PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:04 AM ET

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James Smith

Named as an officer, director or promoter on SEC Form D filings · MA, PA · Dec 19, 2013 → May 31, 2022

4deals (issuers)
$30.2Mreported sold
107investors
6Form D filings
2013–2022years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 3:04 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 4 issuers between Feb 2011 and May 2022: iraLogix, Inc. (Pittsburgh, PA — other technology — 2022; $14.2M reported sold to 50 investors), Echo Therapeutics, Inc. (Iselin, NJ — biotechnology — 2011–2013; $10M reported sold to 46 investors), Loadspring Solutions, Inc. (Wilmington, MA — computers — 2014; $6M reported sold to 11 investors) and Campus Real Estate Partners II Trust, LLC (Philadelphia, PA — reits and finance — 2020).

What this means A repeat sponsor — 4 separate companies raised money with this person listed as director, over about 11 years. Across those companies the filings report $30.2M sold in total.

Listed alongside VINCENT ENRIGHT (3 shared filings), WILLIAM F. GRIECO (3 shared filings), HARRY MITCHELL (2 shared filings), Patrick T. Mooney (2 shared filings), Shawn K. Singh (2 shared filings) and 16 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 Cv Qoz (56 issuers, $41.32B reported sold, 2009–2026).

What this means A sponsor group is one team that sets up a new company for each deal. Cv Qoz has 56 companies on file and $41.32B 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, 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) — 1 SEC release, 3 state regulator orders, 21 bankruptcy cases matching the name listed in Key records below.

What this means 25 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 6 public filings for James Smith and found 14 differences, 2 worth asking the sponsor about: Regulator action naming a team member: Echo Therapeutics, Inc. (May 18, 2021); Paid seller listed without a CRD number: Monarch Capital Group, LLC; 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 46,094 names; searches run around the clock at the hosts' allowed rate. Searched so far: 641 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

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, 3:04 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; 3 state regulator orders

Firms Cancelled for Failure to Pay Outstanding Fees Pursuant to FINRA Rule 9553 FINRA · Financial Industry Regulatory Authority (FINRA)
Order date Aug 13, 2012 · Regulator: Financial Industry Regulatory Authority (FINRA) · Parties (regulator's caption): James Smith (CRD #1695014)
Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗
same full name in the order; 49 people with this name in Form D filings; nationwide regulator (FINRA) — the state is not a signal
Individuals Suspended for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(d) FINRA · Financial Industry Regulatory Authority (FINRA)
Order date Jun 4, 2012 · Regulator: Financial Industry Regulatory Authority (FINRA) · Parties (regulator's caption): James Smith (CRD #1695014)
Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗
same full name in the order; 49 people with this name in Form D filings; nationwide regulator (FINRA) — the state is not a signal
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
Individuals Barred or Suspended FINRA · Financial Industry Regulatory Authority (FINRA)
Order date not stated in the index entry we read · Regulator: Financial Industry Regulatory Authority (FINRA) · Parties (regulator's caption): James D. Smith (CRD #6201712, Buffalo, New York)
As listed by the regulator: James D. Smith (CRD #6201712, Buffalo, New York) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Smith consented to the sanction and to the entry of findings that he improperly accessed the information of at least one bank customer without the bank or customer’s authorization and with no apparent business purpose. Order / docket ↗ Regulator's list ↗
same full name in the order; 49 people with this name in Form D filings; nationwide regulator (FINRA) — the state is not a signal
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 (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

21 cases: 6 open, 15 closed (disposition not in docket feed)

