Sponsor Check › Person
Named as an officer, director or promoter on SEC Form D filings · CA · Apr 16, 2009 → Oct 8, 2026
Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:18 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET
David Smith is listed as an executive officer and director on 35 SEC Form D filings by 14 issuers between Apr 2009 and Oct 2026. Largest by amount reported sold: CODEXIS, INC. (Redwood City, CA — biotechnology — 2019; $50M reported sold to 1 investors), IntegenX Inc (Pleasanton, CA — biotechnology — 2012; $48.8M reported sold to 16 investors), RunBuggy OMI, Inc. (Tempe, AZ — business services — 2022; $40M reported sold to 19 investors), LUCID DESIGN GROUP, INC. (Oakland, CA — other technology — 2009–2010; $15.7M reported sold to 21 investors), Planetary Network Technologies, Inc. (San Jose, CA — other technology — 2016–2018; $9.74M reported sold to 10 investors) and 9 more (all listed below).
What this means That is a lot of deals — 14 separate companies raised money with this person listed as executive officer and director, over about 17 years. Across those companies the filings report $196.8M sold in total.
Listed alongside Christopher Tilton (12 shared filings), John Price (12 shared filings), Will Lorenzi (10 shared filings), Richard A. Anderson (6 shared filings), Richard Berman (6 shared filings) and 65 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around David. Each name links to their own page.
3 of the issuers belong to the sponsor group Spi Tcm (27 issuers, $210.8M reported sold, 2013–2026).
What this means A sponsor group is one team that sets up a new company for each deal. Spi Tcm has 27 companies on file and $210.8M 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, 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) — 4 court cases matching the name, 2 SEC releases, 3 state regulator orders, 20 bankruptcy cases matching the name listed in Key records below.
What this means 29 records came back, including 1 court case 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 35 public filings for David Smith and found 25 differences, 9 worth asking the sponsor about: Regulator action naming a team member: Terren S. Peizer and Acuitas Group Holdings, LLC (Mar 8, 2023); Regulator action: David R. Smith (Dec 6, 2012); 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 David Smith has not run yet — it is joining a line of 55,297 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.
Five things investors ask first. Items still in human review are counted, not shown.
4 cases: 1 open, 2 closed (disposition not in docket feed), 1 judgment
370 Other Fraud· Cause:
28:1332 Diversity-Fraud
Contract: Recovery/Enforcement· Cause:
28:1332 Diversity-Injunctive & Declaratory Relief
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, 2:18 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 SEC releases; 3 state regulator orders
David F. L. Smith (CRD #5269128, Registered Representative, Sandpoint, Idaho) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for two months. Without admitting or denying the findings, Smith consented to the described sanctions and to the entry of findings that he falsified insurance forms when he cut and pasted a registered representative’s signature onto forms without the representative’s authorization, knowledge or consent, and then submitted the forms to insurance companies. The suspension is in effect from August 17, 2009, through October 16, 2009.Order / docket ↗ Regulator's list ↗
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 David 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).
20 cases: 8 open, 12 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, 2:18 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
25 differences found between the filings for David Smith — 9 worth asking about (compared 35 filings on Oct 24, 2026)
An SEC litigation release dated Mar 8, 2023 names Terren Peizer (listed on the same filings). Our match estimate: 80%. The release is the source; we do not summarize its outcome here.
What this means A regulator filed or announced an action naming this person or company (or someone on the same filings). Read the release; ask the sponsor what it was and how it ended.
A ap release dated Dec 6, 2012 names David Smith. Our match estimate: 44%. The release is the source; we do not summarize its outcome here.
What this means A regulator filed or announced an action naming this person or company (or someone on the same filings). Read the release; ask the sponsor what it was and how it ended.
Bankruptcy case: Wolkowitz v. Timo Group, Inc. — filed Jul 9, 2021 · Bankruptcy case: Pichai Singtoroj and Pam Cheng — filed May 27, 2013 · Bankruptcy case: Patrick J. Muir and Sara E. Muir — filed Jun 30, 2010 · Bankruptcy case: Physical Optics Corporation v. Tachner — filed Nov 20, 2009
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 Aug 20, 2009 filing says $150,000 sold; the Dec 23, 2009 Form D says $30,000 sold — $120,000 less.
What this means Amounts sold normally only go up as a raise continues. A drop can mean investors were refunded, a figure was corrected, or an earlier number was wrong. Ask the sponsor which it was.
The Jul 21, 2009 filing says $162,000 sold; the Oct 19, 2009 Form D says $55,800 sold — $106,200 less.
What this means Amounts sold normally only go up as a raise continues. A drop can mean investors were refunded, a figure was corrected, or an earlier number was wrong. Ask the sponsor which it was.
