William Lerner is listed as an executive officer and director on 4 SEC Form D filings by 4 issuers between Sep 2013 and Dec 2016: NAM Special Situations Fund I, LLC (New York, NY — pooled investment fund — 2016; $9.31M reported sold to 86 investors), NATIONAL HOLDINGS CORP (New York, NY — investment banking — 2013; $8.84M reported sold to 45 investors), NAM Special Situations Fund III, LLC (Magic Leap Series 1) (New York, NY — pooled investment fund — 2016) and NAM Special Situations Fund II, LLC (Palantir Series 1) (New York, NY — pooled investment fund — 2016).
What this means A repeat sponsor — 4 separate companies raised money with this person listed as executive officer and director, over about 3 years. Across those companies the filings report $18.1M sold in total.
All 4 issuers belong to the sponsor group Innovation (97 issuers, $2.67B reported sold, 2009–2026).
What this means A sponsor group is one team that sets up a new company for each deal. Innovation has 97 companies on file and $2.67B 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) — 4 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 4 public filings for William Lerner and found 3 differences: No amendment in the last 12 months on an offering that may still be open; Address moved from New York, NY to Boca Raton, FL; 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.