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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 5:25 AM ET

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SS
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Stephen Smith

Named as an officer, director or promoter on SEC Form D filings · Ontario, Canada (as filed: A6) · Mar 29, 2019 → Dec 27, 2023

3deals (issuers)
$14.9Mreported sold
14investors
5Form D filings
2019–2023years on file

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:38 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Stephen Smith is listed as an executive officer and director on 5 SEC Form D filings by 3 issuers between Mar 2019 and Dec 2023: PCM 123 Sidecar Parallel Fund, L.P. (Toronto, Ontario, Canada (as filed: A6) — pooled investment fund — 2022; $11.2M reported sold to 2 investors), PCM Parallel Fund I, L.P. (Toronto, Ontario, Canada (as filed: A6) — pooled investment fund — 2019–2020; $3.12M reported sold to 9 investors) and PCM Parallel Fund II, L.P. (Toronto, Ontario, Canada (as filed: A6) — pooled investment fund — 2022–2023; $525K reported sold to 3 investors).

What this means A repeat sponsor — 3 separate companies raised money with this person listed as executive officer and director, over about 4 years. Across those companies the filings report $14.9M sold in total.

Listed alongside Michael A. Murray (5 shared filings), Debra Dobson (3 shared filings), Nora Nestor (3 shared filings), Steve Faraone (3 shared filings), Gregory Mashinter (2 shared filings) and 1 others.

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.

2 of the issuers belong to the sponsor group Pcm (2 issuers, $11.8M reported sold, 2022–2023).

What this means A sponsor group is one team that sets up a new company for each deal. Pcm has 2 companies on file and $11.8M 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 5 public filings for Stephen Smith and found 8 differences: No amendment in the last 12 months on an offering that may still be open; Same name, different state: "Stephen H. Smith" (WA) is a separate record; 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 Stephen Smith has not run yet — it is joining a line of 15,894 names; searches run around the clock at the hosts' allowed rate. Searched so far: 28 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

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, 2:38 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

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: AZ, CA, DE, TX, WA (crawled Oct 23, 2026)

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 Stephen Smith..

State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states are not covered.

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, 2:38 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

8 differences found between the filings for Stephen Smith (compared 5 filings on Oct 24, 2026)

Note · Nov 17, 2022 – Dec 27, 2023

No amendment in the last 12 months on an offering that may still be open — PCM Parallel Fund II, L.P. (latest filing Dec 27, 2023)

The latest filing for this offering is dated Dec 27, 2023 (first sale Nov 17, 2022). It reports $524,512 sold of an indefinite amount 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 8, 2022 – Jul 20, 2022

No amendment in the last 12 months on an offering that may still be open — PCM 123 Sidecar Parallel Fund, L.P. (latest filing Jul 20, 2022)

The latest filing for this offering is dated Jul 20, 2022 (first sale Jul 8, 2022). It reports $11,230,000 sold of $15,230,000 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 · Oct 1, 2020 – Oct 13, 2020

No amendment in the last 12 months on an offering that may still be open — PCM Parallel Fund I, L.P. (latest filing Oct 13, 2020)

The latest filing for this offering is dated Oct 13, 2020 (first sale Oct 1, 2020). It reports $3,121,880 sold of an indefinite amount 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 · Feb 28, 2019 – Jul 31, 2026

Same name, different state: "Stephen H. Smith" (WA) is a separate record

This page covers filings where the address state is A6. A separate record, "Stephen H. Smith" with address state WA, is listed on 9 filings — most recently by Pines of Grass Valley EB5 Investors LLC (Sep 18, 2026). Both records have filings in the same period (Mar 29, 2019 to Dec 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 31, 2018 – Feb 21, 2023

Same name, different state: "STEPHEN C SMITH" (NY or FL) is a separate record

This page covers filings where the address state is A6. A separate record, "STEPHEN C SMITH" with address state NY or FL, is listed on 31 filings — most recently by Seaport Global Specialty Lending Fund LLC (Oct 10, 2024). Both records have filings in the same period (Mar 29, 2019 to Feb 21, 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 · May 25, 2011 – May 25, 2022

Same name, different state: "Stephen Smith" (CA) is a separate record

This page covers filings where the address state is A6. A separate record, "Stephen Smith" with address state CA, is listed on 12 filings — most recently by SimplyPut Corp (May 25, 2022). Both records have filings in the same period (Mar 29, 2019 to May 25, 2022).

