Sponsor Check › Person
Named as an officer, director or promoter on SEC Form D filings · TX, UT, NJ · Feb 20, 2025 → Feb 20, 2026
Data last updated Oct 23, 2026, 5:45 PM ET · 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
Christopher B. Smith is listed as an executive officer and director on 14 SEC Form D filings by 4 issuers between Feb 2024 and Apr 2026: AMERICAN GENERAL LIFE INSURANCE CO (Houston, TX — insurance — 2024–2026; $1.51B reported sold to 97 investors), United States Life Insurance Co in the City of New York (New York, NY — insurance — 2024–2025; $856.6M reported sold to 306 investors), 4D Americasa Holdings, LLC (Houston, TX — industry reported as "Other" — 2024; $1.5M reported sold to 3 investors) and 4DRMHC1 Master, LLC (Series 1) (Austin, TX — other health care — 2024; 42 investors reported).
What this means A repeat sponsor — 4 separate companies raised money with this person listed as executive officer and director, over about 2 years. Across those companies the filings report $2.37B sold in total.
Listed alongside Bryan Allan Pinsky (11 shared filings), David Ditillo (11 shared filings), Elizabeth B. Cropper (11 shared filings), John P. Byrne (11 shared filings), Jonathan Joseph Novak (11 shared filings) and 16 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Christopher. Each name links to their own page.
2 of the issuers belong to the sponsor group American General Life (2 issuers, $1.45B reported sold, 2010–2026).
What this means A sponsor group is one team that sets up a new company for each deal. American General Life has 2 companies on file and $1.45B 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 (AK, AL, AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, OK, OR, PA, RI, SC, SD, TN, TX, VT, WA, WI, WV, WY) — 22 bankruptcy cases matching the name listed in Key records below.
What this means 22 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 14 public filings for Christopher B. Smith and found 20 differences, 4 worth asking the sponsor about: 75% of the money raised went to insiders; 13 paid sellers are listed without a CRD number; 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.
Community search for Christopher B. Smith has not run yet — it is joining a line of 22,894 names; searches run around the clock at the hosts' allowed rate. Searched so far: 638 names.
Community comments are quoted as written by their authors. Sources searched: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).
Five things investors ask first. Items still in human review are counted, not shown.
None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026
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.
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.
None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: VA (crawled Oct 23, 2026)
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 Christopher B. Smith..
State securities regulators: Securities regulators searched (3,318 actions): 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), DE DOJ Investor Protection Unit (257 actions, 1987–2026), TX State Securities Board (586 actions, 2006–2026), WA DFI (2,039 actions, 2001–2026) — last crawled Oct 23, 2026, 9:57 PM ET. No machine-readable public listing today for CO, FL, IA, IN, MN, NE, NJ, NY, OH, UT, VA (see docs/state-regulators.md).
22 cases: 9 open, 13 closed (disposition not in docket feed)
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.
Comparisons cover issuers and sponsor groups — see the issuer pages under Deals
20 differences found between the filings for Christopher B. Smith — 4 worth asking about (compared 14 filings on Oct 24, 2026)
United States Bankruptcy Court, W.D. Texas docket "Heslin v. InfoW, LLC" filed Apr 18, 2022, closed Jun 24, 2022. Timothy Michael Heslin (listed on the same filings) is listed as Plaintiff ("Heslin"). Our match estimate: 60%.
What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.
United States Bankruptcy Court, S.D. Texas docket "American General Life Insurance Company v. Sommers" filed Jul 15, 2014, closed May 26, 2015. AMERICAN GENERAL LIFE INSURANCE CO (related issuer) is listed as Plaintiff ("American General Life Insurance Company"). Our match estimate: 80%.
What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.
United States Bankruptcy Court, W.D. New York docket "Lawrence v. Tarnow Electric Supply Company" filed Jan 25, 1995, closed May 12, 1995. Eric G. Tarnow (listed on the same filings) is listed as Defendant ("Tarnow Electric Supply Company"). Our match estimate: 70%.
What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.
