Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:25 AM ET

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Howard Smith

Named as an officer, director or promoter on SEC Form D filings · IL, CA, IN · Jun 24, 2011 → Aug 21, 2023

16deals (issuers)

$227.3Mreported sold

345investors

29Form D filings

2011–2023years on file

Follow this person Look further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 3:02 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Howard Smith is listed as an executive officer, director, and promoter on 29 SEC Form D filings by 16 issuers between Mar 2010 and Sep 2025. Largest by amount reported sold: FIRST ANALYSIS FUND XII, L.P. (Chicago, IL — pooled investment fund — 2017–2018; $64.8M reported sold to 60 investors), FIRST ANALYSIS PRIVATE EQUITY FUND V-A, L.P. (Chicago, IL — pooled investment fund — 2011–2012; $55.3M reported sold to 17 investors), VisiQuate, Inc. (Santa Rosa, CA — other technology — 2015–2021; $49.5M reported sold to 18 investors), Trustwave Holdings, Inc. (Chicago, IL — other technology — 2012–2014; $25.5M reported sold to 23 investors), Blue Medora, Inc. (Grand Rapids, MI — other technology — 2018; $8M reported sold to 14 investors) and 11 more (all listed below).

What this means That is a lot of deals — 16 separate companies raised money with this person listed as executive officer, director, and promoter, over about 15 years. Across those companies the filings report $227.3M sold in total.

Listed alongside F. OLIVER NICKLIN, JR. (8 shared filings), JAMES MACDONALD (8 shared filings), TRACY MARSHBANKS (8 shared filings), MATTHEW NICKLIN (7 shared filings), Corey Greendale (6 shared filings) and 70 others.

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

The issuers belong to 3 sponsor groups: First Analysis (8 issuers, $127.8M reported sold, 2011–2023), Trustwave (3 issuers, $42.4M reported sold, 2011–2019) and Charter (37 issuers, $205.4M reported sold, 2009–2026).

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 (AK, AL, AR, AZ, CA, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — 4 court cases matching the name, 2 SEC releases, 1 state regulator order, 43 bankruptcy cases matching the name listed in Key records below.

What this means 50 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 29 public filings for Howard Smith and found 19 differences, 7 worth asking the sponsor about: 29% of the money raised went to insiders; 575% of the money raised went to insiders; 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 Howard Smith has not run yet — it is #15,681 of 32,880 in line; 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: 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

4 cases: 1 judgment, 2 dismissed, 1 closed (disposition not in docket feed)

Northwood Shores LLC v. Howard C Smith judgment

District Court, C.D. California · No. 2:03-cv-07415 · Filed Oct 16, 2003 · Closed Apr 19, 2005 · Nature of suit: 893 Environmental matters

Role of Howard C Smith: Defendant · Outcome: Terminated 2005-04-19 — FJC Integrated Database disposition: Judgment on motion before trial Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (CA)

Howard A Smith v. Jo Anne B Barnhart dismissed

District Court, C.D. California · No. 2:01-cv-08044 · Filed Sep 18, 2001 · Closed Sep 3, 2002 · Nature of suit: 864 S.S.I.D.

Role of Howard A Smith: Plaintiff · Outcome: Terminated 2002-09-03 — FJC Integrated Database disposition: Dismissed: want of prosecution Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (CA)

USA v. SMITH,HOWARD JR dismissed

District Court, C.D. California · No. · Filed May 26, 1988 · Closed Sep 16, 1988 · Nature of suit: 153 Recovery of overpayments of vet benefits

Role of SMITH,HOWARD JR: Defendant · Outcome: Terminated 1988-09-16 — FJC Integrated Database disposition: Dismissed: lack of jurisdiction Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (CA)

SMITH, HOWARD C. v. HECKLER, MARGARET closed

District Court, S.D. Indiana · No. 1:85-cv-01457 · Filed Oct 3, 1985 · Closed Jun 25, 1986

Role of SMITH, HOWARD C.: Plaintiff · Outcome: Terminated 1986-06-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (IN)

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, 3:02 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

2 SEC releases; 1 state regulator order

Howard I. Smith, CPA Administrative proceeding

SEC · Aug 25, 2009 · Parties as named in the release: Howard I. Smith, CPA Read the release ↗

same full name in the release title; 7 people with this name in Form D filings; the person's filing state is not named

Maurice R. Greenberg and Howard I. Smith Litigation release

SEC · Aug 6, 2009 · Parties as named in the release: Maurice R. Greenberg and Howard I. Smith Read the release ↗

same full name in the release title; 7 people with this name in Form D filings; the person's filing state is not named

Order (type not printed in the list entry; see the order) AL · Alabama Securities Commission

Order date Jan 26, 2004 · Regulator: Alabama Securities Commission · CD-2004-0004 · Parties (regulator's caption): Amerifirst Foundation INC.; National Community; Foundation; Ralph S. Larsen; Lonnie Hawkins; Allen Goodmensen; Tom Mclaughlin; Barbara Mincey; Howard Smith; Mike Sheppard; Jim Wolter

Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗

same full name in the order; 7 people with this name in Form D filings; regulator in AL (not a filing state)

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 Howard 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

43 cases: 1 open, 42 closed (disposition not in docket feed)

Howard Smith open

United States Bankruptcy Court, C.D. California · No. 2:18-bk-18536 · Filed Jul 25, 2018

Role of Howard 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 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (CA)

Howard Smith and Florence Smith closed

United States Bankruptcy Court, S.D. Texas · No. 18-80142 · Filed May 29, 2018 · Closed Sep 5, 2018

Role of Howard Smith and Florence Smith: Debtor · Outcome: Case closed 2018-09-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (TX)

Howard M Smith and Mary F Smith closed

United States Bankruptcy Court, S.D. California · No. 18-02039 · Filed Apr 4, 2018 · Closed Dec 15, 2021

Role of Howard M Smith and Mary F Smith: Debtor · Outcome: Case closed 2021-12-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (CA)

Howard Smith and Cynthia Smith closed

United States Bankruptcy Court, N.D. Illinois · No. 17-05406 · Filed Feb 24, 2017 · Closed May 26, 2017

Role of Howard Smith and Cynthia Smith: Debtor · Outcome: Case closed 2017-05-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (IL)

Howard A Smith closed

United States Bankruptcy Court, S.D. Illinois · No. 15-41134 · Filed Nov 30, 2015 · Closed Nov 22, 2017

Role of Howard A Smith: Debtor · Outcome: Case closed 2017-11-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (IL)

Howard L. Smith closed

United States Bankruptcy Court, E.D. Michigan · No. 14-43782 · Filed Mar 10, 2014 · Closed Jun 20, 2014

Role of Howard L. Smith: Debtor · Outcome: Case closed 2014-06-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (MI)

Howard Smith closed

United States Bankruptcy Court, N.D. Texas · No. 14-40959 · Filed Mar 3, 2014 · Closed Jul 12, 2019

Role of Howard Smith: Debtor · Outcome: Case closed 2019-07-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (TX)

Howard T. Smith closed

United States Bankruptcy Court, W.D. Michigan · No. 12-05116 · Filed May 29, 2012 · Closed Oct 26, 2012

Role of Howard T. Smith: Debtor · Outcome: Case closed 2012-10-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (MI)

Howard Smith closed

United States Bankruptcy Court, C.D. California · No. 9:11-bk-14666 · Filed Oct 1, 2011 · Closed Jan 12, 2012

Role of Howard Smith: Debtor · Outcome: Case closed 2012-01-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (CA)

Howard L. Smith closed

United States Bankruptcy Court, E.D. Michigan · No. 11-56859 · Filed Jun 17, 2011 · Closed Apr 9, 2013

Role of Howard L. Smith: Debtor · Outcome: Case closed 2013-04-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (MI)

Howard M Smith and Mary F Smith closed

United States Bankruptcy Court, S.D. California · No. 11-09562 · Filed Jun 7, 2011 · Closed Sep 12, 2011

Role of Howard M Smith and Mary F Smith: Debtor · Outcome: Case closed 2011-09-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (CA)

Howard Smith and Earnestine Smith closed

United States Bankruptcy Court, N.D. Illinois · No. 10-01605 · Filed Jan 18, 2010 · Closed Jul 28, 2010

Role of Howard Smith and Earnestine Smith: Debtor · Outcome: Case closed 2010-07-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (IL)

