Sponsor Check › Focus Financial › Issuer
Corporation · organized in DELAWARE · formed Over five years ago · NEW YORK, NY · SEC CIK 1790627
Part of sponsor group: Focus Financial (7 issuers, 31 filings) · grouped because: shared people · confidence 100% · Not the same sponsor? Request a correction
Data last updated: Oct 23, 2026, 5:45 PM ET · Latest filing by this issuer: Oct 22, 2026 · Courts (RECAP) last checked: not yet · SEC enforcement last checked: not yet
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Sources to be compared: sponsor public claims · SEC Form D · SEC Form ADV (IAPD) · state business records · As of Oct 23, 2026, 9:13 PM ET.
0 of 4 offerings report sales commissions; 0 report finder's fees; 0 report proceeds to related persons.
| Source | Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it |
|---|---|---|---|---|---|
| EDGAR ↗ | Oct 15, 2019 D File 021-351045 | $0 | $0 | $0 | None listed |
| EDGAR ↗ | Feb 12, 2020 D File 021-360416 | $0 | $0 | $0 | None listed |
| EDGAR ↗ | Apr 10, 2020 D File 021-364736 | $0 | $0 | $0 | None listed |
| EDGAR ↗ | Oct 22, 2026 D/A File 021-527468 | $0 | $0 | $0 | None listed |
As reported by the issuer on Form D (Items 12–15), latest filing per offering. "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.
Each filing as reported by the issuer. Open a row for the full plain-English detail.
| Filing | Form D/A (amendment) filed Oct 22, 2026 · amends 0000950172-25-000204 ↗ SEC file no. 021-527468 · accession 0000950172-26-000234 |
|---|---|
| Raise progress | $0 sold of $15,783,319 offered (0%) · $15,783,319 remaining |
| Filing timing | Date of first sale: Oct 21, 2024 · Form D filed: Oct 22, 2026 (731 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 733 days (2.0 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Oct 22, 2026. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 0 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed |
| Minimum investment accepted | $0 |
| Securities offered | Option, warrant or other right to acquire |
| Industry / issuer size | Other · revenue range: Decline to Disclose |
| Who is paid to sell it | No sales compensation recipients listed on this filing. |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | David McVeigh, CEO & President (Oct 22, 2026) |
| Changes vs prior filing | total offering: $17,787,522 → $15,783,319 Compared with the D/A filed Oct 22, 2025 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $0. Typical range for similar offerings: $5,000–$50,000. Offering size: $15,783,319. Typical range: $500,000–$7,000,000. Investors: 0. Typical range: 2–14. "Similar" = Other offerings claiming 506(b) filed in the last 5 years (18,678 filings); ranges are the middle half (25th–75th percentile). No ranking or score. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the EDGAR daily index |
| Filing | Form D/A (amendment) filed Oct 22, 2025 · amends 0000950172-24-000444 ↗ SEC file no. 021-527468 · accession 0000950172-25-000204 |
|---|---|
| Raise progress | $0 sold of $17,787,522 offered (0%) · $17,787,522 remaining |
| Filing timing | Date of first sale: Oct 21, 2024 · Form D filed: Oct 22, 2025 (366 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 733 days (2.0 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Oct 22, 2025. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 0 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed |
| Minimum investment accepted | $0 |
| Securities offered | Option, warrant or other right to acquire |
| Industry / issuer size | Other · revenue range: Decline to Disclose |
| Who is paid to sell it | No sales compensation recipients listed on this filing. |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | David McVeigh, CEO & President (Oct 22, 2025) |
| Changes vs prior filing | No change in the fields we track Compared with the D filed Oct 22, 2024 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $0. Typical range for similar offerings: $5,000–$50,000. Offering size: $17,787,522. Typical range: $500,000–$7,000,000. Investors: 0. Typical range: 2–14. "Similar" = Other offerings claiming 506(b) filed in the last 5 years (18,678 filings); ranges are the middle half (25th–75th percentile). No ranking or score. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set |
| Filing | Form D filed Oct 22, 2024 SEC file no. 021-527468 · accession 0000950172-24-000444 |
|---|---|
| Raise progress | $0 sold of $17,787,522 offered (0%) · $17,787,522 remaining |
| Filing timing | Date of first sale: Yet to occur · Form D filed: Oct 22, 2024 Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Annual amendments | Issuer reported the offering may last more than one year. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 0 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed |
| Minimum investment accepted | $0 |
| Securities offered | Option, warrant or other right to acquire |
| Industry / issuer size | Other · revenue range: Decline to Disclose |
| Who is paid to sell it | No sales compensation recipients listed on this filing. |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | David McVeigh, CEO & President (Oct 22, 2024) |
| Market context | Minimum investment: $0. Typical range for similar offerings: $5,000–$50,000. Offering size: $17,787,522. Typical range: $500,000–$7,000,000. Investors: 0. Typical range: 2–14. "Similar" = Other offerings claiming 506(b) filed in the last 5 years (18,678 filings); ranges are the middle half (25th–75th percentile). No ranking or score. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set |