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 8, 2015 – Jul 12, 2016

Same name, different state: "STEPHEN SMITH" (MN) is a separate record

This page covers filings where the address state is A6. A separate record, "STEPHEN SMITH" with address state MN, is listed on 5 filings — most recently by CAERUS CORP. (Jul 12, 2016). The two records do not overlap in time: this page runs Mar 29, 2019 to Dec 27, 2023; the other runs Dec 8, 2015 to Jul 12, 2016.

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.

Sources
Note · Apr 20, 2009 – Nov 18, 2013

Same name, different state: "Stephen K Smith" (ME) is a separate record

This page covers filings where the address state is A6. A separate record, "Stephen K Smith" with address state ME, is listed on 5 filings — most recently by SB Acquisition Company, Inc. (Nov 18, 2013). The two records do not overlap in time: this page runs Mar 29, 2019 to Dec 27, 2023; the other runs Apr 20, 2009 to Nov 18, 2013.

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.

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 4 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
Dec 27, 2023 D/A
PCM Parallel Fund II, L.P.
File 021-464686
$0$0$0None listed on this filingEDGAR ↗
Jul 20, 2022 D
PCM 123 Sidecar Parallel Fund, L.P.
File 021-453050
$0$0$0None listed on this filingEDGAR ↗
Oct 13, 2020 D
PCM Parallel Fund I, L.P.
File 021-377617
$0$0$0None listed on this filingEDGAR ↗
Mar 29, 2019 D
PCM Parallel Fund I, L.P.
File 021-336005
$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 3

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

Pooled Investment Fund · group: Pcm

PCM Parallel Fund II, L.P.

Toronto, Ontario, Canada (as filed: A6) · Nov 14, 2022 → Dec 27, 2023 · 2 filings
  • Dec 27, 2023 · D/A · $524,512 sold of Indefinite · 3 investors · min. No minimum reported · role: Executive Officer, Director (Director and Chairman of Peloton GP II Limited, the general partner of the Issuer) EDGAR ↗
  • Nov 14, 2022 · D · $0 sold of Indefinite · 0 investors · min. No minimum reported · role: Executive Officer, Director (Director and Chairman of Peloton GP II Limited, the general partner of the Issuer) EDGAR ↗

Raised $525K from 3 investors as of the latest filing. Stephen is listed as executive officer, director on 2 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: 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.

Pooled Investment Fund · group: Pcm

PCM 123 Sidecar Parallel Fund, L.P.

Toronto, Ontario, Canada (as filed: A6) · Jul 20, 2022
  • Jul 20, 2022 · D · $11,230,000 sold of $15,230,000 · 2 investors · min. No minimum reported · role: Director (Director of Peloton GP Limited, the general partner of the Issuer) EDGAR ↗

Raised $11.2M from 2 investors (74% of the $15.2M target) as of the latest filing. Stephen is listed as director.

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.

Pooled Investment Fund

PCM Parallel Fund I, L.P.

Toronto, Ontario, Canada (as filed: A6) · Mar 29, 2019 → Oct 13, 2020 · 2 filings
  • Oct 13, 2020 · D · $3,121,880 sold of Indefinite · 9 investors · min. No minimum reported · role: Director (Director of Peloton GP Limited, the general partner of the Issuer) EDGAR ↗
  • Mar 29, 2019 · D · $1,657,894 sold of $1,657,894 · 3 investors · min. No minimum reported · role: Director (Director of Peloton GP Limited, the general partner of the Issuer) EDGAR ↗

Raised $3.12M from 9 investors as of the latest filing. Stephen is listed as director on 2 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: 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.

