PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:03 AM ET

Sponsor Check › Sponsor group

S

Smith

One sponsor team, 2 deal companies · Birmingham, AL

Grouped because: 1 shared management entity, same business address (2 issuers) (automatic match from the filings) · not the same sponsor?

2deal companies
$5.59Mreported sold
21investors
2Form D filings
2021–2021active
0new, last 12 mo
Follow this sponsor groupLook further ↓

Data last updated Oct 23, 2026, 5:45 PM ET · Latest filing in this group Jan 11, 2021 · Courts (RECAP) last checked: Oct 24, 2026, 2:16 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Smith is a sponsor group of 2 issuers that PartnerFacts links to one sponsor (shared management entity, same business address; automatic match from the filings), filing 2 Form D filings in Jan 2021.

What this means One team, 2 deal companies. We link the companies because the same people or address appear on their forms — tap "Request a correction" if that is wrong.

Combined reported sold: $5.59M to 21 investors (latest filing per issuer). Industries as reported: "Other" (2). Issuers are based in AL (2).

What this means $5.59M raised across the group, about $266K per investor. Amounts come from each company's latest Form D; they are what the sponsor reported, not audited figures.

Principal people: Smith Development and Management (2 issuers, promoter, entity), JF Management LL (1 issuer, promoter) and JF Management, LLC (1 issuer, promoter, entity).

What this means The person on the most companies is usually the one running the show; their page lists every deal.

Activity: 0 new offerings in the last 12 months; latest filing Jan 11, 2021.

What this means No new raise filed in the past year.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY), property records (NYC, FL, IL and TX counties) — 58 court cases matching the name, 13 bankruptcy cases matching the name listed in Key records below.

What this means 71 records came back, including 4 court cases still open — open cases can take years and cost money. 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 2 public filings for Smith and found 2 differences: Form D filed 24 days after the first sale; Form D filed 21 days after the first sale.

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.

What the community is saying

Community search for Smith has not run yet — it is joining a line of 46,059 names; searches run around the clock at the hosts' allowed rate. Searched so far: 641 names.

Community comments are quoted as written by their authors. Sources searched: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

58 cases: 4 open, 14 closed (disposition not in docket feed), 32 dismissed, 8 judgment