James F. Smith open
United States Bankruptcy Court, E.D. Pennsylvania · No. 26-12494 · Filed Jun 9, 2026
Role of James F. 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 8275 federal dockets); 49 people with this name in Form D filings; court in the person's filing state (PA)
James Smith, Jr. open
United States Bankruptcy Court, D. New Jersey · No. 26-15095 · Filed May 5, 2026
Role of James Smith, Jr.: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same full name (a name found in 8275 federal dockets); 49 people with this name in Form D filings; court in the person's filing state (NJ)
James Smith and Melanie Smith open
United States Bankruptcy Court, M.D. Pennsylvania · No. 5:25-bk-02331 · Filed Aug 21, 2025
Role of James Smith and Melanie 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 8275 federal dockets); 49 people with this name in Form D filings; court in the person's filing state (PA)
James D Smith, Jr. open
United States Bankruptcy Court, D. New Jersey · No. 25-12285 · Filed Mar 5, 2025
Role of James D Smith, Jr.: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same full name (a name found in 8275 federal dockets); 49 people with this name in Form D filings; court in the person's filing state (NJ)
James J. Smith closed
United States Bankruptcy Court, D. Massachusetts · No. 24-41145 · Filed Nov 8, 2024 · Closed Feb 24, 2025
Role of James J. Smith: Debtor · Outcome: Case closed 2025-02-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 8275 federal dockets); 49 people with this name in Form D filings; court in the person's filing state (MA)
James D Smith and Rebecca I Smith open
United States Bankruptcy Court, D. New Jersey · No. 24-18866 · Filed Sep 6, 2024
Role of James D Smith and Rebecca I 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 8275 federal dockets); 49 people with this name in Form D filings; court in the person's filing state (NJ)
James Smith closed
United States Bankruptcy Court, D. New Jersey · No. 24-18716 · Filed Aug 30, 2024 · Closed Nov 14, 2024
Role of James Smith: Debtor · Outcome: Case closed 2024-11-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 8275 federal dockets); 49 people with this name in Form D filings; court in the person's filing state (NJ)
James B Smith, IV closed
United States Bankruptcy Court, D. New Jersey · No. 24-18395 · Filed Aug 25, 2024 · Closed Nov 27, 2024
Role of James B Smith, IV: Debtor · Outcome: Case closed 2024-11-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 8275 federal dockets); 49 people with this name in Form D filings; court in the person's filing state (NJ)
James M. Smith closed
United States Bankruptcy Court, W.D. Pennsylvania · No. 24-20938 · Filed Apr 19, 2024 · Closed Sep 5, 2024
Role of James M. Smith: Debtor · Outcome: Case closed 2024-09-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 8275 federal dockets); 49 people with this name in Form D filings; court in the person's filing state (PA)
James A Smith closed
United States Bankruptcy Court, D. New Jersey · No. 23-14022 · Filed May 10, 2023 · Closed Aug 11, 2023
Role of James A Smith: Debtor · Outcome: Case closed 2023-08-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 8275 federal dockets); 49 people with this name in Form D filings; court in the person's filing state (NJ)
James Smith, Jr. open
United States Bankruptcy Court, D. New Jersey · No. 22-19652 · Filed Dec 6, 2022
Role of James Smith, Jr.: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same full name (a name found in 8275 federal dockets); 49 people with this name in Form D filings; court in the person's filing state (NJ)
James A Smith, III and Fawn J Kritzler closed
United States Bankruptcy Court, D. New Jersey · No. 22-18195 · Filed Oct 15, 2022 · Closed Jan 20, 2023
Role of James A Smith, III: Debtor · Outcome: Case closed 2023-01-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 8275 federal dockets); 49 people with this name in Form D filings; court in the person's filing state (NJ)
James D. Smith, Jr. closed
United States Bankruptcy Court, D. New Jersey · No. 22-14417 · Filed Jun 2, 2022 · Closed Mar 26, 2024
Role of James D. Smith, Jr.: Debtor · Outcome: Case closed 2024-03-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 8275 federal dockets); 49 people with this name in Form D filings; court in the person's filing state (NJ)
James A Smith, III and Fawn J Kritzler closed
United States Bankruptcy Court, D. New Jersey · No. 22-13713 · Filed May 5, 2022 · Closed Sep 30, 2022
Role of James A Smith, III: Debtor · Outcome: Case closed 2022-09-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 8275 federal dockets); 49 people with this name in Form D filings; court in the person's filing state (NJ)
James F. Smith, Jr. closed
United States Bankruptcy Court, D. New Jersey · No. 22-10730 · Filed Jan 31, 2022 · Closed Jan 5, 2024
Role of James F. Smith, Jr.: Debtor · Outcome: Case closed 2024-01-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 8275 federal dockets); 49 people with this name in Form D filings; court in the person's filing state (NJ)
James E. Smith closed
United States Bankruptcy Court, D. New Jersey · No. 21-13563 · Filed Apr 29, 2021 · Closed Jul 25, 2022
Role of James E. Smith: Debtor · Outcome: Case closed 2022-07-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 8275 federal dockets); 49 people with this name in Form D filings; court in the person's filing state (NJ)
James M Smith closed
United States Bankruptcy Court, M.D. Pennsylvania · No. 1:20-bk-02276 · Filed Jul 29, 2020 · Closed Feb 22, 2022
Role of James M Smith: Debtor · Outcome: Case closed 2022-02-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 8275 federal dockets); 49 people with this name in Form D filings; court in the person's filing state (PA)
James A. Smith, IV closed
United States Bankruptcy Court, M.D. Pennsylvania · No. 1:20-bk-02187 · Filed Jul 20, 2020 · Closed Oct 21, 2020
Role of James A. Smith, IV: Debtor · Outcome: Case closed 2020-10-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 8275 federal dockets); 49 people with this name in Form D filings; court in the person's filing state (PA)
James Smith closed
United States Bankruptcy Court, D. New Jersey · No. 20-14374 · Filed Mar 13, 2020 · Closed Jan 5, 2021
Role of James Smith: Debtor · Outcome: Case closed 2021-01-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 8275 federal dockets); 49 people with this name in Form D filings; court in the person's filing state (NJ)
James A. Smith closed
United States Bankruptcy Court, W.D. Pennsylvania · No. 20-20595 · Filed Feb 20, 2020 · Closed Feb 8, 2022
Role of James A. Smith: Debtor · Outcome: Case closed 2022-02-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 8275 federal dockets); 49 people with this name in Form D filings; court in the person's filing state (PA)
James J Smith closed
United States Bankruptcy Court, M.D. Pennsylvania · No. 1:19-bk-04545 · Filed Oct 23, 2019 · Closed Feb 26, 2020
Role of James J Smith: Debtor · Outcome: Case closed 2020-02-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 8275 federal dockets); 49 people with this name in Form D filings; court in the person's filing state (PA)
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, 3:04 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.

