↗Form D (later) · Jul 21, 2009 ↗FRONTERA INVESTMENT INC — PartnerFacts page ↗
Sources
Note · Jul 21, 2009

Offering amount lowered between filings — FRONTERA INVESTMENT INC

The Jul 21, 2009 filing says $548,000 offered; the Jul 21, 2009 Form D says $500,000.

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) · Jul 21, 2009 ↗Form D (later) · Jul 21, 2009 ↗FRONTERA INVESTMENT INC — PartnerFacts page ↗
Sources
Note · Aug 27, 2012 – Nov 6, 2013

Reported revenue range changed between filings — Harvest 4040 Investors, LLC

"No Revenues" (Aug 27, 2012); then "$1 - $1,000,000" (Nov 6, 2013).

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 · Aug 27, 2012 ↗Form D · Nov 6, 2013 ↗Harvest 4040 Investors, LLC — PartnerFacts page ↗
Sources
Note · Jun 10, 2009 – Dec 5, 2025

Same name, different state: "Thomas Wagner" (NY) is a separate record

This page covers filings where the address state is CA. A separate record, "Thomas Wagner" with address state NY, is listed on 82 filings — most recently by KNIGHTHEAD MASTER FUND LP (Dec 5, 2025). Both records have filings in the same period (Jun 10, 2009 to Dec 5, 2025).

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.

Thomas Wagner (NY) — PartnerFacts page ↗Form D/A · Dec 5, 2025 ↗KNIGHTHEAD MASTER FUND LP — PartnerFacts page ↗Thomas Wagner (CA) — this page ↗
Sources
Note · Nov 9, 2022

Same name, different state: "Thomas Wagner" (MD) is a separate record

This page covers filings where the address state is CA. A separate record, "Thomas Wagner" with address state MD, is listed on 1 filing — most recently by Trinity Cyber, Inc. (Nov 9, 2022). Both records have filings in the same period (Nov 9, 2022).

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.

Thomas Wagner (MD) — PartnerFacts page ↗Form D · Nov 9, 2022 ↗Trinity Cyber, Inc. — PartnerFacts page ↗Thomas Wagner (CA) — this page ↗
Sources
Note · Sep 10, 2015 – Oct 12, 2021

Same name, different state: "Thomas Wagner" (SC or TX) is a separate record

This page covers filings where the address state is CA. A separate record, "Thomas Wagner" with address state SC or TX, is listed on 10 filings — most recently by Zenith Risk Strategies LLC (Mar 26, 2026). Both records have filings in the same period (Sep 10, 2015 to Oct 12, 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.

Thomas Wagner (SC,TX) — PartnerFacts page ↗Form D · Mar 26, 2026 ↗Zenith Risk Strategies LLC — PartnerFacts page ↗Thomas Wagner (CA) — this page ↗
Sources
Note · Jun 25, 2014 – Sep 21, 2015

Same name, different state: "Thomas C. Wagner" (MN) is a separate record

This page covers filings where the address state is CA. A separate record, "Thomas C. Wagner" with address state MN, is listed on 6 filings — most recently by Black River Agriculture Fund 2 LP (Sep 21, 2015). Both records have filings in the same period (Jun 25, 2014 to Sep 21, 2015).

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.

Thomas C. Wagner (MN) — PartnerFacts page ↗Form D/A · Sep 21, 2015 ↗Black River Agriculture Fund 2 LP — PartnerFacts page ↗Thomas Wagner (CA) — this page ↗
Sources
Note · Jan 20, 2010

Same name, different state: "Thomas Wagner" (V7) is a separate record

This page covers filings where the address state is CA. A separate record, "Thomas Wagner" with address state V7, is listed on 1 filing — most recently by Gas Turbine Efficiency plc (Jan 20, 2010). Both records have filings in the same period (Jan 20, 2010).

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.