William Jones v. Merrill Lynch, Pierce, Fenner and Smith, Incorporated open matched at sponsor-group level (Smith)
District Court, C.D. California · No. 8:26-cv-00966 · Filed Apr 15, 2026
Role of Smith, Incorporated: Defendant · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in CA (not the issuer's state)
William Jones v. Merrill Lynch, Pierce, Fenner and Smith, Incorporated open matched at sponsor-group level (Smith)
District Court, C.D. California · No. 2:26-cv-04024 · Filed Apr 15, 2026
Role of Smith, Incorporated: Defendant · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in CA (not the issuer's state)
Wigart v. Merill Lynch, Pierce, Fenner and Smith Inc. closed matched at sponsor-group level (Smith)
District Court, S.D. New York · No. 1:21-cv-04231 · Filed May 11, 2021 · Closed Aug 13, 2021
Role of Smith Inc.: Defendant · Outcome: Terminated 2021-08-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in NY (not the issuer's state)
Greg Meyer v. Merrill Lynch Pierce Fenner and Smith, Inc. closed matched at sponsor-group level (Smith)
District Court, C.D. California · No. 2:20-cv-09523 · Filed Oct 16, 2020 · Closed Nov 4, 2020 · Nature of suit: Contract: Other · Cause: 28:1441 - Notice of Removal - Securities Fraud
Role of Smith, Inc.: Defendant · Outcome: Terminated 2020-11-04 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in CA (not the issuer's state)
Colon v. Parker, Fellows and Smith, LLC dismissed matched at sponsor-group level (Smith)
District Court, S.D. California · No. 3:19-cv-01447 · Filed Aug 1, 2019 · Closed May 21, 2020 · Nature of suit: Constitutional - State Statute · Cause: 28:1332 Diversity Action
Role of Smith, LLC: Defendant · Outcome: Terminated 2020-05-21 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
exact company name; name has one distinctive word; court in CA (not the issuer's state)
Kwame Brown v. Merrill Lynch Pierce Fenner and Smith Incorporated closed matched at sponsor-group level (Smith)
District Court, C.D. California · No. 2:18-cv-04391 · Filed May 23, 2018 · Closed Jun 21, 2018 · Nature of suit: 370 Other Fraud · Cause: 28:1441 Notice of Removal
Role of Smith Incorporated: Defendant · Outcome: Terminated 2018-06-21 — FJC Integrated Database disposition: Remanded to state court Docket on CourtListener ↗
exact company name; name has one distinctive word; court in CA (not the issuer's state)
Kwame Brown v. Merrill Lynch Pierce Fenner and Smith Incorporated closed matched at sponsor-group level (Smith)
District Court, C.D. California · No. 2:18-cv-04195 · Filed May 18, 2018 · Closed May 21, 2018 · Nature of suit: 370 Other Fraud · Cause: 28:1441 Notice of Removal - Fraud
Role of Smith Incorporated: Defendant · Outcome: Terminated 2018-05-21 — FJC Integrated Database disposition: Remanded to state court Docket on CourtListener ↗
exact company name; name has one distinctive word; court in CA (not the issuer's state)
Merrill Lynch, Pierce, Fenner and Smith Incorporated v. Christina Billington dismissed matched at sponsor-group level (Smith)
District Court, C.D. California · No. 2:17-cv-08150 · Filed Nov 8, 2017 · Closed Mar 12, 2018 · Nature of suit: 890 Other statutory actions
Role of Smith Incorporated: Plaintiff · Outcome: Terminated 2018-03-12 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
exact company name; name has one distinctive word; court in CA (not the issuer's state)
Merrill Lynch Pierce Fenner and Smith Incorporated v. Carrie Riley judgment matched at sponsor-group level (Smith)
District Court, C.D. California · No. 2:16-cv-04973 · Filed Jul 7, 2016 · Closed Nov 18, 2016 · Nature of suit: 896 Other Statutes: Arbitration · Cause: 09:0009 Petition to Confirm Arbitration Award
Role of Smith Incorporated: Plaintiff · Outcome: Terminated 2016-11-18 — FJC Integrated Database disposition: Judgment on default; judgment for plaintiff Docket on CourtListener ↗
exact company name; name has one distinctive word; court in CA (not the issuer's state)
Derek J Greeff v. Merrill Lynch, Pierce, Fenner and Smith Incorporated judgment matched at sponsor-group level (Smith)
District Court, C.D. California · No. 2:15-cv-07411 · Filed Sep 22, 2015 · Closed Feb 2, 2016 · Nature of suit: Contract: Other · Cause: 28:1441 Notice of Removal -- Other Contract
Role of Smith Incorporated: Defendant · Outcome: Terminated 2016-02-02 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for defendant Docket on CourtListener ↗
exact company name; name has one distinctive word; court in CA (not the issuer's state); filed 2015, issuer incorporated 2018
George Hornberger v. Merrill Lynch Pierce Fenner and Smith Incorporated dismissed matched at sponsor-group level (Smith)
District Court, C.D. California · No. 8:14-cv-01645 · Filed Oct 9, 2014 · Closed Jan 22, 2015 · Nature of suit: Other Fraud · Cause: 28:1441 Notice of Removal - Fraud
Role of Smith Incorporated: Defendant · Outcome: Terminated 2015-01-22 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
exact company name; name has one distinctive word; court in CA (not the issuer's state); filed 2014, issuer incorporated 2018
WARDLAW/SMITH, LTD v. CAGE closed matched at sponsor-group level (Smith)
District Court, S.D. Texas · No. · Filed Sep 12, 2014 · Closed Jan 5, 2015 · Nature of suit: 422 Bankruptcy appeals rule 28 USC 158
Role of SMITH, LTD: Plaintiff · Outcome: Terminated 2015-01-05 — FJC Integrated Database disposition: Transfer to another district Docket on CourtListener ↗
exact company name; name has one distinctive word; court in TX (not the issuer's state); filed 2014, issuer incorporated 2018
eDekka LLC v. Foster and Smith, Inc. closed matched at sponsor-group level (Smith)
District Court, E.D. Texas · No. 2:14-cv-00315 · Filed Apr 10, 2014 · Closed Oct 20, 2014 · Nature of suit: 380 Other personal property damage
Role of Smith, Inc.: Defendant · Outcome: Terminated 2014-10-20 — FJC Integrated Database disposition: Statistical closing Docket on CourtListener ↗
exact company name; name has one distinctive word; court in TX (not the issuer's state); filed 2014, issuer incorporated 2018
Merrill Lynch Pierece Fenner and Smith Incorporated v. Ronald Anglin dismissed matched at sponsor-group level (Smith)
District Court, C.D. California · No. 2:12-cv-01155 · Filed Feb 9, 2012 · Closed Feb 13, 2012 · Nature of suit: 140 Negotiable instruments
Role of Smith Incorporated: Plaintiff · Outcome: Terminated 2012-02-13 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
exact company name; name has one distinctive word; court in CA (not the issuer's state); filed 2012, issuer incorporated 2018
Robert J Coffey v. Merrill Lynch Pierce Fenner and Smith Inc closed matched at sponsor-group level (Smith)
District Court, C.D. California · No. 2:12-cv-00176 · Filed Jan 6, 2012 · Closed Jan 11, 2012 · Nature of suit: Contract: Other · Cause: 28:1441 Notice of Removal -- Other Contract
Role of Smith Inc: Defendant · Outcome: Terminated 2012-01-11 — FJC Integrated Database disposition: Remanded to state court Docket on CourtListener ↗
