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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:52 AM ET

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Robert L. Smith, Jr.

Named as an officer, director or promoter on SEC Form D filings · IA · Dec 29, 2009 → Apr 8, 2025

7deals (issuers)
$45.1Mreported sold
55investors
11Form D filings
2009–2025years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:17 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Robert L. Smith, Jr. is listed as an executive officer and director on 11 SEC Form D filings by 7 issuers between Dec 2009 and Oct 2025. Largest by amount reported sold: Moov Financial, Inc. (Cedar Falls, IA — other banking and financial services — 2022–2025; $40M reported sold to 30 investors), Lockard Terrace Park, LLC (Cedar Falls, IA — commercial — 2013; $2.56M reported sold to 11 investors), Simmons-Lockard Transitional Rehab Fund, LLC (Cedar Falls, IA — commercial — 2017; $1.55M reported sold to 6 investors), Lockard Capital Investors 28, LLC (Cedar Falls, IA — commercial — 2011; $600K reported sold to 6 investors), Lockard Waukesha Holdings, LLC (Cedar Falls, IA — commercial — 2015; $375K reported sold to 2 investors) and 2 more (all listed below).

What this means A repeat sponsor — 7 separate companies raised money with this person listed as executive officer and director, over about 16 years. Across those companies the filings report $45.1M sold in total.

Listed alongside David Wade Arnold (5 shared filings), Angela Strange (4 shared filings), Dan Rosen (3 shared filings), Joel Tosi (3 shared filings), Matt Harris (3 shared filings) and 17 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.

5 of the issuers belong to the sponsor group Lockard (5 issuers, $5.08M reported sold, 2009–2017).

What this means A sponsor group is one team that sets up a new company for each deal. Lockard has 5 companies on file and $5.08M 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) — 6 SEC releases, 6 state regulator orders listed in Key records below.

What this means 12 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 11 public filings for Robert L. Smith, Jr. and found 16 differences, 3 worth asking the sponsor about: Regulator action: James Wallace Nall, III, Michael Hale Smith, Michael Dwaine Smith, Robert Walter Smith and Walter Vice Tutt (Sep 21, 2021); Robert L. Smith, Jr. appears on 5 deals that stopped filing before reaching their target; 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 Robert L. Smith, Jr. has not run yet — it is joining a line of 62,321 names; searches run around the clock at the hosts' allowed rate. Searched so far: 733 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, 2:17 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