The Aug 20, 2009 filing reports 2 investors; the Dec 23, 2009 Form D reports 1 investor.
What this means Investor counts normally only grow. A smaller number can mean investors left or were refunded, or a count was corrected. Ask the sponsor what happened.
The Jul 21, 2009 filing reports 14 investors; the Oct 19, 2009 Form D reports 4 investors.
What this means Investor counts normally only grow. A smaller number can mean investors left or were refunded, or a count was corrected. Ask the sponsor what happened.
250% of the money raised went to insiders — Smart Planet Technologies, Inc. · 26% of the money raised went to insiders — Ontrak, Inc. · 71% of the money raised went to insiders — Smart Planet Technologies, Inc. · 212% of the money raised went to insiders — Smart Planet Technologies, Inc. · 30% of the money raised went to insiders — Smart Planet Technologies, Inc. · and 3 more
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 Oct 8, 2026 Form D lists DAVID SMITH as director of the issuer and also as a person receiving sales compensation (no CRD number given). Sales commissions reported on this filing: $10,000.
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.
Smart Planet Technologies, Inc. (last filing Jun 25, 2020; $162,000 sold of $3,000,000); Medallion Mortgage Company, Inc. (last filing Dec 30, 2010; $1,200,000 sold of $5,000,000). 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.
DAVID SMITH is listed as receiving sales compensation on 1 filing (Oct 8, 2026) with no FINRA CRD number given.
What this means People paid to sell securities normally hold a FINRA registration with a CRD number. Without one we cannot look them up on BrokerCheck. Ask who they are and whether they are registered.
Form D filed 77 days after the first sale — Ontrak, Inc. · Form D filed 16 days after the first sale — Smart Planet Technologies, Inc. · Form D filed 29 days after the first sale — Planetary Network Technologies, Inc. · Form D filed 17 days after the first sale — Ontrak, Inc. · Form D filed 18 days after the first sale — TCRE Investor Series, LLC - Project York Series · and 4 more
What this means Late notices are common and carry no penalty by themselves. A pattern of late paperwork is worth asking the sponsor about.
No amendment in the last 12 months on an offering that may still be open — RunBuggy OMI, Inc. (latest filing Apr 12, 2022) · No amendment in the last 12 months on an offering that may still be open — Smart Planet Technologies, Inc. (latest filing Jul 3, 2019) · No amendment in the last 12 months on an offering that may still be open — Planetary Network Technologies, Inc. (latest filing Jan 18, 2018) · No amendment in the last 12 months on an offering that may still be open — Planetary Network Technologies, Inc. (latest filing Aug 29, 2017) · No amendment in the last 12 months on an offering that may still be open — Planetary Network Technologies, Inc. (latest filing Jul 29, 2016) · and 10 more
What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.
Offering amount lowered between filings — Smart Planet Technologies, Inc. · Offering amount changed between filings — IntegenX Inc · Offering amount changed between filings — LUCID DESIGN GROUP, INC. · Offering amount lowered between filings — LUCID DESIGN GROUP, INC. · Offering amount changed between filings — Smart Planet Technologies, Inc. · and 1 more
What this means Targets change as deals grow or shrink. Ask whether later money has the same terms.
The Mar 5, 2013 filing lists a minimum of $22,000; the Apr 25, 2013 Form D/A lists $9,800.
What this means A different minimum usually means the offering terms changed. Check which terms apply to you.
The Jul 21, 2009 filing lists a minimum of $5,400; the Oct 19, 2009 Form D lists $6,200.
What this means A different minimum usually means the offering terms changed. Check which terms apply to you.
The Apr 16, 2009 filing lists a minimum of $22,727; the Jul 21, 2009 Form D lists $5,400.
What this means A different minimum usually means the offering terms changed. Check which terms apply to you.
"$1 - $1,000,000" (Jun 13, 2014); then "$1,000,001 - $5,000,000" (Apr 30, 2015).
What this means This is the size band the issuer picks for itself on the form. A change can mean the business grew or shrank — or that it chose not to say. Ask for current numbers.
This page covers filings where the address state is CA. A separate record, "David Smith" with address state C3, is listed on 3 filings — most recently by Ceres Tag Ltd (Dec 18, 2025). Both records have filings in the same period (Dec 4, 2024 to Dec 18, 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 CA. A separate record, "David Smith" with address state TX, is listed on 28 filings — most recently by First Person Capital Fund I, LP (Jul 21, 2025). Both records have filings in the same period (Apr 16, 2009 to Jul 21, 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 CA. A separate record, "David Smith" with address state NY, is listed on 21 filings — most recently by LifeLabs Learning LLC (Apr 7, 2023). Both records have filings in the same period (Oct 7, 2010 to Apr 7, 2023).
