Wayne Yu is listed as an executive officer on 1 SEC Form D filing by 1 issuer in Apr 2014: Condorcet Global Opportunity Fund, LLC (New York, NY — pooled investment fund — 2014; $101K reported sold to 2 investors).
What this means One deal on file with the SEC, filed Apr 2014. 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 Edward Piekarski (1 shared filing), Gary Beckham (1 shared filing), Lior Segev (1 shared filing) and Lyxor Asset Management Inc. (1 shared filing, management entity).
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Wayne. Each name links to their own page.
The issuer belongs to the sponsor group Lyxor (55 issuers, $37.23B reported sold, 2009–2026).
What this means A sponsor group is one team that sets up a new company for each deal. Lyxor has 55 companies on file and $37.23B 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 1 public filing for Wayne Yu and found 2 differences: No amendment in the last 12 months on an offering that may still be open; Same name, different state: "Wayne Yu" (CT) is a separate record.
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.