Howard Smith and Chrystine Smith closed

United States Bankruptcy Court, N.D. California · No. 09-58309 · Filed Sep 29, 2009 · Closed Jan 6, 2010

Role of Howard Smith and Chrystine Smith: Debtor · Outcome: Case closed 2010-01-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (CA)

Howard P Smith and Angela M Smith closed

United States Bankruptcy Court, C.D. California · No. 2:09-bk-35486 · Filed Sep 21, 2009 · Closed Aug 15, 2010

Role of Howard P Smith and Angela M Smith: Debtor · Outcome: Case closed 2010-08-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (CA)

Howard A. Smith and Rhoda E. Smith closed

United States Bankruptcy Court, E.D. Michigan · No. 09-51810 · Filed Apr 16, 2009 · Closed Oct 25, 2009

Role of Howard A. Smith and Rhoda E. Smith: Debtor · Outcome: Case closed 2009-10-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (MI)

Howard S. Smith closed

United States Bankruptcy Court, E.D. Michigan · No. 09-47502 · Filed Mar 13, 2009 · Closed Jul 7, 2009

Role of Howard S. Smith: Debtor · Outcome: Case closed 2009-07-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (MI)

Howard Smith and Chrystine Smith closed

United States Bankruptcy Court, N.D. California · No. 08-57516 · Filed Dec 23, 2008 · Closed Sep 16, 2009

Role of Howard Smith and Chrystine Smith: Debtor · Outcome: Case closed 2009-09-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (CA)

Howard D Smith closed

United States Bankruptcy Court, N.D. Illinois · No. 08-24404 · Filed Sep 15, 2008 · Closed Jan 7, 2013

Role of Howard D Smith: Debtor · Outcome: Case closed 2013-01-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (IL)

Howard Smith, Sr. closed

United States Bankruptcy Court, S.D. Texas · No. 06-20093 · Filed Feb 10, 2006 · Closed May 17, 2006

Role of Howard Smith, Sr.: Debtor · Outcome: Case closed 2006-05-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (TX)

Howard Smith and Renee C. Smith closed

United States Bankruptcy Court, E.D. Michigan · No. 05-36562 · Filed Oct 13, 2005 · Closed Jun 7, 2006

Role of Howard Smith and Renee C. Smith: Debtor · Outcome: Case closed 2006-06-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (MI)

HOWARD O SMITH and JAMIE N SMITH closed

United States Bankruptcy Court, C.D. California · No. 6:05-bk-22040 · Filed Oct 7, 2005 · Closed Feb 9, 2006

Role of HOWARD O SMITH and JAMIE N SMITH: Debtor · Outcome: Case closed 2006-02-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (CA)

Howard Smith closed

United States Bankruptcy Court, E.D. Michigan · No. 03-73055 · Filed Nov 26, 2003 · Closed Jun 7, 2006

Role of Howard Smith: Debtor · Outcome: Case closed 2006-06-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (MI)

Howard J. Smith and Sandra S. Smith closed

United States Bankruptcy Court, N.D. Indiana · No. 03-12152 · Filed May 13, 2003 · Closed Sep 10, 2003

Role of Howard J. Smith and Sandra S. Smith: Debtor · Outcome: Case closed 2003-09-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (IN)

Howard A. Smith and Terri L. Smith closed

United States Bankruptcy Court, E.D. Michigan · No. 03-30809 · Filed Feb 24, 2003 · Closed Sep 23, 2003

Role of Howard A. Smith and Terri L. Smith: Debtor · Outcome: Case closed 2003-09-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (MI)

Howard Smith closed

United States Bankruptcy Court, W.D. Texas · No. 01-62442 · Filed Oct 29, 2001 · Closed Jan 24, 2007

Role of Howard Smith: Debtor · Outcome: Case closed 2007-01-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (TX)

Howard E. Smith and Juanita M. Smith closed

United States Bankruptcy Court, E.D. California · No. 01-21495 · Filed Feb 12, 2001 · Closed May 29, 2001

Role of Howard E. Smith and Juanita M. Smith: Debtor · Outcome: Case closed 2001-05-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (CA)

Howard B Smith and Bonnie Smith closed

United States Bankruptcy Court, S.D. Texas · No. 00-36332 · Filed Jul 7, 2000 · Closed Oct 18, 2000

Role of Howard B Smith and Bonnie Smith: Debtor · Outcome: Case closed 2000-10-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (TX)

Howard Smith Jr closed

United States Bankruptcy Court, C.D. California · No. 2:99-bk-46307 · Filed Oct 1, 1999 · Closed May 6, 2005

Role of Howard Smith Jr: Debtor · Outcome: Case closed 2005-05-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (CA)

Howard S. Smith closed

United States Bankruptcy Court, W.D. Michigan · No. 98-11107 · Filed Dec 21, 1998 · Closed Apr 21, 1999

Role of Howard S. Smith: Debtor · Outcome: Case closed 1999-04-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (MI)

Howard D Smith closed

United States Bankruptcy Court, C.D. California · No. 6:97-bk-28256 · Filed Oct 17, 1997 · Closed Feb 25, 1998

Role of Howard D Smith: Debtor · Outcome: Case closed 1998-02-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (CA)

Howard A Smith closed

United States Bankruptcy Court, S.D. Texas · No. 97-50314 · Filed Oct 7, 1997 · Closed Dec 10, 1999

Role of Howard A Smith: Debtor · Outcome: Case closed 1999-12-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (TX)

Howard A. Smith closed

United States Bankruptcy Court, E.D. Michigan · No. 97-51703 · Filed Jul 16, 1997 · Closed Dec 8, 1997

Role of Howard A. Smith: Debtor · Outcome: Case closed 1997-12-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (MI)

Howard Smith closed

United States Bankruptcy Court, N.D. Illinois · No. 97-16419 · Filed May 28, 1997 · Closed Sep 19, 1997

Role of Howard Smith: Debtor · Outcome: Case closed 1997-09-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (IL)

Howard T. Smith closed

United States Bankruptcy Court, W.D. Michigan · No. 96-88425 · Filed Nov 29, 1996 · Closed Aug 25, 1999

Role of Howard T. Smith: Debtor · Outcome: Case closed 1999-08-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (MI)

Howard G. Smith and Janice E. Smith closed

United States Bankruptcy Court, W.D. Texas · No. 96-30941 · Filed Jun 4, 1996 · Closed May 14, 1999

Role of Howard G. Smith and Janice E. Smith: Debtor · Outcome: Case closed 1999-05-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (TX)

Howard D. Smith and Susan K. Smith closed

United States Bankruptcy Court, W.D. Texas · No. 95-52367 · Filed Aug 2, 1995 · Closed Apr 20, 2001

Role of Howard D. Smith and Susan K. Smith: Debtor · Outcome: Case closed 2001-04-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (TX)

Howard F. Smith and Carol Lee Phelan-Smith closed

United States Bankruptcy Court, N.D. California · No. 91-55497 · Filed Sep 10, 1991 · Closed Nov 14, 1995

Role of Howard F. Smith and Carol Lee Phelan-Smith: Debtor · Outcome: Case closed 1995-11-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (CA)

Howard E Smith and Susan L Smith closed

United States Bankruptcy Court, W.D. Michigan · No. 88-00575 · Filed Feb 22, 1988 · Closed Aug 2, 1988

Role of Howard E Smith and Susan L Smith: Debtor · Outcome: Case closed 1988-08-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (MI)

Howard Smith and Mary Louise Smith closed

United States Bankruptcy Court, C.D. California · No. 1:88-bk-50257 · Filed Jan 19, 1988 · Closed Sep 28, 1993

Role of Howard Smith and Mary Louise Smith: Debtor · Outcome: Case closed 1993-09-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (CA)

Howard A Smith closed

United States Bankruptcy Court, N.D. Illinois · No. 87-12168 · Filed Aug 19, 1987 · Closed Jan 15, 1988

Role of Howard A Smith: Debtor · Outcome: Case closed 1988-01-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (IL)

Howard Smith and Mary Louise Smith closed

United States Bankruptcy Court, C.D. California · No. 1:87-bk-53543 · Filed Jul 9, 1987 · Closed Apr 13, 1988

Role of Howard Smith and Mary Louise Smith: Debtor · Outcome: Case closed 1988-04-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (CA)

Howard E Smith closed

United States Bankruptcy Court, N.D. Illinois · No. 87-05663 · Filed Apr 15, 1987 · Closed Oct 15, 1987

Role of Howard E Smith: Debtor · Outcome: Case closed 1987-10-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (IL)

Howard Smith and Mary L Smith closed

United States Bankruptcy Court, C.D. California · No. 1:85-bk-18700 · Filed Dec 19, 1985 · Closed Sep 17, 1986

Role of Howard Smith and Mary L Smith: Debtor · Outcome: Case closed 1986-09-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 513 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (CA)

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, 3:02 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.

