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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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Nicholas Smith

Named as an officer, director or promoter on SEC Form D filings · CA · Jul 19, 2011 → Nov 27, 2023

5deals (issuers)
$66.5Mreported sold
115investors
10Form D filings
2011–2023years on file

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

The short version

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, 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 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.

What the community is saying

Community search for Nicholas Smith has not run yet — it is #29,314 of 39,449 in line; 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

1 case: 1 dismissed

US v. SMITH, NICHOLAS K. dismissed
District Court, N.D. California · No. · Filed Mar 30, 1987 · Closed Aug 7, 1987 · Nature of suit: 153 Recovery of overpayments of vet benefits
Role of SMITH, NICHOLAS K.: Defendant · Outcome: Terminated 1987-08-07 — FJC Integrated Database disposition: Dismissed: lack of jurisdiction Docket on CourtListener ↗
same full name (a name found in 300 federal dockets); 13 people with this name in Form D filings; court in the person's filing state (CA)
What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:16 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.

2. Regulatory actions

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: 48 regulators (FINRA, NASAA, 37 states) — crawled Oct 24, 2026, 8:48 AM ET

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 Nicholas 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

8 cases: 8 closed (disposition not in docket feed)

Nicholas Smith and Jacklyn Smith closed
United States Bankruptcy Court, N.D. California · No. 24-41611 · Filed Oct 11, 2024 · Closed Nov 13, 2024
Role of Nicholas Smith and Jacklyn Smith: Debtor · Outcome: Case closed 2024-11-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 300 federal dockets); 13 people with this name in Form D filings; court in the person's filing state (CA)
Nicholas Smith and Jacklyn Smith closed
United States Bankruptcy Court, N.D. California · No. 24-51381 · Filed Sep 10, 2024 · Closed Oct 15, 2024
Role of Nicholas Smith and Jacklyn Smith: Debtor · Outcome: Case closed 2024-10-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 300 federal dockets); 13 people with this name in Form D filings; court in the person's filing state (CA)
Nicholas D. Smith and Kristina S. Toomata closed
United States Bankruptcy Court, N.D. California · No. 19-10235 · Filed Apr 11, 2019 · Closed Jul 11, 2019
Role of Nicholas D. Smith and Kristina S. Toomata: Debtor · Outcome: Case closed 2019-07-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 300 federal dockets); 13 people with this name in Form D filings; court in the person's filing state (CA)
Nicholas A Smith closed
United States Bankruptcy Court, S.D. California · No. 18-05628 · Filed Sep 19, 2018 · Closed Dec 24, 2018
Role of Nicholas A Smith: Debtor · Outcome: Case closed 2018-12-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 300 federal dockets); 13 people with this name in Form D filings; court in the person's filing state (CA)
Nicholas Smith and Cheryl Terry Pressley-Smith closed
United States Bankruptcy Court, E.D. California · No. 12-29518 · Filed May 17, 2012 · Closed Aug 24, 2012
Role of Nicholas Smith and Cheryl Terry Pressley-Smith: Debtor · Outcome: Case closed 2012-08-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 300 federal dockets); 13 people with this name in Form D filings; court in the person's filing state (CA)
Nicholas Smith and Claudia Ann Smith closed
United States Bankruptcy Court, C.D. California · No. 2:07-bk-10911 · Filed Feb 5, 2007 · Closed Jul 26, 2007
Role of Nicholas Smith and Claudia Ann Smith: Debtor · Outcome: Case closed 2007-07-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 300 federal dockets); 13 people with this name in Form D filings; court in the person's filing state (CA)
Nicholas S Smith closed
United States Bankruptcy Court, C.D. California · No. 1:01-bk-19721 · Filed Oct 15, 2001 · Closed Feb 12, 2002
Role of Nicholas S Smith: Debtor · Outcome: Case closed 2002-02-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 300 federal dockets); 13 people with this name in Form D filings; court in the person's filing state (CA)
Nicholas B Smith and Betty Smith closed
United States Bankruptcy Court, C.D. California · No. 8:97-bk-26097 · Filed Oct 7, 1997 · Closed Jan 30, 1998
Role of Nicholas B Smith and Betty Smith: Debtor · Outcome: Case closed 1998-01-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 300 federal dockets); 13 people with this name in Form D filings; court in the person's filing state (CA)
What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:16 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.

4. Differences between public sources

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)

Note · Aug 14, 2000 – Dec 6, 2000

Bankruptcy case: James Beyers — filed Aug 14, 2000

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.

Sources
Worth asking · Sep 1, 2011 – Nov 27, 2023

7 Form Ds were filed more than 15 days after the first sale

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.

Sources
Note · Feb 9, 2012 – Feb 28, 2012

No amendment in the last 12 months on an offering that may still be open — OFFSITE CARE RESOURCES, INC. (latest filing Feb 28, 2012)

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.

Sources
Note · Sep 1, 2011 – Oct 7, 2011

No amendment in the last 12 months on an offering that may still be open — OFFSITE CARE RESOURCES, INC. (latest filing Oct 7, 2011)

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.

