PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:37 AM ET

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Gerald B. Smith

Named as an officer, director or promoter on SEC Form D filings · NY · Jan 15, 2013 → Mar 13, 2023

2deals (issuers)
$2.39Breported sold
322investors
27Form D filings
2013–2023years 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

Gerald B. Smith is listed as a director on 27 SEC Form D filings by 2 issuers between Jan 2013 and Mar 2023: NEW YORK LIFE INSURANCE CO (New York, NY — insurance — 2013–2023; $2.06B reported sold to 319 investors) and New York Life Insurance Co Pooled Separate Account 45-005 (New York, NY — insurance — 2014–2018; $327.8M reported sold to 3 investors).

What this means 2 separate companies raised money with this person listed as director, over about 10 years. Across those companies the filings report $2.39B sold in total.

Listed alongside Ralph de la Vega (27 shared filings), Theodore A. Mathas (27 shared filings), Michele G. Buck (26 shared filings), Sheila K. Davidson (26 shared filings), Mark L. Feidler (25 shared filings) and 53 others.

What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Gerald. Each name links to their own page.

All 2 issuers belong to the sponsor group Longtail (15 issuers, $3.29B reported sold, 2009–2026).

What this means A sponsor group is one team that sets up a new company for each deal. Longtail has 15 companies on file and $3.29B 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) — 21 bankruptcy cases matching the name listed in Key records below.

What this means 21 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 27 public filings for Gerald B. Smith and found 7 differences, 1 worth asking the sponsor about: Gerald B. Smith is no longer listed on the Feb 22, 2024 amendment; 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 Gerald B. Smith has not run yet — it is #15,872 of 57,726 in line; searches run around the clock at the hosts' allowed rate. Searched so far: 643 names.

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

Key records

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

1. Lawsuits

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

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.

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

2. Regulatory actions

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

What was searched

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

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

3. Bankruptcies

21 cases: 1 open, 20 closed (disposition not in docket feed)

