Sponsor Check › Person
Named as an officer, director or promoter on SEC Form D filings · OH · May 2, 2017 → Oct 25, 2022
Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:23 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 an executive officer and director on 3 SEC Form D filings by 2 issuers between May 2017 and Oct 2022: TecTraum, Inc. (Chagrin Falls, OH — other health care — 2017–2022; $3.8M reported sold to 32 investors) and All Saints Episcopal Church (New Albany, OH — industry reported as "Other" — 2017).
What this means 2 separate companies raised money with this person listed as executive officer and director, over about 5 years. Across those companies the filings report $3.8M sold in total.
Listed alongside Joachim Gfoeller Jr. (2 shared filings), John Zak (2 shared filings), Justin Fargas (2 shared filings), Michael Verona (2 shared filings), Amy Barnes (1 shared filing) and 18 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.
1 of the issuers belongs to the sponsor group Group linked by Joachim Gfoeller JR. (5 issuers, $18.6M reported sold, 2010–2022).
What this means A sponsor group is one team that sets up a new company for each deal. Group linked by Joachim Gfoeller JR. has 5 companies on file and $18.6M reported sold in total — the group page shows the whole track record in one place.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, OK, OR, PA, RI, SC, SD, TN, TX, VT, WA, WI, WV, WY) — 3 SEC releases, 23 bankruptcy cases matching the name listed in Key records below.
What this means 26 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 3 public filings for James Smith and found 14 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 28,211 names; searches run around the clock at the hosts' allowed rate. Searched so far: 638 names.
Community comments are quoted as written by their authors. Sources searched: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).
Five things investors ask first. Items still in human review are counted, not shown.
None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026
Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:23 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).
23 cases: 8 open, 15 closed (disposition not in docket feed)
Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:23 AM ET.
Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.
State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.
Comparisons cover issuers and sponsor groups — see the issuer pages under Deals
14 differences found between the filings for James Smith — 3 worth asking about (compared 3 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.
United States Bankruptcy Court, N.D. Ohio docket "Joachim Gfoeller, Jr." filed Jul 31, 2025 (Open). Joachim Gfoeller Jr. (listed on the same filings) is listed as Debtor ("Joachim Gfoeller, Jr."). Our match estimate: 65%.
What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.
United States Bankruptcy Court, S.D. Ohio docket "Don M Mullen" filed Sep 2, 1997, closed Feb 4, 1998. Don Mullen (listed on the same filings) is listed as Debtor ("Don M Mullen"). 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.
All Saints Episcopal Church (last filing May 3, 2017; $0 sold of $1,132,000). Each has no filing in more than two years and reported under half its target sold.
What this means An issuer whose last filing is more than two years old and reported under half its target sold. The raise may have closed early or quietly stopped. Ask what happened to each.
The filing says the first sale was Apr 20, 2016. The Form D was filed May 2, 2017 — 377 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 362 days past that.
What this means The notice went in months after money was taken in. Late notices are common and carry no penalty by themselves, but it is fair to ask the sponsor why the paperwork lagged.
The latest filing for this offering is dated May 2, 2017 (first sale Apr 20, 2016). It reports $3,800,000 sold of $5,000,000 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.
"No Revenues" (May 2, 2017); then "Decline to Disclose" (Oct 25, 2022).
What this means This is the size band the issuer picks for itself on the form. A change can mean the business grew or shrank — or that it chose not to say. Ask for current numbers.
This page covers filings where the address state is OH. 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 (May 2, 2017 to Oct 25, 2022).
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 OH. 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 May 26, 2021).
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 OH. A separate record, "James Smith" with address state VA, is listed on 2 filings — most recently by Integrated Energy Solutions, LLC (May 10, 2013). The two records do not overlap in time: this page runs May 2, 2017 to Oct 25, 2022; the other runs May 27, 2010 to May 10, 2013.
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 OH. 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 May 2, 2017 to Oct 25, 2022; 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 OH. 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 May 2, 2017 to Oct 25, 2022; 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.
The people listed on the May 2, 2017 filing give Cleveland, OH; on the Oct 25, 2022 filing they give Chagrin Falls, OH.
What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.
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.
None reported on 3 offerings — no sales commissions, finder's fees or proceeds to insiders
| Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it | Source |
|---|---|---|---|---|---|
| Oct 25, 2022 D TecTraum, Inc. File 021-462783 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| May 3, 2017 D All Saints Episcopal Church File 021-285929 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| May 2, 2017 D TecTraum, Inc. File 021-285896 | $0 | $0 | $0 Some of amount will be used for payments to executive officers in the ordinary course of business | 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 $3.8M from 32 investors (95% of the $4M 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 Health Care / 506(b) (4,189 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
No sales reported yet as of the latest filing. James is listed as executive officer, 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. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Other / 506(b) (18,678 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
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.
Joachim Gfoeller Jr. is on 7 issuers in total — a repeat sponsor. Their page lists every one.
Jeffrey Gilfix is on 5 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.
One team, 5 deal companies. James Smith is listed on 1 of them.
Issuers are grouped when their Form D filings share related persons, a management entity or a business address (automatic match from the filings). "Listed" marks the issuers that name James Smith.
None of the 2 issuers this person is listed on appears in Form ADV (searched 24,962 advisers as of Oct 2, 2026). A person is never an adviser firm; Form ADV is checked for the issuers and the management companies they are listed with.
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 2 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 TecTraum, Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #141,445 of 374,652 in line (1,346 issuers searched so far). One-tap searches: Look further ↓
One-tap searches on sites we do not index ourselves, with the name pre-filled (Chagrin Falls, OH). 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 →