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 CA. A separate record, "David H. Smith" with address state MA, is listed on 147 filings — most recently by Barrow, Hanley, Mewhinney & Strauss High Yield Fixed Income Fund (Dec 21, 2012). Both records have filings in the same period (Apr 16, 2009 to Dec 21, 2012).
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 CA. A separate record, "David Smith" with address state AR, is listed on 2 filings — most recently by NANODYNAMICS INC (Apr 14, 2009). The two records do not overlap in time: this page runs Apr 16, 2009 to Oct 8, 2026; the other runs Mar 24, 2009 to Apr 14, 2009.
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.
The people listed on the Aug 15, 2011 filing give Irvine, CA; on the May 16, 2012 filing they give Newport Beach, CA. The address now on file (4695 Macarthur Court, 11th Floor, Newport Beach, CA) is a registered-agent or shared-office address used by 10 issuers.
What this means A registered agent's address is a mailbox, not where the team works. Ask where the business actually operates.
The people listed on the Apr 16, 2009 filing give Newport Beach, CA; on the Jul 21, 2009 filing they give Irvine, CA. The address now on file (4695 Macarthur Court, 11th Floor, Newport Beach, CA) is a registered-agent or shared-office address used by 10 issuers.
What this means A registered agent's address is a mailbox, not where the team works. Ask where the business actually operates.
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 of 29 offerings report sales commissions totalling $595,000; 1 reports finder's fees totalling $10,000; 11 report proceeds to related persons totalling $2,619,500. (includes amounts the issuer reported as estimates)
| Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it | Source |
|---|---|---|---|---|---|
| Oct 8, 2026 D NPX Exchange Ltd File 021-600422 | $10,000 (est.) | $10,000 (est.) | $1,000,000 (est.) | DAVID SMITH no CRD number reported | EDGAR ↗ |
| Apr 12, 2022 D RunBuggy OMI, Inc. File 021-441476 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Mar 18, 2022 D OC Marconi Investment LLC File 021-438049 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jun 25, 2020 D Smart Planet Technologies, Inc. File 021-369716 | $0 | $0 | $200,000 (est.) | None listed on this filing | EDGAR ↗ |
| Jul 3, 2019 D Smart Planet Technologies, Inc. File 021-343423 | $0 | $0 | $250,000 (est.) | None listed on this filing | EDGAR ↗ |
| Jun 20, 2019 D CODEXIS, INC. File 021-342362 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jan 18, 2018 D Planetary Network Technologies, Inc. File 021-303531 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Oct 4, 2017 D Smart Planet Technologies, Inc. File 021-296023 | $0 | $0 | $144,000 (est.) | None listed on this filing | EDGAR ↗ |
| Aug 29, 2017 D Planetary Network Technologies, Inc. File 021-293659 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jan 5, 2017 D Ontrak, Inc. File 021-277748 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jul 29, 2016 D Planetary Network Technologies, Inc. File 021-268009 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Oct 15, 2015 D Ontrak, Inc. File 021-249410 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Apr 30, 2015 D Ontrak, Inc. File 021-238927 | $185,000 | $0 | $560,000 Repayment of outstanding indebtedness to a person named in Item 3. | Chardan Capital Markets LLC BrokerCheck CRD 120128 ↗ | EDGAR ↗ |
| Dec 31, 2014 D Ontrak, Inc. File 021-231172 | $50,000 (est.) | $0 | $0 | Chardan Capital Markets LLC BrokerCheck CRD 120128 ↗ | EDGAR ↗ |
| Oct 2, 2014 D Ontrak, Inc. File 021-225697 | $110,000 (est.) | $0 | $0 | Chardan Capital Markets LLC BrokerCheck CRD 120128 ↗ | EDGAR ↗ |
| Jun 13, 2014 D Ontrak, Inc. File 021-219153 | $240,000 (est.) | $0 | $0 | Chardan Capital Markets LLC BrokerCheck CRD 120128 ↗ | EDGAR ↗ |
| Apr 24, 2014 D TCRE Investor Series, LLC - Project Steeler Series File 021-216209 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Aug 2, 2013 D TCRE Investor Series, LLC - Project York Series (A) File 021-200665 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jun 17, 2013 D TCRE Investor Series, LLC - Project York Series File 021-198098 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Apr 25, 2013 D/A Smart Planet Technologies, Inc. File 021-192762 | $0 | $0 | $45,000 (est.) | None listed on this filing | EDGAR ↗ |
| Dec 28, 2012 D/A IntegenX Inc File 021-168548 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| May 16, 2012 D Smart Planet Technologies, Inc. File 021-178342 | $0 | $0 | $167,500 (est.) | None listed on this filing | EDGAR ↗ |
| Aug 15, 2011 D Smart Planet Technologies, Inc. File 021-164480 | $0 | $0 | $60,000 (est.) | None listed on this filing | EDGAR ↗ |
| Jul 6, 2011 D XTIME INC File 021-162363 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jan 11, 2011 D Smart Planet Technologies, Inc. File 021-153378 | $0 | $0 | $103,000 (est.) | None listed on this filing | EDGAR ↗ |
| Dec 30, 2010 D Medallion Mortgage Company, Inc. File 021-152744 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Dec 29, 2010 D Smart Planet Technologies, Inc. File 021-152701 | $0 | $0 | $45,000 (est.) | None listed on this filing | EDGAR ↗ |
| Jan 6, 2010 D LUCID DESIGN GROUP, INC. File 021-81439 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Oct 19, 2009 D Smart Planet Technologies, Inc. File 021-130299 | $0 | $0 | $45,000 (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 David Smith on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.