exact company name; name has one distinctive word; court in CA (not the issuer's state); filed 2012, issuer incorporated 2018
Merrill Lynch Pierce Fenner and Smith Incorporated v. Rodel Corriente judgment matched at sponsor-group level (Smith)
District Court, C.D. California · No. 2:11-cv-10660 · Filed Dec 27, 2011 · Closed Mar 13, 2012 · Nature of suit: 890 Other Statutory Actions · Cause: 09:0009 Petition to Confirm Arbitration Award
Role of Smith Incorporated: Plaintiff · Outcome: Terminated 2012-03-13 — FJC Integrated Database disposition: Judgment on award of arbitrator; judgment for plaintiff Docket on CourtListener ↗
exact company name; name has one distinctive word; court in CA (not the issuer's state); filed 2011, issuer incorporated 2018
Robert J Coffey v. Merrill Lynch Pierce Fenner and Smith Incorporated dismissed matched at sponsor-group level (Smith)
District Court, C.D. California · No. 2:11-cv-05860 · Filed Jul 15, 2011 · Closed Nov 16, 2011 · Nature of suit: Other Statutory Actions · Cause: 28:1331 Fed. Question
Role of Smith Incorporated: Defendant · Outcome: Terminated 2011-11-16 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
exact company name; name has one distinctive word; court in CA (not the issuer's state); filed 2011, issuer incorporated 2018
Huang Shu-Hui v. Merrill Lynch Pierce Fenner and Smith Incorporated dismissed matched at sponsor-group level (Smith)
District Court, C.D. California · No. 2:11-cv-01123 · Filed Feb 4, 2011 · Closed Sep 19, 2011 · Nature of suit: 370 Other fraud
Role of Smith Incorporated: Defendant · Outcome: Terminated 2011-09-19 — FJC Integrated Database disposition: Dismissed: want of prosecution Docket on CourtListener ↗
exact company name; name has one distinctive word; court in CA (not the issuer's state); filed 2011, issuer incorporated 2018
Palm Bay Police & Firefighters Pension Fund Board of Trustees v. Merrill Lynch Pierce Fenner and Smith, Incorporated dismissed matched at sponsor-group level (Smith)
District Court, M.D. Florida · No. 6:10-cv-01002 · Filed Jul 1, 2010 · Closed Jul 23, 2010 · Nature of suit: 370 Other fraud
Role of Smith, Incorporated: Defendant · Outcome: Terminated 2010-07-23 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
exact company name; name has one distinctive word; court in FL (not the issuer's state); filed 2010, issuer incorporated 2018
Karuna Raizada v. Merrill Lynch Pierce Fenner and Smith Incorporated dismissed matched at sponsor-group level (Smith)
District Court, C.D. California · No. 8:10-cv-00521 · Filed Apr 29, 2010 · Closed May 31, 2011 · Nature of suit: Contract: Other · Cause: 28:1441 Notice of Removal -- Other Contract
Role of Smith Incorporated: Defendant · Outcome: Terminated 2011-05-31 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
exact company name; name has one distinctive word; court in CA (not the issuer's state); filed 2010, issuer incorporated 2018
Merrill Lynch, Pierce, Fenner and Smith, Incorporated v. Bublitz judgment matched at sponsor-group level (Smith)
District Court, E.D. Michigan · No. 2:10-cv-11062 · Filed Mar 16, 2010 · Closed Apr 7, 2010 · Nature of suit: 150 Overpayments & enforcement of judgments
Role of Smith, Incorporated: Plaintiff · Outcome: Terminated 2010-04-07 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for both plaintiff and defendant Docket on CourtListener ↗
exact company name; name has one distinctive word; court in MI (not the issuer's state); filed 2010, issuer incorporated 2018
Merrill Lynch Pierce Fenner and Smith, Incorporated v. Walsworth dismissed matched at sponsor-group level (Smith)
District Court, M.D. Florida · No. 8:10-cv-00409 · Filed Feb 10, 2010 · Closed Mar 17, 2010 · Nature of suit: Contract: Other · Cause: 28:1332 Diversity-Breach of Contract
Role of Smith, Incorporated: Plaintiff · Outcome: Terminated 2010-03-17 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; name has one distinctive word; court in FL (not the issuer's state); filed 2010, issuer incorporated 2018
The Board of Trustees of the City of Cape Coral Municipal Firefighters' Retirement System v. Merrill Lynch Pierce Fenner and Smith, Incorporated dismissed matched at sponsor-group level (Smith)
District Court, M.D. Florida · No. 2:09-cv-00648 · Filed Sep 29, 2009 · Closed Jul 27, 2010 · Nature of suit: 850 Securities, Commodities, Exchange
Role of Smith, Incorporated: Defendant · Outcome: Terminated 2010-07-27 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; name has one distinctive word; court in FL (not the issuer's state); filed 2009, issuer incorporated 2018
CB Legal Search, LLC v. Lewis Brisbois Bisgaard and Smith LLP closed matched at sponsor-group level (Smith)
District Court, S.D. Texas · No. 4:09-cv-03130 · Filed Sep 28, 2009 · Closed Feb 9, 2011 · Nature of suit: 190 Other contract actions
Role of Smith LLP: Defendant · Outcome: Terminated 2011-02-09 — FJC Integrated Database disposition: Transfer to another district Docket on CourtListener ↗
exact company name; name has one distinctive word; court in TX (not the issuer's state); filed 2009, issuer incorporated 2018
Merrill Lynch Pierce Fenner and Smith, Incorporated v. Kurgis closed matched at sponsor-group level (Smith)
District Court, M.D. Florida · No. 2:08-cv-00777 · Filed Oct 7, 2008 · Closed Oct 23, 2008 · Nature of suit: Contract: Other · Cause: 28:1332 Diversity-Other Contract
Role of Smith, Incorporated: Plaintiff · Outcome: Terminated 2008-10-23 — FJC Integrated Database disposition: Statistical closing Docket on CourtListener ↗
exact company name; name has one distinctive word; court in FL (not the issuer's state); filed 2008, issuer incorporated 2018
Gringeri v. Merrill Lynch, Pierce, Fenner and Smith Incorporated judgment matched at sponsor-group level (Smith)
District Court, N.D. California · No. 5:08-cv-03453 · Filed Jul 17, 2008 · Closed Jan 22, 2010 · Nature of suit: Personal Property: Other · Cause: 28:1332 Diversity-Personal Property
Role of Smith Incorporated: Defendant · Outcome: Terminated 2010-01-22 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for both plaintiff and defendant Docket on CourtListener ↗
exact company name; name has one distinctive word; court in CA (not the issuer's state); filed 2008, issuer incorporated 2018
St. John Properties Acquisitions, LLC v. Miller and Smith, Inc. dismissed matched at sponsor-group level (Smith)
District Court, D. Maryland · No. 1:08-cv-01345 · Filed May 23, 2008 · Closed Jun 23, 2008 · Nature of suit: 190 Other contract actions
Role of Smith, Inc.: Defendant · Outcome: Terminated 2008-06-23 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
exact company name; name has one distinctive word; court in MD (not the issuer's state); filed 2008, issuer incorporated 2018
Merrill Lynch, Pierce, Fenner and Smith, Incorporated v. Komara dismissed matched at sponsor-group level (Smith)
District Court, E.D. Michigan · No. 2:07-cv-10368 · Filed Jan 23, 2007 · Closed Feb 2, 2007 · Nature of suit: 190 Other contract actions