6 SEC releases; 6 state regulator orders

James Wallace Nall, III, Michael Hale Smith, Michael Dwaine Smith, Robert Walter Smith and Walter Vice Tutt Litigation release
SEC · Sep 21, 2021 · Parties as named in the release: James Wallace Nall, III, Michael Hale Smith, Michael Dwaine Smith, Robert Walter Smith and Walter Vice Tutt Read the release ↗
person name; common name
Order AZ · Arizona Corporation Commission, Securities Division (ACC)
Order date Sep 13, 2019 · Regulator: Arizona Corporation Commission, Securities Division (ACC) · Decision No. 77411 · Parties (regulator's caption): Robert S. Smith (CRD #1145094); Janice Smith
Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗
same full name in the order; 46 people with this name in Form D filings; regulator in AZ (not a filing state); middle initial differs
Action filed AZ · Arizona Corporation Commission, Securities Division (ACC)
Order date Sep 18, 2018 · Regulator: Arizona Corporation Commission, Securities Division (ACC) · eDocket 21692 ↗ · Parties (regulator's caption): Skytrace, Inc.; Robert S. Smith (CRD #1145094); Janice Smith; Roland B. Woolsey
Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗
same full name in the order; 46 people with this name in Form D filings; regulator in AZ (not a filing state); middle initial differs
Order to Cease and Desist SC · South Carolina Office of the Attorney General, Securities Division
Order date May 13, 2010 · Regulator: South Carolina Office of the Attorney General, Securities Division · Parties (regulator's caption): Robert E. Smithfield (a.k.a Robert E. Smith) & Marlton Acceptance Corporation
Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗
same full name in the order; 46 people with this name in Form D filings; regulator in SC (not a filing state); middle initial differs
Consent Order WA · Washington State Department of Financial Institutions, Securities Division (DFI)
Order date Sep 18, 2007 · Regulator: Washington State Department of Financial Institutions, Securities Division (DFI) · S-05-121-06-CO01 · Parties (regulator's caption): International Global Position, Inc., FyBX Corporation, John F. Riley and Robert S. Smith · Order entered with/against: Robert S. Smith
As listed by the regulator: On September 18, 2007, the Securities Division entered into a Consent Order with Robert S. Smith. The Division previously entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist and Notice of Intent to Deny Future Registration, Impose Fines and Recover Costs against International Global Position, Inc., FyBX Corporation, John F. Riley and Robert S. Smith on January 23, 2007. … Respondent Smith neither admitted nor denied the allegations, but agreed to cease and desist from violations of the registration and anti-fraud provisions of the Securities Act of Washington. Respondent Smith agreed to pay a $5000 fine and agreed to a three year suspension for registration as a securities broker-dealer, securities salesperson, investment adviser, or investment adviser representative. Order / docket ↗ Regulator's list ↗
same full name in the order; 46 people with this name in Form D filings; regulator in WA (not a filing state); middle initial differs
Final Order WA · Washington State Department of Financial Institutions, Securities Division (DFI)
Order date Mar 5, 2007 · Regulator: Washington State Department of Financial Institutions, Securities Division (DFI) · S-05-121-07-FO01 · Parties (regulator's caption): International Global Position, Inc., FyBX Corporation, John F. Riley and Robert S. Smith · Order entered with/against: John F. Riley
As listed by the regulator: On March 5, 2007, the Securities Division entered a Final Order to Cease and Desist and Recover Costs against John F. Riley. The Division entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist and Notice of Intent to Deny Future Registration, Impose Fines and Recover Costs against International Global Position, Inc., FyBX Corporation, John F. Riley and Robert S. Smith on January 23, 2007. … The Securities Division ordered the Respondent to cease and desist from violating the Securities Act of Washington and imposed a fine of $10,000. Order / docket ↗ Regulator's list ↗
same full name in the order; 46 people with this name in Form D filings; regulator in WA (not a filing state); middle initial differs; named in the regulator's case caption but not in the entry sentence stating who the order was entered with/against
Statement of Charges WA · Washington State Department of Financial Institutions, Securities Division (DFI)
Order date Jan 23, 2007 · Regulator: Washington State Department of Financial Institutions, Securities Division (DFI) · S-05-121-06-SC01 · Parties (regulator's caption): International Global Positioning, Inc.; FyBX Corporation; John F. Riley; and Robert S. Smith · Order entered with/against: International Global Positioning, Inc. (“IGP”); FyBX Corporation (“FyBX”); John F. Riley (“Riley”); and Robert S. Smith
As listed by the regulator: On January 23, 2007, the Securities Division entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist and Notice of Intent to Deny Future Registration, Impose Fines and Recover Costs against International Global Positioning, Inc. (“IGP”); FyBX Corporation (“FyBX”); John F. Riley (“Riley”); and Robert S. Smith (“Smith”). Order / docket ↗ Regulator's list ↗
same full name in the order; 46 people with this name in Form D filings; regulator in WA (not a filing state); middle initial differs
Global Telelink Services, Inc., Global Contact Corporation, and Robert Smith III Litigation release
SEC · Aug 28, 2003 · Parties as named in the release: Global Telelink Services, Inc., Global Contact Corporation, and Robert Smith III Read the release ↗
same full name in the release title; 46 people with this name in Form D filings; the person's filing state is not named
Global Telelink Services, Inc., Global Contact Corporation and Robert Smith III Litigation release
SEC · Mar 9, 2001 · Parties as named in the release: Global Telelink Services, Inc., Global Contact Corporation and Robert Smith III Read the release ↗
same full name in the release title; 46 people with this name in Form D filings; the person's filing state is not named
Robert J. Smith Administrative proceeding
SEC · Sep 29, 1999 · Parties as named in the release: Robert J. Smith Read the release ↗
same full name in the release title; 46 people with this name in Form D filings; the person's filing state is not named; middle initial differs
Robert J. Smith Administrative proceeding
SEC · Mar 10, 1999 · Parties as named in the release: Robert J. Smith Read the release ↗
same full name in the release title; 46 people with this name in Form D filings; the person's filing state is not named; middle initial differs
Robert J. Smith Administrative proceeding
SEC · Nov 25, 1998 · Parties as named in the release: Robert J. Smith Read the release ↗
same full name in the release title; 46 people with this name in Form D filings; the person's filing state is not named; middle initial differs
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 Robert L. Smith, Jr...