Sources
Note · Jul 6, 2011 – Jul 19, 2011

No amendment in the last 12 months on an offering that may still be open — Offsite Care Telemedicine, LLC (latest filing Jul 19, 2011)

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.

Sources
Note · Dec 20, 2019 – Jul 15, 2026

Same name, different state: "Nicholas Smith" (MN) is a separate record

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.

Sources
Note · Dec 19, 2022 – Sep 27, 2024

Same name, different state: "Nicholas Smith" (MO) is a separate record

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.

Sources
Note · Feb 17, 2021

Same name, different state: "Nicholas Smith" (UT) is a separate record

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.

Sources
Note · Dec 13, 2018 – Sep 20, 2019

Same name, different state: "Nicholas Reid Smith" (MD or DC or NY) is a separate record

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.

Sources
Note · Jul 5, 2012

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

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.

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

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 commissionsFinder's feesTo insidersPaid to sell itSource
Nov 27, 2023 D
Alto Neuroscience, Inc.
File 021-498123
$0$0$0None listed on this filingEDGAR ↗
Nov 27, 2023 D
Alto Neuroscience, Inc.
File 021-498125
$0$0$0None listed on this filingEDGAR ↗
Nov 27, 2023 D
Alto Neuroscience, Inc.
File 021-498127
$0$0$0None listed on this filingEDGAR ↗
Nov 27, 2023 D
Alto Neuroscience, Inc.
File 021-498128
$0$0$0None listed on this filingEDGAR ↗
Sep 11, 2019 D
Fairwater Partners, LLC
File 021-348556
$0$0$0None listed on this filingEDGAR ↗
Sep 21, 2016 D
MEDWAVE SOFTWARE SOLUTIONS, INC.
File 021-271040
$0$0$0None listed on this filingEDGAR ↗
Apr 26, 2012 D
OFFSITE CARE RESOURCES, INC.
File 021-177303
$0$0$0 (est.)None listed on this filingEDGAR ↗
Feb 28, 2012 D
OFFSITE CARE RESOURCES, INC.
File 021-174081
$0$0$0 (est.)None listed on this filingEDGAR ↗
Oct 7, 2011 D
OFFSITE CARE RESOURCES, INC.
File 021-166889
$0$0$80,000 (est.)None listed on this filingEDGAR ↗
Jul 19, 2011 D
Offsite Care Telemedicine, LLC
File 021-163135
$0$0$60,000 (est.)None 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 5

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.

Biotechnology

Alto Neuroscience, Inc.

Mountain View, CA · Nov 27, 2023 → Nov 27, 2023 · 4 filings
  • Nov 27, 2023 · D · $45,000,223 sold of $45,000,223 · 16 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Nov 27, 2023 · D · $59,261,815 sold of $59,261,815 · 26 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Nov 27, 2023 · D · $31,887,138 sold of $31,887,138 · 19 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Nov 27, 2023 · D · $7,722,217 sold of $7,722,217 · 16 investors · min. No minimum reported · role: Executive Officer EDGAR ↗

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.

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: 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.

Pooled Investment Fund

Fairwater Partners, LLC

Encinatas, CA · Sep 11, 2019
  • Sep 11, 2019 · D · $973,620 sold of $973,620 · 20 investors · min. $810 · role: Executive Officer, Director, Promoter EDGAR ↗

Raised $974K from 20 investors (100% of the $974K target) as of the latest filing. Nicholas is listed as executive officer, director, promoter.

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.

Logo
Other Health Care

MEDWAVE SOFTWARE SOLUTIONS, INC.

Sebastopol, CA · Sep 21, 2016
  • Sep 21, 2016 · D · $2,245,147 sold of $2,245,147 · 1 investors · min. $10,000 · role: Executive Officer EDGAR ↗

Raised $3.86M from 47 investors (100% of the $2.25M target) as of the latest filing. Nicholas is listed as executive officer.

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 Technology · group: Offsite Care

OFFSITE CARE RESOURCES, INC.

Sebastopol, CA · Oct 7, 2011 → Apr 26, 2012 · 3 filings
  • Apr 26, 2012 · D · $9,544 sold of $9,544 · 1 investors · min. $9,544 · role: Promoter EDGAR ↗
  • Feb 28, 2012 · D · $18,750 sold of $45,000 · 2 investors · min. $9,000 · role: Promoter EDGAR ↗
  • Oct 7, 2011 · D · $1,258,507 sold of $1,678,507 · 12 investors · min. $5,000 · role: Promoter EDGAR ↗

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.

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.

Other Technology · group: Offsite Care

Offsite Care Telemedicine, LLC

Sebastopol, CA · Jul 19, 2011
  • Jul 19, 2011 · D · $1,108,506 sold of $1,358,506 · 10 investors · min. $10,000 · role: Promoter EDGAR ↗

Raised $1.11M from 10 investors (82% of the $1.36M target) as of the latest filing. Nicholas is listed as promoter.

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.