4. Differences between public sources

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

19 differences found between the filings for Howard Smith — 7 worth asking about (compared 29 filings on Oct 24, 2026)

Note · Oct 13, 2005 – Apr 19, 2006

Bankruptcy case: Edward Joseph Hernandez and Evey Lee Hernandez — filed Oct 13, 2005

United States Bankruptcy Court, C.D. California docket "Edward Joseph Hernandez and Evey Lee Hernandez" filed Oct 13, 2005, closed Apr 19, 2006. JOHN EVEY (listed on the same filings) is listed as Debtor ("Edward Joseph Hernandez and Evey Lee Hernandez"). 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.

Docket · United States Bankruptcy Court, C.D. California ↗JOHN EVEY — PartnerFacts page ↗

Sources

Note · Jun 27, 2003 – Oct 24, 2003

Bankruptcy case: Ray Hsu — filed Jun 27, 2003

United States Bankruptcy Court, C.D. California docket "Ray Hsu" filed Jun 27, 2003, closed Oct 24, 2003. Ray Hsu (listed on the same filings) is listed as Debtor ("Ray Hsu"). 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.

Docket · United States Bankruptcy Court, C.D. California ↗Ray Hsu — PartnerFacts page ↗

Sources

Worth asking · Jun 28, 2012

29% of the money raised went to insiders — FIRST ANALYSIS PRIVATE EQUITY FUND V-A, L.P.

The Jun 28, 2012 Form D/A reports $55,250,000 sold and $16,000,000 of the proceeds used for payments to officers, directors or promoters (marked as an estimate). Issuer's note: "Estimated aggregate amount for the first five years; thereafter the Issuer shall continue to pay management fees.".

What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.

Form D/A · Jun 28, 2012 ↗FIRST ANALYSIS PRIVATE EQUITY FUND V-A, L.P. — PartnerFacts page ↗

Sources

Form D/A · Jun 28, 2012 ↗ (Jun 28, 2012)
FIRST ANALYSIS PRIVATE EQUITY FUND V-A, L.P. — PartnerFacts page ↗ (Jun 28, 2012)

Worth asking · Jun 28, 2012

575% of the money raised went to insiders — FIRST ANALYSIS PRIVATE EQUITY FUND V, L.P.

The Jun 28, 2012 Form D/A reports $2,785,000 sold and $16,000,000 of the proceeds used for payments to officers, directors or promoters (marked as an estimate). Issuer's note: "Estimated aggregate amount for the first five years; thereafter the Issuer shall continue to pay management fees.".

What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.

Form D/A · Jun 28, 2012 ↗FIRST ANALYSIS PRIVATE EQUITY FUND V, L.P. — PartnerFacts page ↗

Sources

Form D/A · Jun 28, 2012 ↗ (Jun 28, 2012)
FIRST ANALYSIS PRIVATE EQUITY FUND V, L.P. — PartnerFacts page ↗ (Jun 28, 2012)

Worth asking · Jun 24, 2010

193% of the money raised went to insiders — Beam Global

The Jun 24, 2010 Form D reports $206,750 sold and $400,000 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.

Form D · Jun 24, 2010 ↗Beam Global — PartnerFacts page ↗

Sources

Form D · Jun 24, 2010 ↗ (Jun 24, 2010)
Beam Global — PartnerFacts page ↗ (Sep 16, 2022)

Worth asking · Jun 28, 2012 – Aug 11, 2023

Howard Smith appears on 7 deals that stopped filing before reaching their target

First Analysis Fund XIV-A, L.P. (last filing Aug 11, 2023; $0 sold of $100,000,000); First Analysis Fund XIV (Cayman), L.P. (last filing Aug 3, 2023; $0 sold of $100,000,000); First Analysis Fund XIV, L.P. (last filing Jul 26, 2023; $0 sold of $100,000,000); Beam Global (last filing Sep 16, 2022; $1,453,500 sold of $30,300,000); First Analysis Fund XII (Cayman), L.P. (last filing Jul 13, 2017; $0 sold of $115,000,000); FIRST ANALYSIS PRIVATE EQUITY FUND V, L.P. (last filing Jun 28, 2012; $2,785,000 sold of $200,000,000); and 1 more. 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.

First Analysis Fund XIV-A, L.P. — PartnerFacts page ↗First Analysis Fund XIV (Cayman), L.P. — PartnerFacts page ↗First Analysis Fund XIV, L.P. — PartnerFacts page ↗Beam Global — PartnerFacts page ↗

Sources

First Analysis Fund XIV-A, L.P. — PartnerFacts page ↗ (Aug 11, 2023)
First Analysis Fund XIV (Cayman), L.P. — PartnerFacts page ↗ (Aug 3, 2023)
First Analysis Fund XIV, L.P. — PartnerFacts page ↗ (Jul 26, 2023)
Beam Global — PartnerFacts page ↗ (Sep 16, 2022)
First Analysis Fund XII (Cayman), L.P. — PartnerFacts page ↗ (Jul 13, 2017)
FIRST ANALYSIS PRIVATE EQUITY FUND V, L.P. — PartnerFacts page ↗ (Jun 28, 2012)

Worth asking · Jun 28, 2012

4 paid sellers are listed without a CRD number

Paid seller listed without a CRD number: MORAVIA CAPITAL AG — FIRST ANALYSIS PRIVATE EQUITY FUND V, L.P. · Paid seller listed without a CRD number: STEEN VILLEMOES — FIRST ANALYSIS PRIVATE EQUITY FUND V, L.P. · Paid seller listed without a CRD number: MORAVIA CAPITAL AG — FIRST ANALYSIS PRIVATE EQUITY FUND V-A, L.P. · Paid seller listed without a CRD number: STEEN VILLEMOES — FIRST ANALYSIS PRIVATE EQUITY FUND V-A, L.P.

What this means Without a CRD number we cannot look a seller up on BrokerCheck. Ask who they are and whether they are registered.

Form D/A · Jun 28, 2012 ↗BrokerCheck search: MORAVIA CAPITAL AG ↗FIRST ANALYSIS PRIVATE EQUITY FUND V, L.P. — PartnerFacts page ↗BrokerCheck search: STEEN VILLEMOES ↗

Sources

Form D/A · Jun 28, 2012 ↗ (Jun 28, 2012)
BrokerCheck search: MORAVIA CAPITAL AG ↗
FIRST ANALYSIS PRIVATE EQUITY FUND V, L.P. — PartnerFacts page ↗ (Jun 28, 2012)
BrokerCheck search: STEEN VILLEMOES ↗
Form D/A · Jun 28, 2012 ↗ (Jun 28, 2012)
FIRST ANALYSIS PRIVATE EQUITY FUND V-A, L.P. — PartnerFacts page ↗ (Jun 28, 2012)

Worth asking · Jun 1, 2007 – Sep 30, 2025

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

Form D filed 103 days after the first sale — VisiQuate, Inc. · Form D filed 63 days after the first sale — VisiQuate, Inc. · Form D filed 312 days after the first sale — VisiQuate, Inc. · Form D filed 1,279 days after the first sale — California Ethanol Power, LLC · Form D filed 133 days after the first sale — Beam Global · and 4 more

What this means Late notices are common and carry no penalty by themselves. A pattern of late paperwork is worth asking the sponsor about.

