# Small Exchange, Inc.: Form D filings

Small Exchange, Inc., a financial services company in Chicago, IL, filed 4 Form D notices with the SEC between 2019 and 2021. The latest, on November 19, 2021, reports $5 million sold of a $11 million offering to 8 investors.

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## The full lists

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- [Form D filings in Illinois](https://specstream.ai/data/form-d/state/illinois): 1,511 rows, by operating companies, filed since November 1, 2024, $75.55, or the new rows each week for $19 a month. Buy: https://specstream.ai/data/form-d/state/illinois
- [Form D filings in Other Banking and Financial Services](https://specstream.ai/data/form-d/industry/other-banking-and-financial-services): 1,280 rows, by operating companies, filed since November 1, 2024, $64, or the new rows each week for $19 a month. Buy: https://specstream.ai/data/form-d/industry/other-banking-and-financial-services

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## Company details from the filing

- Address: 327 N. ABERDEEN ST., Chicago, IL, 60607
- Phone: (312) 274-1072
- Industry: Other Banking and Financial Services
- Entity type: Corporation
- Incorporated in: Delaware
- Year incorporated: 2017
- Revenue range: Decline to Disclose
- Exemptions claimed: Rule 506(b)
- SEC identifier (CIK): 1776981

## Form D filings

| Filed | Type | Offering | Sold | Remaining | Investors | First sale | Filing |
| --- | --- | --- | --- | --- | --- | --- | --- |
| Nov 19, 2021 | New notice | $11,000,009 | $5,000,007 | $6,000,002 | 8 | Nov 12, 2021 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1776981/000177698121000002/0001776981-21-000002-index.htm) |
| Jan 11, 2021 | New notice | $5,092,693 | $5,092,693 | $0 | 7 | Dec 28, 2020 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1776981/000177698121000001/0001776981-21-000001-index.htm) |
| Jun 15, 2020 | New notice | $4,000,000 | $4,000,000 | $0 | 2 | Jun 1, 2020 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1776981/000177698120000002/0001776981-20-000002-index.htm) |
| May 16, 2019 | New notice | $10,000,000 | $10,000,000 | $0 | 3 | May 2, 2019 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1776981/000177698119000001/0001776981-19-000001-index.htm) |

## Executive officers and directors named in the filing

| Name | Role | Note in the filing |
| --- | --- | --- |
| Tom Sosnoff | Director |  |
| Donald Roberts | Executive Officer |  |
| Patrick J. Kenny | Director |  |
| George Ruhana | Director |  |
| Kristine Ross | Director |  |
| Matthew Gelber | Director |  |
| Matt Hellmuth | Executive Officer |  |
| Joseph J. Marinaro | Director |  |

## Other financial services companies in Illinois that filed recently

- [Bottleneck Specialty Finance LLC](https://specstream.ai/data/form-d/company/bottleneck-specialty-finance-llc-2162897) $6 million · Nov 3, 2026
- [Redstart Holdings Inc.](https://specstream.ai/data/form-d/company/redstart-holdings-inc-2159578) $2.5 million · Oct 14, 2026
- [Galaxy Plus Fund LLC - Westbeck Energy Opportunity Feeder Fund (598)](https://specstream.ai/data/form-d/company/galaxy-plus-fund-llc-westbeck-energy-opportunity-feeder-fund-598-2158652) $12.5 million · Oct 6, 2026
- [Fintech Franchise Network Corp](https://specstream.ai/data/form-d/company/fintech-franchise-network-corp-2155023) $250,000 · Sep 16, 2026

[Every Form D from the week of Nov 15, 2021](https://specstream.ai/data/form-d/week/2021-11-15) · [All recent filings in Illinois](https://specstream.ai/data/form-d/state/illinois) · [All recent Other Banking and Financial Services filings](https://specstream.ai/data/form-d/industry/other-banking-and-financial-services)

Read from SEC EDGAR. Amount sold is what Small Exchange, Inc. reported on the day it filed; on an offering that is still open, a later amendment can raise it. Free to reuse with credit to SpecStream under [CC BY 4.0](https://creativecommons.org/licenses/by/4.0/).