4. Differences between public sources

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

14 differences found between the filings for James Smith — 2 worth asking about (compared 6 filings on Oct 24, 2026)

Worth asking · May 18, 2021

Regulator action naming a team member: Echo Therapeutics, Inc. (May 18, 2021)

A ap release dated May 18, 2021 names Echo Therapeutics, Inc. (related issuer). Our match estimate: 90%. 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.

Echo Therapeutics, Inc. ↗Echo Therapeutics, Inc. — PartnerFacts page ↗
Sources
Note · Dec 31, 2020

James Smith appears on 1 deal that stopped filing before reaching its target

Campus Real Estate Partners II Trust, LLC (last filing Dec 31, 2020; $0 sold of $125,000). 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.

Campus Real Estate Partners II Trust, LLC — PartnerFacts page ↗
Sources
Worth asking · Feb 15, 2011

Paid seller listed without a CRD number: Monarch Capital Group, LLC — Echo Therapeutics, Inc.

Monarch Capital Group, LLC is listed as receiving sales compensation on 1 filing (Feb 15, 2011) with no FINRA CRD number given.

What this means People paid to sell securities normally hold a FINRA registration with a CRD number. Without one we cannot look them up on BrokerCheck. Ask who they are and whether they are registered.

Form D/A · Feb 15, 2011 ↗BrokerCheck search: Monarch Capital Group, LLC ↗Echo Therapeutics, Inc. — PartnerFacts page ↗
Sources
Note · May 20, 2022 – May 31, 2022

No amendment in the last 12 months on an offering that may still be open — iraLogix, Inc. (latest filing May 31, 2022)

The latest filing for this offering is dated May 31, 2022 (first sale May 20, 2022). It reports $14,205,659 sold of $15,000,000 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.

Form D · May 31, 2022 ↗iraLogix, Inc. — PartnerFacts page ↗
Sources
Note · Nov 4, 2010 – Feb 15, 2011

No amendment in the last 12 months on an offering that may still be open — Echo Therapeutics, Inc. (latest filing Feb 15, 2011)

The latest filing for this offering is dated Feb 15, 2011 (first sale Nov 4, 2010). It reports $2,896,500 sold of $3,000,000 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.

Form D/A · Feb 15, 2011 ↗Echo Therapeutics, Inc. — PartnerFacts page ↗
Sources
Note · Nov 5, 2010 – Feb 15, 2011

Minimum investment changed between filings — Echo Therapeutics, Inc.

The Nov 5, 2010 filing lists a minimum of $25,000; the Feb 15, 2011 Form D/A lists $10,000.

What this means A different minimum usually means the offering terms changed. Check which terms apply to you.