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

None found in sources searched — federal bankruptcy courts (CourtListener / RECAP), checked Oct 24, 2026

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, 2:17 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.

4. Differences between public sources

Comparisons cover issuers and sponsor groups — see the issuer pages under Deals

16 differences found between the filings for Robert L. Smith, Jr. — 3 worth asking about (compared 11 filings on Oct 24, 2026)

Worth asking · Sep 21, 2021

Regulator action: James Wallace Nall, III, Michael Hale Smith, Michael Dwaine Smith, Robert Walter Smith and Walter Vice Tutt (Sep 21, 2021)

An SEC litigation release dated Sep 21, 2021 names Robert L. Smith, Jr.. Our match estimate: 40%. The release is the source; we do not summarize its outcome here.

What this means A regulator filed or announced an action naming this person or company (or someone on the same filings). Read the release; ask the sponsor what it was and how it ended.

James Wallace Nall, III, Michael Hale Smith, Michael Dwaine Smith, Robert Walter Smith and Walter Vice Tutt ↗
Sources
Note · Jul 6, 2026

Bankruptcy case: First National Bank of Omaha v. Habben — filed Jul 6, 2026

United States Bankruptcy Court, D. Minnesota docket "First National Bank of Omaha v. Habben" filed Jul 6, 2026 (Open). Darvin R. Habben (listed on the same filings) is listed as Defendant ("Habben"). 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.

Docket · United States Bankruptcy Court, D. Minnesota ↗Darvin R. Habben — PartnerFacts page ↗
Sources
Worth asking · Dec 29, 2009 – Aug 2, 2017

Robert L. Smith, Jr. appears on 5 deals that stopped filing before reaching their target

Simmons-Lockard Transitional Rehab Fund, LLC (last filing Aug 2, 2017; $1,550,000 sold of $16,500,000); Lockard Waukesha Holdings, LLC (last filing Jan 8, 2015; $375,000 sold of $2,000,000); COMMUNITY NATIONAL BANCORPATION/ IA (last filing May 19, 2011; $0 sold of $5,000,000); Lockard Capital Investors 28, LLC (last filing Apr 14, 2011; $600,000 sold of $2,100,000); Lockard Healthcare 27, LLC (last filing Dec 29, 2009; $0 sold of $1,500,000). 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.

Simmons-Lockard Transitional Rehab Fund, LLC — PartnerFacts page ↗Lockard Waukesha Holdings, LLC — PartnerFacts page ↗COMMUNITY NATIONAL BANCORPATION/ IA — PartnerFacts page ↗Lockard Capital Investors 28, LLC — PartnerFacts page ↗
Sources
Worth asking · May 19, 2011

Paid seller listed without a CRD number: Josef M.Vich — COMMUNITY NATIONAL BANCORPATION/ IA

Josef M.Vich is listed as receiving sales compensation on 1 filing (May 19, 2011) with no FINRA CRD number given.

What this means People paid to sell securities normally hold a FINRA registration with a CRD number. Without one we cannot look them up on BrokerCheck. Ask who they are and whether they are registered.

Form D · May 19, 2011 ↗BrokerCheck search: Josef M.Vich ↗COMMUNITY NATIONAL BANCORPATION/ IA — PartnerFacts page ↗
Sources
Note · Jul 6, 2017 – Aug 2, 2017

Form D filed 27 days after the first sale — Simmons-Lockard Transitional Rehab Fund, LLC

The filing says the first sale was Jul 6, 2017. The Form D was filed Aug 2, 2017 — 27 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 12 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Form D · Aug 2, 2017 ↗Simmons-Lockard Transitional Rehab Fund, LLC — PartnerFacts page ↗
Sources
Note · Dec 19, 2014 – Jan 8, 2015

Form D filed 20 days after the first sale — Lockard Waukesha Holdings, LLC

The filing says the first sale was Dec 19, 2014. The Form D was filed Jan 8, 2015 — 20 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 5 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Form D · Jan 8, 2015 ↗Lockard Waukesha Holdings, LLC — PartnerFacts page ↗
Sources
Note · Mar 10, 2011 – Apr 14, 2011