Form D · Mar 30, 2017 ↗VisiQuate, Inc. — PartnerFacts page ↗Form D · Oct 30, 2015 ↗Form D · Oct 30, 2015 ↗

Sources

Form D · Mar 30, 2017 ↗ (Mar 30, 2017)
VisiQuate, Inc. — PartnerFacts page ↗ (Jul 14, 2021)
Form D · Oct 30, 2015 ↗ (Oct 30, 2015)
Form D · Oct 30, 2015 ↗ (Oct 30, 2015)
Form D · Dec 1, 2010 ↗ (Dec 1, 2010)
California Ethanol Power, LLC — PartnerFacts page ↗ (Dec 2, 2024)
Form D · Jun 25, 2010 ↗ (Jun 25, 2010)
Beam Global — PartnerFacts page ↗ (Sep 16, 2022)

Note · Feb 12, 2010 – Oct 12, 2017

8 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 — NimbeLink Corp. (latest filing Oct 12, 2017) · No amendment in the last 12 months on an offering that may still be open — VisiQuate, Inc. (latest filing Mar 30, 2017) · No amendment in the last 12 months on an offering that may still be open — Trustwave Holdings, Inc. (latest filing Mar 28, 2014) · No amendment in the last 12 months on an offering that may still be open — Trustwave Holdings, Inc. (latest filing Nov 12, 2013) · No amendment in the last 12 months on an offering that may still be open — FIRST ANALYSIS PRIVATE EQUITY FUND V-A, L.P. (latest filing Jun 28, 2012) · and 3 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 · Oct 12, 2017 ↗NimbeLink Corp. — PartnerFacts page ↗Form D · Mar 30, 2017 ↗VisiQuate, Inc. — PartnerFacts page ↗

Sources

Form D · Oct 12, 2017 ↗ (Oct 12, 2017)
NimbeLink Corp. — PartnerFacts page ↗ (Oct 12, 2017)
Form D · Mar 30, 2017 ↗ (Mar 30, 2017)
VisiQuate, Inc. — PartnerFacts page ↗ (Jul 14, 2021)
Form D · Mar 28, 2014 ↗ (Mar 28, 2014)
Trustwave Holdings, Inc. — PartnerFacts page ↗ (Mar 28, 2014)
Form D · Nov 12, 2013 ↗ (Nov 12, 2013)
Form D/A · Jun 28, 2012 ↗ (Jun 28, 2012)

Worth asking · Jun 24, 2010 – Jul 28, 2010

Howard Smith is no longer listed on the Jul 28, 2010 amendment — Beam Global

Howard Smith appears on the Jun 24, 2010 Form D (executive officer) but not on the Jul 28, 2010 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 · Jun 24, 2010 ↗Form D/A · Jul 28, 2010 ↗Howard Smith — PartnerFacts page ↗Beam Global — PartnerFacts page ↗

Sources

Form D · Jun 24, 2010 ↗ (Jun 24, 2010)
Form D/A · Jul 28, 2010 ↗ (Jul 28, 2010)
Howard Smith — PartnerFacts page ↗
Beam Global — PartnerFacts page ↗ (Sep 16, 2022)

Note · Jun 8, 2017 – Aug 30, 2018

Offering amount lowered between filings — FIRST ANALYSIS FUND XII, L.P.

The Jun 8, 2017 filing says $115,000,000 offered; the Aug 30, 2018 Form D/A says $64,760,000.

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) · Jun 8, 2017 ↗Form D/A (later) · Aug 30, 2018 ↗FIRST ANALYSIS FUND XII, L.P. — PartnerFacts page ↗

Sources

Form D (earlier) · Jun 8, 2017 ↗ (Jun 8, 2017)
Form D/A (later) · Aug 30, 2018 ↗ (Aug 30, 2018)
FIRST ANALYSIS FUND XII, L.P. — PartnerFacts page ↗ (Aug 30, 2018)

Note · Mar 23, 2010 – Jun 24, 2010

Howard Smith is written 2 different ways on the filings

listed as "Howard S. Smith" on 5 filings (from Mar 23, 2010), and "Howard Smith" on 24 filings (from Jun 24, 2010).

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 · Mar 23, 2010 ↗Form D · Jun 24, 2010 ↗Howard Smith — PartnerFacts page ↗

Sources

Note · Mar 2, 2016 – Oct 12, 2017

Reported revenue range changed between filings — NimbeLink Corp.

"$1,000,001 - $5,000,000" (Mar 2, 2016); then "Decline to Disclose" (Oct 12, 2017).

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 · Mar 2, 2016 ↗Form D · Oct 12, 2017 ↗NimbeLink Corp. — PartnerFacts page ↗

Sources

Form D · Mar 2, 2016 ↗ (Mar 2, 2016)
Form D · Oct 12, 2017 ↗ (Oct 12, 2017)
NimbeLink Corp. — PartnerFacts page ↗ (Oct 12, 2017)

Note · Aug 27, 2020 – Mar 17, 2026

Same name, different state: "Howard Smith" (ID) is a separate record

This page covers filings where the address state is IL or CA or IN. A separate record, "Howard Smith" with address state ID, is listed on 4 filings — most recently by Focus IP, Inc. (Mar 17, 2026). Both records have filings in the same period (Aug 27, 2020 to Aug 21, 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.

Howard Smith (ID) — PartnerFacts page ↗Form D · Mar 17, 2026 ↗Focus IP, Inc. — PartnerFacts page ↗Howard Smith (IL,CA,IN) — this page ↗

Sources

Howard Smith (ID) — PartnerFacts page ↗ (Mar 17, 2026)
Form D · Mar 17, 2026 ↗ (Mar 17, 2026)
Focus IP, Inc. — PartnerFacts page ↗ (Mar 17, 2026)
Howard Smith (IL,CA,IN) — this page ↗ (Aug 21, 2023)

Note · May 25, 2022

Same name, different state: "HOWARD DEE SMITH" (LA) is a separate record

This page covers filings where the address state is IL or CA or IN. A separate record, "HOWARD DEE SMITH" with address state LA, is listed on 1 filing — most recently by Winnsboro Bancshares, Inc. (May 25, 2022). Both records have filings in the same period (May 25, 2022).

HOWARD DEE SMITH (LA) — PartnerFacts page ↗Form D · May 25, 2022 ↗Winnsboro Bancshares, Inc. — PartnerFacts page ↗Howard Smith (IL,CA,IN) — this page ↗

Sources

HOWARD DEE SMITH (LA) — PartnerFacts page ↗ (May 25, 2022)
Form D · May 25, 2022 ↗ (May 25, 2022)
Winnsboro Bancshares, Inc. — PartnerFacts page ↗ (May 25, 2022)
Howard Smith (IL,CA,IN) — this page ↗ (Aug 21, 2023)

Note · Nov 12, 2014 – Feb 9, 2022

Same name, different state: "Howard Smith" (MD) is a separate record

This page covers filings where the address state is IL or CA or IN. A separate record, "Howard Smith" with address state MD, is listed on 7 filings — most recently by Walker & Dunlop, Inc. (Feb 9, 2022). Both records have filings in the same period (Nov 12, 2014 to Feb 9, 2022).

Howard Smith (MD) — PartnerFacts page ↗Form D/A · Feb 9, 2022 ↗Walker & Dunlop, Inc. — PartnerFacts page ↗Howard Smith (IL,CA,IN) — this page ↗

Sources

Howard Smith (MD) — PartnerFacts page ↗ (Feb 9, 2022)
Form D/A · Feb 9, 2022 ↗ (Feb 9, 2022)
Walker & Dunlop, Inc. — PartnerFacts page ↗ (Feb 9, 2022)
Howard Smith (IL,CA,IN) — this page ↗ (Aug 21, 2023)

Note · Apr 4, 2011 – Jun 2, 2011

Same name, different state: "Howard Smith" (WA) is a separate record

This page covers filings where the address state is IL or CA or IN. A separate record, "Howard Smith" with address state WA, is listed on 3 filings — most recently by Acacia Acceptance Corp. (Jun 2, 2011). The two records do not overlap in time: this page runs Jun 24, 2011 to Aug 21, 2023; the other runs Apr 4, 2011 to Jun 2, 2011.

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.