Form D (earlier) · Nov 5, 2010 ↗Form D/A (later) · Feb 15, 2011 ↗Echo Therapeutics, Inc. — PartnerFacts page ↗
Sources
Note · Feb 15, 2011

James Smith is written 2 different ways on the filings

listed as "James F. Smith" on the Feb 15, 2011 filing, and "James Smith" on 5 filings (from Feb 15, 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.

Form D · Feb 15, 2011 ↗Form D/A · Feb 15, 2011 ↗James Smith — PartnerFacts page ↗
Sources
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 MA or PA. 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 (Dec 19, 2013 to May 31, 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.

James Smith (TX) — PartnerFacts page ↗Form D · May 16, 2024 ↗Sano Chemicals Inc — PartnerFacts page ↗James Smith (MA,PA) — 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 MA or PA. 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.

James H Smith (NC) — PartnerFacts page ↗Form D · May 26, 2021 ↗Mendacre IX-DG, LLC — PartnerFacts page ↗James Smith (MA,PA) — 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 MA or PA. 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 Dec 19, 2013 to May 31, 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.

James Smith (VA) — PartnerFacts page ↗Form D · May 10, 2013 ↗Integrated Energy Solutions, LLC — PartnerFacts page ↗James Smith (MA,PA) — 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 MA or PA. 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 Dec 19, 2013 to May 31, 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.

James Smith (OR) — PartnerFacts page ↗Form D · Oct 13, 2009 ↗ResCom Capital Fund, LLC — PartnerFacts page ↗James Smith (MA,PA) — 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 MA or PA. 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 Dec 19, 2013 to May 31, 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.

James M. Smith (NV) — PartnerFacts page ↗Form D · Sep 10, 2009 ↗BC Gas Recovery JV Two, LLC — PartnerFacts page ↗James Smith (MA,PA) — this page ↗
Sources
Note · Feb 15, 2011 – Dec 19, 2013

Address moved from Franklin, MA to Philadelphia, PA — Echo Therapeutics, Inc.

The people listed on the Feb 15, 2011 filing give Franklin, MA; on the Dec 19, 2013 filing they give Philadelphia, PA.

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.

Form D · Feb 15, 2011 ↗Form D · Dec 19, 2013 ↗Echo Therapeutics, Inc. — PartnerFacts page ↗
Sources
Note · Feb 15, 2011 – May 31, 2022

James Smith is listed with 2 different address states: MA, PA

MA on 3 filings (Feb 15, 2011 to Jan 16, 2014); PA on 3 filings (Dec 19, 2013 to May 31, 2022).

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 · Feb 15, 2011 ↗Form D · Dec 19, 2013 ↗
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

2 of 6 offerings report sales commissions totalling $71,875; 0 report finder's fees; 0 report proceeds to related persons.

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
May 31, 2022 D
iraLogix, Inc.
File 021-447562
$0$0$0None listed on this filingEDGAR ↗
Dec 31, 2020 D
Campus Real Estate Partners II Trust, LLC
File 021-384966
$6,250$0$0Charles B. Harrison BrokerCheck CRD 3071551 ↗
via H & L Equities, LLC (CRD 113794 ↗)

Scott Harrison BrokerCheck CRD 4981070 ↗
via H & L Equities, LLC (CRD 113794 ↗)

Charles Mathes BrokerCheck CRD 5980160 ↗
via H & L Equities, LLC (CRD 113794 ↗)

Lori Mayfield BrokerCheck CRD 4899271 ↗
via H & L Equities, LLC (CRD 113794 ↗)

Patrick J. Whelchel BrokerCheck CRD 5389090 ↗
via H & L Equities, LLC (CRD 113794 ↗)
EDGAR ↗
Jan 16, 2014 D/A
Loadspring Solutions, Inc.
File 021-210211
$0$0$0None listed on this filingEDGAR ↗
Dec 19, 2013 D
Echo Therapeutics, Inc.
File 021-208375
$0$0$0None listed on this filingEDGAR ↗
Feb 15, 2011 D/A
Echo Therapeutics, Inc.
File 021-150069
$65,625$0$0LifeTech Capital, a division of Aurora Capital, LLC BrokerCheck CRD 37924 ↗
Monarch Capital Group, LLC no CRD number reported		EDGAR ↗
Feb 15, 2011 D
Echo Therapeutics, Inc.
File 021-155409
$0$0$0None listed on this filingEDGAR ↗
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 4

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.

I
Other Technology

iraLogix, Inc.