Role of Smith, Incorporated: Plaintiff · Outcome: Terminated 2007-02-02 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; name has one distinctive word; court in MI (not the issuer's state); filed 2007, issuer incorporated 2018
Melanic Palace of the Rising Sun, Incorporated v. Merrill Lynch, Pierce, Fenner and Smith, Incorporated dismissed matched at sponsor-group level (Smith)
District Court, E.D. Michigan · No. 2:06-cv-13349 · Filed Jul 25, 2006 · Closed Jul 28, 2006 · Nature of suit: Other Statutory Actions · Cause: No cause code entered
Role of Smith, Incorporated: Defendant · Outcome: Terminated 2006-07-28 — FJC Integrated Database disposition: Dismissed: lack of jurisdiction Docket on CourtListener ↗
exact company name; name has one distinctive word; court in MI (not the issuer's state); filed 2006, issuer incorporated 2018
Merrill Lynch, Pierce, Fenner and Smith, Incorporated v. Kronner dismissed matched at sponsor-group level (Smith)
District Court, E.D. Michigan · No. 2:06-cv-12024 · Filed May 2, 2006 · Closed Jul 7, 2006 · Nature of suit: 190 Other contract actions
Role of Smith, Incorporated: Plaintiff · Outcome: Terminated 2006-07-07 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; name has one distinctive word; court in MI (not the issuer's state); filed 2006, issuer incorporated 2018
Martin v. Merrill Lynch, Pierce, Fenner and Smith, Incorporated dismissed matched at sponsor-group level (Smith)
District Court, E.D. Michigan · No. 2:05-cv-74840 · Filed Dec 22, 2005 · Closed Apr 12, 2006 · Nature of suit: 791 Employee Retirement Income Security Act
Role of Smith, Incorporated: Defendant · Outcome: Terminated 2006-04-12 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; name has one distinctive word; court in MI (not the issuer's state); filed 2005, issuer incorporated 2018
Merrill Lynch Pierce Fenner and Smith Incorporated v. Allen I Hershberg dismissed matched at sponsor-group level (Smith)
District Court, C.D. California · No. 2:05-cv-01779 · Filed Mar 11, 2005 · Closed Aug 2, 2005 · Nature of suit: 190 Other contract actions
Role of Smith Incorporated: Plaintiff · Outcome: Terminated 2005-08-02 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
exact company name; name has one distinctive word; court in CA (not the issuer's state); filed 2005, issuer incorporated 2018
Maytag Appliance Sales Company v. Holbrook/Smith, Inc. judgment matched at sponsor-group level (Smith)
District Court, N.D. Ohio · No. 1:04-cv-02411 · Filed Dec 7, 2004 · Closed Jun 17, 2005 · Nature of suit: 190 Other contract actions
Role of Smith, Inc.: Defendant · Outcome: Terminated 2005-06-17 — FJC Integrated Database disposition: Judgment on default Docket on CourtListener ↗
exact company name; name has one distinctive word; court in OH (not the issuer's state); filed 2004, issuer incorporated 2018
Merrill Lynch, Pierce, Fenner and Smith, Incorporated v. Inman dismissed matched at sponsor-group level (Smith)
District Court, E.D. Michigan · No. 2:04-cv-74286 · Filed Nov 2, 2004 · Closed Nov 30, 2004 · Nature of suit: 190 Other contract actions
Role of Smith, Incorporated: Plaintiff · Outcome: Terminated 2004-11-30 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; name has one distinctive word; court in MI (not the issuer's state); filed 2004, issuer incorporated 2018
Merrill Lynch, Pierce, Fenner and Smith, Incorporated v. Buhl dismissed matched at sponsor-group level (Smith)
District Court, E.D. Michigan · No. 2:04-cv-72369 · Filed Jun 28, 2004 · Closed Jul 8, 2004 · Nature of suit: 190 Other contract actions
Role of Smith, Incorporated: Plaintiff · Outcome: Terminated 2004-07-08 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; name has one distinctive word; court in MI (not the issuer's state); filed 2004, issuer incorporated 2018
Seymour Weinman v. Merrill Lynch Pierce Fenner and Smith Incorporated dismissed matched at sponsor-group level (Smith)
District Court, C.D. California · No. 2:04-cv-02611 · Filed Apr 14, 2004 · Closed Jun 10, 2004 · Nature of suit: 850 Securities, Commodities, Exchange
Role of Smith Incorporated: Defendant · Outcome: Terminated 2004-06-10 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
exact company name; name has one distinctive word; court in CA (not the issuer's state); filed 2004, issuer incorporated 2018
Merrill Lynch, Pierce, Fenner and Smith, Incorporated v. Falzone dismissed matched at sponsor-group level (Smith)
District Court, E.D. Michigan · No. 2:04-cv-70780 · Filed Mar 2, 2004 · Closed Jul 7, 2004 · Nature of suit: 190 Other contract actions
Role of Smith, Incorporated: Plaintiff · Outcome: Terminated 2004-07-07 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
exact company name; name has one distinctive word; court in MI (not the issuer's state); filed 2004, issuer incorporated 2018
Merrill Lynch Pierce Fenner and Smith Incorporated v. Jacobsen dismissed matched at sponsor-group level (Smith)
District Court, C.D. California · No. 2:04-cv-01356 · Filed Feb 27, 2004 · Closed Apr 13, 2004 · Nature of suit: 190 Other contract actions
Role of Smith Incorporated: Plaintiff · Outcome: Terminated 2004-04-13 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
exact company name; name has one distinctive word; court in CA (not the issuer's state); filed 2004, issuer incorporated 2018
New Angle Pet Products, Inc. v. Foster and Smith, Inc. dismissed matched at sponsor-group level (Smith)
District Court, E.D. New York · No. 2:03-cv-04368 · Filed Sep 5, 2003 · Closed Aug 25, 2004 · Nature of suit: 890 Other statutory actions
Role of Smith, Inc.: Defendant · Outcome: Terminated 2004-08-25 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
exact company name; name has one distinctive word; court in NY (not the issuer's state); filed 2003, issuer incorporated 2018
Tilley v. Baxter, Banks and Smith, Ltd. closed matched at sponsor-group level (Smith)
District Court, E.D. New York · No. 1:02-cv-04614 · Filed Aug 20, 2002 · Closed Sep 23, 2004 · Nature of suit: 890 Other statutory actions
Role of Smith, Ltd.: Defendant · Outcome: Terminated 2004-09-23 — FJC Integrated Database disposition: Other Docket on CourtListener ↗
exact company name; name has one distinctive word; court in NY (not the issuer's state); filed 2002, issuer incorporated 2018
WOODWARD v. MERRILL LYNCH PIERCE FENNER AND SMITH INC dismissed matched at sponsor-group level (Smith)
District Court, S.D. Indiana · No. 1:02-cv-01030 · Filed Jul 3, 2002 · Closed Jul 16, 2002 · Nature of suit: 850 Securities, Commodities, Exchange
Role of SMITH INC: Defendant · Outcome: Terminated 2002-07-16 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
exact company name; name has one distinctive word; court in IN (not the issuer's state); filed 2002, issuer incorporated 2018
MERRILL LYNCH, PIERCE, FENNER, AND SMITH, INC. v. ROLANDO E. GARCIA dismissed matched at sponsor-group level (Smith)
District Court, D. Nevada · No. 2:01-cv-00397 · Filed Apr 5, 2001 · Closed Apr 20, 2004 · Nature of suit: 190 Other contract actions
Role of SMITH, INC.: Plaintiff · Outcome: Terminated 2004-04-20 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
