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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:43 AM ET

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Mark C. Smith

Named as an officer, director or promoter on SEC Form D filings · NY · Dec 15, 2017 → Oct 26, 2018

3deals (issuers)
$786.2Mreported sold
36investors
6Form D filings
2017–2018years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 3:05 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Mark C. Smith is listed as an executive officer on 6 SEC Form D filings by 3 issuers between Dec 2017 and Oct 2018: Harvest Partners Structured Capital Fund II, L.P. (New York, NY — pooled investment fund — 2017–2018; $570.2M reported sold to 30 investors), Harvest Partners Structured Capital Fund II (Parallel), L.P. (New York, NY — pooled investment fund — 2017–2018; $216M reported sold to 6 investors) and Harvest Strategic Associates Structured Capital Fund II, L.P. (New York, NY — pooled investment fund — 2017–2018).

What this means A repeat sponsor — 3 separate companies raised money with this person listed as executive officer. Across those companies the filings report $786.2M sold in total.

Listed alongside Ira D. Kleinman (6 shared filings), John Campbell Wilkins, Jr. (6 shared filings), Marc Unger (6 shared filings), Michael B. DeFlorio (6 shared filings), Sean Murphy (6 shared filings) and 3 others.

What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Mark. Each name links to their own page.

All 3 issuers belong to the sponsor group Harvest (29 issuers, $12.6B reported sold, 2011–2026).

What this means A sponsor group is one team that sets up a new company for each deal. Harvest has 29 companies on file and $12.6B 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) — 2 SEC releases, 3 state regulator orders, 12 bankruptcy cases matching the name listed in Key records below.

What this means 17 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 Mark C. Smith and found 11 differences: Mark C. Smith appears on 2 deals that stopped filing before reaching their target; No amendment in the last 12 months on an offering that may still be open; 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 Mark C. Smith has not run yet — it is joining a line of 39,582 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, 3:05 AM ET.

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

2. Regulatory actions

2 SEC releases; 3 state regulator orders

Order AZ · Arizona Corporation Commission, Securities Division (ACC)
Order date Apr 17, 2023 · Regulator: Arizona Corporation Commission, Securities Division (ACC) · Decision No. 78908 · Parties (regulator's caption): Bear Fruit Films, L.L.C.; James Simmons; Mark Smith
Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗
same full name in the order; 35 people with this name in Form D filings; regulator in AZ (not a filing state)
Individuals Barred FINRA · Financial Industry Regulatory Authority (FINRA)
Order date Jan 26, 2022 · Regulator: Financial Industry Regulatory Authority (FINRA) · Parties (regulator's caption): Mark Smith (CRD #5776360, Littleton, Colorado)
As listed by the regulator: An AWC was issued in which Smith was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Smith consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation that originated from an amended Uniform Termination Notice for Securities Industry Registration (Form U5) filing submitted by his former member firm. Order / docket ↗ Regulator's list ↗
same full name in the order; 35 people with this name in Form D filings; nationwide regulator (FINRA) — the state is not a signal
Action filed AZ · Arizona Corporation Commission, Securities Division (ACC)
Order date Apr 1, 2020 · Regulator: Arizona Corporation Commission, Securities Division (ACC) · eDocket 25237 ↗ · Parties (regulator's caption): Bear Fruit Films, L.L.C. a.k.a. Bearfruit Films; James Simmons; Casey Simmons; Mark Smith
Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗
same full name in the order; 35 people with this name in Form D filings; regulator in AZ (not a filing state)
Mark Smith, CPA Administrative proceeding
SEC · Nov 14, 2014 · Parties as named in the release: Mark Smith, CPA Read the release ↗
same full name in the release title; 35 people with this name in Form D filings; the person's filing state is not named
Charles E. Smith, CPA and Mark Smith, CPA Litigation release
SEC · Oct 31, 2014 · Parties as named in the release: Charles E. Smith, CPA and Mark Smith, CPA Read the release ↗
same full name in the release title; 35 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 Mark C. 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

12 cases: 12 closed (disposition not in docket feed)