The Jun 13, 2024 Form D/A reports $1,500,000 sold and $1,125,000 of the proceeds used for payments to officers, directors or promoters (marked as an estimate). Issuer's note: "management fees".
What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.
The May 30, 2024 Form D/A reports $1,500,000 sold and $1,125,000 of the proceeds used for payments to officers, directors or promoters (marked as an estimate). Issuer's note: "management fees".
What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.
The May 30, 2024 Form D/A lists Christopher Smith as executive officer, director of the issuer and also as a person receiving sales compensation (no CRD number given).
What this means The same person is listed as running the company and as being paid to sell its securities. Ask how much and on what terms.
4DRMHC1 Master, LLC (Series 1) (last filing Feb 14, 2024; $0 sold of $7,525,000). Each has no filing in more than two years and reported under half its target sold.
What this means An issuer whose last filing is more than two years old and reported under half its target sold. The raise may have closed early or quietly stopped. Ask what happened to each.
Paid seller listed without a CRD number: J. Alden Associates, Inc. — AMERICAN GENERAL LIFE INSURANCE CO · Paid seller listed without a CRD number: Northwestern Mutual Investment Services, LLC — AMERICAN GENERAL LIFE INSURANCE CO · Paid seller listed without a CRD number: Centaurus Financial — AMERICAN GENERAL LIFE INSURANCE CO · Paid seller listed without a CRD number: Lincoln Financial Advisors — AMERICAN GENERAL LIFE INSURANCE CO · Paid seller listed without a CRD number: M Holdings Securities — AMERICAN GENERAL LIFE INSURANCE CO · and 8 more
What this means Without a CRD number we cannot look a seller up on BrokerCheck. Ask who they are and whether they are registered.
The Feb 18, 2020 filing lists Wells Fargo with CRD 19616; the Feb 20, 2019 Form D/A lists the same name with no CRD number.
What this means A CRD number is how you look a seller up on FINRA BrokerCheck. Missing it on a later form is usually a paperwork slip — use the number from the earlier form to check them.
The filing says the first sale was Jan 11, 2021. The Form D was filed Feb 14, 2024 — 1,129 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 1,114 days past that.
What this means The notice went in months after money was taken in. Late notices are common and carry no penalty by themselves, but it is fair to ask the sponsor why the paperwork lagged.
The latest filing for this offering is dated Jun 13, 2024 (first sale Feb 27, 2023). It reports $1,500,000 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.
What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.
The latest filing for this offering is dated Feb 14, 2024 (first sale Jan 11, 2021). It reports $0 sold of $7,525,000 offered. No later amendment is in our index as of Oct 24, 2026.
What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.
Offering amount changed between filings — AMERICAN GENERAL LIFE INSURANCE CO · Offering amount changed between filings — AMERICAN GENERAL LIFE INSURANCE CO · Offering amount changed between filings — AMERICAN GENERAL LIFE INSURANCE CO · Offering amount changed between filings — AMERICAN GENERAL LIFE INSURANCE CO
What this means Targets change as deals grow or shrink. Ask whether later money has the same terms.
The Nov 6, 2024 filing lists a minimum of $10,000; the Nov 17, 2025 Form D/A lists $100,000.
What this means A different minimum usually means the offering terms changed. Check which terms apply to you.
The Apr 8, 2024 filing lists a minimum of $0; the Apr 8, 2025 Form D/A lists $50,000,000.
What this means A different minimum usually means the offering terms changed. Check which terms apply to you.
listed as "Christopher Smith" on 7 filings (from Feb 14, 2024), and "Christopher B. Smith" on 7 filings (from Feb 20, 2024).
What this means Same person, written differently — a middle name or suffix left off, or spelled another way. It is normal, but check that the full legal name matches your subscription documents.
This page covers filings where the address state is TX or UT or NJ. A separate record, "Christopher Smith" with address state CA, is listed on 15 filings — most recently by Orbital Sidekick, Inc. (Jul 16, 2025). Both records have filings in the same period (Feb 20, 2025 to Jul 16, 2025).
What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.