Howard Smith (WA) — PartnerFacts page ↗Form D/A · Jun 2, 2011 ↗Acacia Acceptance Corp. — PartnerFacts page ↗Howard Smith (IL,CA,IN) — this page ↗

Sources

Howard Smith (WA) — PartnerFacts page ↗ (Jun 2, 2011)
Form D/A · Jun 2, 2011 ↗ (Jun 2, 2011)
Acacia Acceptance Corp. — PartnerFacts page ↗ (Jun 2, 2011)
Howard Smith (IL,CA,IN) — this page ↗ (Aug 21, 2023)

Note · May 21, 2010

Same name, different state: "Howard Smith" (NH) is a separate record

This page covers filings where the address state is IL or CA or IN. A separate record, "Howard Smith" with address state NH, is listed on 1 filing — most recently by NitroSecurity, Inc. (May 21, 2010). The two records do not overlap in time: this page runs Jun 24, 2011 to Aug 21, 2023; the other has one filing dated May 21, 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.

Howard Smith (NH) — PartnerFacts page ↗Form D · May 21, 2010 ↗NitroSecurity, Inc. — PartnerFacts page ↗Howard Smith (IL,CA,IN) — this page ↗

Sources

Howard Smith (NH) — PartnerFacts page ↗ (May 21, 2010)
Form D · May 21, 2010 ↗ (May 21, 2010)
NitroSecurity, Inc. — PartnerFacts page ↗ (Oct 7, 2010)
Howard Smith (IL,CA,IN) — this page ↗ (Aug 21, 2023)

Note · Mar 23, 2010 – Sep 30, 2025

Howard Smith is listed with 3 different address states: IL, CA, IN

IL on 23 filings (Mar 23, 2010 to Aug 21, 2023); CA on 4 filings (Jun 24, 2010 to Jul 14, 2021); IN on 2 filings (May 6, 2025 to Sep 30, 2025).

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 · Mar 23, 2010 ↗Form D · Jun 24, 2010 ↗Form D · May 6, 2025 ↗

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

3 of 26 offerings report sales commissions totalling $3,397,575; 1 reports finder's fees totalling $2,500,000; 4 report proceeds to related persons totalling $32,900,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)	Sales commissions	Finder's fees	To insiders	Paid to sell it	Source
Sep 30, 2025 D Stamus Networks, Inc. File 021-559217	$0	$0	$0	None listed on this filing	EDGAR ↗
May 6, 2025 D Stamus Networks, Inc. File 021-545318	$0	$0	$0	None listed on this filing	EDGAR ↗
Aug 21, 2023 D Stamus Networks, Inc. File 021-490282	$0	$0	$0	None listed on this filing	EDGAR ↗
Aug 11, 2023 D First Analysis Fund XIV-A, L.P. File 021-489516	$0 (est.)	$0 (est.)	$0 THE ISSUER IS OBLIGATED TO PAY A MANAGEMENT FEE TO ITS GENERAL PARTNER	FIRST ANALYSIS SECURITIES CORPORATION BrokerCheck CRD 10446 ↗	EDGAR ↗
Aug 3, 2023 D First Analysis Fund XIV (Cayman), L.P. File 021-488682	$0 (est.)	$0 (est.)	$0 THE ISSUER IS OBLIGATED TO PAY A MANAGEMENT FEE TO ITS GENERAL PARTNER.	FIRST ANALYSIS SECURITIES CORPORATION BrokerCheck CRD 10446 ↗	EDGAR ↗
Jul 26, 2023 D First Analysis Fund XIV, L.P. File 021-487971	$0 (est.)	$0 (est.)	$0 THE ISSUER IS OBLIGATED TO PAY A MANAGEMENT FEE TO ITS GENERAL PARTNER.	FIRST ANALYSIS SECURITIES CORPORATION BrokerCheck CRD 10446 ↗	EDGAR ↗
Jul 14, 2021 D VisiQuate, Inc. File 021-406223	$0	$2,500,000	$0	None listed on this filing	EDGAR ↗
Aug 30, 2018 D/A FIRST ANALYSIS FUND XII, L.P. File 021-288359	$0 (est.)	$0 (est.)	$0 THE ISSUER IS OBLIGATED TO PAY A MANAGEMENT FEE TO ITS GENERAL PARTNER.	FIRST ANALYSIS SECURITIES CORPORATION BrokerCheck CRD 10446 ↗	EDGAR ↗
Aug 8, 2018 D Blue Medora, Inc. File 021-318733	$0	$0	$0	None listed on this filing	EDGAR ↗
Oct 12, 2017 D NimbeLink Corp. File 021-296551	$0	$0	$0	None listed on this filing	EDGAR ↗
Jul 13, 2017 D First Analysis Fund XII (Cayman), L.P. File 021-290668	$0 (est.)	$0 (est.)	$0 THE ISSUER IS OBLIGATED TO PAY A MANAGEMENT FEE TO ITS GENERAL PARTNER	FIRST ANALYSIS SECURITIES CORPORATION BrokerCheck CRD 10446 ↗	EDGAR ↗
Mar 30, 2017 D VisiQuate, Inc. File 021-283717	$0	$0	$0	None listed on this filing	EDGAR ↗
Mar 2, 2016 D NimbeLink Corp. File 021-258443	$0	$0	$0 Funds will be used for operations. No payments will be made to related persons except for normal salaries and bonuses.	None listed on this filing	EDGAR ↗
Oct 30, 2015 D VisiQuate, Inc. File 021-250448	$0	$0	$0	None listed on this filing	EDGAR ↗
Oct 30, 2015 D VisiQuate, Inc. File 021-250449	$0	$0	$0	None listed on this filing	EDGAR ↗
Oct 30, 2015 D VisiQuate, Inc. File 021-250450	$0	$0	$0	None listed on this filing	EDGAR ↗
Mar 28, 2014 D Trustwave Holdings, Inc. File 021-214441	$0	$0	$0	None listed on this filing	EDGAR ↗
Nov 12, 2013 D Trustwave Holdings, Inc. File 021-206139	$0	$0	$0	None listed on this filing	EDGAR ↗
Apr 18, 2013 D FIRST ANALYSIS PRIVATE EQUITY FUND V-C, L.P. File 021-195209	$0	$0	$500,000 (est.) ESTIMATED AGGREGATE AMOUNT FOR THE FIRST FIVE YEARS; THEREAFTER THE ISSUER SHALL CONTINUE TO PAY MANAGEMENT FEES.	None listed on this filing	EDGAR ↗
Jun 28, 2012 D/A FIRST ANALYSIS PRIVATE EQUITY FUND V, L.P. File 021-161792	$1,500,000 (est.)	$0	$16,000,000 (est.) Estimated aggregate amount for the first five years; thereafter the Issuer shall continue to pay management fees.	FIRST ANALYSIS SECURITIES CORPORATION BrokerCheck CRD 10446 ↗ MORAVIA CAPITAL AG no CRD number reported STEEN VILLEMOES no CRD number reported TWC, INC. no CRD number reported via BRIDGE CAPITAL ASSOCIATES, INC. (CRD 143475 ↗)	EDGAR ↗
Jun 28, 2012 D/A FIRST ANALYSIS PRIVATE EQUITY FUND V-A, L.P. File 021-161793	$1,500,000 (est.)	$0	$16,000,000 (est.) Estimated aggregate amount for the first five years; thereafter the Issuer shall continue to pay management fees.	FIRST ANALYSIS SECURITIES CORPORATION BrokerCheck CRD 10446 ↗ MORAVIA CAPITAL AG no CRD number reported STEEN VILLEMOES no CRD number reported TWC, INC. no CRD number reported via BRIDGE CAPITAL ASSOCIATES, INC. (CRD 143475 ↗)	EDGAR ↗
Mar 30, 2012 D Trustwave Holdings, Inc. File 021-175964	$0	$0	$0	None listed on this filing	EDGAR ↗
Dec 1, 2010 D California Ethanol Power, LLC File 021-151258	$0	$0	$0	None listed on this filing	EDGAR ↗
Jun 25, 2010 D Beam Global File 021-144016	$0	$0	$0 (est.)	None listed on this filing	EDGAR ↗
Jun 24, 2010 D Beam Global File 021-144013	$397,575 (est.)	$0	$400,000 (est.)	Dennis Beeby BrokerCheck CRD 1879834 ↗ via American Beacon Partners, Inc. (CRD 15791 ↗) Jay S. Potter BrokerCheck CRD 1585351 ↗ via American Beacon Partners, Inc. (CRD 15791 ↗)	EDGAR ↗
Mar 23, 2010 D Movero Technology Inc File 021-102611	$0	$0	$0	None listed on this filing	EDGAR ↗

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 16

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

Other Technology

Stamus Networks, Inc.

