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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 5:11 AM ET

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David Smoller

Named as an officer, director or promoter on SEC Form D filings · MO, NY · Jun 18, 2013 → Nov 21, 2024

10deals (issuers)
$62.7Mreported sold
192investors
22Form D filings
2013–2024years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:28 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

David Smoller is listed as an executive officer, director, and promoter on 22 SEC Form D filings by 10 issuers between Jun 2013 and Nov 2024. Largest by amount reported sold: Cultivation Capital Life Sciences Fund II, LLC (St. Louis, MO — pooled investment fund — 2018–2020; $19.2M reported sold to 54 investors), Adarza BioSystems, Inc. (St. Louis, MO — biotechnology — 2013–2020; $12.8M reported sold to 19 investors), Immunophotonics, Inc. (St. Louis, MO — pharmaceuticals — 2015; $10.1M reported sold to 45 investors), Panome Bio Inc. (Saint Louis, MO — biotechnology — 2023–2024; $6M reported sold to 6 investors), Kypha Inc. (Saint Louis, MO — other health care — 2013–2015; $5.46M reported sold to 13 investors) and 5 more (all listed below).

What this means That is a lot of deals — 10 separate companies raised money with this person listed as executive officer, director, and promoter, over about 11 years. Across those companies the filings report $62.7M sold in total.

Listed alongside Benjamin Miller (6 shared filings), Bobby W. Sandage (4 shared filings), Christopher Striemer (4 shared filings), Edward Weinstein (4 shared filings), Randolph R. Henke (4 shared filings) and 60 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.

The issuers belong to 2 sponsor groups: Cultivation (2 issuers, $19.6M reported sold, 2013–2020) and Maximum Fidelity Surgical Simulations (2 issuers, $2.32M reported sold, 2020–2024).

What this means This person is listed across more than one sponsor team; each group page shows that team's full track record.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AZ, CA, DE, TX, WA) — 3 court cases matching the name listed in Key records below.

What this means 3 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 22 public filings for David Smoller and found 14 differences, 1 worth asking the sponsor about: 8 Form Ds were filed more than 15 days after the first sale; 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.

What the community is saying

Community search for David Smoller has not run yet — it is joining a line of 8,881 names; searches run around the clock at the hosts' allowed rate. Searched so far: 27 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).

Key records

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

1. Lawsuits

3 cases: 1 dismissed, 1 open, 1 closed (disposition not in docket feed)

Smoller v. Arrow Financial Services, LLC dismissed
District Court, D. New Mexico · No. 1:20-cv-00412 · Filed Apr 29, 2020 · Closed Aug 10, 2020 · Nature of suit: 480 Consumer credit
Role of Smoller: Plaintiff · Outcome: Terminated 2020-08-10 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 3 federal dockets); surname only in the caption; court in NM (not a filing state)
SMOLLER v. ABBOTT LABORATORIES open
District Court, D. New Jersey · No. 2:19-cv-03104 · Filed Jan 31, 2019 · Nature of suit: 367 Health care / pharm
Role of SMOLLER: Plaintiff · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 3 federal dockets); surname only in the caption; court in NJ (not a filing state)
Smoller v. Deutsche Bank AG closed
District Court, E.D. Missouri · No. 4:06-cv-00436 · Filed Mar 8, 2006 · Closed Jul 31, 2006 · Nature of suit: Contract: Other · Cause: 09:1 U.S. Arbitration Act
Role of Smoller: Plaintiff · Outcome: Terminated 2006-07-31 — FJC Integrated Database disposition: Remanded to state court Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 3 federal dockets); surname only in the caption; court in the person's filing state (MO)
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, 2:28 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: AZ, CA, DE, TX, WA (crawled Oct 23, 2026)

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 David Smoller..

State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states are not covered.

3. Bankruptcies

None found in sources searched — federal bankruptcy courts (CourtListener / RECAP), checked Oct 24, 2026

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, 2:28 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.