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.

  • Stephen Smith — UT, 11 issuers, Nov 15, 2023 → May 8, 2024 · no shared issuer
  • STEPHEN C SMITH — NY, FL, 8 issuers, Dec 31, 2018 → Feb 21, 2023 · no shared issuer
  • Stephen Smith — TX, 6 issuers, Jan 11, 2012 → Jul 2, 2024 · no shared issuer
  • Stephen H. Smith — WA, 5 issuers, Feb 28, 2019 → Jul 31, 2026 · no shared issuer
  • Stephen Smith — CA, 5 issuers, May 25, 2011 → May 25, 2022 · no shared issuer
  • Stephen A. Smith — MO, 5 issuers, Jan 29, 2014 → May 21, 2026 · no shared issuer
  • Stephen K Smith — ME, 4 issuers, Apr 20, 2009 → Nov 18, 2013 · no shared issuer
  • Stephen Smith — NY, VA, 4 issuers, Dec 11, 2009 → Jul 20, 2022 · no shared issuer
  • Stephen Spencer Smith — TX, 3 issuers, Jun 18, 2013 → Dec 8, 2022 · no shared issuer
  • Stephen C. Smith — OH, 3 issuers, Mar 31, 2023 → Jul 1, 2026 · no shared issuer
  • STEPHEN SMITH — MN, 2 issuers, Dec 8, 2015 → Jul 12, 2016 · no shared issuer
  • Stephen M. Smith — PA, 2 issuers, Aug 18, 2010 → Aug 30, 2010 · no shared issuer
  • Stephen Smith — KY, 2 issuers, Sep 17, 2018 → Apr 21, 2026 · no shared issuer
  • STEPHEN M. SMITH — IL, 2 issuers, Feb 6, 2018 → Aug 16, 2019 · no shared issuer
  • Stephen David Smith — CA, 2 issuers, Apr 13, 2020 → Jun 1, 2021 · no shared issuer
  • Stephen Smith — CO, 1 issuer, Oct 14, 2010 → Jan 18, 2012 · no shared issuer
  • Stephen Smith — NC, 1 issuer, Mar 13, 2013 → Mar 13, 2013 · no shared issuer
  • Stephen Smith — Guernsey (as filed: Y7), 1 issuer, Jan 24, 2013 → Jan 24, 2013 · no shared issuer
  • Stephen B. Smith — IL, 1 issuer, Sep 29, 2015 → Jul 13, 2018 · no shared issuer
  • Stephen Smith — SC, 1 issuer, Oct 15, 2018 → Oct 15, 2018 · no shared issuer

People around Stephen 6

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

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

Michael A. Murray

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

Michael A. Murray is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

Steve Faraone

Executive Officer, Director · 3 shared filings (2 issuers) · also on 2 other issuers

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

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

Nora Nestor

Executive Officer · 3 shared filings (2 issuers)

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

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

Debra Dobson

Executive Officer · 3 shared filings (2 issuers)

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

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

Gregory Mashinter

Executive Officer · 2 shared filings (1 issuer)

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

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

Steven T. Faraone

Executive Officer, Director · 2 shared filings (1 issuer) · also on 1 other issuer

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

The team behind the deals

Sponsor group

Pcm

2 issuers · 3 filings · $11.8M reported sold · 2022–2023

One team, 2 deal companies. Stephen 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 Stephen Smith.

Same business address

10 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

Adviser registration (Form ADV)

None of the 3 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 Stephen 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 3 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Stephen Smith is listed on: none on file. No website or social profile named in PCM 123 Sidecar Parallel Fund, L.P.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #150,436 of 374,652 in line (14 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 (Toronto, A6). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Business registries

Change history

No corrections have been requested for this page.

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