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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 6:51 AM ET

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Sam Schwartz

Named as an officer, director or promoter on SEC Form D filings · IL · May 13, 2013 → Feb 13, 2026

2deals (issuers)
$38.8Mreported sold
39investors
3Form D filings
2013–2026years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:15 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Sam Schwartz is listed as an executive officer, director, and promoter on 3 SEC Form D filings by 2 issuers between May 2013 and Feb 2026: HIGHTOWER HOLDING, LLC (Chicago, IL — investing — 2013; $29.4M reported sold to 8 investors) and FI GP Fund, LLC (Chicago, IL — industry reported as "Other" — 2025–2026; $9.38M reported sold to 31 investors).

What this means 2 separate companies raised money with this person listed as executive officer, director, and promoter, over about 13 years. Across those companies the filings report $38.8M sold in total.

Listed alongside David Duncan (2 shared filings), Stephen Schwartz (2 shared filings), ANDREW KORNREICH (1 shared filing), ANDREW MORSE (1 shared filing), DAN LIDAWER (1 shared filing) and 6 others.

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

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) — 7 court cases matching the name, 2 SEC releases, 3 bankruptcy cases matching the name 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 3 public filings for Sam Schwartz and found 3 differences: Form D filed 53 days after the first sale; No amendment in the last 12 months on an offering that may still be open; and more below.

What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.

What the community is saying

Community search for Sam Schwartz has not run yet — it is joining a line of 20,906 names; searches run around the clock at the hosts' allowed rate. Searched so far: 314 names.

Community comments are quoted as written by their authors. Sources searched: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

7 cases: 5 dismissed, 1 judgment, 1 closed (disposition not in docket feed)

In re: Sam Schwartz dismissed
District Court, E.D. New York · No. 2:13-cv-06238 · Filed Nov 5, 2013 · Closed Feb 3, 2014 · Nature of suit: 220 Foreclosure
Role of Sam Schwartz: Party · Outcome: Terminated 2014-02-03 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
same full name (a name found in 13 federal dockets); 2 people with this name in Form D filings; court in NY (not a filing state)
Securities & Exchang v. Sam D. Schwartz judgment
District Court, C.D. California · No. 2:98-cv-06142 · Filed Jul 30, 1998 · Closed Apr 20, 2000 · Nature of suit: 850 Securities, Commodities, Exchange
Role of Sam D. Schwartz: Defendant · Outcome: Terminated 2000-04-20 — FJC Integrated Database disposition: Judgment on default; judgment for plaintiff Docket on CourtListener ↗
same full name (a name found in 13 federal dockets); 2 people with this name in Form D filings; court in CA (not a filing state)
Sam D. Schwartz v. Incomnet Inc dismissed
District Court, C.D. California · No. 2:97-cv-08483 · Filed Nov 18, 1997 · Closed Jun 16, 1998 · Nature of suit: 850 Securities, Commodities, Exchange
Role of Sam D. Schwartz: Plaintiff · Outcome: Terminated 1998-06-16 — FJC Integrated Database disposition: Dismissed: lack of jurisdiction Docket on CourtListener ↗
same full name (a name found in 13 federal dockets); 2 people with this name in Form D filings; court in CA (not a filing state)
Charles Stevens v. Sam D Schwartz dismissed
District Court, C.D. California · No. 2:96-cv-04906 · Filed Jul 12, 1996 · Closed Oct 10, 1997 · Nature of suit: 850 Securities, Commodities, Exchange
Role of Sam D Schwartz: Defendant · Outcome: Terminated 1997-10-10 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
same full name (a name found in 13 federal dockets); 2 people with this name in Form D filings; court in CA (not a filing state)
Matthew G Hyde v. Sam D Schwartz dismissed
District Court, C.D. California · No. 2:95-cv-00533 · Filed Jan 27, 1995 · Closed Nov 28, 1995 · Nature of suit: 850 Securities, Commodities, Exchange
Role of Sam D Schwartz: Defendant · Outcome: Terminated 1995-11-28 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
same full name (a name found in 13 federal dockets); 2 people with this name in Form D filings; court in CA (not a filing state)
Thomas Comiskey v. Sam D Schwartz dismissed
District Court, C.D. California · No. 2:95-cv-00448 · Filed Jan 24, 1995 · Closed Oct 17, 1995 · Nature of suit: 850 Securities, Commodities, Exchange
Role of Sam D Schwartz: Defendant · Outcome: Terminated 1995-10-17 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
same full name (a name found in 13 federal dockets); 2 people with this name in Form D filings; court in CA (not a filing state)
Saundra Gayles v. Sam D Schwartz closed
District Court, C.D. California · No. 2:95-cv-00399 · Filed Jan 20, 1995 · Closed Sep 22, 1998 · Nature of suit: 863 D.I.W.C. / D.I.W.W.
Role of Sam D Schwartz: Defendant · Outcome: Terminated 1998-09-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 13 federal dockets); 2 people with this name in Form D filings; court in CA (not a filing state)
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, 2:15 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

