Sponsor Check › Person
Named as an officer, director or promoter on SEC Form D filings · Alberta, Canada (as filed: A0) · Feb 22, 2011 → Jul 19, 2018
Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 3:05 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET
James Smith is listed as a director on 5 SEC Form D filings by 4 issuers between Feb 2011 and Jul 2018: ANTRIM ENERGY INC (Calgary, Alberta, Canada (as filed: A0) — oil and gas — 2011; $25.9M reported sold to 3 investors), Midway Energy Ltd. (Calgary, Alberta, Canada (as filed: A0) — oil and gas — 2012; $21M reported sold to 5 investors), Coda Petroleum Inc. (Calgary, Alberta, Canada (as filed: A0) — oil and gas — 2011; $7.38M reported sold to 2 investors) and Wavefront Technology Solutions Inc. (Edmonton, Alberta, Canada (as filed: A0) — other energy — 2018; $525K reported sold to 2 investors).
What this means A repeat sponsor — 4 separate companies raised money with this person listed as director, over about 7 years. Across those companies the filings report $54.8M sold in total.
Listed alongside Brett C. Davidson (2 shared filings), D. Bradley Paterson (2 shared filings), Dennis Minano (2 shared filings), John Brussa (2 shared filings), Mark Bernard (2 shared filings) and 27 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around James. Each name links to their own page.
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) — 3 SEC releases listed in Key records below.
What this means 3 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 5 public filings for James Smith and found 12 differences, 3 worth asking the sponsor about: Regulator action: James Barlow Smith (Dec 18, 2006); Regulator action: James Barlow Smith, et al. (Dec 18, 2006); 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 James Smith has not run yet — it is joining a line of 23,319 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, 3:05 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.
3 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 James 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).
None found in sources searched — federal bankruptcy courts (CourtListener / RECAP), checked Oct 24, 2026
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, 3:05 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.
Comparisons cover issuers and sponsor groups — see the issuer pages under Deals
12 differences found between the filings for James Smith — 3 worth asking about (compared 5 filings on Oct 24, 2026)
A ap release dated Dec 18, 2006 names James 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.
An SEC litigation release dated Dec 18, 2006 names James 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.
Wavefront Technology Solutions Inc. (last filing Jul 19, 2018; $524,528 sold of $14,864,107). 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.
Paid seller listed without a CRD number: RBC Dominion Securities Inc. — ANTRIM ENERGY INC · Paid seller listed without a CRD number: CIBC World Markets Inc. — ANTRIM ENERGY INC · Paid seller listed without a CRD number: Mackie Research Capital Corporation — ANTRIM ENERGY INC · Paid seller listed without a CRD number: Salman Partners Inc. — ANTRIM ENERGY INC
What this means Without a CRD number we cannot look a seller up on BrokerCheck. Ask who they are and whether they are registered.
The filing says the first sale was Feb 14, 2012. The Form D was filed Mar 6, 2012 — 21 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 6 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.
The latest filing for this offering is dated Jul 19, 2018 (first sale Jul 17, 2018). It reports $303,320 sold of $758,300 offered. No later amendment is in our index as of Oct 24, 2026.
What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.
listed as "James Smith" on 3 filings (from Feb 22, 2011), and "James C. Smith" on 2 filings (from Apr 1, 2011).
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.
This page covers filings where the address state is A0. A separate record, "James Smith" with address state TX, is listed on 6 filings — most recently by Sano Chemicals Inc (May 16, 2024). Both records have filings in the same period (Jan 8, 2013 to Jul 19, 2018).
What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.
This page covers filings where the address state is A0. A separate record, "James H Smith" with address state NC, is listed on 10 filings — most recently by Mendacre IX-DG, LLC (May 26, 2021). Both records have filings in the same period (Jul 14, 2017 to Jul 19, 2018).
What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.
This page covers filings where the address state is A0. A separate record, "James Smith" with address state VA, is listed on 2 filings — most recently by Integrated Energy Solutions, LLC (May 10, 2013). Both records have filings in the same period (Feb 22, 2011 to May 10, 2013).