Thomas Wagner (V7) — PartnerFacts page ↗Form D · Jan 20, 2010 ↗Gas Turbine Efficiency plc — PartnerFacts page ↗Thomas Wagner (CA) — this page ↗
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

2 of 12 offerings report sales commissions totalling $49,970; 0 report finder's fees; 2 report proceeds to related persons totalling $1,473,700. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Apr 7, 2026 D/A
Aggregate Fund LLC
File 021-231483
$0$0$0None listed on this filingEDGAR ↗
Mar 13, 2017 D
Harvest Chess Drive Co-Invest, LLC
File 021-282344
$0$0$0None listed on this filingEDGAR ↗
Aug 27, 2015 D
Harvest SV Towers Co-Invest, LLC
File 021-246513
$0$0$0None listed on this filingEDGAR ↗
Oct 20, 2014 D
Harvest 55 Hawthorne Co-Invest, LLC
File 021-226809
$0$0$0None listed on this filingEDGAR ↗
May 16, 2014 D
Harvest Century Centre Co-Invest, LLC
File 021-217485
$0$0$0None listed on this filingEDGAR ↗
May 15, 2014 D
Harvest 60 South Market Co-Invest, LLC
File 021-217455
$0$0$0None listed on this filingEDGAR ↗
Dec 10, 2013 D
Harvest CPP Co-Invest, LLC
File 021-207697
$0$0$0None listed on this filingEDGAR ↗
Nov 6, 2013 D
Harvest 4040 Investors, LLC
File 021-205836
$0$0$0 (est.)None listed on this filingEDGAR ↗
Oct 7, 2013 D
Harvest City Center Co-Invest, LLC
File 021-204072
$0$0$0None listed on this filingEDGAR ↗
Mar 21, 2013 D
Harvest Co-Investment Partners, LLC
File 021-193741
$19,970 (est.)$0$1,300,000 (est.)
Represents the aggregate amount that would be paid by the series of the Issuer, if fully subscribed, to acquire a portion of interests in joint ventures that are currently owned by an affiliate of Harvest Properties, Inc.
Growth Capital Services, Inc. BrokerCheck CRD 124658 ↗
via Lane Auten (CRD 5741606 ↗)
EDGAR ↗
Aug 27, 2012 D
Harvest 4040 Investors, LLC
File 021-183270
$0$0$173,700 (est.)None listed on this filingEDGAR ↗
Jul 21, 2009 D
FRONTERA INVESTMENT INC
File 021-62165
$30,000 (est.)$0$0Alternative Wealth Strategies, Inc BrokerCheck CRD 130933 ↗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 11

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

AF
Pooled Investment Fund

Aggregate Fund LLC

Los Angeles, CA · Jan 22, 2025 → Apr 7, 2026 · 2 filings
  • Apr 7, 2026 · D/A · $138,550,000 sold of Indefinite · 2 investors · min. $50,000,000 · role: Executive Officer (Portfolio Manager of the Manager of the Issuer) EDGAR ↗
  • Jan 22, 2025 · D/A · $90,000,000 sold of Indefinite · 2 investors · min. $50,000,000 · role: Executive Officer (Portfolio Manager of the Manager of the Issuer) EDGAR ↗

Raised $138.6M from 2 investors as of the latest filing. Thomas is listed as executive officer 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: 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.

HC
Commercial · group: Harvest

Harvest Chess Drive Co-Invest, LLC

Emeryville, CA · Mar 13, 2017
  • Mar 13, 2017 · D · $200,000 sold of $935,000 · 1 investors · min. $25,000 · role: Executive Officer (Executive officer of Harvest Properties, Inc.) EDGAR ↗

Raised $200K from 1 investor (21% of the $935K target) as of the latest filing. Thomas 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: Commercial / 506(b) (6,713 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.

HS
Commercial · group: Harvest

Harvest SV Towers Co-Invest, LLC

Emeryville, CA · Aug 27, 2015
  • Aug 27, 2015 · D · $1,275,000 sold of $1,600,000 · 6 investors · min. $25,000 · role: Executive Officer (Executive officer of Harvest Properties, Inc.) EDGAR ↗

Raised $1.27M from 6 investors (80% of the $1.6M target) as of the latest filing. Thomas 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: Commercial / 506(b) (6,713 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.