2 SEC releases

Sam D. Schwartz, et al. Litigation release
SEC · Apr 28, 2000 · Parties as named in the release: Sam D. Schwartz, et al. Read the release ↗
same full name in the release title; 2 people with this name in Form D filings; the person's filing state is not named
Sam D. Schwartz, Broad Capital Associates, Inc., Murray A. Huberfeld, and David B. Bodner Litigation release
SEC · Jul 30, 1998 · Parties as named in the release: Sam D. Schwartz, Broad Capital Associates, Inc., Murray A. Huberfeld, and David B. Bodner Read the release ↗
same full name in the release title; 2 people with this name in Form D filings; the person's filing state is not named
What was searched

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Sam Schwartz..

State securities regulators: Securities regulators searched (3,318 actions): AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002), DE DOJ Investor Protection Unit (257 actions, 1987–2026), TX State Securities Board (586 actions, 2006–2026), WA DFI (2,039 actions, 2001–2026) — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first — last crawled Oct 23, 2026, 9:57 PM ET. No machine-readable public listing today for IA, IN, KS, MI, NE, NV (see docs/state-regulators.md).

3. Bankruptcies

3 cases: 3 closed (disposition not in docket feed)

SAM SCHWARTZ closed
United States Bankruptcy Court, D. Nevada · No. 07-18414 · Filed Dec 14, 2007 · Closed Mar 28, 2008
Role of SAM SCHWARTZ: Debtor · Outcome: Case closed 2008-03-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 13 federal dockets); 2 people with this name in Form D filings; court in NV (not a filing state)
Sam Schwartz closed
United States Bankruptcy Court, S.D. Florida. · No. 91-20124 · Filed Jan 11, 1991 · Closed May 9, 1991
Role of Sam Schwartz: Debtor · Outcome: Case closed 1991-05-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 13 federal dockets); 2 people with this name in Form D filings; court in FL (not a filing state)
Sam Schwartz and Betty N Schwartz closed
United States Bankruptcy Court, E.D. North Carolina · No. 87-01290 · Filed May 14, 1987 · Closed May 31, 1989
Role of Sam Schwartz and Betty N Schwartz: Debtor · Outcome: Case closed 1989-05-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 13 federal dockets); 2 people with this name in Form D filings; court in NC (not a filing state)
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, 2:15 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

3 differences found between the filings for Sam Schwartz (compared 3 filings on Oct 24, 2026)

Note · Mar 21, 2013 – May 13, 2013

Form D filed 53 days after the first sale — HIGHTOWER HOLDING, LLC

The filing says the first sale was Mar 21, 2013. The Form D was filed May 13, 2013 — 53 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 38 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 · May 13, 2013 ↗HIGHTOWER HOLDING, LLC — PartnerFacts page ↗
Sources
Note · Mar 21, 2013 – May 13, 2013

No amendment in the last 12 months on an offering that may still be open — HIGHTOWER HOLDING, LLC (latest filing May 13, 2013)

The latest filing for this offering is dated May 13, 2013 (first sale Mar 21, 2013). It reports $29,400,000 sold of $40,000,000 offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D · May 13, 2013 ↗HIGHTOWER HOLDING, LLC — PartnerFacts page ↗
Sources
Note · Oct 30, 2023

Same name, different state: "Sam Schwartz" (WI) is a separate record

This page covers filings where the address state is IL. A separate record, "Sam Schwartz" with address state WI, is listed on 1 filing — most recently by Sara Capital Partners Fund I, LP (Oct 30, 2023). Both records have filings in the same period (Oct 30, 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.

