Sponsor Check › Person
Named as an officer, director or promoter on SEC Form D filings · TX · Feb 1, 2012 → Nov 20, 2025
Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:16 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET
Gregory Smith is listed as an executive officer and director on 8 SEC Form D filings by 3 issuers between Feb 2012 and Nov 2025: Semper US RMBS Opportunity REIT, Inc. (New York, NY — reits and finance — 2012–2016; $27M reported sold to 247 investors), Leith Medical, Inc. (Austin, TX — other health care — 2023–2025; $50K reported sold to 1 investors) and Quick Water Income Fund, LLC (Sherman, TX — industry reported as "Other" — 2025).
What this means A repeat sponsor — 3 separate companies raised money with this person listed as executive officer and director, over about 13 years. Across those companies the filings report $27.1M sold in total.
Listed alongside Gregory A. Parsons (5 shared filings), Thomas Mandel (5 shared filings), Semper Capital Management, L.P. (3 shared filings, management entity), Candace Leak (2 shared filings), Timothy Leak (2 shared filings) and 2 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Gregory. Each name links to their own page.
1 of the issuers belongs to the sponsor group Semper (10 issuers, $318.9M reported sold, 2009–2020).
What this means A sponsor group is one team that sets up a new company for each deal. Semper has 10 companies on file and $318.9M reported sold in total — the group page shows the whole track record in one place.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, OK, OR, PA, RI, SC, SD, TN, TX, VT, WA, WI, WV, WY) — 2 SEC releases, 19 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 8 public filings for Gregory Smith and found 17 differences, 4 worth asking the sponsor about: Regulator action: Gregory Dale Smith (Sep 15, 2026); Regulator action: Gregory Alan Smith (Jun 26, 2020); and more below.
What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.
Community search for Gregory Smith has not run yet — it is joining a line of 24,112 names; searches run around the clock at the hosts' allowed rate. Searched so far: 638 names.
Community comments are quoted as written by their authors. Sources searched: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).
Five things investors ask first. Items still in human review are counted, not shown.
None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026
Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:16 AM ET.
State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.
2 SEC releases
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 Gregory Smith..
State securities regulators: Securities regulators searched (3,318 actions): AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE DOJ Investor Protection Unit (257 actions, 1987–2026), TX State Securities Board (586 actions, 2006–2026), WA DFI (2,039 actions, 2001–2026) — last crawled Oct 23, 2026, 9:57 PM ET. No machine-readable public listing today for CO, FL, IA, IN, MN, NE, NJ, NY, OH, UT, VA (see docs/state-regulators.md).
19 cases: 5 open, 14 closed (disposition not in docket feed)
Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:16 AM ET.
Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.
State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.
Comparisons cover issuers and sponsor groups — see the issuer pages under Deals
17 differences found between the filings for Gregory Smith — 4 worth asking about (compared 8 filings on Oct 24, 2026)
A ap release dated Sep 15, 2026 names Gregory Smith. Our match estimate: 40%. The release is the source; we do not summarize its outcome here.
What this means A regulator filed or announced an action naming this person or company (or someone on the same filings). Read the release; ask the sponsor what it was and how it ended.
A ap release dated Jun 26, 2020 names Gregory Smith. Our match estimate: 40%. The release is the source; we do not summarize its outcome here.
What this means A regulator filed or announced an action naming this person or company (or someone on the same filings). Read the release; ask the sponsor what it was and how it ended.
United States Bankruptcy Court, E.D. New York docket "Thomas F Mandel" filed Aug 3, 2010, closed Jan 19, 2016. Thomas Mandel (listed on the same filings) is listed as Debtor ("Thomas F Mandel"). Our match estimate: 70%.
What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.
United States Bankruptcy Court, W.D. New York docket "Thomas H. Mandel and Kathleen F. Mandel" filed May 29, 1990, closed Nov 19, 1990. Thomas Mandel (listed on the same filings) is listed as Debtor ("Thomas H. Mandel and Kathleen F. Mandel"). Our match estimate: 70%.
What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.
The Feb 11, 2014 Form D reports $2,320,000 sold and $1,200,000 of the proceeds used for payments to officers, directors or promoters (marked as an estimate).
