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Entity graph · Form D related persons and sales-compensation recipients

People, firms and broker-dealers behind the filings

Every Form D names its executive officers, directors and promoters (Item 3) and whoever is paid to sell it (Item 12). AltStreet resolves those names to one node per person, firm or broker-dealer, by CRD where the filer gave one and by normalized name and state otherwise, so a placement agent's book and an officer's other issuers are one query.

Nodes

362,928

resolved parties

Broker-dealers

3,596

Firms

60,211

People

299,121

With a CRD

8,186

exact FINRA identity

Party rows

1,721,431

filing appearances since 2019

Find a person or firm

A node's existence and counts are free; its issuer roster is an Investor surface.

League table

League tables over the party graph is a Pro surface. See plansBroker-dealers, firms and people ranked by distinct issuers placed or served, with filings and the issuers' latest sold, over a trailing 12 or 36 months or since 2019, filterable by state. Search above is free and opens a node's existence and counts.

Names are as filed on Form D and resolved by CRD where present, otherwise by normalized name and state; two people who share a name and state collapse into one node, and one person filed under different spellings without a CRD may appear as several. Issuers' latest sold sums each issuer's Form D offerings at their latest amendment and is not the party's own production. Not investment advice.

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