Form D filed 35 days after the first sale — Lockard Capital Investors 28, LLC

The filing says the first sale was Mar 10, 2011. The Form D was filed Apr 14, 2011 — 35 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 20 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Form D · Apr 14, 2011 ↗Lockard Capital Investors 28, LLC — PartnerFacts page ↗
Sources
Note · Mar 10, 2011 – Oct 8, 2025

7 offerings have no amendment in the last 12 months and may still be open

No amendment in the last 12 months on an offering that may still be open — Moov Financial, Inc. (latest filing Oct 8, 2025) · No amendment in the last 12 months on an offering that may still be open — Moov Financial, Inc. (latest filing Apr 8, 2025) · No amendment in the last 12 months on an offering that may still be open — Moov Financial, Inc. (latest filing Oct 24, 2022) · No amendment in the last 12 months on an offering that may still be open — Simmons-Lockard Transitional Rehab Fund, LLC (latest filing Aug 2, 2017) · No amendment in the last 12 months on an offering that may still be open — Lockard Waukesha Holdings, LLC (latest filing Jan 8, 2015) · and 2 more

What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.

Form D · Oct 8, 2025 ↗Moov Financial, Inc. — PartnerFacts page ↗Form D/A · Apr 8, 2025 ↗Form D · Oct 24, 2022 ↗
Sources
Note · Nov 18, 2024 – Apr 8, 2025

Offering amount changed between filings — Moov Financial, Inc.

The Nov 18, 2024 filing says $12,300,000 offered; the Apr 8, 2025 Form D/A says $20,500,000.

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) · Nov 18, 2024 ↗Form D/A (later) · Apr 8, 2025 ↗Moov Financial, Inc. — PartnerFacts page ↗
Sources
Note · Dec 29, 2009 – Nov 18, 2024

Robert L. Smith, Jr. is written 4 different ways on the filings

listed as "Robert L. Smith, Jr." on 6 filings (from Dec 29, 2009), and "Robert Smith" on 2 filings (from May 19, 2011), and "Robert Smith, Jr." on the Jun 26, 2024 filing, and "Robert L. Smith" on 2 filings (from Nov 18, 2024).

What this means Same person, written differently — a middle name or suffix left off, or spelled another way. It is normal, but check that the full legal name matches your subscription documents.

Form D · Dec 29, 2009 ↗Form D · May 19, 2011 ↗Form D · Jun 26, 2024 ↗Form D · Nov 18, 2024 ↗
Sources
Note · Oct 24, 2022 – Jun 26, 2024

Industry group changed between filings — Moov Financial, Inc.

"Other" (Oct 24, 2022); then "Other Banking and Financial Services" (Jun 26, 2024 to Oct 8, 2025).

What this means The issuer described its business differently on different forms. Often it is just a different box ticked; sometimes the deal itself changed. Ask which business your money is in.

Form D · Oct 24, 2022 ↗Form D · Jun 26, 2024 ↗Moov Financial, Inc. — PartnerFacts page ↗
Sources
Note · Sep 27, 2021 – Oct 31, 2025

Same name, different state: "Robert L. Smith, Jr." (MO) is a separate record

This page covers filings where the address state is IA. A separate record, "Robert L. Smith, Jr." with address state MO, is listed on 7 filings — most recently by CPC, LLC (Oct 31, 2025). Both records have filings in the same period (Sep 27, 2021 to Apr 8, 2025).

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.

Robert L. Smith, Jr. (MO) — PartnerFacts page ↗Form D/A · Oct 31, 2025 ↗CPC, LLC — PartnerFacts page ↗Robert L. Smith, Jr. (IA) — this page ↗
Sources
Note · Sep 13, 2011 – Jul 18, 2014

Same name, different state: "Robert Smith" (OH) is a separate record

This page covers filings where the address state is IA. A separate record, "Robert Smith" with address state OH, is listed on 3 filings — most recently by IECP Fund I LP (Jul 18, 2014). Both records have filings in the same period (Sep 13, 2011 to Jul 18, 2014).

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.

Robert Smith (OH) — PartnerFacts page ↗Form D · Jul 18, 2014 ↗IECP Fund I LP — PartnerFacts page ↗Robert L. Smith, Jr. (IA) — this page ↗
Sources
Note · Nov 13, 2009 – Feb 15, 2013

Same name, different state: "Robert Smith" (WA) is a separate record

This page covers filings where the address state is IA. A separate record, "Robert Smith" with address state WA, is listed on 3 filings — most recently by STRETTA INC (Feb 15, 2013). Both records have filings in the same period (Dec 29, 2009 to Feb 15, 2013).