H5
Commercial · group: Harvest

Harvest 55 Hawthorne Co-Invest, LLC

Emeryville, CA · Oct 20, 2014
  • Oct 20, 2014 · D · $1,000,000 sold of $1,200,000 · 3 investors · min. $250,000 · role: Executive Officer (Executive Officer of Harvest Properties, Inc.) EDGAR ↗

Raised $1M from 3 investors (83% of the $1.2M target) as of the latest filing. Thomas 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: Commercial / 506(b) (6,713 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.

HC
Commercial · group: Harvest

Harvest Century Centre Co-Invest, LLC

Emeryville, CA · May 16, 2014
  • May 16, 2014 · D · $405,000 sold of $405,000 · 2 investors · min. $150,000 · role: Executive Officer (Executive Officer of Harvest Properties, Inc.) EDGAR ↗

Raised $405K from 2 investors (100% of the $405K target) as of the latest filing. Thomas 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: Commercial / 506(b) (6,713 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.

H6
Commercial · group: Harvest

Harvest 60 South Market Co-Invest, LLC

Emeryville, CA · May 15, 2014
  • May 15, 2014 · D · $513,000 sold of $513,000 · 2 investors · min. $150,000 · role: Executive Officer (Executive Officer of Harvest Properties, Inc.) EDGAR ↗

Raised $513K from 2 investors (100% of the $513K target) as of the latest filing. Thomas 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: Commercial / 506(b) (6,713 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.

HC
Commercial · group: Harvest

Harvest CPP Co-Invest, LLC

Emeryville, CA · Dec 10, 2013
  • Dec 10, 2013 · D · $430,000 sold of $515,000 · 3 investors · min. $50,000 · role: Executive Officer (Executive Officer of Harvest Properties, Inc.) EDGAR ↗

Raised $430K from 3 investors (83% of the $515K target) as of the latest filing. Thomas 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: Commercial / 506(b) (6,713 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.

H4
Commercial · group: Harvest

Harvest 4040 Investors, LLC

Emeryville, CA · Aug 27, 2012 → Nov 6, 2013 · 2 filings
  • Nov 6, 2013 · D · $1,600,000 sold of $1,600,000 · 3 investors · min. $100,000 · role: Executive Officer (Executive Officer of Issuer) EDGAR ↗
  • Aug 27, 2012 · D · $2,500,000 sold of $2,500,000 · 3 investors · min. $50,000 · role: Executive Officer (Executive Officer of Issuer) EDGAR ↗

Raised $2.5M from 3 investors (100% of the $1.6M target) as of the latest filing. Thomas is listed as executive officer 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: Commercial / 506(b) (6,713 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.

HC
Commercial · group: Harvest

Harvest City Center Co-Invest, LLC

Emeryville, CA · Oct 7, 2013
  • Oct 7, 2013 · D · $935,000 sold of $935,000 · 5 investors · min. $150,000 · role: Executive Officer (Executive Officer of Issuer) EDGAR ↗

Raised $935K from 5 investors (100% of the $935K target) as of the latest filing. Thomas 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: Commercial / 506(b) (6,713 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.

HC
Commercial · group: Harvest

Harvest Co-Investment Partners, LLC

Emeryville, CA · Mar 21, 2013
  • Mar 21, 2013 · D · $5,000,000 sold of Indefinite · 1 investors · min. $250,000 · role: Executive Officer (Executive Officer of Harvest Properties, Inc.) EDGAR ↗

Raised $5M from 1 investor as of the latest filing. Thomas 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.

FI
Other

FRONTERA INVESTMENT INC

Poway, CA · May 22, 2009 → Jul 21, 2009 · 3 filings
  • Jul 21, 2009 · D · $548,000 sold of $548,000 · 16 investors · min. $10,000 · role: Director EDGAR ↗
  • Jul 21, 2009 · D · $30,000 sold of $500,000 · 1 investors · min. $10,000 · role: Director EDGAR ↗
  • May 22, 2009 · D · $1,864,866 sold of $2,000,000 · 41 investors · min. $10,000 · role: Director EDGAR ↗

Raised $2.01M from 41 investors (100% of the $548K target) as of the latest filing. Thomas is listed as director 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.