| Filing | Form D filed Apr 10, 2020 SEC file no. 021-364736 · accession 0000950172-20-000065 |
|---|---|
| Raise progress | $0 sold of $35,692,600 offered (0%) · $35,692,600 remaining |
| Filing timing | Date of first sale: Yet to occur · Form D filed: Apr 10, 2020 Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Annual amendments | Issuer reported the offering may last more than one year. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 0 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed |
| Minimum investment accepted | $0 |
| Securities offered | Option, warrant or other right to acquire |
| Industry / issuer size | Other · revenue range: Decline to Disclose |
| Who is paid to sell it | No sales compensation recipients listed on this filing. |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Daniel Brenhouse, Director, Vice President and Treasurer (Apr 10, 2020) |
| Market context | Minimum investment: $0. Typical range for similar offerings: $5,000–$50,000. Offering size: $35,692,600. Typical range: $500,000–$7,000,000. Investors: 0. Typical range: 2–14. "Similar" = Other offerings claiming 506(b) filed in the last 5 years (18,678 filings); ranges are the middle half (25th–75th percentile). No ranking or score. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set |
| Filing | Form D filed Feb 12, 2020 SEC file no. 021-360416 · accession 0000950172-20-000034 |
|---|---|
| Raise progress | $0 sold of $1,000,000 offered (0%) · $1,000,000 remaining Total offering amount: $999,999.99. Total remaining to be sold: $999,999.99. |
| Filing timing | Date of first sale: Feb 4, 2020 · Form D filed: Feb 12, 2020 (8 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 2,454 days (6.7 years) |
| Annual amendments | Issuer reported the offering may last more than one year. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 3 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed |
| Minimum investment accepted | $0 |
| Securities offered | Equity; Other: Securities offered are restricted stock units and the underlying shares of common stock issuable on vesting thereof. · business combination transaction |
| Industry / issuer size | Other · revenue range: Decline to Disclose |
| Who is paid to sell it | No sales compensation recipients listed on this filing. |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Daniel Brenhouse, Director, Vice President and Treasurer (Feb 12, 2020) |
| Market context | Minimum investment: $0. Typical range for similar offerings: $5,000–$50,000. Offering size: $1,000,000. Typical range: $500,000–$7,000,000. Investors: 3. Typical range: 2–14. "Similar" = Other offerings claiming 506(b) filed in the last 5 years (18,678 filings); ranges are the middle half (25th–75th percentile). No ranking or score. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set |
| Filing | Form D filed Oct 15, 2019 SEC file no. 021-351045 · accession 0000950172-19-000121 |
|---|---|
| Raise progress | $443,513,767 sold of $443,513,767 offered (100%) · $0 remaining |
| Filing timing | Date of first sale: Oct 1, 2019 · Form D filed: Oct 15, 2019 (14 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 2,580 days (7.1 years) |
| Annual amendments | Issuer reported the offering is not expected to last more than one year. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 9 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed |
| Minimum investment accepted | $0 |
| Securities offered | Equity |
| Industry / issuer size | Other · revenue range: Decline to Disclose |
| Who is paid to sell it | No sales compensation recipients listed on this filing. |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Daniel Brenhouse, Vice President and Treasurer (Oct 15, 2019) |
| Market context | Minimum investment: $0. Typical range for similar offerings: $5,000–$50,000. Offering size: $443,513,767. Typical range: $500,000–$7,000,000. Investors: 9. Typical range: 2–14. "Similar" = Other offerings claiming 506(b) filed in the last 5 years (18,678 filings); ranges are the middle half (25th–75th percentile). No ranking or score. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set |
All Form D filings for this CIK on SEC EDGAR ↗. History: 0 new offerings in the last 12 months · most recent filing Oct 22, 2026.
| Name | Relationship | Address state | On filings | Also listed on |
|---|---|---|---|---|
| Ashlin Quirk | Executive Officer Secretary | NY | Oct 22, 2024 → Oct 22, 2026 | — |
| Daniel Brenhouse | Director | NY | Oct 15, 2019 → Oct 22, 2026 | — |
| David McVeigh | Executive Officer, Director CEO & President | NY | Oct 22, 2024 → Oct 22, 2026 | — |
| Eric Bouchard | Executive Officer CFO & Treasurer | NY | Oct 22, 2024 → Oct 22, 2026 | — |
| Jacob Silverman | Director | NY | Oct 15, 2019 → Oct 22, 2026 | 5 other issuers |
| Kathleen Philips | Director | NY | Oct 15, 2019 → Oct 22, 2026 | — |
| William McNabb III | Director | NY | Oct 22, 2024 → Oct 22, 2026 | 1 other issuer |
| Zohar Yardeni | Director | NY | Oct 22, 2024 → Oct 22, 2026 | — |
| Catherine Kemnitz | Executive Officer Vice President | NY | Oct 22, 2024 → Oct 22, 2025 | — |
| Dipan Patel | Executive Officer, Director | NY | Oct 15, 2019 → Apr 10, 2020 | 1 other issuer |
| Elena Donio | Director | NY | Oct 15, 2019 → Apr 10, 2020 | — |
| Tom Eggemeier | Director | NY | Oct 15, 2019 → Apr 10, 2020 | — |
| William McNabb | Director | NY | Oct 15, 2019 → Apr 10, 2020 | 1 other issuer |
Executive officers, directors and promoters as self-reported by the issuer. Licensed persons: FINRA BrokerCheck ↗ · SEC IAPD ↗.
Other issuers listing the same people:
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