Mark A. Smith closed
United States Bankruptcy Court, E.D. New York · No. 1-19-42481 · Filed Apr 26, 2019 · Closed Jul 15, 2019
Role of Mark A. Smith: Debtor · Outcome: Case closed 2019-07-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Mark S. Smith closed
United States Bankruptcy Court, W.D. New York · No. 2-18-20772 · Filed Jul 25, 2018 · Closed Nov 27, 2018
Role of Mark S. Smith: Debtor · Outcome: Case closed 2018-11-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Mark Smith closed
United States Bankruptcy Court, E.D. New York · No. 1-18-42205 · Filed Apr 20, 2018 · Closed Aug 24, 2018
Role of Mark Smith: Debtor · Outcome: Case closed 2018-08-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (NY)
Mark E. Smith, Sr. closed
United States Bankruptcy Court, E.D. New York · No. 8-18-71820 · Filed Mar 19, 2018 · Closed Nov 6, 2019
Role of Mark E. Smith, Sr.: Debtor · Outcome: Case closed 2019-11-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Mark Smith closed
United States Bankruptcy Court, E.D. New York · No. 1-17-43139 · Filed Jun 16, 2017 · Closed Aug 23, 2017
Role of Mark Smith: Debtor · Outcome: Case closed 2017-08-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (NY)
Mark C. Smith and Sheila J. Smith closed
United States Bankruptcy Court, W.D. New York · No. 1-17-11187 · Filed Jun 6, 2017 · Closed Sep 29, 2017
Role of Mark C. Smith and Sheila J. Smith: Debtor · Outcome: Case closed 2017-09-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (NY)
Mark D Smith closed
United States Bankruptcy Court, N.D. New York · No. 17-60626 · Filed May 11, 2017 · Closed Sep 12, 2017
Role of Mark D Smith: Debtor · Outcome: Case closed 2017-09-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Mark S. Smith closed
United States Bankruptcy Court, E.D. New York · No. 8-17-71408 · Filed Mar 10, 2017 · Closed Aug 14, 2019
Role of Mark S. Smith: Debtor · Outcome: Case closed 2019-08-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Mark S. Smith closed
United States Bankruptcy Court, E.D. New York · No. 8-16-74824 · Filed Oct 18, 2016 · Closed Feb 7, 2017
Role of Mark S. Smith: Debtor · Outcome: Case closed 2017-02-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Mark D. Smith closed
United States Bankruptcy Court, N.D. New York · No. 15-11762 · Filed Aug 25, 2015 · Closed Dec 18, 2015
Role of Mark D. Smith: Debtor · Outcome: Case closed 2015-12-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Mark R Smith and Terriann Smith closed
United States Bankruptcy Court, E.D. New York · No. 8-13-70131 · Filed Jan 11, 2013 · Closed Apr 17, 2013
Role of Mark R Smith and Terriann Smith: Debtor · Outcome: Case closed 2013-04-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Mark A Smith and Michele M Smith closed
United States Bankruptcy Court, N.D. New York · No. 12-60835 · Filed May 3, 2012 · Closed Sep 10, 2012
Role of Mark A Smith and Michele M Smith: Debtor · Outcome: Case closed 2012-09-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
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, 3:05 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

11 differences found between the filings for Mark C. Smith (compared 6 filings on Oct 24, 2026)

Note · Oct 26, 2018

Mark C. Smith appears on 2 deals that stopped filing before reaching their target

Harvest Strategic Associates Structured Capital Fund II, L.P. (last filing Oct 26, 2018; $0 sold of $800,000,000); Harvest Partners Structured Capital Fund II (Parallel), L.P. (last filing Oct 26, 2018; $216,000,000 sold of $800,000,000). 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.

Harvest Strategic Associates Structured Capital Fund II, L.P. — PartnerFacts page ↗Harvest Partners Structured Capital Fund II (Parallel), L.P. — PartnerFacts page ↗
Sources
Note · Feb 14, 2018 – Oct 26, 2018

No amendment in the last 12 months on an offering that may still be open — Harvest Partners Structured Capital Fund II (Parallel), L.P. (latest filing Oct 26, 2018)

The latest filing for this offering is dated Oct 26, 2018 (first sale Feb 14, 2018). It reports $216,000,000 sold of $800,000,000 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 · Oct 26, 2018 ↗Harvest Partners Structured Capital Fund II (Parallel), L.P. — PartnerFacts page ↗
Sources
Note · Dec 18, 2017 – Oct 26, 2018

No amendment in the last 12 months on an offering that may still be open — Harvest Partners Structured Capital Fund II, L.P. (latest filing Oct 26, 2018)

The latest filing for this offering is dated Oct 26, 2018 (first sale Dec 18, 2017). It reports $570,200,000 sold of $800,000,000 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 · Oct 26, 2018 ↗Harvest Partners Structured Capital Fund II, L.P. — PartnerFacts page ↗
Sources
Note · Dec 15, 2017 – Oct 26, 2018

Offering amount changed between filings — Harvest Partners Structured Capital Fund II (Parallel), L.P.