exact company name; name has one distinctive word; court in NV (not the issuer's state); filed 2001, issuer incorporated 2018
Rhone Merieux, Inc. v. Foster and Smith,Inc dismissed matched at sponsor-group level (Smith)
District Court, M.D. Georgia · No. 3:94-cv-00047 · Filed Jun 9, 1994 · Closed Jul 28, 1994 · Nature of suit: 890 Other statutory actions
Role of Smith,Inc: Defendant · Outcome: Terminated 1994-07-28 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
exact company name; name has one distinctive word; court in GA (not the issuer's state); filed 1994, issuer incorporated 2018
EEOC v. Bell and Smith, Inc. closed matched at sponsor-group level (Smith)
District Court, M.D. Florida · No. 6:91-cv-00291 · Filed May 2, 1991 · Closed Feb 24, 1992
Role of Smith, Inc.: Defendant · Outcome: Terminated 1992-02-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in FL (not the issuer's state); filed 1991, issuer incorporated 2018
SMITH COMPANY v. LIPSTEIN dismissed matched at sponsor-group level (Smith)
District Court, District of Columbia · No. 1:90-cv-01214 · Filed May 23, 1990 · Closed Nov 9, 1990 · Nature of suit: 190 Other contract actions
Role of SMITH COMPANY: Plaintiff · Outcome: Terminated 1990-11-09 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; name has one distinctive word; court in DC (not the issuer's state); filed 1990, issuer incorporated 2018
Local (830) Beer Dis v. Smith Inc dismissed matched at sponsor-group level (Smith)
District Court, E.D. Pennsylvania · No. 2:90-cv-01602 · Filed Mar 7, 1990 · Closed Jul 10, 1990 · Nature of suit: 791 Employee Retirement Income Security Act
Role of Smith Inc: Defendant · Outcome: Terminated 1990-07-10 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
exact company name; name has one distinctive word; court in PA (not the issuer's state); filed 1990, issuer incorporated 2018
Smith, Inc. v. Ideal Pool Corp. dismissed matched at sponsor-group level (Smith)
District Court, N.D. Georgia · No. 1:89-cv-02172 · Filed Sep 26, 1989 · Closed Jul 10, 1990 · Nature of suit: 190 Other contract actions
Role of Smith, Inc.: Plaintiff · Outcome: Terminated 1990-07-10 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
exact company name; name has one distinctive word; court in GA (not the issuer's state); filed 1989, issuer incorporated 2018
SMITH COMPANY v. REPUBLIC WARR. CORP. dismissed matched at sponsor-group level (Smith)
District Court, District of Columbia · No. 1:88-cv-03359 · Filed Nov 18, 1988 · Closed Apr 12, 1989 · Nature of suit: 190 Other contract actions
Role of SMITH COMPANY: Plaintiff · Outcome: Terminated 1989-04-12 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; name has one distinctive word; court in DC (not the issuer's state); filed 1988, issuer incorporated 2018
Corporation, Ross v. Smith, Inc. closed matched at sponsor-group level (Smith)
District Court, N.D. Georgia · No. 3:88-cv-00030 · Filed Apr 7, 1988 · Closed Apr 7, 1988
Role of Smith, Inc.: Defendant · Outcome: Terminated 1988-04-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in GA (not the issuer's state); filed 1988, issuer incorporated 2018
SMITH INC v. AIRWICK INC judgment matched at sponsor-group level (Smith)
District Court, S.D. New York · No. · Filed Jan 4, 1988 · Closed Jun 1, 1989 · Nature of suit: 190 Other contract actions
Role of SMITH INC: Plaintiff · Outcome: Terminated 1989-06-01 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for plaintiff Docket on CourtListener ↗
exact company name; name has one distinctive word; court in NY (not the issuer's state); filed 1988, issuer incorporated 2018
Archbold Expeditions v. Smith Inc. dismissed matched at sponsor-group level (Smith)
District Court, S.D. Florida · No. 9:87-cv-08099 · Filed Feb 11, 1987 · Closed Oct 28, 1987 · Nature of suit: 160 Stockholder's suits
Role of Smith Inc.: Defendant · Outcome: Terminated 1987-10-28 — FJC Integrated Database disposition: Dismissed: lack of jurisdiction Docket on CourtListener ↗
exact company name; name has one distinctive word; court in FL (not the issuer's state); filed 1987, issuer incorporated 2018
SMITH CO v. ALBERTSON INC judgment matched at sponsor-group level (Smith)
District Court, D. Utah · No. · Filed Feb 10, 1987 · Closed Jan 8, 1990 · Nature of suit: 230 Rent, lease, ejectment
Role of SMITH CO: Plaintiff · Outcome: Terminated 1990-01-08 — FJC Integrated Database disposition: Judgment on court trial; judgment for plaintiff Docket on CourtListener ↗
exact company name; name has one distinctive word; court in UT (not the issuer's state); filed 1987, issuer incorporated 2018
SMITH CORP v. KENNECOTT CORP dismissed matched at sponsor-group level (Smith)
District Court, D. South Carolina · No. · Filed Dec 19, 1986 · Closed Dec 14, 1987 · Nature of suit: 190 Other contract actions
Role of SMITH CORP: Plaintiff · Outcome: Terminated 1987-12-14 — FJC Integrated Database disposition: Dismissed: lack of jurisdiction Docket on CourtListener ↗
exact company name; name has one distinctive word; court in SC (not the issuer's state); filed 1986, issuer incorporated 2018
SMITH INC v. ALFORD dismissed matched at sponsor-group level (Smith)
District Court, N.D. Ohio · No. · Filed Aug 13, 1985 · Closed Oct 11, 1989 · Nature of suit: 190 Other contract actions
Role of SMITH INC: Plaintiff · Outcome: Terminated 1989-10-11 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
exact company name; name has one distinctive word; court in OH (not the issuer's state); filed 1985, issuer incorporated 2018
Fair v. Merrill Lynch Pierce Fenner and Smith Inc open matched at sponsor-group level (Smith)
District Court, D. South Carolina · No. 6:84-dv-02547 · Filed Oct 24, 1984
Role of Smith Inc: Defendant · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in SC (not the issuer's state); filed 1984, issuer incorporated 2018
Adams v. Merrill Lynch Pierce Fenner and Smith Inc open matched at sponsor-group level (Smith)
District Court, D. South Carolina · No. 6:84-dv-02546 · Filed Oct 24, 1984
Role of Smith Inc: Defendant · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in SC (not the issuer's state); filed 1984, issuer incorporated 2018
Nagel v. Smith Corporation closed matched at sponsor-group level (Smith)
District Court, D. New Hampshire · No. 1:80-cv-00579 · Filed Dec 16, 1980 · Closed Dec 18, 1981
Role of Smith Corporation: Defendant · Outcome: Terminated 1981-12-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in NH (not the issuer's state); filed 1980, issuer incorporated 2018
Loehrke v. Smith, Inc. closed matched at sponsor-group level (Smith)
District Court, D. North Dakota · No. 1:58-cv-00089 · Filed Mar 25, 1958 · Closed Feb 18, 1959
Role of Smith, Inc.: Defendant · Outcome: Terminated 1959-02-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in ND (not the issuer's state); filed 1958, issuer incorporated 2018
What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:16 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: 48 regulators (FINRA, NASAA, 37 states) — crawled Oct 24, 2026, 8:48 AM ET