What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.
The Feb 1, 2012 Form D reports $1,000,016 sold and $500,000 of the proceeds used for payments to officers, directors or promoters (marked as an estimate).
What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.
Semper US RMBS Opportunity REIT, Inc. (last filing Feb 5, 2016; $27,037,436 sold of $60,000,000). Each has no filing in more than two years and reported under half its target sold.
What this means An issuer whose last filing is more than two years old and reported under half its target sold. The raise may have closed early or quietly stopped. Ask what happened to each.
The filing says the first sale was Jan 13, 2012. The Form D was filed Feb 1, 2012 — 19 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 4 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.
No amendment in the last 12 months on an offering that may still be open — Leith Medical, Inc. (latest filing Aug 29, 2025) · No amendment in the last 12 months on an offering that may still be open — Leith Medical, Inc. (latest filing Jun 28, 2023) · No amendment in the last 12 months on an offering that may still be open — Semper US RMBS Opportunity REIT, Inc. (latest filing Feb 5, 2016) · No amendment in the last 12 months on an offering that may still be open — Semper US RMBS Opportunity REIT, Inc. (latest filing Jun 12, 2013)
What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.
The Jun 28, 2023 filing lists Gregory Smith as executive officer, director; the Aug 29, 2025 Form D lists director.
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.
The Feb 1, 2012 filing lists a minimum of $50,000; the Feb 6, 2013 Form D/A lists $1,500.
What this means A different minimum usually means the offering terms changed. Check which terms apply to you.
"No Revenues" (Feb 1, 2012); then "Decline to Disclose" (Feb 6, 2013).
What this means This is the size band the issuer picks for itself on the form. A change can mean the business grew or shrank — or that it chose not to say. Ask for current numbers.
This page covers filings where the address state is TX. A separate record, "Gregory J. Smith" with address state A6, is listed on 20 filings — most recently by Instar Essential Infrastructure III (AIE-USD) LP (Feb 13, 2026). Both records have filings in the same period (Mar 26, 2015 to Nov 20, 2025).
What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.
This page covers filings where the address state is TX. A separate record, "Gregory David Smith" with address state CT, is listed on 1 filing — most recently by Saranac Holdings, L.P. (Dec 5, 2025). The two records do not overlap in time: this page runs Feb 1, 2012 to Nov 20, 2025; the other has one filing dated Dec 5, 2025.
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.
This page covers filings where the address state is TX. A separate record, "GREGORY SMITH" with address state CA, is listed on 12 filings — most recently by Smule, Inc. (May 17, 2017). Both records have filings in the same period (Feb 1, 2012 to Jul 2, 2014).
What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.
This page covers filings where the address state is TX. A separate record, "Gregory A. Smith" with address state OH, is listed on 2 filings — most recently by Secret Lake Opportunity Fund, LLC (Feb 18, 2010). The two records do not overlap in time: this page runs Feb 1, 2012 to Nov 20, 2025; the other runs Jun 12, 2009 to Feb 18, 2010.
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.
This page covers filings where the address state is TX. A separate record, "Gregory Smith" with address state A0, is listed on 1 filing — most recently by Sportsclick Inc. (May 28, 2009). The two records do not overlap in time: this page runs Feb 1, 2012 to Nov 20, 2025; the other has one filing dated May 28, 2009.
What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.
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.