4. Differences between public sources

Comparisons cover issuers and sponsor groups — see the issuer pages under Deals

14 differences found between the filings for David Smoller — 1 worth asking about (compared 22 filings on Oct 24, 2026)

Worth asking · Mar 1, 2013 – Sep 18, 2024

8 Form Ds were filed more than 15 days after the first sale

Form D filed 93 days after the first sale — Maximum Fidelity Surgical Simulations, Inc. · Form D filed 77 days after the first sale — Adarza BioSystems, Inc. · Form D filed 279 days after the first sale — Canopy Biosciences, LLC · Form D filed 218 days after the first sale — Apse, Inc. · Form D filed 265 days after the first sale — Kypha Inc. · and 3 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.

Form D · Sep 18, 2024 ↗Maximum Fidelity Surgical Simulations, Inc. — PartnerFacts page ↗Form D · Feb 6, 2020 ↗Adarza BioSystems, Inc. — PartnerFacts page ↗
Sources
Note · May 18, 2018 – May 17, 2019

David Smoller's role changed at Cultivation Capital Life Sciences Fund II, LLC: director, promoter → executive officer, director, promoter

The May 18, 2018 filing lists David Smoller as director, promoter; the May 17, 2019 Form D/A lists executive officer, director, promoter.

What this means Roles on Form D are self-reported by the issuer. A change can mean a real change in who runs the company, or just a different box ticked. Ask who makes decisions today.

Form D/A · May 18, 2018 ↗Form D/A · May 17, 2019 ↗David Smoller — PartnerFacts page ↗Cultivation Capital Life Sciences Fund II, LLC — PartnerFacts page ↗
Sources
Note · Nov 1, 2016 – May 18, 2018

Offering amount lowered between filings — Cultivation Capital Life Sciences Fund II, LLC

The Nov 1, 2016 filing says $40,000,000 offered; the May 18, 2018 Form D/A says $30,000,000.

What this means The target raise got smaller. That can mean the plan shrank or the sponsor stopped early. Ask what changed in the deal.

Form D (earlier) · Nov 1, 2016 ↗Form D/A (later) · May 18, 2018 ↗Cultivation Capital Life Sciences Fund II, LLC — PartnerFacts page ↗
Sources
Note · Jan 31, 2017 – Jan 16, 2018

Offering amount lowered between filings — Adarza BioSystems, Inc.

The Jan 31, 2017 filing says $17,000,006 offered; the Jan 16, 2018 Form D/A says $16,999,746.

What this means The target raise got smaller. That can mean the plan shrank or the sponsor stopped early. Ask what changed in the deal.

Form D (earlier) · Jan 31, 2017 ↗Form D/A (later) · Jan 16, 2018 ↗Adarza BioSystems, Inc. — PartnerFacts page ↗
Sources
Note · Mar 11, 2013 – Jul 10, 2013

Offering amount changed between filings — Adarza BioSystems, Inc.

The Mar 11, 2013 filing says $1,200,000 offered; the Jul 10, 2013 Form D/A says $1,400,000.

What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.

Form D (earlier) · Mar 11, 2013 ↗Form D/A (later) · Jul 10, 2013 ↗Adarza BioSystems, Inc. — PartnerFacts page ↗
Sources
Note · Mar 11, 2013 – Dec 7, 2022

12 offerings have no amendment in the last 12 months and may still be open

No amendment in the last 12 months on an offering that may still be open — Solis Agrosciences Inc. (latest filing Dec 7, 2022) · No amendment in the last 12 months on an offering that may still be open — Cultivation Capital Life Sciences Fund II, LLC (latest filing May 15, 2020) · No amendment in the last 12 months on an offering that may still be open — Adarza BioSystems, Inc. (latest filing Feb 6, 2020) · No amendment in the last 12 months on an offering that may still be open — Adarza BioSystems, Inc. (latest filing Jan 16, 2018) · No amendment in the last 12 months on an offering that may still be open — Canopy Biosciences, LLC (latest filing Jan 3, 2018) · and 7 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.