The Dec 15, 2017 filing says $600,000,000 offered; the Oct 26, 2018 Form D/A says $800,000,000.

What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.

Form D (earlier) · Dec 15, 2017 ↗Form D/A (later) · Oct 26, 2018 ↗Harvest Partners Structured Capital Fund II (Parallel), L.P. — PartnerFacts page ↗
Sources
Note · Dec 15, 2017 – Oct 26, 2018

Offering amount changed between filings — Harvest Strategic Associates Structured Capital Fund II, L.P.

The Dec 15, 2017 filing says $600,000,000 offered; the Oct 26, 2018 Form D/A says $800,000,000.

What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.

Form D (earlier) · Dec 15, 2017 ↗Form D/A (later) · Oct 26, 2018 ↗Harvest Strategic Associates Structured Capital Fund II, L.P. — PartnerFacts page ↗
Sources
Note · Dec 15, 2017 – Oct 26, 2018

Offering amount changed between filings — Harvest Partners Structured Capital Fund II, L.P.

The Dec 15, 2017 filing says $600,000,000 offered; the Oct 26, 2018 Form D/A says $800,000,000.

What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.

Form D (earlier) · Dec 15, 2017 ↗Form D/A (later) · Oct 26, 2018 ↗Harvest Partners Structured Capital Fund II, L.P. — PartnerFacts page ↗
Sources
Note · Oct 22, 2009 – Nov 12, 2021

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

This page covers filings where the address state is NY. A separate record, "Mark Smith" with address state TX, is listed on 4 filings — most recently by Horizon OCH Partners, LLC (Nov 12, 2021). Both records have filings in the same period (Dec 15, 2017 to Oct 26, 2018).

What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.

Mark Smith (TX) — PartnerFacts page ↗Form D · Nov 12, 2021 ↗Horizon OCH Partners, LLC — PartnerFacts page ↗Mark C. Smith (NY) — this page ↗
Sources
Note · Sep 10, 2010 – Feb 9, 2017

Same name, different state: "Mark Smith" (SC) is a separate record

This page covers filings where the address state is NY. A separate record, "Mark Smith" with address state SC, is listed on 6 filings — most recently by Outdoor Adventure Group, LLC (Feb 9, 2017). The two records do not overlap in time: this page runs Dec 15, 2017 to Oct 26, 2018; the other runs Sep 10, 2010 to Feb 9, 2017.

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.

Mark Smith (SC) — PartnerFacts page ↗Form D · Feb 9, 2017 ↗Outdoor Adventure Group, LLC — PartnerFacts page ↗Mark C. Smith (NY) — this page ↗
Sources
Note · Jan 30, 2015 – Jul 31, 2015

Same name, different state: "Mark Smith" (PA) is a separate record

This page covers filings where the address state is NY. A separate record, "Mark Smith" with address state PA, is listed on 7 filings — most recently by Geospatial Corp (Jul 31, 2015). The two records do not overlap in time: this page runs Dec 15, 2017 to Oct 26, 2018; the other runs Jan 30, 2015 to Jul 31, 2015.

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.

Mark Smith (PA) — PartnerFacts page ↗Form D · Jul 31, 2015 ↗Geospatial Corp — PartnerFacts page ↗Mark C. Smith (NY) — this page ↗
Sources
Note · May 5, 2010

Same name, different state: "Mark Smith" (OK) is a separate record

This page covers filings where the address state is NY. A separate record, "Mark Smith" with address state OK, is listed on 1 filing — most recently by AHS PharmStat, L.L.C. (May 5, 2010). The two records do not overlap in time: this page runs Dec 15, 2017 to Oct 26, 2018; the other has one filing dated May 5, 2010.

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.