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.

Robert Smith (WA) — PartnerFacts page ↗Form D · Feb 15, 2013 ↗STRETTA INC — PartnerFacts page ↗Robert L. Smith, Jr. (IA) — this page ↗
Sources
Note · Jun 24, 2010 – Feb 23, 2011

Same name, different state: "Robert Smith" (GA) is a separate record

This page covers filings where the address state is IA. A separate record, "Robert Smith" with address state GA, is listed on 2 filings — most recently by Mobile Application Development Partners, LLC (Feb 23, 2011). Both records have filings in the same period (Jun 24, 2010 to Feb 23, 2011).

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.

Robert Smith (GA) — PartnerFacts page ↗Form D · Feb 23, 2011 ↗Mobile Application Development Partners, LLC — PartnerFacts page ↗Robert L. Smith, Jr. (IA) — this page ↗
Sources
Note · Aug 6, 2009

Same name, different state: "Robert Smith" (IN) is a separate record

This page covers filings where the address state is IA. A separate record, "Robert Smith" with address state IN, is listed on 1 filing — most recently by WABASH NATIONAL CORP /DE (Aug 6, 2009). The two records do not overlap in time: this page runs Dec 29, 2009 to Apr 8, 2025; the other has one filing dated Aug 6, 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.

Robert Smith (IN) — PartnerFacts page ↗Form D · Aug 6, 2009 ↗WABASH NATIONAL CORP /DE — PartnerFacts page ↗Robert L. Smith, Jr. (IA) — 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

0 of 10 offerings report sales commissions; 0 report finder's fees; 0 report proceeds to related persons.

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Oct 8, 2025 D
Moov Financial, Inc.
File 021-560222
$0$0$0None listed on this filingEDGAR ↗
Apr 8, 2025 D/A
Moov Financial, Inc.
File 021-529713
$0$0$0None listed on this filingEDGAR ↗
Jun 26, 2024 D
Moov Financial, Inc.
File 021-516894
$0$0$0None listed on this filingEDGAR ↗
Oct 24, 2022 D
Moov Financial, Inc.
File 021-462624
$0$0$0None listed on this filingEDGAR ↗
Aug 2, 2017 D
Simmons-Lockard Transitional Rehab Fund, LLC
File 021-291996
$0$0$0None listed on this filingEDGAR ↗
Jan 8, 2015 D
Lockard Waukesha Holdings, LLC
File 021-231779
$0$0$0None listed on this filingEDGAR ↗
Apr 22, 2013 D
Lockard Terrace Park, LLC
File 021-195346
$0$0$0None listed on this filingEDGAR ↗
May 19, 2011 D
COMMUNITY NATIONAL BANCORPATION/ IA
File 021-160094
$0$0$0Josef M.Vich no CRD number reportedEDGAR ↗
Apr 14, 2011 D
Lockard Capital Investors 28, LLC
File 021-158395
$0$0$0None listed on this filingEDGAR ↗
Dec 29, 2009 D
Lockard Healthcare 27, LLC
File 021-137234
$0$0$0None 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 7

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

MF
Other Banking and Financial Services

Moov Financial, Inc.

Cedar Falls, IA · Oct 24, 2022 → Oct 8, 2025 · 5 filings
  • Oct 8, 2025 · D · $4,000,000 sold of $11,500,000 · 1 investors · min. No minimum reported · role: Executive Officer, Director (President and Director) EDGAR ↗
  • Apr 8, 2025 · D/A · $19,630,000 sold of $20,500,000 · 4 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗
  • Nov 18, 2024 · D · $12,300,000 sold of $12,300,000 · 3 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗
  • Jun 26, 2024 · D · $7,500,000 sold of $7,500,000 · 1 investors · min. No minimum reported · role: Executive Officer, Director (President) EDGAR ↗
  • Oct 24, 2022 · D · $39,999,945 sold of $45,000,000 · 22 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗

Raised $40M from 30 investors (100% of the $11.5M target) as of the latest filing. Robert is listed as executive officer, director on 5 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: Other Banking and Financial Services / 506(b) (1,630 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.