Indianapolis, IN · Aug 21, 2023 → Sep 30, 2025 · 3 filings

Sep 30, 2025 · D · $2,406,744 sold of $2,406,744 · 14 investors · min. No minimum reported · role: Director EDGAR ↗
May 6, 2025 · D · $530,000 sold of $530,000 · 5 investors · min. $21,955 · role: Director EDGAR ↗
Aug 21, 2023 · D · $6,015,536 sold of $6,015,536 · 14 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $6.02M from 14 investors (100% of the $2.41M target) as of the latest filing. Howard 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 Technology / 506(b) (17,390 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

Pooled Investment Fund · group: First Analysis

First Analysis Fund XIV-A, L.P.

Chicago, IL · Aug 11, 2023

Aug 11, 2023 · D · $0 sold of $100,000,000 · 0 investors · min. No minimum reported · role: Executive Officer, Promoter EDGAR ↗

No sales reported yet as of the latest filing. Howard is listed as executive officer, promoter.

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.

Pooled Investment Fund · group: First Analysis

First Analysis Fund XIV (Cayman), L.P.

Chicago, IL · Aug 3, 2023

Aug 3, 2023 · D · $0 sold of $100,000,000 · 0 investors · min. No minimum reported · role: Executive Officer, Promoter EDGAR ↗

No sales reported yet as of the latest filing. Howard is listed as executive officer, promoter.

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.

Pooled Investment Fund · group: First Analysis

First Analysis Fund XIV, L.P.

Chicago, IL · Jul 26, 2023

Jul 26, 2023 · D · $0 sold of $100,000,000 · 0 investors · min. No minimum reported · role: Executive Officer, Promoter EDGAR ↗

No sales reported yet as of the latest filing. Howard is listed as executive officer, promoter.

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.

Other Technology

VisiQuate, Inc.

Santa Rosa, CA · Oct 30, 2015 → Jul 14, 2021 · 5 filings

Jul 14, 2021 · D · $49,500,000 sold of $49,500,000 · 3 investors · min. No minimum reported · role: Director EDGAR ↗
Mar 30, 2017 · D · $1,329,069 sold of $2,000,000 · 7 investors · min. No minimum reported · role: Director EDGAR ↗
Oct 30, 2015 · D · $50,000 sold of $50,000 · 2 investors · min. No minimum reported · role: Director EDGAR ↗
Oct 30, 2015 · D · $1,124,801 sold of $1,124,801 · 4 investors · min. No minimum reported · role: Director EDGAR ↗
Oct 30, 2015 · D · $104,998 sold of $104,998 · 1 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $49.5M from 18 investors (100% of the $49.5M target) as of the latest filing. Howard is listed as director on 5 filings for this deal.

Latest filing on EDGAR ↗

Sources

Pooled Investment Fund · group: First Analysis

FIRST ANALYSIS FUND XII, L.P.

Chicago, IL · Jun 8, 2017 → Aug 30, 2018 · 2 filings

Aug 30, 2018 · D/A · $64,760,000 sold of $64,760,000 · 60 investors · min. No minimum reported · role: Executive Officer, Promoter EDGAR ↗
Jun 8, 2017 · D · $0 sold of $115,000,000 · 0 investors · min. No minimum reported · role: Executive Officer, Promoter EDGAR ↗

Raised $64.8M from 60 investors (100% of the $64.8M target) as of the latest filing. Howard is listed as executive officer, promoter 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: 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.

Other Technology · group: Charter

Blue Medora, Inc.

Grand Rapids, MI · Aug 8, 2018

Aug 8, 2018 · D · $6,000,000 sold of $6,000,000 · 1 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $8M from 14 investors (100% of the $6M target) as of the latest filing. Howard is listed as director.

Latest filing on EDGAR ↗

Sources

Other Technology

NimbeLink Corp.

Plymouth, MN · Mar 2, 2016 → Oct 12, 2017 · 2 filings

Oct 12, 2017 · D · $1,188,802 sold of $1,500,000 · 7 investors · min. No minimum reported · role: Director EDGAR ↗
Mar 2, 2016 · D · $2,500,000 sold of $2,500,000 · 3 investors · min. $50,000 · role: Director EDGAR ↗

Raised $2.5M from 7 investors (100% of the $1.5M target) as of the latest filing. Howard is listed as director on 2 filings for this deal.

Latest filing on EDGAR ↗

Sources

Pooled Investment Fund · group: First Analysis

First Analysis Fund XII (Cayman), L.P.

Chicago, IL · Jul 13, 2017

Jul 13, 2017 · D · $0 sold of $115,000,000 · 0 investors · min. No minimum reported · role: Executive Officer, Promoter EDGAR ↗

No sales reported yet as of the latest filing. Howard is listed as executive officer, promoter.

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.

Other Technology · group: Trustwave

Trustwave Holdings, Inc.

Chicago, IL · Mar 30, 2012 → Mar 28, 2014 · 3 filings

Mar 28, 2014 · D · $25,471,950 sold of $27,500,000 · 19 investors · min. No minimum reported · role: Director EDGAR ↗
Nov 12, 2013 · D · $24,498,210 sold of $24,816,000 · 18 investors · min. No minimum reported · role: Director EDGAR ↗
Mar 30, 2012 · D · $0 sold of Indefinite · 23 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $25.5M from 23 investors (93% of the $27.5M target) as of the latest filing. Howard is listed as director on 3 filings for this deal.

Latest filing on EDGAR ↗

Sources

Pooled Investment Fund · group: First Analysis

FIRST ANALYSIS PRIVATE EQUITY FUND V-C, L.P.

Chicago, IL · Apr 18, 2013

Apr 18, 2013 · D · $5,000,000 sold of $5,000,000 · 1 investors · min. No minimum reported · role: Executive Officer, Promoter EDGAR ↗

Raised $5M from 1 investor (100% of the $5M target) as of the latest filing. Howard is listed as executive officer, promoter.

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.

Pooled Investment Fund · group: First Analysis

FIRST ANALYSIS PRIVATE EQUITY FUND V-A, L.P.

Chicago, IL · Jun 24, 2011 → Jun 28, 2012 · 2 filings

Jun 28, 2012 · D/A · $55,250,000 sold of $200,000,000 · 17 investors · min. No minimum reported · role: Executive Officer, Promoter EDGAR ↗
Jun 24, 2011 · D · $0 sold of $200,000,000 · 0 investors · min. No minimum reported · role: Executive Officer, Promoter EDGAR ↗

Raised $55.3M from 17 investors (28% of the $200M target) as of the latest filing. Howard is listed as executive officer, promoter 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.

Pooled Investment Fund · group: First Analysis

FIRST ANALYSIS PRIVATE EQUITY FUND V, L.P.

Chicago, IL · Jun 24, 2011 → Jun 28, 2012 · 2 filings

Jun 28, 2012 · D/A · $2,785,000 sold of $200,000,000 · 1 investors · min. No minimum reported · role: Executive Officer, Promoter EDGAR ↗
Jun 24, 2011 · D · $0 sold of $200,000,000 · 0 investors · min. No minimum reported · role: Executive Officer, Promoter EDGAR ↗

Raised $2.79M from 1 investor (1% of the $200M target) as of the latest filing. Howard is listed as executive officer, promoter 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.

Other Energy

California Ethanol Power, LLC

Brawley, CA · Dec 1, 2010

Dec 1, 2010 · D · $5,600,000 sold of $5,600,000 · 33 investors · min. $25,000 · role: Executive Officer EDGAR ↗

Raised $5.6M from 56 investors (100% of the $5.6M target) as of the latest filing. Howard is listed as executive officer.

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.

Energy Conservation

Beam Global

San Diego, CA · Jun 24, 2010 → Jun 25, 2010 · 2 filings

Jun 25, 2010 · D · $0 sold of Indefinite · 129 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
Jun 24, 2010 · D · $206,750 sold of $2,650,500 · 5 investors · min. $5,000 · role: Executive Officer EDGAR ↗

Raised $1.45M from 129 investors as of the latest filing. Howard is listed as executive officer 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.