This page covers filings where the address state is TX or UT or NJ. A separate record, "Christopher Smith" with address state NY, is listed on 18 filings — most recently by Greenbacker Renewable Energy Co II LLC (May 17, 2024). The two records do not overlap in time: this page runs Feb 20, 2025 to Feb 20, 2026; the other runs Jul 20, 2011 to May 17, 2024.
What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.
Address moved from Houston, TX to Jersey City, NJ — AMERICAN GENERAL LIFE INSURANCE CO · Address moved from Austin, UT to Houston, TX — 4D Americasa Holdings, LLC · Address moved from Austin, TX to Austin, UT — 4D Americasa Holdings, LLC · Address moved from Jersey City, NJ to Houston, TX — AMERICAN GENERAL LIFE INSURANCE CO · Address moved from New York, NY to Houston, TX — United States Life Insurance Co in the City of New York · and 5 more
What this means Businesses move. If you were told one city and the forms say another, ask which is current.
TX on 7 filings (Feb 14, 2024 to Nov 17, 2025); UT on 1 filing (May 30, 2024); NJ on 6 filings (Feb 20, 2025 to Apr 8, 2026).
What this means The address on a Form D is usually the company's, not the person's home, so this often just reflects different companies. It can also mean a move. Nothing wrong by itself.
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.
4 of 6 offerings report sales commissions totalling $7,374,467; 0 report finder's fees; 2 report proceeds to related persons totalling $1,525,000. (includes amounts the issuer reported as estimates)
| Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it | Source |
|---|---|---|---|---|---|
| Apr 8, 2026 D/A AMERICAN GENERAL LIFE INSURANCE CO File 021-440600 | $5,204,727 | $0 | $0 | J. Alden Associates, Inc. no CRD number reported via J. Alden Associates, Inc. Northwestern Mutual Investment Services, LLC no CRD number reported via Northwestern Mutual Investment Services, LLC | EDGAR ↗ |
| Feb 20, 2026 D/A AMERICAN GENERAL LIFE INSURANCE CO File 021-192525 | $114,089 | $0 | $0 | Centaurus Financial no CRD number reported via Centaurus Financial Lincoln Financial Advisors no CRD number reported via Lincoln Financial Advisors M Holdings Securities no CRD number reported via M Holdings Securities Manor House Capital LLC no CRD number reported via Manor House Capital LLC Royal Alliance Associates, Inc. no CRD number reported via Royal Alliance Associates, Inc. Stern Capital LLC no CRD number reported via Stern Capital LLC First Liberties Securities, Inc. no CRD number reported via First Liberties Securities, Inc. Fieldpoint Private Securities no CRD number reported via Fieldpoint Private Securities Lion Street Financial no CRD number reported via Lion Street Financial The Leaders Group no CRD number reported via The Leaders Group | EDGAR ↗ |
| Feb 20, 2026 D/A AMERICAN GENERAL LIFE INSURANCE CO File 021-156082 | $1,733,291 | $0 | $0 | Benefit Finance Securities/Benefit Finance Partners BrokerCheck CRD 45113 ↗ via Benefit Finance Securities/Benefit Finance Partners Moloney Securities Co., Inc. BrokerCheck CRD 38535 ↗ via Moloney Securities Co., Inc. Wells Fargo BrokerCheck CRD 19616 ↗ via Wells Fargo | EDGAR ↗ |
| Nov 17, 2025 D/A United States Life Insurance Co in the City of New York File 021-187593 | $322,360 | $0 | $0 | M Holdings Securities, Inc. BrokerCheck CRD 43285 ↗ via M Holdings Securities, Inc. (CRD 43285 ↗) | EDGAR ↗ |
| Jun 13, 2024 D/A 4D Americasa Holdings, LLC File 021-506760 | $0 | $0 | $1,125,000 (est.) management fees | Christopher Smith no CRD number reported | EDGAR ↗ |
| Feb 14, 2024 D 4DRMHC1 Master, LLC (Series 1) File 021-505181 | $0 | $0 | $400,000 (est.) | None listed on this filing | EDGAR ↗ |
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 every filing this person is listed on (latest filing per offering, per issuer).
