Stephen Smith is listed as a promoter on 4 SEC Form D filings by 1 issuer between Oct 2010 and Jan 2012: SWIIM System, Ltd. (Denver, CO — industry reported as "Other" — 2010–2012; $1.5M reported sold to 6 investors).
What this means One deal on file with the SEC. A Form D is the notice a company files after it starts selling a private investment — it is a notice, not an approval.
Listed alongside David Cohen (4 shared filings), Ed Warner (4 shared filings), Kevin France (4 shared filings), Robert Stollar (4 shared filings) and Ryan Gahagan (1 shared filing).
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Stephen. Each name links to their own page.
The issuer belongs to the sponsor group Swiim (2 issuers, $1.19M reported sold, 2009–2018).
What this means A sponsor group is one team that sets up a new company for each deal. Swiim has 2 companies on file and $1.19M 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 (AZ, CA, DE, TX, WA) — none found.
What this means Nothing turned up where we looked (3 sources). That does not prove there is nothing — it means none was found in those sources on that date.
We compared 4 public filings for Stephen Smith and found 7 differences: Form D filed 57 days after the first sale; 4 offerings have no amendment in the last 12 months and 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.