Sponsor Check › Person
Named as an officer, director or promoter on SEC Form D filings · CA · Jul 19, 2011 → Nov 27, 2023
Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:16 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET
Nicholas Smith is listed as an executive officer, director, and promoter on 10 SEC Form D filings by 5 issuers between Jul 2011 and Nov 2023: Alto Neuroscience, Inc. (Mountain View, CA — pharmaceuticals — 2023; $59.3M reported sold to 26 investors), MEDWAVE SOFTWARE SOLUTIONS, INC. (Sebastopol, CA — other technology — 2016; $3.86M reported sold to 47 investors), OFFSITE CARE RESOURCES, INC. (Sebastopol, CA — other technology — 2011–2012; $1.26M reported sold to 12 investors), Offsite Care Telemedicine, LLC (Sebastopol, CA — other technology — 2011; $1.11M reported sold to 10 investors) and Fairwater Partners, LLC (Encinatas, CA — pooled investment fund — 2019; $974K reported sold to 20 investors).
What this means A repeat sponsor — 5 separate companies raised money with this person listed as executive officer, director, and promoter, over about 12 years. Across those companies the filings report $66.5M sold in total.
Listed alongside DAN D SMITH (5 shared filings), JAMES K GUDE (5 shared filings), Aaron Weaver (4 shared filings), Adam Savitz (4 shared filings), Amit Etkin (4 shared filings) and 19 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Nicholas. Each name links to their own page.
2 of the issuers belong to the sponsor group Offsite Care (2 issuers, $1.12M reported sold, 2011–2012).
What this means A sponsor group is one team that sets up a new company for each deal. Offsite Care has 2 companies on file and $1.12M reported sold in total — the group page shows the whole track record in one place.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, OK, OR, PA, RI, SC, SD, TN, TX, VT, WA, WI, WV, WY) — 1 court case matching the name, 8 bankruptcy cases matching the name listed in Key records below.
What this means 9 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 10 public filings for Nicholas Smith and found 10 differences, 1 worth asking the sponsor about: 7 Form Ds were filed more than 15 days after the first sale; and more below.
What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.
Community search for Nicholas Smith has not run yet — it is joining a line of 29,306 names; searches run around the clock at the hosts' allowed rate. Searched so far: 638 names.
Community comments are quoted as written by their authors. Sources searched: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).
Five things investors ask first. Items still in human review are counted, not shown.
1 case: 1 dismissed
153 Recovery of overpayments of vet benefits
Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:16 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.
None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: VA (crawled Oct 23, 2026)
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 Nicholas Smith..
State securities regulators: Securities regulators searched (3,318 actions): AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE DOJ Investor Protection Unit (257 actions, 1987–2026), TX State Securities Board (586 actions, 2006–2026), WA DFI (2,039 actions, 2001–2026) — last crawled Oct 23, 2026, 9:57 PM ET. No machine-readable public listing today for CO, FL, IA, IN, MN, NE, NJ, NY, OH, UT, VA (see docs/state-regulators.md).
8 cases: 8 closed (disposition not in docket feed)
Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:16 AM ET.
Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.
State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.
Comparisons cover issuers and sponsor groups — see the issuer pages under Deals
10 differences found between the filings for Nicholas Smith — 1 worth asking about (compared 10 filings on Oct 24, 2026)
United States Bankruptcy Court, C.D. California docket "James Beyers" filed Aug 14, 2000, closed Dec 6, 2000. JAMES BEYERS (listed on the same filings) is listed as Debtor ("James Beyers"). Our match estimate: 70%.
What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.
Form D filed 600 days after the first sale — Alto Neuroscience, Inc. · Form D filed 938 days after the first sale — Alto Neuroscience, Inc. · Form D filed 1,536 days after the first sale — Alto Neuroscience, Inc. · Form D filed 113 days after the first sale — MEDWAVE SOFTWARE SOLUTIONS, INC. · Form D filed 42 days after the first sale — Fairwater Partners, LLC · and 2 more
What this means Late notices are common and carry no penalty by themselves. A pattern of late paperwork is worth asking the sponsor about.
The latest filing for this offering is dated Feb 28, 2012 (first sale Feb 9, 2012). It reports $18,750 sold of $45,000 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.
The latest filing for this offering is dated Oct 7, 2011 (first sale Sep 1, 2011). It reports $1,258,507 sold of $1,678,507 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.
The latest filing for this offering is dated Jul 19, 2011 (first sale Jul 6, 2011). It reports $1,108,506 sold of $1,358,506 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.
This page covers filings where the address state is CA. A separate record, "Nicholas Smith" with address state MN, is listed on 14 filings — most recently by CL RPC MSR Investment Fund LLC (Jul 15, 2026). Both records have filings in the same period (Dec 20, 2019 to Nov 27, 2023).
What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.
This page covers filings where the address state is CA. A separate record, "Nicholas Smith" with address state MO, is listed on 3 filings — most recently by Sailes, Inc. (Sep 27, 2024). Both records have filings in the same period (Dec 19, 2022 to Nov 27, 2023).
What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.
This page covers filings where the address state is CA. A separate record, "Nicholas Smith" with address state UT, is listed on 1 filing — most recently by CAMSO Holdings, LLC (Feb 17, 2021). Both records have filings in the same period (Feb 17, 2021).
What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.
This page covers filings where the address state is CA. A separate record, "Nicholas Reid Smith" with address state MD or DC or NY, is listed on 8 filings — most recently by Forbes DSC Investment LLC (Aug 8, 2024). Both records have filings in the same period (Dec 13, 2018 to Sep 20, 2019).
