Sponsor Check › Person
Related person on Form D filings · address state as listed: TX · listed Jan 8, 2013 → May 16, 2024
Data last updated: Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 23, 2026, 11:55 PM ET · SEC enforcement last checked: not yet
Privacy: business-related public information only. Residential addresses are never shown; only the state from the filing.
The five facts investors ask about first. Each section states what was searched and when. Items still in human review are not shown.
None found in sources searched.
Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30) — federal district + bankruptcy courts; live RECAP re-check pending. State courts: not yet searched. PACER: not searched. · Last checked Oct 23, 2026, 11:55 PM ET.
State courts: not yet searched. 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.
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. — not yet searched; State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states: not yet searched.
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None found in sources searched.
Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Last checked Oct 23, 2026, 11:55 PM ET.
State courts: not yet searched. 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 are made for sponsors and sponsor groups, not individual people.
0 of 6 offerings report sales commissions; 0 report finder's fees; 3 report proceeds to related persons totalling $740,000. (includes amounts the issuer reported as estimates)
| Source | Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it |
|---|---|---|---|---|---|
| EDGAR ↗ | May 16, 2024 D File 021-513563 | $0 | $0 | $0 | Elizabeth Hiebert no CRD number reported |
| EDGAR ↗ | Jan 17, 2024 D File 021-502659 | $0 | $0 | $710,000 The fees are used for research and development of anti-infective drug products | None listed on this filing |
| EDGAR ↗ | May 17, 2017 D File 021-286955 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Sep 29, 2015 D File 021-248386 | $0 | $0 | $15,000 (est.) Cost reimbursement for legal/accounting expenses. | None listed on this filing |
| EDGAR ↗ | Sep 29, 2015 D File 021-248388 | $0 | $0 | $15,000 (est.) Cost reimbursement for legal/accounting expenses. | None listed on this filing |
| EDGAR ↗ | Jan 8, 2013 D File 021-189722 | $0 | $0 | $0 | None listed on this filing |
As reported by the issuer on Form D (Items 12–15), 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).
| Source | Issuer | Role | Filed | Form | Offering | Sold | Investors | Min. investment |
|---|---|---|---|---|---|---|---|---|
| EDGAR ↗ | Sano Chemicals Inc | Executive Officer | May 16, 2024 | D | Indefinite similar: $500,000–$7,000,000 | $350,000 | 1 similar: 2–14 | No minimum reported similar: $5,000–$50,000 |
| EDGAR ↗ | Sano Chemicals Inc | Executive Officer | Jan 17, 2024 | D | $710,000 similar: $2,000,000–$19,999,994 | $710,000 | 1 similar: 2–16 | $100,000 similar: $10,000–$50,000 |
| EDGAR ↗ | Kaleo Communications, Inc. | Executive Officer, Director, Promoter | May 17, 2017 | D | $150,000 similar: $1,000,000–$10,000,000 | $20,000 | 1 similar: 1–11 | $10,000 similar: $5,000–$65,000 |
| EDGAR ↗ | Real Systems Sales Results, LP group: Encompass | Promoter President of General Partner | Sep 29, 2015 | D | $300,000 similar: $500,000–$5,000,000 | $50,000 | 1 similar: 2–15 | $25,000 similar: $6,225–$50,000 |
| EDGAR ↗ | Real Systems Sales Results, LP group: Encompass | Promoter President of General Partner | Sep 29, 2015 | D | $150,000 similar: $500,000–$5,000,000 | $100,000 | 2 similar: 2–15 | $25,000 similar: $6,225–$50,000 |
| EDGAR ↗ | PERNIX THERAPEUTICS HOLDINGS, INC. | Director | Jan 8, 2013 | D | $34,000,000 | $34,000,000 | 10 | No minimum reported |
Every row is a Form D or D/A on which the issuer listed this name as a related person. Related-person names are matched on first + last name and the address state on the filing; records that share a name but could not be tied together by a second identifier are listed separately below.
"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Other / 506(b) (18,678 filings); Biotechnology / 506(b) (3,253 filings); Telecommunications / 506(b) (293 filings); Business Services / 506(b) (965 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 is listed on an issuer this record is also listed on (a second identifier); where it is not, it could be the same person or a different one.
People and management entities the issuers listed as related persons on the same Form D filings as James Smith. Source: the EDGAR rows in the table above.
| Source | Filed | Form | Issuer | Amount offered (as reported) | Amount sold (as reported) | Matched on |
|---|---|---|---|---|---|---|
| EDGAR ↗ | Apr 15, 2026 File 020-35386 | Regulation Crowdfunding annual report (Form C-AR) Annual report filed | Sano Chemicals, Inc. Bryan, TX | Not reported | Not reported on this form | signer name on this filing (James Smith) + listed as a related person on Form D filings of the same issuer (CIK 2007816) · 85% |
| EDGAR ↗ | May 8, 2025 File 020-35386 | Regulation Crowdfunding progress update (Form C-U) Progress update filed · deadline Apr 30, 2025 | Sano Chemicals Inc BRYAN, TX | $20,000 target · $4,999,998 maximum via StartEngine Primary, LLC | Not reported on this form | signer name on this filing (James Smith) + listed as a related person on Form D filings of the same issuer (CIK 2007816) · 85% |
| EDGAR ↗ | Apr 10, 2025 File 020-35386 | Regulation Crowdfunding annual report (Form C-AR) Annual report filed | Sano Chemicals, Inc. Bryan, TX | Not reported | Not reported on this form | signer name on this filing (James L Smith) + listed as a related person on Form D filings of the same issuer (CIK 2007816) · 85% |
| EDGAR ↗ | Apr 10, 2025 File 020-35386 | Regulation Crowdfunding offering — amendment (Form C/A) Amendment filed · deadline Apr 30, 2025 | Sano Chemicals, Inc. Bryan, TX | $20,000 target · $4,999,998 maximum via StartEngine Primary, LLC | Not reported on this form | signer name on this filing (James Smith) + listed as a related person on Form D filings of the same issuer (CIK 2007816) · 85% |
| EDGAR ↗ | Jan 24, 2025 File 020-35386 | Regulation Crowdfunding progress update (Form C-U) Progress update filed · deadline Apr 10, 2025 | Sano Chemicals Inc BRYAN, TX | $123,999 target · $4,999,998 maximum via StartEngine Primary, LLC | Not reported on this form | signer name on this filing (James Smith) + listed as a related person on Form D filings of the same issuer (CIK 2007816) · 85% |
| EDGAR ↗ | Jan 10, 2025 File 020-35386 | Regulation Crowdfunding offering (Form C) Offering filed · deadline Apr 10, 2025 | Sano Chemicals, Inc. Bryan, TX | $123,999 target · $4,999,998 maximum via StartEngine Primary, LLC | Not reported on this form | signer name on this filing (James Smith) + listed as a related person on Form D filings of the same issuer (CIK 2007816) · 85% |
Amounts are as reported by the issuer on the form; Regulation Crowdfunding forms report a target and maximum, not sales. Sources 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 · Last checked Oct 23, 2026, 8:41 PM ET.
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