Gerald F. Smith open
United States Bankruptcy Court, S.D. New York · No. 25-35401 · Filed Apr 16, 2025
Role of Gerald F. Smith: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same full name (a name found in 830 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Gerald W. Smith, Jr. closed
United States Bankruptcy Court, S.D. New York · No. 22-35599 · Filed Sep 20, 2022 · Closed Jun 5, 2023
Role of Gerald W. Smith, Jr.: Debtor · Outcome: Case closed 2023-06-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 830 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Gerald W. Smith closed
United States Bankruptcy Court, S.D. New York · No. 19-35559 · Filed Apr 8, 2019 · Closed Mar 26, 2020
Role of Gerald W. Smith: Debtor · Outcome: Case closed 2020-03-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 830 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Gerald F. Smith closed
United States Bankruptcy Court, S.D. New York · No. 18-36171 · Filed Jul 12, 2018 · Closed Apr 22, 2019
Role of Gerald F. Smith: Debtor · Outcome: Case closed 2019-04-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 830 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Gerald W. Smith, Jr. and Patricia L. Smith closed
United States Bankruptcy Court, S.D. New York · No. 16-35204 · Filed Feb 9, 2016 · Closed Jun 21, 2019
Role of Gerald W. Smith, Jr.: Debtor · Outcome: Case closed 2019-06-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 830 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Gerald G Smith closed
United States Bankruptcy Court, S.D. New York · No. 16-22029 · Filed Jan 8, 2016 · Closed Sep 10, 2020
Role of Gerald G Smith: Debtor · Outcome: Case closed 2020-09-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 830 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Gerald G Smith closed
United States Bankruptcy Court, S.D. New York · No. 15-22543 · Filed Apr 22, 2015 · Closed Nov 9, 2015
Role of Gerald G Smith: Debtor · Outcome: Case closed 2015-11-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 830 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Gerald W Smith closed
United States Bankruptcy Court, N.D. New York · No. 14-10652 · Filed Mar 27, 2014 · Closed Jul 24, 2014
Role of Gerald W Smith: Debtor · Outcome: Case closed 2014-07-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 830 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Gerald L Smith closed
United States Bankruptcy Court, E.D. New York · No. 8-12-72728 · Filed Apr 30, 2012 · Closed Jul 19, 2017
Role of Gerald L Smith: Debtor · Outcome: Case closed 2017-07-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 830 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Gerald A. Smith closed
United States Bankruptcy Court, N.D. New York · No. 11-30695 · Filed Mar 30, 2011 · Closed Jul 18, 2011
Role of Gerald A. Smith: Debtor · Outcome: Case closed 2011-07-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 830 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Gerald F Smith closed
United States Bankruptcy Court, S.D. New York · No. 09-37593 · Filed Sep 23, 2009 · Closed Dec 22, 2009
Role of Gerald F Smith: Debtor · Outcome: Case closed 2009-12-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 830 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Gerald Smith closed
United States Bankruptcy Court, E.D. New York · No. 1-08-45051 · Filed Aug 4, 2008 · Closed Nov 14, 2008
Role of Gerald Smith: Debtor · Outcome: Case closed 2008-11-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 830 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (NY)
Gerald M. Smith closed
United States Bankruptcy Court, W.D. New York · No. 1-07-04940 · Filed Dec 5, 2007 · Closed Apr 24, 2008
Role of Gerald M. Smith: Debtor · Outcome: Case closed 2008-04-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 830 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Gerald G. Smith and Alice A. Smith closed
United States Bankruptcy Court, E.D. New York · No. 8-07-72311 · Filed Jun 22, 2007 · Closed May 11, 2009
Role of Gerald G. Smith and Alice A. Smith: Debtor · Outcome: Case closed 2009-05-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 830 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Gerald P. Smith closed
United States Bankruptcy Court, W.D. New York · No. 2-05-27005 · Filed Oct 14, 2005 · Closed Mar 22, 2006
Role of Gerald P. Smith: Debtor · Outcome: Case closed 2006-03-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 830 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Gerald A. Smith and Kathy L. Smith closed
United States Bankruptcy Court, S.D. New York · No. 05-38053 · Filed Oct 4, 2005 · Closed Feb 6, 2006
Role of Gerald A. Smith and Kathy L. Smith: Debtor · Outcome: Case closed 2006-02-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 830 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Gerald A Smith closed
United States Bankruptcy Court, E.D. New York · No. 1-05-12858 · Filed Mar 4, 2005 · Closed Jun 17, 2005
Role of Gerald A Smith: Debtor · Outcome: Case closed 2005-06-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 830 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Gerald L. Smith closed
United States Bankruptcy Court, W.D. New York · No. 1-05-11275 · Filed Feb 24, 2005 · Closed Aug 12, 2005
Role of Gerald L. Smith: Debtor · Outcome: Case closed 2005-08-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 830 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Gerald L. Smith and Ethelyn G. Smith closed
United States Bankruptcy Court, W.D. New York · No. 2-04-22811 · Filed Jun 30, 2004 · Closed Jan 6, 2005
Role of Gerald L. Smith and Ethelyn G. Smith: Debtor · Outcome: Case closed 2005-01-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 830 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Gerald E. Smith, III closed
United States Bankruptcy Court, N.D. New York · No. 04-12412 · Filed Apr 12, 2004 · Closed Aug 2, 2004
Role of Gerald E. Smith, III: Debtor · Outcome: Case closed 2004-08-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 830 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Gerald A. Smith and Linda L. Smith closed
United States Bankruptcy Court, N.D. New York · No. 03-65043 · Filed Jul 22, 2003 · Closed Sep 23, 2004
Role of Gerald A. Smith and Linda L. Smith: Debtor · Outcome: Case closed 2004-09-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 830 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
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.

