Tran Quoc is listed as an executive officer and director on 3 SEC Form D filings by 1 issuer in Oct 2021: TCM SPV I, LLC (San Rafael, CA — pooled investment fund — 2021; $20.5M reported sold to 10 investors).
What this means One deal on file with the SEC, filed Oct 2021. 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 Eric Winterhalter (3 shared filings).
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Tran. Each name links to their own page.
The issuer belongs to the sponsor group Analog (2 issuers, $35M reported sold, 2015–2021).
What this means A sponsor group is one team that sets up a new company for each deal. Analog has 2 companies on file and $35M 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, CT, DE, FINRA, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, OK, OR, PA, RI, SC, SD, TN, TX, VT, WA, WI, WV, WY) — 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 3 public filings for Tran Quoc and found 5 differences, 1 worth asking the sponsor about: 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.