Mark Smith (OK) — PartnerFacts page ↗Form D · May 5, 2010 ↗AHS PharmStat, L.L.C. — PartnerFacts page ↗Mark C. Smith (NY) — this page ↗
Sources
Note · Sep 24, 2009

Same name, different state: "Mark Smith" (C3) is a separate record

This page covers filings where the address state is NY. A separate record, "Mark Smith" with address state C3, is listed on 1 filing — most recently by Sigma Pharmaceuticals Ltd (Sep 24, 2009). The two records do not overlap in time: this page runs Dec 15, 2017 to Oct 26, 2018; the other has one filing dated Sep 24, 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.

Mark Smith (C3) — PartnerFacts page ↗Form D · Sep 24, 2009 ↗Sigma Pharmaceuticals Ltd — PartnerFacts page ↗Mark C. Smith (NY) — 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

3 of 3 offerings report sales commissions totalling $17,280,000; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Oct 26, 2018 D/A
Harvest Strategic Associates Structured Capital Fund II, L.P.
File 021-300924
$5,760,000 (est.)$0$0Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗
Innovation Partners, LLC BrokerCheck CRD 146344 ↗		EDGAR ↗
Oct 26, 2018 D/A
Harvest Partners Structured Capital Fund II (Parallel), L.P.
File 021-300925
$5,760,000 (est.)$0$0
The Issuer will pay management fees to its investment manager, Harvest Partners SCF, LP.
Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗
Innovation Partners, LLC BrokerCheck CRD 146344 ↗
Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗		EDGAR ↗
Oct 26, 2018 D/A
Harvest Partners Structured Capital Fund II, L.P.
File 021-300927
$5,760,000 (est.)$0$0
The Issuer will pay management fees to its investment manager, Harvest Partners SCF, LP.
Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗
Innovation Partners, LLC BrokerCheck CRD 146344 ↗		EDGAR ↗
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 3

Every issuer that named Mark C. Smith on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

HP
Pooled Investment Fund · group: Harvest

Harvest Partners Structured Capital Fund II (Parallel), L.P.

New York, NY · Dec 15, 2017 → Oct 26, 2018 · 2 filings
  • Oct 26, 2018 · D/A · $216,000,000 sold of $800,000,000 · 6 investors · min. $1 · role: Executive Officer EDGAR ↗
  • Dec 15, 2017 · D · $0 sold of $600,000,000 · 0 investors · min. $1 · role: Executive Officer EDGAR ↗

Raised $216M from 6 investors (27% of the $800M target) as of the latest filing. Mark is listed as executive officer on 2 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.

HS
Pooled Investment Fund · group: Harvest

Harvest Strategic Associates Structured Capital Fund II, L.P.

New York, NY · Dec 15, 2017 → Oct 26, 2018 · 2 filings
  • Oct 26, 2018 · D/A · $0 sold of $800,000,000 · 0 investors · min. $1 · role: Executive Officer EDGAR ↗
  • Dec 15, 2017 · D · $0 sold of $600,000,000 · 0 investors · min. $1 · role: Executive Officer EDGAR ↗

No sales reported yet as of the latest filing. Mark is listed as executive officer on 2 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.

HP
Pooled Investment Fund · group: Harvest

Harvest Partners Structured Capital Fund II, L.P.

New York, NY · Dec 15, 2017 → Oct 26, 2018 · 2 filings
  • Oct 26, 2018 · D/A · $570,200,000 sold of $800,000,000 · 30 investors · min. $1 · role: Executive Officer EDGAR ↗
  • Dec 15, 2017 · D · $0 sold of $600,000,000 · 0 investors · min. $1 · role: Executive Officer EDGAR ↗

Raised $570.2M from 30 investors (71% of the $800M target) as of the latest filing. Mark is listed as executive officer on 2 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.

