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.