Form D · Dec 7, 2022 ↗Solis Agrosciences Inc. — PartnerFacts page ↗Form D/A · May 15, 2020 ↗Cultivation Capital Life Sciences Fund II, LLC — PartnerFacts page ↗
Sources
Note · Jun 18, 2013 – May 18, 2018

David Smoller is written 2 different ways on the filings

listed as "David Smoller" on 19 filings (from Jun 18, 2013), and "David A. Smoller" on 3 filings (from May 18, 2018).

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.

Form D · Jun 18, 2013 ↗Form D/A · May 18, 2018 ↗David Smoller — PartnerFacts page ↗
Sources
Note · Aug 8, 2013 – Nov 12, 2015

Industry group changed between filings — Kypha Inc.

"Biotechnology" (Aug 8, 2013); then "Pharmaceuticals" (Jan 14, 2014); then "Other Health Care" (Nov 12, 2015).

What this means The issuer described its business differently on different forms. Often it is just a different box ticked; sometimes the deal itself changed. Ask which business your money is in.

Form D · Aug 8, 2013 ↗Form D · Jan 14, 2014 ↗Form D · Nov 12, 2015 ↗Kypha Inc. — PartnerFacts page ↗
Sources
Note · Dec 13, 2024

Same name, different state: "David Smoller" (CT) is a separate record

This page covers filings where the address state is MO or NY. A separate record, "David Smoller" with address state CT, is listed on 1 filing — most recently by ProteoWise Inc. (Dec 13, 2024). The two records do not overlap in time: this page runs Jun 18, 2013 to Nov 21, 2024; the other has one filing dated Dec 13, 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.

David Smoller (CT) — PartnerFacts page ↗Form D · Dec 13, 2024 ↗ProteoWise Inc. — PartnerFacts page ↗David Smoller (MO,NY) — this page ↗
Sources
Note · Jan 16, 2018 – Feb 6, 2020

Address moved from St. Peters, MO to St. Louis, MO — Adarza BioSystems, Inc.

The people listed on the Jan 16, 2018 filing give St. Peters, MO; on the Feb 6, 2020 filing they give St. Louis, MO.

What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.

Form D/A · Jan 16, 2018 ↗Form D · Feb 6, 2020 ↗Adarza BioSystems, Inc. — PartnerFacts page ↗
Sources
Note · Mar 28, 2016 – Jan 31, 2017

Address moved from West Henrietta, NY to St. Peters, MO — Adarza BioSystems, Inc.

The people listed on the Mar 28, 2016 filing give West Henrietta, NY; on the Jan 31, 2017 filing they give St. Peters, MO.

What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.

Form D · Mar 28, 2016 ↗Form D · Jan 31, 2017 ↗Adarza BioSystems, Inc. — PartnerFacts page ↗
Sources
Note · Jun 18, 2013 – Nov 21, 2024

David Smoller is listed with 2 different address states: MO, NY

MO on 20 filings (Jun 18, 2013 to Nov 21, 2024); NY on 2 filings (Jul 3, 2014 to Mar 28, 2016).

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.

Form D · Jun 18, 2013 ↗Form D · Jul 3, 2014 ↗
Sources
Note · Nov 1, 2016 – May 17, 2019

Reported revenue range changed between filings — Cultivation Capital Life Sciences Fund II, LLC

"Not Applicable" (Nov 1, 2016); then "Decline to Disclose" (May 18, 2018); then "Not Applicable" (May 17, 2019).

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.

Form D · Nov 1, 2016 ↗Form D/A · May 18, 2018 ↗Form D/A · May 17, 2019 ↗Cultivation Capital Life Sciences Fund II, LLC — PartnerFacts page ↗
Sources
Note · Nov 1, 2016 – May 18, 2018

Minimum investment changed between filings — Cultivation Capital Life Sciences Fund II, LLC

The Nov 1, 2016 filing lists a minimum of $0; the May 18, 2018 Form D/A lists $100,000.

What this means A different minimum usually means the offering terms changed. Check which terms apply to you.