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

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

4. Differences between public sources

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

7 differences found between the filings for Gerald B. Smith — 1 worth asking about (compared 27 filings on Oct 24, 2026)

Note · Jul 31, 1997 – Apr 3, 2026

10 bankruptcy cases name the subject or team members

Bankruptcy case: David J. Doyaga, Sr., Solely as Chapter 7 Trustee v. New York Life Insurance Company — filed Apr 3, 2026 · Bankruptcy case: Shimon Schimmel and New York Life Insurance Company — filed Apr 5, 2024 · Bankruptcy case: Barr v. New York Life Insurance and Annuity Corporation — filed Nov 24, 2020 · Bankruptcy case: Howard P. Magaliff, Chapter 7 Trustee of Allways E v. New York Life Insurance and Annuity Corporation d — filed Dec 9, 2018 · Bankruptcy case: Advanced Chemical Sensor, Inc. v. Schub — filed Mar 18, 2002 · and 5 more

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.

Docket · United States Bankruptcy Court, E.D. New York ↗NEW YORK LIFE INSURANCE CO — PartnerFacts page ↗Docket · United States Bankruptcy Court, E.D. New York ↗Docket · United States Bankruptcy Court, N.D. Ohio ↗
Sources
Note · Jan 29, 2021 – Feb 16, 2021

Form D filed 18 days after the first sale — NEW YORK LIFE INSURANCE CO

The filing says the first sale was Jan 29, 2021. The Form D was filed Feb 16, 2021 — 18 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 3 days past that.

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

Form D · Feb 16, 2021 ↗NEW YORK LIFE INSURANCE CO — PartnerFacts page ↗
Sources
Note · Nov 21, 2014 – Feb 14, 2023

5 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 — NEW YORK LIFE INSURANCE CO (latest filing Feb 14, 2023) · No amendment in the last 12 months on an offering that may still be open — NEW YORK LIFE INSURANCE CO (latest filing Feb 16, 2021) · No amendment in the last 12 months on an offering that may still be open — New York Life Insurance Co Pooled Separate Account 45-005 (latest filing Dec 18, 2018) · No amendment in the last 12 months on an offering that may still be open — NEW YORK LIFE INSURANCE CO (latest filing Dec 10, 2018) · No amendment in the last 12 months on an offering that may still be open — NEW YORK LIFE INSURANCE CO (latest filing Mar 19, 2018)

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 · Feb 14, 2023 ↗NEW YORK LIFE INSURANCE CO — PartnerFacts page ↗Form D · Feb 16, 2021 ↗Form D/A · Dec 18, 2018 ↗
Sources
Worth asking · Mar 13, 2023 – Feb 22, 2024

Gerald B. Smith is no longer listed on the Feb 22, 2024 amendment — NEW YORK LIFE INSURANCE CO

Gerald B. Smith appears on the Mar 13, 2023 Form D/A (director) but not on the Feb 22, 2024 Form D/A for the same offering.

What this means People leave, and the issuer must list only current officers, directors and promoters. It is still worth asking why this person left and who replaced them.

Form D/A · Mar 13, 2023 ↗Form D/A · Feb 22, 2024 ↗Gerald B. Smith — PartnerFacts page ↗NEW YORK LIFE INSURANCE CO — PartnerFacts page ↗
Sources
Note · Jan 15, 2013 – Mar 17, 2017

Gerald B. Smith is written 2 different ways on the filings

listed as "Gerald B. Smith" on 25 filings (from Jan 15, 2013), and "Gerald Smith" on 2 filings (from Mar 17, 2017).

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 · Jan 15, 2013 ↗Form D/A · Mar 17, 2017 ↗Gerald B. Smith — PartnerFacts page ↗
Sources
Note · Dec 7, 2015 – Jan 16, 2024

Same name, different state: "Gerald B. Smith" (OK) is a separate record

This page covers filings where the address state is NY. A separate record, "Gerald B. Smith" with address state OK, is listed on 7 filings — most recently by REGENT CAPITAL CORP (Jan 16, 2024). Both records have filings in the same period (Dec 7, 2015 to Mar 13, 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.

Gerald B. Smith (OK) — PartnerFacts page ↗Form D · Jan 16, 2024 ↗REGENT CAPITAL CORP — PartnerFacts page ↗Gerald B. Smith (NY) — this page ↗
Sources
Note · Nov 14, 2018

Same name, different state: "Gerald Smith" (TX) is a separate record

This page covers filings where the address state is NY. A separate record, "Gerald Smith" with address state TX, is listed on 1 filing — most recently by Data Gumbo Corp (Nov 14, 2018). Both records have filings in the same period (Nov 14, 2018).

