Robert Smith is listed as an executive officer and director on 12 SEC Form D filings by 9 issuers between Dec 2009 and Sep 2026. Largest by amount reported sold: VISTA CREDIT PARTNERS FUND III, L.P. (San Francisco, CA — pooled investment fund — 2020–2021; $646.1M reported sold to 83 investors), Gossamer Bio, Inc. (San Diego, CA — biotechnology — 2026; $230M reported sold to 70 investors), VIRAGE LOGIC CORP (Fremont, CA — other technology — 2009; $9.5M reported sold to 1 investors), Sierra Photonics, Inc. (Livermore, CA — other technology — 2013–2014; $7.2M reported sold to 3 investors), RiceBran Technologies (West Sacramento, CA — industry reported as "Other" — 2017; $6.38M reported sold to 43 investors) and 4 more (all listed below).
What this means A repeat sponsor — 9 separate companies raised money with this person listed as executive officer and director, over about 17 years. Across those companies the filings report $902.3M sold in total.
Listed alongside VEP Group, LLC (3 shared filings, management entity), Amos Kohn (2 shared filings), Anthony Ruggiero (2 shared filings), Brian Sheth (2 shared filings), David Flannery (2 shared filings) and 41 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Robert. Each name links to their own page.
The issuers belong to 3 sponsor groups: Vista (164 issuers, $23.26B reported sold, 2009–2026), Virage (2 issuers, $9.5M reported sold, 2009–2014) and Ault (5 issuers, $37M reported sold, 2016–2026).
What this means This person is listed across more than one sponsor team; each group page shows that team's full track record.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, LA, ME, MO, MS, MT, NASAA, NC, NH, NM, OR, RI, TX, WA) — 4 court cases matching the name, 5 SEC releases, 5 state regulator orders, 5 bankruptcy cases matching the name listed in Key records below.
What this means 19 records came back, including 1 court case still open — open cases can take years and cost money. 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 12 public filings for Robert Smith and found 13 differences, 2 worth asking the sponsor about: Robert Smith appears on 3 deals that stopped filing before reaching their target; 6 paid sellers are listed without a CRD number; 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.