  • Mark Smith — MA, 11 issuers, Dec 29, 2015 → Apr 29, 2025 · no shared issuer
  • Mark A Smith — NY, CO, British Columbia, Canada (as filed: A1), Ontario, Canada (as filed: A6), IN, 10 issuers, Mar 20, 2009 → Nov 14, 2024 · no shared issuer
  • Mark Smith — NY, FL, Alberta, Canada (as filed: A0), 10 issuers, Jul 16, 2015 → May 3, 2024 · no shared issuer
  • MARK EDWARD SMITH — MA, 8 issuers, Mar 3, 2010 → Dec 8, 2011 · no shared issuer
  • Mark Smith — SC, 6 issuers, Sep 10, 2010 → Feb 9, 2017 · no shared issuer
  • Mark Smith — TX, 4 issuers, Oct 22, 2009 → Nov 12, 2021 · no shared issuer
  • Mark Smith — CA, 3 issuers, May 14, 2010 → Nov 21, 2023 · no shared issuer
  • Mark V. Smith — GA, 2 issuers, Nov 10, 2010 → Jun 7, 2018 · no shared issuer
  • Mark Smith — CT, 2 issuers, Feb 10, 2011 → Sep 13, 2023 · no shared issuer
  • MARK SMITH — AK, 2 issuers, May 16, 2013 → Jan 27, 2023 · no shared issuer
  • Mark L. Smith — CO, 2 issuers, Jun 17, 2009 → Dec 15, 2022 · no shared issuer
  • MARK D. SMITH — NY, 2 issuers, Aug 4, 2016 → Jul 10, 2020 · no shared issuer
  • Mark Robert Smith — MT, 1 issuer, Aug 21, 2025 → Oct 14, 2025 · no shared issuer
  • Mark B Smith — TN, 1 issuer, Feb 19, 2021 → Oct 10, 2025 · no shared issuer
  • Mark Smith — PA, 1 issuer, Jan 30, 2015 → Jul 31, 2015 · no shared issuer
  • Mark Smith — Australia (as filed: C3), 1 issuer, Sep 24, 2009 → Sep 24, 2009 · no shared issuer
  • Mark A. Smith — CA, 1 issuer, Aug 22, 2017 → Jan 31, 2020 · no shared issuer
  • Mark Smith — OK, 1 issuer, May 5, 2010 → May 5, 2010 · no shared issuer
  • Mark Smith — MI, 1 issuer, Aug 17, 2012 → Aug 17, 2012 · no shared issuer
  • Mark L. Smith — IL, MO, 1 issuer, Aug 15, 2014 → Apr 14, 2015 · no shared issuer

People around Mark 8

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

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

Stephen Eisenstein

Executive Officer · 6 shared filings (3 issuers) · also on 16 other issuers

Stephen Eisenstein is on 19 issuers in total — a repeat sponsor. Their page lists every one.

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

Thomas W. Arenz

Executive Officer · 6 shared filings (3 issuers) · also on 18 other issuers

Thomas W. Arenz is on 21 issuers in total — a repeat sponsor. Their page lists every one.

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

Michael B. DeFlorio

Executive Officer · 6 shared filings (3 issuers) · also on 25 other issuers

Michael B. DeFlorio is on 28 issuers in total — a repeat sponsor. Their page lists every one.

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

John Campbell Wilkins, Jr.

Executive Officer · 6 shared filings (3 issuers) · also on 19 other issuers

John Campbell Wilkins, Jr. is on 22 issuers in total — a repeat sponsor. Their page lists every one.

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

Marc Unger

Executive Officer · 6 shared filings (3 issuers) · also on 4 other issuers

Marc Unger is on 7 issuers in total — a repeat sponsor. Their page lists every one.

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

Sean Murphy

Executive Officer · 6 shared filings (3 issuers) · also on 3 other issuers

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

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

Steven Duke

Executive Officer · 6 shared filings (3 issuers) · also on 6 other issuers

Steven Duke is on 9 issuers in total — a repeat sponsor. Their page lists every one.

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

Ira D. Kleinman

Executive Officer · 6 shared filings (3 issuers) · also on 20 other issuers

Ira D. Kleinman is on 23 issuers in total — a repeat sponsor. Their page lists every one.

The team behind the deals

H
Sponsor group

Harvest

29 issuers · 62 filings · $12.6B reported sold · 2011–2026

One team, 29 deal companies. Mark C. Smith is listed on 3 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 Mark C. Smith.

Same business address

19 other issuers 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 3 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 Mark C. 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 3 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Mark C. Smith is listed on: none on file. No website or social profile named in Harvest Partners Structured Capital Fund II (Parallel), L.P.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #245,575 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 (New York, NY). 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) ↗New York WebCivil Supreme ↗

Securities regulators

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

Business registries

New York Secretary of State business search ↗OpenCorporates ↗

Change history

No corrections have been requested for this page.

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