Telecommunications

Movero Technology Inc

Austin, TX · Mar 23, 2010

Mar 23, 2010 · D · $992,316 sold of $992,316 · 5 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $992K from 5 investors (100% of the $992K target) as of the latest filing. Howard 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 (6)

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

Howard Smith — NH, 1 issuer, May 21, 2010 → May 21, 2010 · no shared issuer
Howard Smith — WA, 1 issuer, Apr 4, 2011 → Jun 2, 2011 · no shared issuer
Howard Smith — MD, 1 issuer, Nov 12, 2014 → Feb 9, 2022 · no shared issuer
Howard Smith — ID, 1 issuer, Aug 27, 2020 → Mar 17, 2026 · no shared issuer
HOWARD DEE SMITH — LA, 1 issuer, May 25, 2022 → May 25, 2022 · no shared issuer
HOWARD S SMITH — MA, 1 issuer, Apr 26, 2022 → Jun 8, 2023 · no shared issuer

People around Howard 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.

Management entity

FIRST ANALYSIS CORPORATION

Promoter · 6 shared filings (5 issuers)

FIRST ANALYSIS CORPORATION is on 5 issuers in total — a repeat sponsor. Their page lists every one.

Management entity

FIRST ANALYSIS VENTURE OPERATIONS & RESEARCH, L.L.C.

Promoter · 5 shared filings (5 issuers)

FIRST ANALYSIS VENTURE OPERATIONS & RESEARCH, L.L.C. is on 5 issuers in total — a repeat sponsor. Their page lists every one.

Management entity

FIRST ANALYSIS FUND XII+ GP MANAGER, LLC

Promoter · 3 shared filings (2 issuers)

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

Management entity

FIRST ANALYSIS FUND XII+ GP, LLC

Promoter, Director · 3 shared filings (2 issuers)

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

Management entity

FIRST ANALYSIS FUND XIV GP, LLC

Promoter · 3 shared filings (3 issuers)

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

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

Person

F. OLIVER NICKLIN, JR.

Executive Officer, Promoter · 8 shared filings (5 issuers)

F. OLIVER NICKLIN, JR. is on 5 issuers in total — a repeat sponsor. Their page lists every one.

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

Person

JAMES MACDONALD

Executive Officer, Promoter · 8 shared filings (5 issuers) · also on 1 other issuer

JAMES MACDONALD is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

Person

TRACY MARSHBANKS

Executive Officer, Promoter · 8 shared filings (5 issuers) · also on 1 other issuer

TRACY MARSHBANKS is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

Person

MATTHEW NICKLIN

Executive Officer, Promoter · 7 shared filings (5 issuers)

MATTHEW NICKLIN is on 5 issuers in total — a repeat sponsor. Their page lists every one.

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

Person

Corey Greendale

Executive Officer, Promoter · 6 shared filings (5 issuers) · also on 1 other issuer

Corey Greendale is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

Person

Brian Robertson

Executive Officer, Director · 5 shared filings (1 issuer) · also on 3 other issuers

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

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

Person

Rich Waller

Executive Officer, Director · 5 shared filings (1 issuer)

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

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

Person

Sven Zabka

Executive Officer · 5 shared filings (1 issuer) · also on 1 other issuer

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

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

Person

John Farrow

Director · 4 shared filings (1 issuer)

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

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

Person

Jim Kolmansberger

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

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

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

Person

Raymond Hsu

Executive Officer · 4 shared filings (1 issuer)

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

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

Person

RICHARD GARMAN

Director · 3 shared filings (1 issuer) · also on 12 other issuers

RICHARD GARMAN is on 13 issuers in total — a repeat sponsor. Their page lists every one.

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

Person

Andrew Bokor

Executive Officer, Director · 3 shared filings (1 issuer) · also on 2 other issuers

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

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

Person

Joseph Patanella

Director · 3 shared filings (1 issuer) · also on 2 other issuers

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

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

Person

Robert J McCullen

Executive Officer, Director · 3 shared filings (1 issuer) · also on 2 other issuers

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

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

Person

Kevin Bradford

Director · 3 shared filings (1 issuer)

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

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

Person

Kenneth Gramley

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

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

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

Person

Eric Leblond

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

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

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

Person

Nick Mirchef

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

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

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

Person

Kevin Martin

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

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

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

Person

Richard Kiphart

Director · 3 shared filings (1 issuer) · also on 2 other issuers

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

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

Person

Stuart Harvey

Director · 3 shared filings (1 issuer)

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

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

Person

JOHN EVEY

Director · 2 shared filings (1 issuer) · also on 3 other issuers

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

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

Person

JAY S. POTTER

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

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

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

Person

ROBERT NOBLE

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

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

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

Person

Tim Nicholson

Director · 2 shared filings (1 issuer)

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

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

Person

Doug Klotnia

Executive Officer · 2 shared filings (1 issuer)

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

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

Person

James Kunkel

Executive Officer · 2 shared filings (1 issuer)

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

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

Person

J. Lawrence Podmolik

Executive Officer · 2 shared filings (1 issuer)

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

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

Person

Neil W. Brown

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

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

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

Person

Russell King

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

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

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

Person

Ruth Ann Marshall

Director · 2 shared filings (1 issuer)

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

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

Person

Walter Hosp

Director · 2 shared filings (1 issuer)

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

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

Person

William Bertrand

Director · 2 shared filings (1 issuer)

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

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

Person

Leo Cole

Executive Officer · 2 shared filings (1 issuer)

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

The team behind the deals

Sponsor group

First Analysis

8 issuers · 11 filings · $127.8M reported sold · 2011–2023

FA First Analysis Fund XIV-A, L.P. Pooled Investment Fund · 2023 · listed
FA First Analysis Fund XIV (Cayman), L.P. Pooled Investment Fund · 2023 · listed
FA First Analysis Fund XIV, L.P. Pooled Investment Fund · 2023 · listed
FA FIRST ANALYSIS FUND XII, L.P. Pooled Investment Fund · $64.8M sold · 2017 · listed
FA First Analysis Fund XII (Cayman), L.P. Pooled Investment Fund · 2017 · listed
FA FIRST ANALYSIS PRIVATE EQUITY FUND V-C, L.P. Pooled Investment Fund · $5M sold · 2013 · listed
FA FIRST ANALYSIS PRIVATE EQUITY FUND V, L.P. Pooled Investment Fund · $2.79M sold · 2011 · listed
FA FIRST ANALYSIS PRIVATE EQUITY FUND V-A, L.P. Pooled Investment Fund · $55.3M sold · 2011 · listed

One team, 8 deal companies. Howard Smith is listed on 8 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 Howard Smith.

Sponsor group

Trustwave

3 issuers · 8 filings · $42.4M reported sold · 2011–2019

TH Truss Holdings, Inc. Commercial · $15.1M sold · 2016
TH Trustwave Holdings, Inc. Other Technology · $25.5M sold · 2012 · listed
MV MBK Ventures, LLC Investing · $1.76M sold · 2011

One team, 3 deal companies. Howard Smith 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 Howard Smith.