Form D (earlier) · Nov 1, 2016 ↗Form D/A (later) · May 18, 2018 ↗Cultivation Capital Life Sciences Fund II, 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

0 of 19 offerings report sales commissions; 0 report finder's fees; 2 report proceeds to related persons totalling $1,820,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Nov 21, 2024 D
Panome Bio Inc.
File 021-530044
$0$0$0
A portion of the proceeds will be used for general working capital, which may include salary payments to executive officers and directors. An estimate of such amount is unknown at this time.
None listed on this filingEDGAR ↗
Sep 18, 2024 D
Maximum Fidelity Surgical Simulations, Inc.
File 021-524342
$0$0$0
A portion of the proceeds will be used for general working capital, which may include salary payments to executive officers and/or directors. An estimate of such amount is unknown at this time.
None listed on this filingEDGAR ↗
Feb 24, 2023 D
Panome Bio Inc.
File 021-474235
$0$0$0
A portion of the proceeds will be used for general working capital, which may include salary payments to executive officers and directors. An estimate of such amount is unknown at this time.
None listed on this filingEDGAR ↗
Dec 7, 2022 D
Solis Agrosciences Inc.
File 021-466758
$0$0$0
A portion of the proceeds will be used for general working capital, which may include salary payments to executive officers and directors. An estimate of such amount is unknown at this time.
None listed on this filingEDGAR ↗
May 15, 2020 D/A
Cultivation Capital Life Sciences Fund II, LLC
File 021-273565
$0$0$0 (est.)
The issuer's manager is entitled to carried interest and the investment manager is entitled to a management fee. The carried interest and management fee are fully disclosed in the issuer's confidential offering materials.
None listed on this filingEDGAR ↗
Feb 6, 2020 D
Adarza BioSystems, Inc.
File 021-359887
$0$0$0None listed on this filingEDGAR ↗
Jan 16, 2018 D/A
Adarza BioSystems, Inc.
File 021-279653
$0 (est.)$0 (est.)$0 (est.)None listed on this filingEDGAR ↗
Jan 3, 2018 D
Canopy Biosciences, LLC
File 021-302234
$0$0$0
A portion of the gross proceeds will be used for general working capital, which may include salary payments to executive officers and managers. An estimate of such amount is unknown at this time.
None listed on this filingEDGAR ↗
Jul 31, 2017 D
Canopy Biosciences, LLC
File 021-291783
$0$0$0
A portion of the gross proceeds will be used for general working capital, which may include salary payments to executive officers and managers. An estimate of such amount is unknown at this time.
None listed on this filingEDGAR ↗
Jun 1, 2017 D
Apse, Inc.
File 021-287791
$0$0$0None listed on this filingEDGAR ↗
Mar 28, 2016 D
Adarza BioSystems, Inc.
File 021-260103
$0 (est.)$0 (est.)$0 (est.)None listed on this filingEDGAR ↗
Nov 12, 2015 D
Kypha Inc.
File 021-251030
$0$0$0None listed on this filingEDGAR ↗
Jan 21, 2015 D
Immunophotonics, Inc.
File 021-232646
$0$0$0
The proceeds of the offering may be used for approved executive officer salaries.
None listed on this filingEDGAR ↗
Sep 25, 2014 D
Apse, Inc.
File 021-225346
$0$0$0None listed on this filingEDGAR ↗
Jul 3, 2014 D
Adarza BioSystems, Inc.
File 021-220383
$0 (est.)$0 (est.)$0 (est.)None listed on this filingEDGAR ↗
Jan 14, 2014 D
Kypha Inc.
File 021-210064
$0$0$0None listed on this filingEDGAR ↗
Aug 8, 2013 D
Kypha Inc.
File 021-201015
$0$0$0None listed on this filingEDGAR ↗
Jul 10, 2013 D/A
Adarza BioSystems, Inc.
File 021-193065
$0 (est.)$0 (est.)$320,000 (est.)None listed on this filingEDGAR ↗
Jun 18, 2013 D
Cultivation Capital Life Sciences Fund, LLC
File 021-198159
$0$0$1,500,000 (est.)
Amount assumes sale of total offering amount, and consists of a 5% management fee that will be paid to the Issuer's managing entity, of which the persons named in Item 3 are control persons.
None listed on this filingEDGAR ↗
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 every filing this person is listed on (latest filing per offering, per issuer).