What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.
This page covers filings where the address state is CA. A separate record, "Nicholas Peter Smith" with address state C3, is listed on 1 filing — most recently by Brambles Ltd (Jul 5, 2012). Both records have filings in the same period (Jul 5, 2012).
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.
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.
0 of 10 offerings report sales commissions; 0 report finder's fees; 2 report proceeds to related persons totalling $140,000. (includes amounts the issuer reported as estimates)
| Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it | Source |
|---|---|---|---|---|---|
| Nov 27, 2023 D Alto Neuroscience, Inc. File 021-498123 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Nov 27, 2023 D Alto Neuroscience, Inc. File 021-498125 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Nov 27, 2023 D Alto Neuroscience, Inc. File 021-498127 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Nov 27, 2023 D Alto Neuroscience, Inc. File 021-498128 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Sep 11, 2019 D Fairwater Partners, LLC File 021-348556 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Sep 21, 2016 D MEDWAVE SOFTWARE SOLUTIONS, INC. File 021-271040 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Apr 26, 2012 D OFFSITE CARE RESOURCES, INC. File 021-177303 | $0 | $0 | $0 (est.) | None listed on this filing | EDGAR ↗ |
| Feb 28, 2012 D OFFSITE CARE RESOURCES, INC. File 021-174081 | $0 | $0 | $0 (est.) | None listed on this filing | EDGAR ↗ |
| Oct 7, 2011 D OFFSITE CARE RESOURCES, INC. File 021-166889 | $0 | $0 | $80,000 (est.) | None listed on this filing | EDGAR ↗ |
| Jul 19, 2011 D Offsite Care Telemedicine, LLC File 021-163135 | $0 | $0 | $60,000 (est.) | None listed on this filing | EDGAR ↗ |
Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.
Counted across every filing this person is listed on (latest filing per offering, per issuer).
Every issuer that named Nicholas Smith on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.
Raised $59.3M from 26 investors (100% of the $45M target) as of the latest filing. Nicholas is listed as executive officer on 4 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Biotechnology / 506(b) (3,253 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.
Raised $974K from 20 investors (100% of the $974K target) as of the latest filing. Nicholas is listed as executive officer, director, promoter.
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.
Raised $3.86M from 47 investors (100% of the $2.25M target) as of the latest filing. Nicholas is listed as executive officer.
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.
Raised $1.26M from 12 investors (100% of the $9,544 target) as of the latest filing. Nicholas is listed as promoter on 3 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.
Raised $1.11M from 10 investors (82% of the $1.36M target) as of the latest filing. Nicholas is listed as promoter.
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.
Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.
Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.
Listed on the same filings as Nicholas Smith. Their page shows their other deals.
Listed on the same filings as Nicholas Smith. Their page shows their other deals.
Listed on the same filings as Nicholas Smith. Their page shows their other deals.
Michael Liang is on 13 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Nicholas Smith. Their page shows their other deals.
Listed on the same filings as Nicholas Smith. Their page shows their other deals.
Listed on the same filings as Nicholas Smith. Their page shows their other deals.
Listed on the same filings as Nicholas Smith. Their page shows their other deals.
Listed on the same filings as Nicholas Smith. Their page shows their other deals.
Listed on the same filings as Nicholas Smith. Their page shows their other deals.
Aaron Weaver is on 5 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Nicholas Smith. Their page shows their other deals.
Chris Dimitropoulos is on 5 issuers in total — a repeat sponsor. Their page lists every one.
ROBERT R. TUFTS is on 9 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Nicholas Smith. Their page shows their other deals.
Listed on the same filings as Nicholas Smith. Their page shows their other deals.
Listed on the same filings as Nicholas Smith. Their page shows their other deals.
One team, 2 deal companies. Nicholas Smith is listed on 2 of them.
Issuers are grouped when their Form D filings share related persons, a management entity or a business address (automatic match from the filings). "Listed" marks the issuers that name Nicholas Smith.
A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.
None of the 5 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.
| Source | Filed | Form | Issuer | Amount offered (as reported) | Amount sold (as reported) | Matched on |
|---|---|---|---|---|---|---|
| EDGAR ↗ | Aug 27, 2021 File 020-28638 | Regulation Crowdfunding offering (Form C) Offering filed · deadline Apr 30, 2022 | MedWave Software Solutions, Inc. Sebastopol, CA | $100,001 target · $1,069,997 maximum via Wefunder Portal LLC (CRD 283503 · FINRA funding portals ↗) | Not reported on this form | signer name on this filing (Nicholas Smith) + listed as a related person on Form D filings of the same issuer (CIK 1562596) · 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.
Property records are matched to companies only, never to individuals, so none are matched to Nicholas 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 5 issuers this person is listed on — nothing matched.
Websites and social links of the issuers Nicholas Smith is listed on, as found in their SEC filings (Form C, Reg A, Form ADV, EDGAR profile) or on the sponsor's own site; none belongs to the person unless the sponsor's site says so. Checked Oct 24, 2026.
One-tap searches on sites we do not index ourselves, with the name pre-filled (Mountain View, CA). Each opens in a new tab; what you find there is not verified by PartnerFacts.
No corrections have been requested for this page.
Free. Logged with status: received → under review → fixed / confirmed with source.
If this is you or your firm, add a sourced explanation next to any fact. Reviewed before publishing.
Members get an email when Nicholas Smith appears on a new Form D, or when a court case or SEC action is matched to them. See plans →