2 of 5 offerings report sales commissions totalling $8,075,000; 0 report finder's fees; 2 report proceeds to related persons totalling $1,700,000. (includes amounts the issuer reported as estimates)
| Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it | Source |
|---|---|---|---|---|---|
| Nov 20, 2025 D Quick Water Income Fund, LLC File 021-564614 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Aug 29, 2025 D Leith Medical, Inc. File 021-556253 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jun 28, 2023 D Leith Medical, Inc. File 021-485412 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Feb 5, 2016 D/A Semper US RMBS Opportunity REIT, Inc. File 021-211682 | $5,700,000 (est.) | $0 | $1,200,000 (est.) | CAVU Securities LLC BrokerCheck CRD 6906 ↗ American Capital Partners, LLC BrokerCheck CRD 119249 ↗ Buckman, Buckman & Reid, Inc. BrokerCheck CRD 23407 ↗ Financial West Group BrokerCheck CRD 16668 ↗ Wilson-Davis & Co., Inc. BrokerCheck CRD 3777 ↗ First Liberties Financial BrokerCheck CRD 14432 ↗ Newbridge Securities Corporation BrokerCheck CRD 104065 ↗ VFG Securities, Inc. BrokerCheck CRD 15121 ↗ IBN Financial Services, Inc. BrokerCheck CRD 42360 ↗ Landolt Securities, Inc. BrokerCheck CRD 28352 ↗ Arque Capital, Inc. BrokerCheck CRD 121192 ↗ Sunbelt Securites, Inc. BrokerCheck CRD 42180 ↗ Coastal Equities, Inc. BrokerCheck CRD 23769 ↗ K. C. Ward Financial BrokerCheck CRD 145135 ↗ Capital Investment Group, Inc. BrokerCheck CRD 14752 ↗ Kalos Capital, Inc. BrokerCheck CRD 44337 ↗ TD Ameritrade, Inc. BrokerCheck CRD 7870 ↗ via Dan Pikula (CRD 2563165 ↗) Capital Financial Services, Inc. BrokerCheck CRD 8408 ↗ Legend Securities, Inc. BrokerCheck CRD 44952 ↗ | EDGAR ↗ |
| Jun 12, 2013 D/A Semper US RMBS Opportunity REIT, Inc. File 021-172739 | $2,375,000 (est.) | $0 | $500,000 (est.) | ACGM, Inc. BrokerCheck CRD 29705 ↗ Mitchell B. Baruchowitz BrokerCheck CRD 4959894 ↗ via ACGM, Inc. (CRD 29705 ↗) Vincent K. Annable BrokerCheck CRD 1033573 ↗ via Newbridge Securities Corporation (CRD 104065 ↗) Scott S. Brooks BrokerCheck CRD 3235252 ↗ via Newbridge Securities Corporation (CRD 104065 ↗) | EDGAR ↗ |
Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.
Counted across every filing this person is listed on (latest filing per offering, per issuer).
Every issuer that named Gregory Smith on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.
No sales reported yet as of the latest filing. Gregory is listed as executive officer.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: 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.
Raised $50K from 1 investor (3% of the $2M target) as of the latest filing. Gregory is listed as director, executive officer on 2 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Other Health Care / 506(b) (4,189 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $27M from 247 investors (45% of the $60M target) as of the latest filing. Gregory is listed as director on 5 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: REITS and Finance / 506(b) (3,490 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.
Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.
Semper Capital Management, L.P. is on 10 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Gregory Smith. Their page shows their other deals.
Gregory A. Parsons is on 11 issuers in total — a repeat sponsor. Their page lists every one.
One team, 10 deal companies. Gregory Smith is listed on 1 of them.
Issuers are grouped when their Form D filings share related persons, a management entity or a business address (automatic match from the filings). "Listed" marks the issuers that name Gregory Smith.
A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.
None of the 3 issuers this person is listed on appears in Form ADV (searched 24,962 advisers as of Oct 2, 2026). A person is never an adviser firm; Form ADV is checked for the issuers and the management companies they are listed with.
Searched SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.
Property records are matched to companies only, never to individuals, so none are matched to Gregory 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 3 issuers this person is listed on — nothing matched.
Websites and social links of the issuers Gregory Smith is listed on: none on file. No website or social profile named in Semper US RMBS Opportunity REIT, Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #291,477 of 374,652 in line (1,201 issuers searched so far). One-tap searches: Look further ↓
One-tap searches on sites we do not index ourselves, with the name pre-filled (New York, NY). Each opens in a new tab; what you find there is not verified by PartnerFacts.
No corrections have been requested for this page.
Free. Logged with status: received → under review → fixed / confirmed with source.
If this is you or your firm, add a sourced explanation next to any fact. Reviewed before publishing.
Members get an email when Gregory Smith appears on a new Form D, or when a court case or SEC action is matched to them. See plans →