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 A0. A separate record, "James Smith" with address state OR, is listed on 1 filing — most recently by ResCom Capital Fund, LLC (Oct 13, 2009). The two records do not overlap in time: this page runs Feb 22, 2011 to Jul 19, 2018; the other has one filing dated Oct 13, 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.
This page covers filings where the address state is A0. A separate record, "James M. Smith" with address state NV, is listed on 2 filings — most recently by BC Gas Recovery JV Two, LLC (Sep 10, 2009). The two records do not overlap in time: this page runs Feb 22, 2011 to Jul 19, 2018; the other runs Aug 13, 2009 to Sep 10, 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 4 offerings report sales commissions totalling $2,329,533; 0 report finder's fees; 0 report proceeds to related persons.
| Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it | Source |
|---|---|---|---|---|---|
| Jul 19, 2018 D/A Wavefront Technology Solutions Inc. File 021-317224 | $0 | $0 | $0 Proceeds of the offering may be used for general working capital purposes. Thus, proceeds may be used for payments to officers and directors in the ordinary course, but are not specifically earmarked for such payments. | None listed on this filing | EDGAR ↗ |
| Mar 6, 2012 D Midway Energy Ltd. File 021-174407 | $1,050,000 | $0 | $0 | GMP Securitites L.P. no CRD number reported via GMP Securities LLC (CRD 42025 ↗) BMO Capital Markets no CRD number reported via BMO Capital Marekts Corp (CRD 16686 ↗) Desjardin Securities Inc. no CRD number reported via Desjardin Securities International Inc. (CRD 112417 ↗) Macquarie Capital Markets Canada Ltd. no CRD number reported via Macquarie Capital ( USA) Inc. (CRD 36368 ↗) Stifel Nicolaus Canada Inc. no CRD number reported via Stifel Nicolaus & Company Incorporated (CRD 793 ↗) | EDGAR ↗ |
| Apr 1, 2011 D ANTRIM ENERGY INC File 021-157697 | $1,279,533 | $0 | $0 | Cormark Securities Inc. no CRD number reported via Cormark Securities (U.S.A.) Ltd. (CRD 10100 ↗) RBC Dominion Securities Inc. no CRD number reported CIBC World Markets Inc. no CRD number reported Mackie Research Capital Corporation no CRD number reported Salman Partners Inc. no CRD number reported | EDGAR ↗ |
| Feb 22, 2011 D Coda Petroleum Inc. File 021-155695 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.
Counted across every filing this person is listed on (latest filing per offering, per issuer).
Every issuer that named James Smith on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.
Raised $525K from 2 investors (69% of the $758K target) as of the latest filing. James is listed as director 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 Energy / 506(b) (1,000 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 $21M from 5 investors (100% of the $21M target) as of the latest filing. James is listed as director.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.
Raised $25.9M from 3 investors (100% of the $25.9M target) as of the latest filing. James is listed as director.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.
Raised $7.38M from 2 investors (100% of the $7.38M target) as of the latest filing. James is listed as director.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.
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.
John Brussa is on 15 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as James Smith. Their page shows their other deals.
Listed on the same filings as James Smith. Their page shows their other deals.
Listed on the same filings as James Smith. Their page shows their other deals.
Listed on the same filings as James Smith. Their page shows their other deals.
Listed on the same filings as James Smith. Their page shows their other deals.
Listed on the same filings as James Smith. Their page shows their other deals.
Listed on the same filings as James Smith. Their page shows their other deals.
Listed on the same filings as James Smith. Their page shows their other deals.
Listed on the same filings as James Smith. Their page shows their other deals.
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 4 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 James 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 4 issuers this person is listed on — nothing matched.
Websites and social links of the issuers James Smith is listed on: none on file. No website or social profile named in ANTRIM ENERGY INC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #352,818 of 374,652 in line (1,174 issuers searched so far). One-tap searches: Look further ↓
One-tap searches on sites we do not index ourselves, with the name pre-filled (Calgary, A0). 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 James Smith appears on a new Form D, or when a court case or SEC action is matched to them. See plans →