Every issuer that named Christopher B. Smith on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.
Raised $1.51B from 97 investors as of the latest filing. Christopher is listed as executive officer, director on 9 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Insurance / 506(b) (687 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.
Raised $856.6M from 306 investors as of the latest filing. Christopher is listed as executive officer, director on 2 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Insurance / 506(b) (687 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.
Raised $1.5M from 3 investors as of the latest filing. Christopher is listed as executive officer, director on 2 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "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.
42 investors reported; no amount sold yet as of the latest filing. Christopher is listed as director.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Other Health Care / 506(b) (4,189 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.
Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.
Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.
Listed on the same filings as Christopher B. Smith. Their page shows their other deals.
Listed on the same filings as Christopher B. Smith. Their page shows their other deals.
Listed on the same filings as Christopher B. Smith. Their page shows their other deals.
Listed on the same filings as Christopher B. Smith. Their page shows their other deals.
Listed on the same filings as Christopher B. Smith. Their page shows their other deals.
Listed on the same filings as Christopher B. Smith. Their page shows their other deals.
Listed on the same filings as Christopher B. Smith. Their page shows their other deals.
Listed on the same filings as Christopher B. Smith. Their page shows their other deals.
Listed on the same filings as Christopher B. Smith. Their page shows their other deals.
Listed on the same filings as Christopher B. Smith. Their page shows their other deals.
Listed on the same filings as Christopher B. Smith. Their page shows their other deals.
Listed on the same filings as Christopher B. Smith. Their page shows their other deals.
Listed on the same filings as Christopher B. Smith. Their page shows their other deals.
Listed on the same filings as Christopher B. Smith. Their page shows their other deals.
Listed on the same filings as Christopher B. Smith. Their page shows their other deals.
Listed on the same filings as Christopher B. Smith. Their page shows their other deals.
Listed on the same filings as Christopher B. Smith. Their page shows their other deals.
Listed on the same filings as Christopher B. Smith. Their page shows their other deals.
Listed on the same filings as Christopher B. Smith. Their page shows their other deals.
Listed on the same filings as Christopher B. Smith. Their page shows their other deals.
Listed on the same filings as Christopher B. Smith. Their page shows their other deals.
One team, 2 deal companies. Christopher B. Smith is listed on 2 of them.
Issuers are grouped when their Form D filings share related persons, a management entity or a business address (automatic match from the filings). "Listed" marks the issuers that name Christopher B. Smith.
None of the 4 issuers this person is listed on appears in Form ADV (searched 24,962 advisers as of Oct 2, 2026). A person is never an adviser firm; Form ADV is checked for the issuers and the management companies they are listed with.
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.
Property records are matched to companies only, never to individuals, so none are matched to Christopher B. Smith by design. Searched property records in Hillsborough County FL (Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026 + FL DOR 2026 ownership roll), Miami-Dade County FL (FL DOR 2026 ownership roll), Harris County TX (HCAD 2026 ownership roll), Dallas County TX (DCAD 2026 ownership roll), New York City ACRIS documents and PLUTO ownership rows already retrieved for other issuers, Cook County IL sale and ownership rows already retrieved for other issuers (814,874 records as of Oct 23, 2026, 8:59 PM ET) for the 4 issuers this person is listed on — nothing matched.
Websites and social links of the issuers Christopher B. Smith is listed on: none on file. No website or social profile named in United States Life Insurance Co in the City of New York's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #53,375 of 374,652 in line (1,156 issuers searched so far). One-tap searches: Look further ↓
One-tap searches on sites we do not index ourselves, with the name pre-filled (New York, NY). Each opens in a new tab; what you find there is not verified by PartnerFacts.
No corrections have been requested for this page.
Free. Logged with status: received → under review → fixed / confirmed with source.
If this is you or your firm, add a sourced explanation next to any fact. Reviewed before publishing.
Members get an email when Christopher B. Smith appears on a new Form D, or when a court case or SEC action is matched to them. See plans →