Pittsburgh, PA · May 31, 2022
  • May 31, 2022 · D · $14,205,659 sold of $15,000,000 · 50 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $14.2M from 50 investors (95% of the $15M target) as of the latest filing. James 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. "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.

CR
REITS and Finance · group: Cv Qoz

Campus Real Estate Partners II Trust, LLC

Philadelphia, PA · Dec 31, 2020
  • Dec 31, 2020 · D · $0 sold of $125,000 · 0 investors · min. $1,000 · role: Director EDGAR ↗

No sales reported yet as of the latest filing. James 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. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: REITS and Finance / 506(b) (3,490 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

LS
Computers

Loadspring Solutions, Inc.

Wilmington, MA · Jan 16, 2014
  • Jan 16, 2014 · D/A · $6,000,000 sold of $6,000,000 · 11 investors · min. $20,000 · role: Director EDGAR ↗

Raised $6M from 11 investors (100% of the $6M target) as of the latest filing. James 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. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Computers / 506(b) (499 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.

ET
Other Health Care

Echo Therapeutics, Inc.

Iselin, NJ · Feb 15, 2011 → Dec 19, 2013 · 3 filings
  • Dec 19, 2013 · D · $10,000,000 sold of $10,000,000 · 4 investors · min. No minimum reported · role: Director EDGAR ↗
  • Feb 15, 2011 · D · $3,506,000 sold of $3,506,000 · 3 investors · min. $500,000 · role: Director EDGAR ↗
  • Feb 15, 2011 · D/A · $2,896,500 sold of $3,000,000 · 46 investors · min. $10,000 · role: Director EDGAR ↗

Raised $10M from 46 investors (100% of the $10M target) as of the latest filing. James 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 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.

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 — 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
  • James P. Smith — SC, 1 issuer, Oct 4, 2017 → Oct 4, 2017 · no shared issuer

People around James 21

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

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

VINCENT ENRIGHT

Director · 3 shared filings (1 issuer)

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

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

WILLIAM F. GRIECO

Director · 3 shared filings (1 issuer)

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

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

Shawn K. Singh

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

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

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

Patrick T. Mooney

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

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

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

HARRY MITCHELL

Executive Officer · 2 shared filings (1 issuer)

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

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

KIMBERLY BURKE

Executive Officer · 1 shared filing (1 issuer)

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

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

Robert Doman

Executive Officer, Director · 1 shared filing (1 issuer)

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

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

Christopher Schnittker

Executive Officer · 1 shared filing (1 issuer)

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

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

Daniel Bernstein

Director · 1 shared filing (1 issuer) · also on 5 other issuers

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

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

Michael Forestaire

Executive Officer · 1 shared filing (1 issuer)

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

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

James Henry

Director · 1 shared filing (1 issuer)

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

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

Stacey A. Leighton

Director · 1 shared filing (1 issuer)

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

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

Cameron Vixie

Executive Officer · 1 shared filing (1 issuer)

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

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

D. Eric Leighton

Executive Officer, Director · 1 shared filing (1 issuer)

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

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

Kyong K. Lee

Director · 1 shared filing (1 issuer)

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

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

Al Marshall

Executive Officer · 1 shared filing (1 issuer)

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

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

David Adelman

Director · 1 shared filing (1 issuer) · also on 16 other issuers

David Adelman is on 17 issuers in total — a repeat sponsor. Their page lists every one.

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

DAVID BERNARD

Executive Officer, Director · 1 shared filing (1 issuer)

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

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

MICHAEL B. DOWDLE

Director · 1 shared filing (1 issuer)

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

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

Peter DeSilva

Director · 1 shared filing (1 issuer)

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

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

Joseph Hipsky

Executive Officer · 1 shared filing (1 issuer) · also on 1 other issuer

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

The team behind the deals

CQ
Sponsor group

Cv Qoz

56 issuers · 147 filings · $41.32B reported sold · 2009–2026

One team, 56 deal companies. James 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 James Smith.

Same business address

1 other issuer file from the same address

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 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.

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 4 issuers 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 iraLogix, Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #153,782 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 (Pittsburgh, PA). 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) ↗Massachusetts MassCourts ↗Pennsylvania UJS portal case search ↗New Jersey state courts — find the court ↗

Securities regulators

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

Business registries

Massachusetts Secretary of State business search ↗Pennsylvania Secretary of State business search ↗New Jersey Secretary of State business search ↗OpenCorporates ↗

Change history

No corrections have been requested for this page.

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