Other pages with the same name (12)

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

  • Nicholas Reid Smith — MD, DC, NY, 8 issuers, Dec 13, 2018 → Sep 20, 2019 · no shared issuer
  • Nicholas Smith — MN, 8 issuers, Dec 20, 2019 → Jul 15, 2026 · no shared issuer
  • Nicholas Robin Bartolomeo Smith — United Kingdom (as filed: X0), 2 issuers, Jun 7, 2023 → Jun 7, 2023 · no shared issuer
  • Nicholas Peter Smith — Australia (as filed: C3), 1 issuer, Jul 5, 2012 → Jul 5, 2012 · no shared issuer
  • Nicholas Smith — UT, 1 issuer, Feb 17, 2021 → Feb 17, 2021 · no shared issuer
  • Nicholas Smith — MO, 1 issuer, Dec 19, 2022 → Sep 27, 2024 · no shared issuer
  • Nicholas William Smith — Singapore (as filed: U0), 1 issuer, Feb 28, 2023 → Aug 23, 2023 · no shared issuer
  • Nicholas Smith — Ontario, Canada (as filed: A6), FL, 1 issuer, Aug 21, 2023 → Aug 21, 2023 · no shared issuer
  • Nicholas Smith — IL, 1 issuer, May 27, 2025 → Aug 10, 2026 · no shared issuer
  • Nicholas Daniel Smith — CO, 1 issuer, Jun 26, 2026 → Jun 26, 2026 · no shared issuer
  • Nicholas C. Smith — CA, 1 issuer, Oct 27, 2025 → Oct 27, 2025 · shares 1 issuer with this record
  • NICHOLAS D SMITH — CA, 1 issuer, Nov 21, 2012 → Jan 14, 2014 · shares 1 issuer with this record

People around Nicholas 24

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

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

DAN D SMITH

Promoter, Executive Officer, Director · 5 shared filings (3 issuers) · also on 1 other issuer

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

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

JAMES K GUDE

Promoter, Executive Officer, Director · 5 shared filings (3 issuers)

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

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

Adam Savitz

Executive Officer · 4 shared filings (1 issuer)

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

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

Amit Etkin

Executive Officer, Director · 4 shared filings (1 issuer)

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

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

Gwill York

Director · 4 shared filings (1 issuer)

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

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

Christopher Nixon Cox

Director · 4 shared filings (1 issuer)

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

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

Andrew Dreyfus

Director · 4 shared filings (1 issuer)

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

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

Michael Liang

Director · 4 shared filings (1 issuer) · also on 12 other issuers

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

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

THOMAS SHAUGHNESSY

Promoter, Director · 4 shared filings (2 issuers)

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

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

GLENN MINERVINI-ZICK

Promoter, Executive Officer · 4 shared filings (2 issuers) · also on 1 other issuer

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

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

THOMAS J. NUCKTON

Promoter, Director · 4 shared filings (2 issuers)

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

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

JEFFREY T. DUNBAR

Executive Officer, Director, Promoter · 4 shared filings (2 issuers)

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

RC
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Person

ROBERT T. CATTERTON

Promoter · 4 shared filings (2 issuers)

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

NS
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Person

NANCY SOLOMON

Promoter · 4 shared filings (2 issuers)

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

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

Aaron Weaver

Director · 4 shared filings (1 issuer) · also on 4 other issuers

Aaron Weaver is on 5 issuers in total — a repeat sponsor. Their page lists every one.

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

Po Yu (Jeff) Chen

Director · 4 shared filings (1 issuer)

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

CD
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Person

Chris Dimitropoulos

Director · 4 shared filings (1 issuer) · also on 4 other issuers

Chris Dimitropoulos is on 5 issuers in total — a repeat sponsor. Their page lists every one.

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

ROBERT R. TUFTS

Promoter · 3 shared filings (1 issuer) · also on 8 other issuers

ROBERT R. TUFTS is on 9 issuers in total — a repeat sponsor. Their page lists every one.

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

JOHN B. STUPPIN

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

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

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

JAMES BEYERS

Director · 1 shared filing (1 issuer)

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

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

ARTHUR GRUEN

Director · 1 shared filing (1 issuer)

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

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

JAMES STUPPIN

Director · 1 shared filing (1 issuer)

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

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

Daniel Zastrow

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

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

The team behind the deals

Sponsor group

Offsite Care

2 issuers · 4 filings · $1.12M reported sold · 2011–2012

One team, 2 deal companies. Nicholas Smith is listed on 2 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 Nicholas Smith.

Same business address

2 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 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.

Other offering types (Regulation A and Regulation Crowdfunding)

1 Regulation Crowdfunding filing — tap to see each filing
SourceFiledFormIssuerAmount 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 formsigner 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 none — individuals are not matched

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.

Public profiles and social

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.

Look further

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.

Found on the sponsor's own site

harmonimd.com ↗ found on MEDWAVE SOFTWARE SOLUTIONS, INC. (harmonimd.com — Form C 0001670254-21-000964 (issuer website as filed))

Change history

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