Deals 10

Every issuer that named David Smoller on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

PB
Biotechnology

Panome Bio Inc.

Saint Louis, MO · Feb 24, 2023 → Nov 21, 2024 · 2 filings
  • Nov 21, 2024 · D · $6,000,000 sold of $6,000,000 · 6 investors · min. $25,000 · role: Director EDGAR ↗
  • Feb 24, 2023 · D · $5,973,835 sold of $5,973,835 · 6 investors · min. $20,000 · role: Director EDGAR ↗

Raised $6M from 6 investors (100% of the $6M target) as of the latest filing. David is listed as director on 2 filings for this deal.

Latest filing on EDGAR ↗
Sources

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.

MF
Biotechnology · group: Maximum Fidelity Surgical Simulations

Maximum Fidelity Surgical Simulations, Inc.

St. Louis, MO · Sep 18, 2024
  • Sep 18, 2024 · D · $2,249,998 sold of $2,249,998 · 9 investors · min. $49,997 · role: Director (Director) EDGAR ↗

Raised $2.25M from 9 investors (100% of the $2.25M target) as of the latest filing. David is listed as director.

Latest filing on EDGAR ↗
Sources

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.

SA
Agriculture

Solis Agrosciences Inc.

Saint Louis, MO · Dec 7, 2022
  • Dec 7, 2022 · D · $3,135,782 sold of $6,050,777 · 14 investors · min. $9,999 · role: Director EDGAR ↗

Raised $3.14M from 14 investors (52% of the $6.05M target) as of the latest filing. David is listed as director.

Latest filing on EDGAR ↗
Sources

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: Agriculture / 506(b) (448 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.

CC
Pooled Investment Fund · group: Cultivation

Cultivation Capital Life Sciences Fund II, LLC

St. Louis, MO · May 18, 2018 → May 15, 2020 · 3 filings
  • May 15, 2020 · D/A · $19,175,000 sold of $30,000,000 · 54 investors · min. $100,000 · role: Executive Officer, Director, Promoter (Managing director of the issuer) EDGAR ↗
  • May 17, 2019 · D/A · $17,175,000 sold of $30,000,000 · 53 investors · min. $100,000 · role: Executive Officer, Director, Promoter (Managing director of the issuer) EDGAR ↗
  • May 18, 2018 · D/A · $15,825,000 sold of $30,000,000 · 31 investors · min. $100,000 · role: Director, Promoter (Managing director of the issuer) EDGAR ↗

Raised $19.2M from 54 investors (64% of the $30M target) as of the latest filing. David is listed as executive officer, director, promoter on 3 filings for this deal.

Latest filing on EDGAR ↗
Sources

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: Pooled Investment Fund / 506(b) (83,801 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.

AB
Biotechnology

Adarza BioSystems, Inc.

St. Louis, MO · Jul 10, 2013 → Feb 6, 2020 · 6 filings
  • Feb 6, 2020 · D · $12,776,884 sold of $26,568,541 · 7 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jan 16, 2018 · D/A · $10,854,876 sold of $16,999,746 · 16 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jan 31, 2017 · D · $5,083,357 sold of $17,000,006 · 7 investors · min. No minimum reported · role: Director EDGAR ↗
  • Mar 28, 2016 · D · $4,865,384 sold of $7,000,000 · 19 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jul 3, 2014 · D · $2,000,000 sold of $2,000,000 · 13 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jul 10, 2013 · D/A · $959,066 sold of $1,400,000 · 10 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $12.8M from 19 investors (48% of the $26.6M target) as of the latest filing. David is listed as director on 6 filings for this deal.

Latest filing on EDGAR ↗
Sources

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.