What was searched

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Smith..

State securities regulators: Securities regulators searched (64,910 actions): FINRA (38,350 actions, 1995–2026), NASAA (31 actions, 2000–2026; listing starts 1997), AK Division of Banking and Securities (273 actions, 1971–2025), AL Securities Commission (880 actions, 2001–2026), AR Securities Department (1,305 actions, 1998–2026), AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), CO Division of Securities (731 actions, 2001–2026; older years from the Internet Archive (snapshot of 2026-05-02)), CT Department of Banking Securities Division (940 actions, 2006–2026; older years from the Internet Archive (snapshot of 2026-04-22)), DC DISB Securities Bureau (25 actions, 2012–2026), DE DOJ Investor Protection Unit (257 actions, 1987–2026), FL Office of Financial Regulation (49 actions, 2018–2026), GA Secretary of State Securities Division (65 actions, 2015–2026; listing starts 2012), HI DCCA Securities Enforcement Branch (26 actions, 2012–2026), ID Department of Finance Securities Bureau (663 actions, 1994–2026), IL Secretary of State Securities Department (4,122 actions, 2003–2023), KS Insurance Department Securities Division (58 actions), KY Department of Financial Institutions (342 actions, 2005–2026), LA Office of Financial Institutions Securities Division (13 actions, 2010–2025; listing starts 2008), MA Secretary of the Commonwealth Securities Division (125 actions, 2012–2025; live site blocks automated access — loaded from the Internet Archive snapshot of 2026-02-04), MD Attorney General Securities Division (1,054 actions, 2004–2026), ME Office of Securities (539 actions, 2000–2026), MI LARA Corporations, Securities & Commercial Licensing Bureau (201 actions), MO Secretary of State Securities Division (919 actions, 1998–2026), MS Secretary of State Securities Division (209 actions, 1995–2026), MT Commissioner of Securities and Insurance (597 actions, 2000–2026), NC Secretary of State Securities Division (265 actions, 2004–2024), ND Securities Department (711 actions, 1990–2026; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2026-01-06), NH Bureau of Securities Regulation (402 actions, 2002–2026), NM Regulation and Licensing Department Securities Division (90 actions, 2010–2025), NV Secretary of State Securities Division (118 actions, 2018–2026), NY Attorney General Investor Protection Bureau (44 actions, 2012–2026), OH Division of Securities (327 actions, 1993–2006), OK Department of Securities (2,531 actions, 1998–2026), OR Division of Financial Regulation (589 actions, 1988–2026), PA Department of Banking and Securities (1,448 actions, 2008–2024; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2024-08-09), RI DBR Securities Division (98 actions, 2005–2025), SC Attorney General Securities Division (540 actions, 2006–2026), SD Division of Insurance – Securities Regulation (106 actions, 2017–2026), TN Department of Commerce and Insurance Securities Division (405 actions, 1992–2026), TX State Securities Board (936 actions, 1999–2026), UT Division of Securities (772 actions, 2000–2026; older years from the Internet Archive (snapshot of 2010-05-27)), VT DFR Securities Division (137 actions, 2010–2026), WA DFI (2,039 actions, 2001–2026), WI DFI Division of Securities (1,072 actions, 1998–2026), WV Securities Commission (State Auditor) (64 actions), WY Secretary of State Compliance Division (6 actions, 2016–2024) — last crawled Oct 24, 2026, 8:48 AM ET. No machine-readable public listing today for IA, IN, MN, NE, NJ, VA (see docs/state-regulators.md).

3. Bankruptcies

13 cases: 13 closed (disposition not in docket feed)

Rigby v. Campbell Dille Barnett and Smith PLLC closed matched at sponsor-group level (Smith)
United States Bankruptcy Court, W.D. Washington · No. 16-01231 · Filed Oct 5, 2016 · Closed Nov 7, 2017
Role of Smith PLLC: Defendant · Outcome: Case closed 2017-11-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in WA (not the issuer's state)
Cage v. Wardlaw/Smith, Ltd. closed matched at sponsor-group level (Smith)
United States Bankruptcy Court, S.D. Texas · No. 14-03218 · Filed Jun 10, 2014 · Closed Jan 9, 2015
Role of Smith, Ltd.: Defendant · Outcome: Case closed 2015-01-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in TX (not the issuer's state); filed 2014, issuer incorporated 2018
Daniel R. Moxley, Inc. v. Miller and Smith, Inc. closed matched at sponsor-group level (Smith)
United States Bankruptcy Court, D. Maryland · No. 09-00830 · Filed Dec 3, 2009 · Closed Aug 1, 2011
Role of Smith, Inc.: Defendant · Outcome: Case closed 2011-08-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in MD (not the issuer's state); filed 2009, issuer incorporated 2018
Carlton and Smith LLC closed matched at sponsor-group level (Smith)
United States Bankruptcy Court, D. Maryland · No. 02-21833 · Filed Oct 11, 2002 · Closed Jul 12, 2005
Role of Smith LLC: Debtor · Outcome: Case closed 2005-07-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in MD (not the issuer's state); filed 2002, issuer incorporated 2018
Keck Mahin & Cate v. Smith Company closed matched at sponsor-group level (Smith)
United States Bankruptcy Court, N.D. Illinois · No. 98-00666 · Filed Mar 20, 1998 · Closed Aug 14, 1998
Role of Smith Company: Defendant · Outcome: Case closed 1998-08-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in IL (not the issuer's state); filed 1998, issuer incorporated 2018
Panas and Smith, Inc. closed matched at sponsor-group level (Smith)
United States Bankruptcy Court, E.D. Virginia · No. 97-19249 · Filed Dec 12, 1997 · Closed Apr 30, 1998
Role of Smith, Inc.: Debtor · Outcome: Case closed 1998-04-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in VA (not the issuer's state); filed 1997, issuer incorporated 2018
Strickland And Smith Inc. closed matched at sponsor-group level (Smith)
United States Bankruptcy Court, S.D. Georgia · No. 97-60822 · Filed Aug 29, 1997 · Closed Apr 19, 1999
Role of Smith Inc.: Debtor · Outcome: Case closed 1999-04-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in GA (not the issuer's state); filed 1997, issuer incorporated 2018
Growe v. Brockway and Smith Company closed matched at sponsor-group level (Smith)
United States Bankruptcy Court, D. Maine · No. 94-01092 · Filed Dec 21, 1994 · Closed Dec 19, 1995
Role of Smith Company: Defendant · Outcome: Case closed 1995-12-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in ME (not the issuer's state); filed 1994, issuer incorporated 2018
Coan v. Pierson and Smith, Inc. closed matched at sponsor-group level (Smith)
United States Bankruptcy Court, D. Connecticut · No. 94-05254 · Filed Sep 2, 1994 · Closed Apr 8, 1996
Role of Smith, Inc.: Defendant · Outcome: Case closed 1996-04-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in CT (not the issuer's state); filed 1994, issuer incorporated 2018
Vescovi and Smith, Inc. closed matched at sponsor-group level (Smith)
United States Bankruptcy Court, D. South Carolina · No. 93-72490 · Filed May 13, 1993 · Closed Aug 12, 1993
Role of Smith, Inc.: Debtor · Outcome: Case closed 1993-08-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in SC (not the issuer's state); filed 1993, issuer incorporated 2018
Merrill Lynch, Pierce, Fenner and Smith, Inc. v. George Jr closed matched at sponsor-group level (Smith)
United States Bankruptcy Court, S.D. Florida. · No. 92-01295 · Filed Dec 16, 1992 · Closed Mar 11, 1993
Role of Smith, Inc.: Plaintiff · Outcome: Case closed 1993-03-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in FL (not the issuer's state); filed 1992, issuer incorporated 2018
Whitaker v. Lawton/thacker/smith Inc. closed matched at sponsor-group level (Smith)
United States Bankruptcy Court, M.D. Florida · No. 3:92-ap-06858 · Filed Jun 12, 1992 · Closed Feb 19, 1997
Role of smith Inc.: Defendant · Outcome: Case closed 1997-02-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in FL (not the issuer's state); filed 1992, issuer incorporated 2018
MCKEE ELLIOT AND SMITH INC closed matched at sponsor-group level (Smith)
United States Bankruptcy Court, E.D. Washington · No. 86-00933 · Filed Mar 31, 1986 · Closed Aug 31, 1988
Role of SMITH INC: Debtor · Outcome: Case closed 1988-08-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in WA (not the issuer's state); filed 1986, issuer incorporated 2018
What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:16 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