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.

Gerald Smith (TX) — PartnerFacts page ↗Form D · Nov 14, 2018 ↗Data Gumbo Corp — PartnerFacts page ↗Gerald B. Smith (NY) — this 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 15 offerings report sales commissions; 0 report finder's fees; 0 report proceeds to related persons.

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Mar 13, 2023 D/A
NEW YORK LIFE INSURANCE CO
File 021-267971
$0$0$0None listed on this filingEDGAR ↗
Feb 14, 2023 D
NEW YORK LIFE INSURANCE CO
File 021-473484
$0$0$0None listed on this filingEDGAR ↗
Jan 31, 2022 D
NEW YORK LIFE INSURANCE CO
File 021-431434
$0$0$0None listed on this filingEDGAR ↗
Feb 16, 2021 D
NEW YORK LIFE INSURANCE CO
File 021-389538
$0$0$0NYLIFE Securities LLC BrokerCheck CRD 5167 ↗EDGAR ↗
Jan 28, 2020 D
NEW YORK LIFE INSURANCE CO
File 021-359143
$0$0$0NYLIFE Securities LLC BrokerCheck CRD 5167 ↗EDGAR ↗
Jan 22, 2019 D
NEW YORK LIFE INSURANCE CO
File 021-330990
$0$0$0NYLIFE SECURITIES LLC BrokerCheck CRD 5167 ↗EDGAR ↗
Dec 18, 2018 D/A
New York Life Insurance Co Pooled Separate Account 45-005
File 021-229019
$0$0$0None listed on this filingEDGAR ↗
Dec 10, 2018 D
NEW YORK LIFE INSURANCE CO
File 021-327471
$0$0$0None listed on this filingEDGAR ↗
Mar 19, 2018 D/A
NEW YORK LIFE INSURANCE CO
File 021-259608
$0$0$0None listed on this filingEDGAR ↗
Jan 23, 2018 D
NEW YORK LIFE INSURANCE CO
File 021-303870
$0$0$0NYLife Securities LLC BrokerCheck CRD 5167 ↗EDGAR ↗
Jan 13, 2017 D
NEW YORK LIFE INSURANCE CO
File 021-278445
$0$0$0NYLIFE SECURITIES LLC BrokerCheck CRD 5167 ↗EDGAR ↗
Jan 13, 2016 D
NEW YORK LIFE INSURANCE CO
File 021-255022
$0$0$0None listed on this filingEDGAR ↗
Jan 14, 2015 D
NEW YORK LIFE INSURANCE CO
File 021-232221
$0$0$0None listed on this filingEDGAR ↗
Jan 14, 2014 D
NEW YORK LIFE INSURANCE CO
File 021-209979
$0$0$0None listed on this filingEDGAR ↗
Jan 15, 2013 D
NEW YORK LIFE INSURANCE CO
File 021-190239
$0$0$0None 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 2