CB
Biotechnology

Canopy Biosciences, LLC

Saint Louis, MO · Jul 31, 2017 → Jan 3, 2018 · 2 filings
  • Jan 3, 2018 · D · $2,075,000 sold of $3,400,000 · 16 investors · min. $20,000 · role: Director EDGAR ↗
  • Jul 31, 2017 · D · $1,125,000 sold of $1,125,000 · 15 investors · min. $20,000 · role: Director EDGAR ↗

Raised $2.08M from 16 investors (61% of the $3.4M target) as of the latest filing. David is listed as director on 2 filings for this deal.

Latest filing on EDGAR ↗
Sources

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.

A
Other

Apse, Inc.

St. Louis, MO · Sep 25, 2014 → Jun 1, 2017 · 2 filings
  • Jun 1, 2017 · D · $463,500 sold of $463,500 · 8 investors · min. No minimum reported · role: Director EDGAR ↗
  • Sep 25, 2014 · D · $1,316,583 sold of $1,913,000 · 14 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $1.32M from 14 investors (100% of the $464K target) as of the latest filing. David is listed as director on 2 filings for this deal.

Latest filing on EDGAR ↗
Sources

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.

K
Other Health Care

Kypha Inc.

Saint Louis, MO · Aug 8, 2013 → Nov 12, 2015 · 3 filings
  • Nov 12, 2015 · D · $2,101,005 sold of $3,201,005 · 3 investors · min. $15,000 · role: Director EDGAR ↗
  • Jan 14, 2014 · D · $398,375 sold of $3,500,000 · 1 investors · min. $1 · role: Director EDGAR ↗
  • Aug 8, 2013 · D · $750,000 sold of $750,000 · 3 investors · min. $1 · role: Director EDGAR ↗

Raised $5.46M from 13 investors (100% of the $3.2M target) as of the latest filing. David is listed as director on 3 filings for this deal.

Latest filing on EDGAR ↗
Sources

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.

I
Biotechnology

Immunophotonics, Inc.

St. Louis, MO · Jan 21, 2015
  • Jan 21, 2015 · D · $2,487,487 sold of $3,387,487 · 28 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $10.1M from 45 investors (100% of the $3.39M target) as of the latest filing. David is listed as director.

Latest filing on EDGAR ↗
Sources

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.

CC
Pooled Investment Fund · group: Cultivation

Cultivation Capital Life Sciences Fund, LLC

St. Louis, MO · Jun 18, 2013
  • Jun 18, 2013 · D · $375,000 sold of $30,000,000 · 2 investors · min. No minimum reported · role: Director (Mr. Smoller is a control peson of the Issuer's managing entity) EDGAR ↗

Raised $375K from 2 investors (1% of the $30M target) as of the latest filing. David is listed as director.

Latest filing on EDGAR ↗
Sources

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.

Other pages with the same name (1)

Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.

  • David Smoller — CT, 1 issuer, Dec 13, 2024 → Dec 13, 2024 · no shared issuer

People around David 40

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.

BM
No photo found yet (own website and image search run after this page is viewed)
Person

Benjamin Miller

Director · 6 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as David Smoller. Their page shows their other deals.

CS
No photo found yet (own website and image search run after this page is viewed)
Person

Christopher Striemer

Executive Officer, Director · 4 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as David Smoller. Their page shows their other deals.

RR
No photo found yet (own website and image search run after this page is viewed)
Person

Rick L. Ryan

Director, Promoter, Executive Officer · 4 shared filings (2 issuers) · also on 3 other issuers

Rick L. Ryan is on 5 issuers in total — a repeat sponsor. Their page lists every one.

RH
No photo found yet (own website and image search run after this page is viewed)
Person

Randolph R. Henke

Executive Officer, Director, Promoter · 4 shared filings (1 issuer)

Listed on the same filings as David Smoller. Their page shows their other deals.

WS
No photo found yet (own website and image search run after this page is viewed)
Person

William Schmidt

Director, Executive Officer, Promoter · 4 shared filings (2 issuers) · also on 10 other issuers

William Schmidt is on 12 issuers in total — a repeat sponsor. Their page lists every one.

BS
No photo found yet (own website and image search run after this page is viewed)
Person

Bobby W. Sandage

Director, Promoter, Executive Officer · 4 shared filings (2 issuers) · also on 5 other issuers

Bobby W. Sandage is on 7 issuers in total — a repeat sponsor. Their page lists every one.