No sales reported yet as of the latest filing. David 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: Investing / 506(c) (764 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 $40M from 19 investors (100% of the $19.8M target) as of the latest filing. David 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: Business Services / 506(b) (965 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 $1.02M from 20 investors (100% of the $1.02M target) as of the latest filing. David is listed as executive officer.
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: Commercial / 506(b) (6,713 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 $162K from 14 investors (18% of the $900K target) as of the latest filing. David is listed as director on 12 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 Technology / 506(b) (17,390 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 $50M from 1 investor (100% of the $50M target) as of the latest filing. David 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: Biotechnology / 506(b) (3,253 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 $9.74M from 10 investors (100% of the $4.48M target) as of the latest filing. David is listed as director on 3 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 Technology / 506(b) (17,390 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 $6.95M from 22 investors (100% of the $5.56M target) as of the latest filing. David is listed as director on 6 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 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.
Raised $7.45M from 10 investors as of the latest filing. David is listed as executive officer.
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: Commercial / 506(b) (6,713 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 $4.75M from 1 investor as of the latest filing. David is listed as executive officer.
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.
Raised $7.5M from 2 investors as of the latest filing. David is listed as executive officer.
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.
Raised $48.8M from 16 investors (98% of the $50M target) as of the latest filing. David is listed as executive officer 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.
Raised $3.51M from 7 investors (70% of the $5M target) as of the latest filing. David is listed as executive officer.
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.
Raised $1.2M from 3 investors (24% of the $5M target) as of the latest filing. David is listed as executive officer.
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.
Raised $15.7M from 21 investors (100% of the $2.5M target) as of the latest filing. David is listed as director on 3 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.
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. Showing the 40 with the most shared filings.
Listed on the same filings as David Smith. Their page shows their other deals.
Listed on the same filings as David Smith. Their page shows their other deals.
Listed on the same filings as David Smith. Their page shows their other deals.
Richard Berman is on 5 issuers in total — a repeat sponsor. Their page lists every one.
Steve Gorlin is on 15 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as David Smith. Their page shows their other deals.
Carmela Guerrero is on 17 issuers in total — a repeat sponsor. Their page lists every one.
Benjamin Adams is on 17 issuers in total — a repeat sponsor. Their page lists every one.
Josh Brown is on 27 issuers in total — a repeat sponsor. Their page lists every one.
John Petersen is on 7 issuers in total — a repeat sponsor. Their page lists every one.
Mostafa Ronaghi is on 9 issuers in total — a repeat sponsor. Their page lists every one.
David Barker is on 5 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as David Smith. Their page shows their other deals.
James Blair is on 19 issuers in total — a repeat sponsor. Their page lists every one.
Dennis Harris is on 15 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as David Smith. Their page shows their other deals.
Listed on the same filings as David Smith. Their page shows their other deals.
Listed on the same filings as David Smith. Their page shows their other deals.
Steve Jurvetson is on 31 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as David Smith. Their page shows their other deals.
One team, 27 deal companies. David Smith is listed on 3 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 David Smith.
A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.
Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. 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); KY (Kentucky Secretary of State — Business Entity Search (sosbes.sos.ky.gov), searched by issuer name, data as of Oct 24, 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).
None of the 14 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 David 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 14 issuers this person is listed on — nothing matched.
Websites and social links of the issuers David Smith is listed on: none on file. No website or social profile named in CODEXIS, INC.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #961 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓
One-tap searches on sites we do not index ourselves, with the name pre-filled (Redwood City, CA). Each opens in a new tab; what you find there is not verified by PartnerFacts.
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