4. Differences between public sources

No comparisons published

What is compared

No public statement by this sponsor group has been collected yet, so there is nothing to compare. Sources compared: the sponsor's own website (known from the issuer's own filings — Form C issuer website, EDGAR company profile — an approved profile claim or Form ADV Item 1.I of its matched adviser) · SEC Form D · SEC Form ADV (IAPD) · Internet Archive · No website is on file for this sponsor group yet.

2 differences found between the filings for Smith (compared 2 filings on Oct 24, 2026)

Note · Dec 18, 2020 – Jan 11, 2021

Form D filed 24 days after the first sale — Hanbury Properties, LLC

The filing says the first sale was Dec 18, 2020. The Form D was filed Jan 11, 2021 — 24 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 9 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Form D · Jan 11, 2021 ↗Hanbury Properties, LLC — PartnerFacts page ↗
Sources
Note · Dec 18, 2020 – Jan 8, 2021

Form D filed 21 days after the first sale — Moore Mountain Development, LLC

The filing says the first sale was Dec 18, 2020. The Form D was filed Jan 8, 2021 — 21 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 6 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Form D · Jan 8, 2021 ↗Moore Mountain Development, LLC — PartnerFacts page ↗
Sources
What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. As of Oct 24, 2026.

5. Money to insiders

2 of 2 offerings report sales commissions totalling $200,000; 0 report finder's fees; 2 report proceeds to related persons totalling $125,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Jan 11, 2021 D
Hanbury Properties, LLC
File 021-385763
$100,000$0$55,000 (est.)Chicago Analytics Trading Company d/b/a Little River Capital, LLC BrokerCheck CRD 118917 ↗EDGAR ↗
Jan 8, 2021 D
Moore Mountain Development, LLC
File 021-385755
$100,000$0$70,000 (est.)Chicago Analytics Trading Company d/b/a Little River Capital, LLC BrokerCheck CRD 118917 ↗EDGAR ↗
How this is counted

Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "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. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Counted across all 2 issuers in this group — every filing in our index, latest filing per offering (SEC file number).

Property records 0 documents · 0 ownership records · last checked Oct 24, 2026, 9:34 AM ET · NYC and Cook County lookup still to run

0 recorded documents and 0 ownership records matched to Smith in the sources searched.

Not found in sources searched as of Oct 24, 2026, 9:34 AM ET: Hillsborough County FL Clerk of Court Official Records daily index (publicrec.hillsclerk.com D/P/M files), 2 daily files (Oct 14, 2026 to Oct 15, 2026) — loaded Oct 23, 2026, 8:59 PM ET; Harris County TX (HCAD ownership rolls 2005–2026) — 1,032,426 records, loaded Oct 24, 2026, 8:00 AM ET; Dallas County TX (DCAD ownership rolls 2021–2027) — 285,535 records, loaded Oct 24, 2026, 8:20 AM ET; Hillsborough County FL (FL DOR 2026 ownership roll + Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026), Miami-Dade County FL (FL DOR 2026 ownership roll), Broward County FL (FL DOR 2026 ownership roll), Palm Beach County FL (FL DOR 2026 ownership roll) — 514,336 records, loaded Oct 24, 2026, 8:25 AM ET; King County WA (Assessor sale records 0000-00-00–2026-10-14; no owner-of-record names published) — 538,619 records, loaded Oct 24, 2026, 8:27 AM ET; Cook County IL (Assessor sale records 1982–2026 + ownership rolls 2014–2026) — 1,031,843 records, loaded Oct 24, 2026, 9:05 AM ET. Still to be looked up for this group: NYC ACRIS via NYC Open Data (Real Property Parties 636b-3b5g, Master bnx9-e6tj, Legals 8h5j-fqxa, Document Control Codes 7isb-wh4c) · NYC PLUTO ownership via NYC Open Data (64uk-42ks) · Cook County IL Assessor via Cook County Open Data (Parcel Sales wvhk-k5uv; Parcel Addresses 3723-97qp). Records in other counties, and recorder indexes we do not yet cover, were not searched.