EW
No photo found yet (own website and image search run after this page is viewed)
Person

Edward Weinstein

Executive Officer, Director · 4 shared filings (2 issuers) · also on 1 other issuer

Listed on the same filings as David Smoller. Their page shows their other deals.

PR
No photo found yet (own website and image search run after this page is viewed)
Person

Peter Reinecke

Director · 3 shared filings (1 issuer) · also on 6 other issuers

Peter Reinecke is on 7 issuers in total — a repeat sponsor. Their page lists every one.

CS
No photo found yet (own website and image search run after this page is viewed)
Person

Chad Stiening

Executive Officer, Director · 3 shared filings (1 issuer)

Listed on the same filings as David Smoller. Their page shows their other deals.

CB
No photo found yet (own website and image search run after this page is viewed)
Person

Charles Bolten

Director · 3 shared filings (2 issuers) · also on 12 other issuers

Charles Bolten is on 14 issuers in total — a repeat sponsor. Their page lists every one.

HD
No photo found yet (own website and image search run after this page is viewed)
Person

Heiner Dreismann

Director · 3 shared filings (1 issuer)

Listed on the same filings as David Smoller. Their page shows their other deals.

BW
No photo found yet (own website and image search run after this page is viewed)
Person

Bryan Witherbee

Executive Officer, Director · 3 shared filings (1 issuer)

Listed on the same filings as David Smoller. Their page shows their other deals.

TC
No photo found yet (own website and image search run after this page is viewed)
Person

Tom Cohen

Executive Officer, Director · 3 shared filings (2 issuers)

Listed on the same filings as David Smoller. Their page shows their other deals.

JS
No photo found yet (own website and image search run after this page is viewed)
Person

Jay Schmelter

Director · 3 shared filings (1 issuer) · also on 15 other issuers

Jay Schmelter is on 16 issuers in total — a repeat sponsor. Their page lists every one.

DL
No photo found yet (own website and image search run after this page is viewed)
Person

Deval Lashkari

Director · 2 shared filings (1 issuer) · also on 8 other issuers

Deval Lashkari is on 9 issuers in total — a repeat sponsor. Their page lists every one.

PO
No photo found yet (own website and image search run after this page is viewed)
Person

Paul K. Olson

Director, Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as David Smoller. Their page shows their other deals.

TG
No photo found yet (own website and image search run after this page is viewed)
Person

Teryl Gronwall

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as David Smoller. Their page shows their other deals.

NS
No photo found yet (own website and image search run after this page is viewed)
Person

Nick Staten

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as David Smoller. Their page shows their other deals.

DB
No photo found yet (own website and image search run after this page is viewed)
Person

Daniel J Broderick

Director · 2 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as David Smoller. Their page shows their other deals.

WS
No photo found yet (own website and image search run after this page is viewed)
Person

Walter P Siggelko

Director · 2 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as David Smoller. Their page shows their other deals.

NL
No photo found yet (own website and image search run after this page is viewed)
Person

Nathan D. Lakey

Director · 2 shared filings (1 issuer)

Listed on the same filings as David Smoller. Their page shows their other deals.

AJ
No photo found yet (own website and image search run after this page is viewed)
Person

Andrew Jay

Director · 2 shared filings (1 issuer)

Listed on the same filings as David Smoller. Their page shows their other deals.

JD
No photo found yet (own website and image search run after this page is viewed)
Person

John McKearn, Ph.D.

Director · 2 shared filings (1 issuer)

Listed on the same filings as David Smoller. Their page shows their other deals.

CW
No photo found yet (own website and image search run after this page is viewed)
Person

CRYSTAL WINKELER

Executive Officer · 2 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as David Smoller. Their page shows their other deals.

DK
No photo found yet (own website and image search run after this page is viewed)
Person

DAVID KINGSLEY

Director · 2 shared filings (1 issuer)

Listed on the same filings as David Smoller. Their page shows their other deals.