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

NY
Insurance · group: Longtail

NEW YORK LIFE INSURANCE CO

New York, NY · Jan 15, 2013 → Mar 13, 2023 · 22 filings
  • Mar 13, 2023 · D/A · $2,064,179,530 sold of Indefinite · 1 investors · min. $1 · role: Director (Director) EDGAR ↗
  • Feb 14, 2023 · D · $0 sold of Indefinite · 313 investors · min. $1 · role: Director EDGAR ↗
  • Feb 16, 2022 · D/A · $1,954,494,385 sold of Indefinite · 1 investors · min. $1 · role: Director EDGAR ↗
  • Jan 31, 2022 · D · $0 sold of Indefinite · 311 investors · min. $1 · role: Director EDGAR ↗
  • Feb 16, 2021 · D · $442,831 sold of Indefinite · 214 investors · min. $1 · role: Director EDGAR ↗
  • Feb 9, 2021 · D/A · $1,954,494,385 sold of Indefinite · 1 investors · min. $1 · role: Director EDGAR ↗
  • Feb 12, 2020 · D/A · $1,158,570,670 sold of Indefinite · 1 investors · min. $1 · role: Director EDGAR ↗
  • Jan 28, 2020 · D · $0 sold of Indefinite · 0 investors · min. $1 · role: Director EDGAR ↗
  • Feb 13, 2019 · D/A · $200,000,000 sold of Indefinite · 1 investors · min. $1 · role: Director EDGAR ↗
  • Jan 22, 2019 · D · $0 sold of Indefinite · 0 investors · min. $1 · role: Director EDGAR ↗
  • Dec 10, 2018 · D · $22,325,000 sold of Indefinite · 1 investors · min. $1 · role: Director EDGAR ↗
  • Mar 19, 2018 · D/A · $51,328,964 sold of Indefinite · 2 investors · min. $1 · role: Director EDGAR ↗
  • Feb 14, 2018 · D/A · $200,000,000 sold of Indefinite · 1 investors · min. $1 · role: Director EDGAR ↗
  • Jan 23, 2018 · D · $0 sold of Indefinite · 0 investors · min. $1 · role: Director EDGAR ↗
  • Mar 17, 2017 · D/A · $0 sold of Indefinite · 0 investors · min. $1 · role: Director EDGAR ↗
  • Jan 13, 2017 · D · $0 sold of Indefinite · 0 investors · min. $1 · role: Director EDGAR ↗
  • Jul 29, 2016 · D · $200,000,000 sold of Indefinite · 1 investors · min. $1 · role: Director EDGAR ↗
  • Mar 18, 2016 · D · $0 sold of Indefinite · 0 investors · min. $1 · role: Director EDGAR ↗
  • Jan 13, 2016 · D · $0 sold of Indefinite · 0 investors · min. $1 · role: Director EDGAR ↗
  • Jan 14, 2015 · D · $0 sold of Indefinite · 0 investors · min. $1 · role: Director EDGAR ↗
  • Jan 14, 2014 · D · $0 sold of Indefinite · 0 investors · min. $1 · role: Director EDGAR ↗
  • Jan 15, 2013 · D · $0 sold of Indefinite · 0 investors · min. $1 · role: Director EDGAR ↗

Raised $2.06B from 319 investors as of the latest filing. Gerald is listed as director on 22 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: 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.

NY
Insurance · group: Longtail

New York Life Insurance Co Pooled Separate Account 45-005

New York, NY · Nov 25, 2014 → Dec 18, 2018 · 5 filings
  • Dec 18, 2018 · D/A · $327,758,840 sold of Indefinite · 3 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jan 3, 2018 · D/A · $327,758,840 sold of Indefinite · 3 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jan 4, 2017 · D/A · $327,758,840 sold of Indefinite · 3 investors · min. No minimum reported · role: Director EDGAR ↗
  • Nov 23, 2015 · D/A · $216,000,000 sold of Indefinite · 3 investors · min. No minimum reported · role: Director EDGAR ↗
  • Nov 25, 2014 · D · $101,000,000 sold of Indefinite · 2 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $327.8M from 3 investors as of the latest filing. Gerald is listed as director on 5 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: 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.

Other pages with the same name (4)

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

People around Gerald 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.

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

Theodore A. Mathas

Executive Officer, Director · 27 shared filings (2 issuers) · also on 3 other issuers

Theodore A. Mathas is on 5 issuers in total — a repeat sponsor. Their page lists every one.