SL
Commercial · group: Lockard

Simmons-Lockard Transitional Rehab Fund, LLC

Cedar Falls, IA · Aug 2, 2017
  • Aug 2, 2017 · D · $1,550,000 sold of $16,500,000 · 6 investors · min. $100,000 · role: Executive Officer (Manager of Manager of Manager of Issuer) EDGAR ↗

Raised $1.55M from 6 investors (9% of the $16.5M target) as of the latest filing. Robert is listed as executive officer.

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: Commercial / 506(b) (6,713 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.

LW
Commercial · group: Lockard

Lockard Waukesha Holdings, LLC

Cedar Falls, IA · Jan 8, 2015
  • Jan 8, 2015 · D · $375,000 sold of $2,000,000 · 2 investors · min. $100,000 · role: Executive Officer (Manager of Manager of Manager of Issuer) EDGAR ↗

Raised $375K from 2 investors (19% of the $2M target) as of the latest filing. Robert is listed as executive officer.

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: Commercial / 506(b) (6,713 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.

LT
Commercial · group: Lockard

Lockard Terrace Park, LLC

Cedar Falls, IA · Apr 22, 2013
  • Apr 22, 2013 · D · $2,560,000 sold of $3,800,000 · 11 investors · min. $100,000 · role: Executive Officer (Manager of the Manager of the Manager of Issuer) EDGAR ↗

Raised $2.56M from 11 investors (67% of the $3.8M target) as of the latest filing. Robert is listed as executive officer.

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.

CN
Commercial Banking

COMMUNITY NATIONAL BANCORPATION/ IA

Waterloo, IA · May 19, 2011
  • May 19, 2011 · D · $0 sold of $5,000,000 · 0 investors · min. $5,070 · role: Director EDGAR ↗

No sales reported yet as of the latest filing. Robert is listed as director.

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.

LC
Commercial · group: Lockard

Lockard Capital Investors 28, LLC

Cedar Falls, IA · Apr 14, 2011
  • Apr 14, 2011 · D · $600,000 sold of $2,100,000 · 6 investors · min. $100,000 · role: Executive Officer (Manager of the Manager of the Issuer) EDGAR ↗

Raised $600K from 6 investors (29% of the $2.1M target) as of the latest filing. Robert is listed as executive officer.

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.

LH
Commercial · group: Lockard

Lockard Healthcare 27, LLC

Cedar Falls, IA · Dec 29, 2009
  • Dec 29, 2009 · D · $0 sold of $1,500,000 · 0 investors · min. $100,000 · role: Executive Officer (Designated authorized person of managing member) EDGAR ↗

No sales reported yet as of the latest filing. Robert is listed as executive officer.

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.

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.

  • Robert F. Smith — CA, 163 issuers, Sep 24, 2009 → Oct 22, 2026 · no shared issuer
  • Robert F. Smith — TX, 20 issuers, Sep 30, 2010 → Apr 2, 2026 · no shared issuer
  • Robert Smith — CA, 9 issuers, Dec 1, 2009 → Sep 4, 2026 · no shared issuer
  • Robert B. Smith, IV — VA, 8 issuers, Feb 12, 2019 → Jul 25, 2019 · no shared issuer
  • ROBERT A. SMITH — NV, MA, 6 issuers, Jan 14, 2014 → Sep 30, 2016 · no shared issuer
  • Robert Smith — MD, 4 issuers, Jun 23, 2010 → Aug 19, 2026 · no shared issuer
  • Robert Smith — MA, 4 issuers, Jul 11, 2016 → Sep 27, 2024 · no shared issuer
  • Robert Allen Smith — MS, 3 issuers, Jun 19, 2009 → Feb 21, 2024 · no shared issuer
  • Robert Smith — CO, 3 issuers, Dec 20, 2012 → Nov 7, 2018 · no shared issuer
  • ROBERT F. SMITH — MD, 3 issuers, Nov 9, 2011 → Aug 4, 2014 · no shared issuer
  • Robert L. Smith, Jr. — MO, 2 issuers, Sep 27, 2021 → Oct 31, 2025 · no shared issuer
  • Robert Smith — OH, 2 issuers, Sep 13, 2011 → Jul 18, 2014 · no shared issuer
  • Robert Smith — UT, 2 issuers, Feb 7, 2018 → May 11, 2022 · no shared issuer
  • Robert Scott SMith — TX, 2 issuers, Dec 17, 2010 → Oct 17, 2025 · no shared issuer
  • Robert Smith — AZ, 2 issuers, Feb 27, 2017 → Jan 24, 2023 · no shared issuer
  • Robert Smith — TX, 2 issuers, Jul 17, 2017 → Oct 22, 2020 · no shared issuer
  • Robert Smith — IN, 1 issuer, Aug 6, 2009 → Aug 6, 2009 · no shared issuer
  • Robert Smith — WA, 1 issuer, Nov 13, 2009 → Feb 15, 2013 · no shared issuer
  • Robert Smith — GA, 1 issuer, Jun 24, 2010 → Feb 23, 2011 · no shared issuer
  • Robert A. Smith — TN, 1 issuer, Apr 15, 2010 → Apr 15, 2010 · no shared issuer