JR
No photo found yet (own website and image search run after this page is viewed)
Person

Jenny Rooke

Director · 2 shared filings (1 issuer)

Listed on the same filings as David Smoller. Their page shows their other deals.

RC
No photo found yet (own website and image search run after this page is viewed)
Person

Rob Capone

Director · 2 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as David Smoller. Their page shows their other deals.

GS
No photo found yet (own website and image search run after this page is viewed)
Person

Gerald Steiner

Director · 1 shared filing (1 issuer) · also on 2 other issuers

Listed on the same filings as David Smoller. Their page shows their other deals.

TH
No photo found yet (own website and image search run after this page is viewed)
Person

Tomas Hode

Executive Officer, Director · 1 shared filing (1 issuer)

Listed on the same filings as David Smoller. Their page shows their other deals.

WC
No photo found yet (own website and image search run after this page is viewed)
Person

Wei R. Chen

Director · 1 shared filing (1 issuer)

Listed on the same filings as David Smoller. Their page shows their other deals.

RN
No photo found yet (own website and image search run after this page is viewed)
Person

Robert E. Nordquist

Director · 1 shared filing (1 issuer)

Listed on the same filings as David Smoller. Their page shows their other deals.

PJ
No photo found yet (own website and image search run after this page is viewed)
Person

Peter A. Jenkins

Director · 1 shared filing (1 issuer)

Listed on the same filings as David Smoller. Their page shows their other deals.

JS
No photo found yet (own website and image search run after this page is viewed)
Person

James Senall

Director · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as David Smoller. Their page shows their other deals.

DV
No photo found yet (own website and image search run after this page is viewed)
Person

Dean VandeKamp

Director · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as David Smoller. Their page shows their other deals.

CD
No photo found yet (own website and image search run after this page is viewed)
Person

Christopher Danforth

Director · 1 shared filing (1 issuer)

Listed on the same filings as David Smoller. Their page shows their other deals.

CB
No photo found yet (own website and image search run after this page is viewed)
Person

Charles Bolton

Director · 1 shared filing (1 issuer) · also on 3 other issuers

Listed on the same filings as David Smoller. Their page shows their other deals.

JM
No photo found yet (own website and image search run after this page is viewed)
Person

John P. McAlister

Director · 1 shared filing (1 issuer)

Listed on the same filings as David Smoller. Their page shows their other deals.

HA
No photo found yet (own website and image search run after this page is viewed)
Person

Harry Arader

Director · 1 shared filing (1 issuer)

Listed on the same filings as David Smoller. Their page shows their other deals.

JA
No photo found yet (own website and image search run after this page is viewed)
Person

Juan P. Arhancet

Executive Officer, Director · 1 shared filing (1 issuer)

Listed on the same filings as David Smoller. Their page shows their other deals.

The team behind the deals

C
Sponsor group

Cultivation

2 issuers · 5 filings · $19.6M reported sold · 2013–2020

One team, 2 deal companies. David Smoller is listed on 2 of them.

Sources

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 Smoller.

MF
Sponsor group

Maximum Fidelity Surgical Simulations

2 issuers · 2 filings · $2.32M reported sold · 2020–2024

One team, 2 deal companies. David Smoller is listed on 1 of them.

Sources

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 Smoller.

Same business address

29 other issuers file from the same address

A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.

Registrations and other filings

Adviser registration (Form ADV)

None of the 10 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.

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.

Property records none — individuals are not matched

Property records are matched to companies only, never to individuals, so none are matched to David Smoller 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 10 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers David Smoller is listed on: none on file. No website or social profile named in Cultivation Capital Life Sciences Fund II, LLC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #216,203 of 374,652 in line (14 issuers searched so far). One-tap searches: Look further ↓

Look further

One-tap searches on sites we do not index ourselves, with the name pre-filled (St. Louis, MO). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

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Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗Missouri Case.net ↗New York WebCivil Supreme ↗

Securities regulators

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

Business registries

Missouri Secretary of State business search ↗New York Secretary of State business search ↗OpenCorporates ↗

Change history

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