Sam Schwartz (WI) — PartnerFacts page ↗Form D · Oct 30, 2023 ↗Sara Capital Partners Fund I, LP — PartnerFacts page ↗Sam Schwartz (IL) — 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

None reported on 2 offerings — no sales commissions, finder's fees or proceeds to insiders

Per-offering detail
Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Feb 13, 2026 D/A
FI GP Fund, LLC
File 021-568294
$0$0$0None listed on this filingEDGAR ↗
May 13, 2013 D
HIGHTOWER HOLDING, LLC
File 021-196398
$0$0$0None listed on this filingEDGAR ↗

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 2

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

FG
Other

FI GP Fund, LLC

Chicago, IL · Dec 30, 2025 → Feb 13, 2026 · 2 filings
  • Feb 13, 2026 · D/A · $9,375,000 sold of $20,000,000 · 31 investors · min. $100,000 · role: Executive Officer, Director, Promoter EDGAR ↗
  • Dec 30, 2025 · D · $9,125,000 sold of $20,000,000 · 31 investors · min. $100,000 · role: Executive Officer, Director, Promoter EDGAR ↗

Raised $9.38M from 31 investors (47% of the $20M target) as of the latest filing. Sam is listed as executive officer, director, promoter on 2 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Other / 506(c) (1,881 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.

HH
Investing

HIGHTOWER HOLDING, LLC

Chicago, IL · May 13, 2013
  • May 13, 2013 · D · $29,400,000 sold of $40,000,000 · 8 investors · min. $50,000 · role: Director (Mr. Schwartz is a Manager of the Issuer.) EDGAR ↗

Raised $29.4M from 8 investors (74% of the $40M target) as of the latest filing. Sam 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.

Other pages with the same name (1)

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

  • Sam Schwartz — WI, 1 issuer, Oct 30, 2023 → Oct 30, 2023 · no shared issuer

People around Sam 11

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

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

David Duncan

Promoter · 2 shared filings (1 issuer)

Listed on the same filings as Sam Schwartz. Their page shows their other deals.

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

Stephen Schwartz

Promoter · 2 shared filings (1 issuer)

Listed on the same filings as Sam Schwartz. Their page shows their other deals.

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

LAWRENCE KOEHLER

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

Listed on the same filings as Sam Schwartz. Their page shows their other deals.

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

GREGORY SCHULSON

Director · 1 shared filing (1 issuer)

Listed on the same filings as Sam Schwartz. Their page shows their other deals.

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

DAVID POTTRUCK

Director · 1 shared filing (1 issuer)

Listed on the same filings as Sam Schwartz. Their page shows their other deals.

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

ELLIOT WEISSBLUTH

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

Listed on the same filings as Sam Schwartz. Their page shows their other deals.

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

DAN LIDAWER

Promoter · 1 shared filing (1 issuer)

Listed on the same filings as Sam Schwartz. Their page shows their other deals.

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

GEORGE ZOFFINGER

Director · 1 shared filing (1 issuer)

Listed on the same filings as Sam Schwartz. Their page shows their other deals.

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

ANDREW MORSE

Director · 1 shared filing (1 issuer)

Listed on the same filings as Sam Schwartz. Their page shows their other deals.

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

STEPHEN DARKE

Director · 1 shared filing (1 issuer)

Listed on the same filings as Sam Schwartz. Their page shows their other deals.

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

ANDREW KORNREICH

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

Listed on the same filings as Sam Schwartz. Their page shows their other deals.

The team behind the deals

Same business address

51 other issuers file from the same address (first 50 shown)

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

Adviser registration (Form ADV)

None of the 2 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 Sam Schwartz 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 2 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Sam Schwartz is listed on: none on file. No website or social profile named in HIGHTOWER HOLDING, LLC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #330,696 of 374,652 in line (510 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 (Chicago, IL). 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) ↗Cook County Clerk of Court case search ↗

Securities regulators

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

Business registries

Illinois Secretary of State business search ↗OpenCorporates ↗

Change history

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