Other pages with the same name (10)

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

  • Thomas E. Wagner — NY, 26 issuers, Oct 15, 2015 → Jan 5, 2026 · no shared issuer
  • Thomas Wagner — NY, 17 issuers, Jun 10, 2009 → Dec 5, 2025 · no shared issuer
  • Thomas C. Wagner — MN, 4 issuers, Jun 25, 2014 → Sep 21, 2015 · no shared issuer
  • Thomas Wagner — SC, TX, 3 issuers, Sep 10, 2015 → Oct 12, 2021 · no shared issuer
  • Thomas A. Wagner — NY, 3 issuers, Nov 14, 2024 → Nov 14, 2025 · no shared issuer
  • Thomas Wagner — CT, 3 issuers, Dec 23, 2013 → Sep 12, 2017 · no shared issuer
  • Thomas Wagner — Sweden (as filed: V7), 1 issuer, Jan 20, 2010 → Jan 20, 2010 · no shared issuer
  • Thomas Wagner — MD, 1 issuer, Nov 9, 2022 → Nov 9, 2022 · no shared issuer
  • Thomas Wagner — Cayman Islands (as filed: E9), 1 issuer, Mar 20, 2014 → Jan 6, 2015 · no shared issuer
  • Thomas Wagner — MN, 1 issuer, Jun 22, 2021 → Jun 22, 2021 · no shared issuer

People around Thomas 28

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

HP
Management entity

Harvest Properties, Inc.

Promoter · 10 shared filings (9 issuers) · also on 4 other issuers

Harvest Properties, Inc. is on 13 issuers in total — a repeat sponsor. Their page lists every one.

H4
Management entity

Harvest 4040 Managers, LLC

Promoter · 2 shared filings (1 issuer)

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

HP
Management entity

Harvest Partners Manager, LLC

Promoter · 1 shared filing (1 issuer)

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

HC
Management entity

Harvest CPP Managers, LLC

Promoter · 1 shared filing (1 issuer)

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

HS
Management entity

Harvest SV Towers Managers, LLC

Promoter · 1 shared filing (1 issuer)

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

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

John R. Winther

Executive Officer, Promoter · 10 shared filings (9 issuers) · also on 5 other issuers

John R. Winther is on 14 issuers in total — a repeat sponsor. Their page lists every one.

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

Joss Hanna

Executive Officer · 10 shared filings (9 issuers)

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

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

Awais Mughal

Executive Officer · 10 shared filings (9 issuers)

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

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

Sarah Irving

Executive Officer · 10 shared filings (9 issuers)

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

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

Griff King

Executive Officer · 10 shared filings (9 issuers)

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

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

Lawrence Cohen

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

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

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

Michael F Herman

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

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

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

Mel I Katz

Director · 3 shared filings (1 issuer)

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

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

Richard S Ledford

Director · 3 shared filings (1 issuer)

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

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

Alan S Lustigson

Executive Officer, Director · 3 shared filings (1 issuer)

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

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

Gilbert A Partida

Executive Officer, Director · 3 shared filings (1 issuer)

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

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

Allan C Youngberg

Executive Officer, Director · 3 shared filings (1 issuer)

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

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

John Wagner

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

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

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

Scott Lange

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

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

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

David Lindberg

Executive Officer · 2 shared filings (1 issuer) · also on 16 other issuers

David Lindberg is on 17 issuers in total — a repeat sponsor. Their page lists every one.

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

Dan Sommers

Executive Officer · 2 shared filings (1 issuer) · also on 5 other issuers

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

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

Kathryn Collins

Executive Officer · 1 shared filing (1 issuer)

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

The team behind the deals

H
Sponsor group

Harvest

13 issuers · 14 filings · $18M reported sold · 2012–2019

One team, 13 deal companies. Thomas Wagner is listed on 9 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 Wagner.

Same business address

51 other issuers file from the same address (first 50 shown)

A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.

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 11 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 Wagner 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 11 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Thomas Wagner is listed on: none on file. No website or social profile named in Aggregate Fund LLC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #32,882 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 (Los Angeles, 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 ↗

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 ↗OpenCorporates ↗

Change history

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