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

Ralph de la Vega

Director · 27 shared filings (2 issuers)

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Sheila K. Davidson

Executive Officer · 26 shared filings (2 issuers)

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Michele G. Buck

Director · 26 shared filings (2 issuers)

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Thomas C. Schievelbein

Director · 25 shared filings (2 issuers)

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Mark L. Feidler

Director · 25 shared filings (2 issuers)

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Betty C. Alewine

Director · 23 shared filings (2 issuers)

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Edward D. Shirley

Director · 23 shared filings (2 issuers)

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Mark J. Madgett

Executive Officer · 22 shared filings (2 issuers) · also on 2 other issuers

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Robert B. Carter

Director · 22 shared filings (2 issuers)

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Christina A. Gold

Director · 21 shared filings (2 issuers)

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Thomas A. Hendry

Executive Officer · 21 shared filings (2 issuers) · also on 2 other issuers

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Joel M. Steinberg

Executive Officer · 20 shared filings (2 issuers) · also on 2 other issuers

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Patricia L. Barbari

Executive Officer · 19 shared filings (2 issuers)

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

John Y. Kim

Executive Officer · 18 shared filings (2 issuers) · also on 2 other issuers

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

John T. Fleurant

Executive Officer · 18 shared filings (2 issuers) · also on 2 other issuers

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

S. Thomas Moser

Director · 17 shared filings (2 issuers)

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Anthony R. Malloy

Executive Officer · 16 shared filings (2 issuers) · also on 3 other issuers

Anthony R. Malloy is on 5 issuers in total — a repeat sponsor. Their page lists every one.

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

Craig L. DeSanto

Executive Officer, Director · 16 shared filings (2 issuers) · also on 2 other issuers

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Amy Miller

Executive Officer · 16 shared filings (2 issuers) · also on 2 other issuers

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

George Nichols III

Executive Officer · 15 shared filings (2 issuers)

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

William G. Walter

Director · 15 shared filings (2 issuers)

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Robert M. Gardner

Executive Officer · 15 shared filings (1 issuer) · also on 2 other issuers

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Donna H. Kinnaird

Director · 13 shared filings (2 issuers)

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Christopher O. Blunt

Executive Officer · 12 shared filings (2 issuers) · also on 2 other issuers

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Katherine R. O'Brien

Executive Officer · 12 shared filings (2 issuers)

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Yie-Hsin Hung

Executive Officer · 12 shared filings (2 issuers)

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Matthew Grove

Executive Officer · 9 shared filings (2 issuers) · also on 2 other issuers

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Robert F. Friel

Director · 9 shared filings (1 issuer)

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Eric Feldstein

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

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Kent B. Foster

Director · 7 shared filings (2 issuers)

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Carla T. Rutigliano

Executive Officer · 7 shared filings (1 issuer)

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Susan A. Thrope

Executive Officer · 6 shared filings (2 issuers) · also on 2 other issuers

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Alexander I. Cook

Executive Officer · 6 shared filings (1 issuer) · also on 2 other issuers

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Elizabeth K. Brill

Executive Officer · 6 shared filings (1 issuer) · also on 2 other issuers

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Aaron C. Ball

Executive Officer · 6 shared filings (1 issuer)

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Claire L. Babineaux-Fontenot

Director · 6 shared filings (1 issuer)

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Paula A. Steiner

Director · 6 shared filings (1 issuer)

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Mark W. Pfaff

Executive Officer · 5 shared filings (2 issuers) · also on 2 other issuers

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

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

Joseph W. Prueher

Director · 4 shared filings (2 issuers)

Listed on the same filings as Gerald B. Smith. Their page shows their other deals.

The team behind the deals

L
Sponsor group

Longtail

15 issuers · 163 filings · $3.29B reported sold · 2009–2026

One team, 15 deal companies. Gerald B. Smith 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 Gerald B. Smith.

Same business address

20 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

Business registration (state registry / Secretary of State)

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).

Adviser registration (Form ADV)

None of the 2 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 14 records on 1 issuer

Property records are matched to companies only, never to individuals, so none are matched to Gerald 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 2 issuers this person is listed on — 1 issuer has property records: NEW YORK LIFE INSURANCE CO (14).

Public profiles and social

Websites and social links of the issuers Gerald B. Smith is listed on: none on file. No website or social profile named in New York Life Insurance Co Pooled Separate Account 45-005's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #243,021 of 374,652 in line (1,386 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 (New York, NY). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

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

Courts

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

Securities regulators

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

Business registries

New York Secretary of State business search ↗OpenCorporates ↗

Change history

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