PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 6:47 AM ET

Sponsor Check › Person

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

James Smith

Named as an officer, director or promoter on SEC Form D filings · Cayman Islands (as filed: E9) · Aug 6, 2021 → Aug 13, 2026

1deal (issuers)
$119.6Mreported sold
9investors
6Form D filings
2021–2026years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:49 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

James Smith is listed as a director on 6 SEC Form D filings by 1 issuer between Aug 2021 and Aug 2026: Palliser Capital Fund LP (George Town, Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2021–2026; $119.6M reported sold to 9 investors).

What this means One deal on file with the SEC. A Form D is the notice a company files after it starts selling a private investment — it is a notice, not an approval.

Listed alongside Palliser Capital (GP) LLC (6 shared filings, management entity), Palliser Capital (UK) Ltd (6 shared filings, management entity), Stephen Rooney (6 shared filings), Jennifer Collins (3 shared filings) and Louise Groom (3 shared filings).

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 (AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, LA, ME, MO, MS, MT, NASAA, NC, NH, NM, OR, RI, TX, WA) — 1 SEC release listed in Key records below.

What this means 1 record 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 6 public filings for James Smith and found 5 differences: Same name, different state: "James Smith" (TX) is a separate record; Same name, different state: "James H Smith" (NC) is a separate record; 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 James Smith has not run yet — it is joining a line of 20,117 names; searches run around the clock at the hosts' allowed rate. Searched so far: 260 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).

Key records

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

1. Lawsuits

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

What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:49 AM ET.

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

2. Regulatory actions

1 SEC release

David G. Barford, Kent D. Kalkwarf, David L. Mccall and James H. Smith III Litigation release
SEC · May 26, 2005 · Parties as named in the release: David G. Barford, Kent D. Kalkwarf, David L. Mccall and James H. Smith III Read the release ↗
same full name in the release title; 49 people with this name in Form D filings; the person's filing state is not named
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 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), DE DOJ Investor Protection Unit (257 actions, 1987–2026), TX State Securities Board (586 actions, 2006–2026), WA DFI (2,039 actions, 2001–2026) — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first — last crawled Oct 23, 2026, 9:57 PM ET. No machine-readable public listing today for IA, IN, KS, MI, NE, NV (see docs/state-regulators.md).

3. Bankruptcies

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

What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:49 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.

4. Differences between public sources

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

5 differences found between the filings for James Smith (compared 6 filings on Oct 24, 2026)

Note · Jan 8, 2013 – May 16, 2024

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

This page covers filings where the address state is E9. 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 (Aug 6, 2021 to May 16, 2024).

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.

James Smith (TX) — PartnerFacts page ↗Form D · May 16, 2024 ↗Sano Chemicals Inc — PartnerFacts page ↗James Smith (E9) — this page ↗
Sources
Note · Jul 14, 2017 – May 26, 2021

Same name, different state: "James H Smith" (NC) is a separate record

This page covers filings where the address state is E9. 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). The two records do not overlap in time: this page runs Aug 6, 2021 to Aug 13, 2026; the other runs Jul 14, 2017 to May 26, 2021.

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.

James H Smith (NC) — PartnerFacts page ↗Form D · May 26, 2021 ↗Mendacre IX-DG, LLC — PartnerFacts page ↗James Smith (E9) — this page ↗
Sources
Note · May 27, 2010 – May 10, 2013

Same name, different state: "James Smith" (VA) is a separate record

This page covers filings where the address state is E9. 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 Aug 6, 2021 to Aug 13, 2026; 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.

James Smith (VA) — PartnerFacts page ↗Form D · May 10, 2013 ↗Integrated Energy Solutions, LLC — PartnerFacts page ↗James Smith (E9) — this page ↗
Sources
Note · Oct 13, 2009

Same name, different state: "James Smith" (OR) is a separate record

This page covers filings where the address state is E9. 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 Aug 6, 2021 to Aug 13, 2026; 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.

James Smith (OR) — PartnerFacts page ↗Form D · Oct 13, 2009 ↗ResCom Capital Fund, LLC — PartnerFacts page ↗James Smith (E9) — this page ↗
Sources
Note · Aug 13, 2009 – Sep 10, 2009

Same name, different state: "James M. Smith" (NV) is a separate record

This page covers filings where the address state is E9. 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 Aug 6, 2021 to Aug 13, 2026; 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.

James M. Smith (NV) — PartnerFacts page ↗Form D · Sep 10, 2009 ↗BC Gas Recovery JV Two, LLC — PartnerFacts page ↗James Smith (E9) — this page ↗
Sources
What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. As of Oct 24, 2026.

5. Money to insiders

None reported on 1 offering — no sales commissions, finder's fees or proceeds to insiders

Per-offering detail
Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Aug 13, 2026 D/A
Palliser Capital Fund LP
File 021-409083
$0$0$0
The fund charges a management fee that is described in the fund's governing documents.
None listed on this filingEDGAR ↗

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 1

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.