Sponsor group

Charter

37 issuers · 49 filings · $205.4M reported sold · 2009–2026

MC Michigan Capital Network Venture Fund V, L.P. Pooled Investment Fund · $65.4M sold · 2025
NC New Community Transformation Fund II, L.P. Pooled Investment Fund · 2026
CS Charter Stone House LLC Pooled Investment Fund · $6.5M sold · 2025
CG Charter Growth Capital Fund II, L.P. Pooled Investment Fund · $27.1M sold · 2024
NC New Community Transformation Fund, LP Pooled Investment Fund · $11.4M sold · 2020
MC Michigan Capital Network Opportunity Fund, LP Pooled Investment Fund · 2023
CA Charter-ASI 3, LLC Pooled Investment Fund · $753K sold · 2023
MC Michigan Capital Network Venture Fund IV, LP Pooled Investment Fund · $37.5M sold · 2021
CP CHARTER-PAPA'S FUND II, LLC Pooled Investment Fund · $618K sold · 2022
CS Charter-SOC II Co-Investment Fund I, LLC Pooled Investment Fund · $548K sold · 2022
CV Charter-Vestaron II, LLC Pooled Investment Fund · $2.2M sold · 2022
CC CGCF Co-Investment Vehicle I, LLC Pooled Investment Fund · $7M sold · 2022
HN HENRICKSON NAUTA VENTURE FUND II, LP Pooled Investment Fund · $700K sold · 2021
CS Charter-SOC 2, LLC Pooled Investment Fund · $1.29M sold · 2021
CP CHARTER-PAPA'S FUND, LLC Pooled Investment Fund · $1.33M sold · 2020
CH Charter-HN Spirits Fund, LLC Pooled Investment Fund · $785K sold · 2020
CV Charter-Vestaron, LLC Pooled Investment Fund · $444K sold · 2019
CG Charter Growth Capital Fund, L.P. Pooled Investment Fund · $10.6M sold · 2019
CA Charter-ASI 2, LLC Pooled Investment Fund · $1.1M sold · 2019
CA Charter-ASI, LLC Pooled Investment Fund · $2.02M sold · 2019
CS Charter-Swift, LLC Pooled Investment Fund · $757K sold · 2018
CT Charter-TM, LLC Pooled Investment Fund · $3.48M sold · 2018
BM Blue Medora, Inc. Other Technology · $8M sold · 2015 · listed
HN Henrickson Nauta Venture Fund 1, L.P. Pooled Investment Fund · $1.13M sold · 2018
RG Rim Guard Holdings, LLC Pooled Investment Fund · $900K sold · 2017
MO MAF Opportunity Fund, L.P. Pooled Investment Fund · $1.85M sold · 2016
CE Charter-eAgile Fund, LLC Other · $100K sold · 2015
BM Blue Medora LLC Other Technology · $1.25M sold · 2013
GA Grand Angels Venture Fund II, LLC Pooled Investment Fund · 2014
GA GRAM Acquisition 2.0, LLC Pooled Investment Fund · $378K sold · 2013
GA GRAM Acquisition, LLC Pharmaceuticals · $2.44M sold · 2010
CI Charter Intervention Fund 2.0, LLC Pooled Investment Fund · 2011
MA Michigan Accelerator Fund I, L.P. Pooled Investment Fund · $7.51M sold · 2011
GN GRAM NewCo, Inc. Pharmaceuticals · $4.95M sold · 2010
CI Charter Intervention Fund, LLC Pooled Investment Fund · 2010
GA Grand Angels Co-Investment Fund I, LLC Pooled Investment Fund · 2009
CM Charter MSD 2.1 Fund, LLC Pooled Investment Fund · $323K sold · 2009

One team, 37 deal companies. Howard Smith 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 Howard Smith.

Same business address

51 other issuers file from the same address (first 50 shown)

L3 BP GP I LLC Chicago, IL · 2026
RMB Private Equity Opportunities QP LLC - Series 5 Chicago, IL · 2024
Series 1 of RMB Fixed Income Opportunities QP LLC Chicago, IL · 2012
Curi Capital Private Markets Fund, LP Chicago, IL · 2025
Chicago Partners Diversified Tax Aware Fund, LLC Chicago, IL · 2025
Chicago Partners Market Opportunities Fund LLC Chicago, IL · 2026
Diversified Income Fund II LLC Chicago, IL · 2026
Diversified Equity Fund II LLC Chicago, IL · 2026
Adams Street Associates, L.P. Chicago, IL · 2026
ASP Feeder (Offshore) CFO 2026 Sub Note, L.P. Chicago, IL · 2026
ASP Feeder (Onshore) CFO 2026 Sub Note, L.P. Chicago, IL · 2026
ASP Partners CFO 2026 LP Chicago, IL · 2026
ADAMS STREET CREDIT SOLUTIONS FUND Chicago, IL · 2026
RMB Private Investment Opportunities LLC - Series 4 Chicago, IL · 2026
Boyd Watterson State Government Fund, LP Chicago, IL · 2017
Boyd Watterson GSA Fund, LP Chicago, IL · 2013
RMB Real Estate Opportunities QP LLC - Series 4 Chicago, IL · 2024
CFIP Opportunistic Credit Onshore Fund III, LP Chicago, IL · 2023
RMB Private Investment Opportunities LLC - Series 2 Chicago, IL · 2024
Nineteen77 Working Capital Finance Opportunistic Fund LLC Chicago, IL · 2023
RMB Private Investment Opportunities LLC - Series 3 Chicago, IL · 2025
SVP MVP Management HoldCo, LLC Chicago, IL · 2024
FRONTENAC XIII PRIVATE CAPITAL (PARALLEL) LIMITED PARTNERSHIP Chicago, IL · 2024
FRONTENAC XIII PRIVATE CAPITAL LIMITED PARTNERSHIP Chicago, IL · 2024
US Global Real Estate Funds Selection LP Chicago, IL · 2020
US GREFS Parallel Fund LP Chicago, IL · 2022
PERISCOPE EQUITY III-A, L.P. Chicago, IL · 2024
PERISCOPE EQUITY III, L.P. Chicago, IL · 2024
SM HOLDCO, LLC Chicago, IL · 2018
Clover Private Credit Opportunities (Delaware) III LP Chicago, IL · 2023
EV FS SPV LLC Chicago, IL · 2021
Fairway Venture Capital Fund II, L.P. Chicago, IL · 2023
Frontenac XI Private Capital (Parallel) Limited Partnership Chicago, IL · 2017
Frontenac XI Private Capital Limited Partnership Chicago, IL · 2017
MDCP INSURANCE SPV, L.P. Chicago, IL · 2023
Drift Net, Inc. Chicago, IL · 2023
LPC FF Aggregator II, LLC Chicago, IL · 2022
Fuel Merchandise Group, LLC Indianapolis, IN · 2022
MDCP Co-Investors (Mobius), L.P. Chicago, IL · 2022
EV Sitetracker II SPV LLC Chicago, IL · 2022
Nineteen77 Environmental Focus Fund (Delaware) LLC Chicago, IL · 2021
ASP (Feeder) SPC II-A2 LP Chicago, IL · 2022
ADAMS STREET PRIVATE CREDIT FUND II-A LP Chicago, IL · 2020
ADAMS STREET PRIVATE CREDIT FUND II-B LP Chicago, IL · 2022
ASP (Feeder) Private Credit Fund II LP Chicago, IL · 2022
EV Aurora II SPV LLC Chicago, IL · 2022
Fairway Venture Capital Fund, L.P. Chicago, IL · 2020
LPC REIT 203 FIRST STATE, LP Chicago, IL · 2022
LPC REIT 113 DIVISION I, LP Chicago, IL · 2022
LPC REIT 112 LOCUST POINT, LP Chicago, IL · 2022

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); 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 16 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 Howard 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 16 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Howard Smith is listed on: none on file. No website or social profile named in Stamus Networks, Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #58,653 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 (Indianapolis, IN). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Change history

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Howard Smith

The short version

What the community is saying

Key records

1. Lawsuits

2. Regulatory actions

3. Bankruptcies

4. Differences between public sources

Bankruptcy case: Edward Joseph Hernandez and Evey Lee Hernandez — filed Oct 13, 2005

Bankruptcy case: Ray Hsu — filed Jun 27, 2003

29% of the money raised went to insiders — FIRST ANALYSIS PRIVATE EQUITY FUND V-A, L.P.

575% of the money raised went to insiders — FIRST ANALYSIS PRIVATE EQUITY FUND V, L.P.

193% of the money raised went to insiders — Beam Global

Howard Smith appears on 7 deals that stopped filing before reaching their target

4 paid sellers are listed without a CRD number

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

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

Howard Smith is no longer listed on the Jul 28, 2010 amendment — Beam Global

Offering amount lowered between filings — FIRST ANALYSIS FUND XII, L.P.

Howard Smith is written 2 different ways on the filings

Reported revenue range changed between filings — NimbeLink Corp.

Same name, different state: "Howard Smith" (ID) is a separate record

Same name, different state: "HOWARD DEE SMITH" (LA) is a separate record

Same name, different state: "Howard Smith" (MD) is a separate record

Same name, different state: "Howard Smith" (WA) is a separate record

Same name, different state: "Howard Smith" (NH) is a separate record

Howard Smith is listed with 3 different address states: IL, CA, IN

5. Money to insiders

Deals 16

People around Howard 40

The team behind the deals

51 other issuers file from the same address (first 50 shown)

Registrations and other filings

Business registration (state registry / Secretary of State)

Adviser registration (Form ADV)

Other offering types (Regulation A and Regulation Crowdfunding)

Public profiles and social

Look further

Social and web

Courts

Securities regulators

Business registries

Change history

Request a correction

Add a response

Monitor this person