Property records coverage: New York City (ACRIS recorded documents and PLUTO ownership, looked up per issuer when its page is viewed; re-checked when the page is viewed again more than 30 days after the last check); Harris County TX (ownership only, no deed, mortgage or sale records; HCAD ownership rolls 2005–2026); Dallas County TX (ownership only, no deed, mortgage or sale records; DCAD ownership rolls 2021–2027); Hillsborough County FL (FL DOR 2026 ownership roll + Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026), Miami-Dade County FL (FL DOR 2026 ownership roll), Broward County FL (FL DOR 2026 ownership roll), Palm Beach County FL (FL DOR 2026 ownership roll); King County WA (Assessor sale records 0000-00-00–2026-10-14; no owner-of-record names published); Cook County IL (Assessor sale records 1982–2026 + ownership rolls 2014–2026); also looked up per issuer when its page is viewed. Recorder indexes (party names on deeds, mortgages and liens) in TX, AZ, NV, CA and WA counties and outside the Clerk index in FL, mortgages and liens outside NYC and Hillsborough County, lis pendens and foreclosure notices everywhere, Los Angeles County CA, Clark County NV, New York City bulk pass (not finished; per-issuer lookups only so far), Maricopa County AZ (loader ready; commercial-purpose statement not yet filed), Salt Lake County UT, and all other counties are not covered — not searched. Last refresh by source: Cook County IL Assessor via Cook County Open Data (Parcel Sales wvhk-k5uv; Parcel Addresses 3723-97qp) Oct 24, 2026, 9:05 AM ET; Cook County IL Assessor via Cook County Open Data (Parcel Sales wvhk-k5uv; Parcel Addresses 3723-97qp) Oct 24, 2026, 8:30 AM ET; King County WA Assessor Real Property Sales extract (EXTR_RPSale.csv) Oct 24, 2026, 8:27 AM ET; Florida DOR NAL roll (Palm Beach 60) Oct 24, 2026, 8:25 AM ET; Florida DOR NAL roll (Broward 16) Oct 24, 2026, 8:24 AM ET; Florida DOR NAL roll (Dade 23) Oct 24, 2026, 8:23 AM ET; Florida DOR NAL roll (Hillsborough 39) Oct 24, 2026, 8:21 AM ET; Dallas Central Appraisal District ACCOUNT_INFO.CSV Oct 24, 2026, 8:20 AM ET; Harris County Appraisal District real_acct.txt Oct 24, 2026, 8:00 AM ET; Hillsborough County FL Clerk daily index Oct 23, 2026, 8:59 PM ET. NYC and Cook County are also looked up per issuer when its page is viewed; the most recent such lookup on this site finished Oct 24, 2026, 3:30 AM ET. Parties are named as the recorder's index names them (role suffixes as recorded); no address, account number or trust date is shown for an individual, and individual owners of record (home ownership) are not matched or shown. Items still in human review are not shown.

Issuers in this group

Why each issuer is here is stated in the "Linked by" column. Low-confidence links are never shown — they wait for human review.

SourceIssuerLinked byLocationIndustryFilingsSold (max)InvestorsMin. investment (latest filing)Active
EDGAR ↗MM Moore Mountain Development, LLCshared management entity, same business addressBirmingham, ALOther1$2,394,000
offering $2,394,000 · similar: $500,000–$7,000,000
1
similar: 2–14
$2,660
similar: $5,000–$50,000
2021–2021
EDGAR ↗HP Hanbury Properties, LLCshared management entity, same business addressBIRMINGHAM, ALOther1$3,196,000
offering $3,196,000 · similar: $500,000–$7,000,000
20
similar: 2–14
No minimum reported
similar: $5,000–$50,000
2021–2021

"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Other / 506(b) (18,678 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

Timeline of offerings

SourceFiledIssuerFormIndustryOfferedSold
EDGAR ↗Jan 11, 2021Hanbury Properties, LLCDOther$3,196,000$3,196,000
EDGAR ↗Jan 8, 2021Moore Mountain Development, LLCDOther$2,394,000$2,394,000

Activity: 0 new offerings in the last 12 months across all issuers in this group (new offering = a Form D that is not an amendment, D/A) · most recent filing Jan 11, 2021. Industry history, as reported on each offering's latest filing: All 2 offerings reported: Other (2021).

People across the group

NameRolesIssuers hereFirst → last listed
SD Smith Development and Management entityPromoter2Jan 8, 2021 → Jan 11, 2021
JL JF Management LLPromoter1Jan 11, 2021 → Jan 11, 2021
JM JF Management, LLC entityPromoter1Jan 8, 2021 → Jan 8, 2021

Business registration (state registry / Secretary of State)

None of the 2 issuers has a record in the registries searched.

Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file). A registry listing is the state's own record of the entity; it says nothing about the offering itself.

Adviser registration (Form ADV)

Searched SEC Form ADV bulk data (registered + exempt reporting advisers) (24,962 records as of Oct 2, 2026, 8:00 AM ET) — nothing matched Smith.

Meta advertising

No Meta Pixel ids or Facebook / Instagram page links on file for Smith as of Oct 24, 2026 — the sponsor website is read for them once it is on file (runs automatically). Meta Ad Library: not searched by PartnerFacts (no API access); a one-tap Ad Library search is under Look further.

Other offering types (Regulation A and Regulation Crowdfunding)

Searched SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.

Public profiles and social

No website or social profile named in Smith's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #201,626 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓

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Change history

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Sponsor response

Add a sourced explanation next to any fact. Reviewed before publishing.

Grouping is PartnerFacts' inference from public filings (shared related persons, management entities, business address). Everything else on this page is drawn from the filings themselves. Not the same sponsor? Request a correction.

Look further

One-tap searches on sites we do not index ourselves, with the name pre-filled (outside the US (as filed: BIRMINGHAM), AL). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

LinkedIn companies ↗Instagram ↗X (Twitter) ↗Facebook ↗YouTube ↗Google ↗Google Images ↗Google News ↗Meta Ad Library ↗

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗Alabama state courts — find the court ↗

Securities regulators

SEC EDGAR full-text search ↗SEC action look-up ↗FINRA BrokerCheck ↗SEC IAPD adviser search ↗

Business registries

Alabama Secretary of State business search ↗OpenCorporates ↗