PC
Pooled Investment Fund

Palliser Capital Fund LP

George Town, Grand Cayman, Cayman Islands (as filed: E9) · Aug 6, 2021 → Aug 13, 2026 · 6 filings
  • Aug 13, 2026 · D/A · $119,555,487 sold of Indefinite · 9 investors · min. No minimum reported · role: Director (Manager of the General Partner) EDGAR ↗
  • Aug 5, 2025 · D/A · $70,544,916 sold of Indefinite · 9 investors · min. No minimum reported · role: Director (Manager of the General Partner) EDGAR ↗
  • Aug 5, 2024 · D/A · $51,583,712 sold of Indefinite · 9 investors · min. No minimum reported · role: Director (Manager of the General Partner) EDGAR ↗
  • Aug 4, 2023 · D/A · $51,583,712 sold of Indefinite · 9 investors · min. No minimum reported · role: Director (Manager of the General Partner) EDGAR ↗
  • Aug 5, 2022 · D/A · $50,950,000 sold of Indefinite · 9 investors · min. No minimum reported · role: Director (Manager of the General Partner) EDGAR ↗
  • Aug 6, 2021 · D · $23,100,000 sold of Indefinite · 6 investors · min. No minimum reported · role: Director (Manager of the General Partner) EDGAR ↗

Raised $119.6M from 9 investors as of the latest filing. James is listed as director on 6 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 pages with the same name (20)

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

  • James H Smith — NC, 10 issuers, Jul 14, 2017 → May 26, 2021 · no shared issuer
  • James Smith — TX, 4 issuers, Jan 8, 2013 → May 16, 2024 · no shared issuer
  • James Smith — CO, 4 issuers, Oct 8, 2010 → Jul 30, 2026 · no shared issuer
  • James Smith — CA, 4 issuers, Dec 3, 2009 → Dec 28, 2011 · no shared issuer
  • James Smith — MA, PA, 4 issuers, Dec 19, 2013 → May 31, 2022 · no shared issuer
  • James Smith — Alberta, Canada (as filed: A0), 4 issuers, Feb 22, 2011 → Jul 19, 2018 · no shared issuer
  • James W. Smith — AR, 3 issuers, Mar 26, 2013 → Jul 27, 2021 · no shared issuer
  • JAMES F SMITH — NY, NC, PA, 3 issuers, Apr 2, 2009 → Sep 10, 2010 · no shared issuer
  • James M. Smith — NV, 2 issuers, Aug 13, 2009 → Sep 10, 2009 · no shared issuer
  • James Smith — VA, 2 issuers, May 27, 2010 → May 10, 2013 · no shared issuer
  • James Smith — OH, 2 issuers, May 2, 2017 → Oct 25, 2022 · no shared issuer
  • James Smith — United Kingdom (as filed: X0), 2 issuers, Jan 31, 2018 → Mar 1, 2023 · no shared issuer
  • James Smith — OR, 1 issuer, Oct 13, 2009 → Oct 13, 2009 · no shared issuer
  • James Smith — NJ, 1 issuer, Jul 20, 2010 → Jul 17, 2012 · no shared issuer
  • James F Smith — NE, 1 issuer, Sep 23, 2011 → Sep 23, 2011 · no shared issuer
  • James Lacey Smith — TN, 1 issuer, Dec 17, 2012 → Dec 17, 2012 · no shared issuer
  • James B Smith — MS, 1 issuer, Jan 10, 2013 → Jan 10, 2013 · no shared issuer
  • James Smith — WY, 1 issuer, Oct 15, 2014 → Oct 15, 2014 · no shared issuer
  • James Smith — IL, 1 issuer, Oct 9, 2015 → Oct 9, 2015 · no shared issuer
  • James Sullivan Smith — Jersey (as filed: Y9), 1 issuer, Jun 29, 2017 → Jun 29, 2017 · no shared issuer

People around James 5

Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.

PC
Management entity

Palliser Capital (UK) Ltd

Promoter · 6 shared filings (1 issuer)

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

PC
Management entity

Palliser Capital (GP) LLC

Executive Officer · 6 shared filings (1 issuer)

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

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

Stephen Rooney

Director · 6 shared filings (1 issuer)

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

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

Jennifer Collins

Director · 3 shared filings (1 issuer) · also on 227 other issuers

Jennifer Collins is on 228 issuers in total — a repeat sponsor. Their page lists every one.

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

Louise Groom

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

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

Registrations and other filings

Adviser registration (Form ADV)

A person is never an adviser firm. 1 of the 1 issuer this person is listed on matches a Form ADV adviser (searched 24,962 advisers as of Oct 2, 2026): Palliser Capital Fund LP.

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 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 1 issuer this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers James Smith is listed on: none on file. No website or social profile named in Palliser Capital Fund LP's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #13,500 of 374,652 in line (401 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 (George Town, Grand Cayman, E9). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

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

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗

Securities regulators

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

Business registries

OpenCorporates ↗

Change history

No corrections have been requested for this page.

Every fact links to its public-record source. Plain-English notes next to a fact are our reading of that fact, not a rating. Request a correction · Facts policy

Request a correction

Free. Logged with status: received → under review → fixed / confirmed with source.

Add a response

If this is you or your firm, add a sourced explanation next to any fact. Reviewed before publishing.

Monitor this person

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 →