People around Robert 22

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

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

David Wade Arnold

Executive Officer, Director · 5 shared filings (1 issuer)

Listed on the same filings as Robert L. Smith, Jr.. Their page shows their other deals.

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

Angela Strange

Director · 4 shared filings (1 issuer)

Listed on the same filings as Robert L. Smith, Jr.. Their page shows their other deals.

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

Matt Harris

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

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

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

Dan Rosen

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

Listed on the same filings as Robert L. Smith, Jr.. Their page shows their other deals.

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

Joel Tosi

Executive Officer · 3 shared filings (1 issuer)

Listed on the same filings as Robert L. Smith, Jr.. Their page shows their other deals.

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

Ryan Howe

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Robert L. Smith, Jr.. Their page shows their other deals.

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

James Bond, M.D.

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Robert L. Smith, Jr.. Their page shows their other deals.

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

David R. Mason

Director · 1 shared filing (1 issuer)

Listed on the same filings as Robert L. Smith, Jr.. Their page shows their other deals.

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

Kenneth A. Lockard

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

Listed on the same filings as Robert L. Smith, Jr.. Their page shows their other deals.

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

Thomas L. Hovland

Director · 1 shared filing (1 issuer)

Listed on the same filings as Robert L. Smith, Jr.. Their page shows their other deals.

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

Richard C. Young

Director · 1 shared filing (1 issuer)

Listed on the same filings as Robert L. Smith, Jr.. Their page shows their other deals.

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

Josef Milo Vich

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

Listed on the same filings as Robert L. Smith, Jr.. Their page shows their other deals.

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

Darvin R. Habben

Director · 1 shared filing (1 issuer)

Listed on the same filings as Robert L. Smith, Jr.. Their page shows their other deals.

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

Kenneth A. Budke

Director · 1 shared filing (1 issuer)

Listed on the same filings as Robert L. Smith, Jr.. Their page shows their other deals.

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

Daniel Rosen

Director · 1 shared filing (1 issuer)

Listed on the same filings as Robert L. Smith, Jr.. Their page shows their other deals.

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

Matthew Harris

Director · 1 shared filing (1 issuer)

Listed on the same filings as Robert L. Smith, Jr.. Their page shows their other deals.

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

Sam Reid

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Robert L. Smith, Jr.. Their page shows their other deals.

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

Julie Bi

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Robert L. Smith, Jr.. Their page shows their other deals.

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

Josh Sadler

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Robert L. Smith, Jr.. Their page shows their other deals.

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

Brad Bialas

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Robert L. Smith, Jr.. Their page shows their other deals.

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

Parker Steel

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Robert L. Smith, Jr.. Their page shows their other deals.

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

Michael L. Peterson

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

Listed on the same filings as Robert L. Smith, Jr.. Their page shows their other deals.

The team behind the deals

L
Sponsor group

Lockard

5 issuers · 5 filings · $5.08M reported sold · 2009–2017

One team, 5 deal companies. Robert L. Smith, Jr. is listed on 5 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 Robert L. Smith, Jr..

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); KY (Kentucky Secretary of State — Business Entity Search (sosbes.sos.ky.gov), searched by issuer name, data as of Oct 24, 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 7 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 Robert L. Smith, Jr. 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 7 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Robert L. Smith, Jr. is listed on: none on file. No website or social profile named in Moov Financial, Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #58,295 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 (Cedar Falls, IA). 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) ↗Iowa state courts — find the court ↗

Securities regulators

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

Business registries

Iowa Secretary of State business search ↗OpenCorporates ↗

Change history

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