Sponsor Check › Person
Named as an officer, director or promoter on SEC Form D filings · British Columbia, Canada (as filed: A1), PA · Jan 6, 2010 → May 7, 2026
Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:21 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET
Warwick Smith is listed as an executive officer, director, and promoter on 24 SEC Form D filings by 6 issuers between Jan 2010 and May 2026. Largest by amount reported sold: LOTTOGOPHER HOLDINGS INC (Vancouver, British Columbia, Canada (as filed: A1) — industry reported as "Other" — 2017; $3.51M reported sold to 3 investors), SILVER X MINING CORP. (Vancouver, British Columbia, Canada (as filed: A1) — industry reported as "Other" — 2010–2013; $3.5M reported sold to 20 investors), AMERICAN PACIFIC MINING CORP (Vancouver, British Columbia, Canada (as filed: A1) — industry reported as "Other" — 2018–2026; $2.51M reported sold to 28 investors), Radar USA Inc. (Philadelphia, PA — other technology — 2021; $1.66M reported sold to 31 investors), Canter Resources Corp. (Vancouver, British Columbia, Canada (as filed: A1) — industry reported as "Other" — 2024–2026; $968K reported sold to 21 investors) and 1 more (all listed below).
What this means A repeat sponsor — 6 separate companies raised money with this person listed as executive officer, director, and promoter, over about 16 years. Across those companies the filings report $12.9M sold in total.
Listed alongside Eric Saderholm (15 shared filings), Alnesh Mohan (12 shared filings), Ken Cunningham (11 shared filings), Joness Lang (10 shared filings), ALI HAKIMZADEH (5 shared filings) and 25 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Warwick. Each name links to their own page.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, OK, OR, PA, RI, SC, SD, TN, TX, VT, WA, WI, WV, WY) — 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 24 public filings for Warwick Smith and found 10 differences, 2 worth asking the sponsor about: Paid seller listed without a CRD number: FINCOM INVESTMENT PARTNERS; Form D filed 90 days after the first sale; 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.
Community search for Warwick Smith has not run yet — it is joining a line of 24,112 names; searches run around the clock at the hosts' allowed rate. Searched so far: 638 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).
Five things investors ask first. Items still in human review are counted, not shown.
None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026
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, 2:21 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.
None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: VA (crawled Oct 23, 2026)
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 Warwick Smith..
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 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE DOJ Investor Protection Unit (257 actions, 1987–2026), TX State Securities Board (586 actions, 2006–2026), WA DFI (2,039 actions, 2001–2026) — last crawled Oct 23, 2026, 9:57 PM ET. No machine-readable public listing today for CO, FL, IA, IN, MN, NE, NJ, NY, OH, UT, VA (see docs/state-regulators.md).
None found in sources searched — federal bankruptcy courts (CourtListener / RECAP), checked Oct 24, 2026
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, 2:21 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.
Comparisons cover issuers and sponsor groups — see the issuer pages under Deals
10 differences found between the filings for Warwick Smith — 2 worth asking about (compared 24 filings on Oct 24, 2026)
United States Bankruptcy Court, E.D. California docket "Jay Y. Hutton" filed Apr 9, 2004, closed Sep 12, 2007. Jay Hutton (listed on the same filings) is listed as Debtor ("Jay Y. Hutton"). 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.
Prospero Silver Corp. (last filing May 31, 2018; $746,614 sold of $1,932,043). 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.
FINCOM INVESTMENT PARTNERS is listed as receiving sales compensation on 1 filing (Jun 18, 2013) 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.
The filing says the first sale was May 27, 2021. The Form D was filed Aug 25, 2021 — 90 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 75 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.
The filing says the first sale was Dec 1, 2009. The Form D was filed Jan 6, 2010 — 36 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 21 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.
No amendment in the last 12 months on an offering that may still be open — AMERICAN PACIFIC MINING CORP (latest filing Apr 17, 2024) · No amendment in the last 12 months on an offering that may still be open — AMERICAN PACIFIC MINING CORP (latest filing Dec 21, 2021) · No amendment in the last 12 months on an offering that may still be open — AMERICAN PACIFIC MINING CORP (latest filing May 27, 2020) · No amendment in the last 12 months on an offering that may still be open — AMERICAN PACIFIC MINING CORP (latest filing Aug 6, 2019) · No amendment in the last 12 months on an offering that may still be open — AMERICAN PACIFIC MINING CORP (latest filing Mar 7, 2019) · and 9 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.
The Sep 3, 2010 filing lists Warwick Smith as executive officer, director, promoter; the Jun 18, 2013 Form D lists executive officer, director.
What this means Roles on Form D are self-reported by the issuer. A change can mean a real change in who runs the company, or just a different box ticked. Ask who makes decisions today.
The Oct 15, 2021 filing says $3,000,000 offered; the Dec 15, 2021 Form D/A says $1,663,800.
What this means The target raise got smaller. That can mean the plan shrank or the sponsor stopped early. Ask what changed in the deal.
"No Revenues" (Jan 5, 2018); then "Decline to Disclose" (Jan 18, 2018); then "No Revenues" (Mar 7, 2019); then "Decline to Disclose" (Sep 21, 2021).
What this means This is the size band the issuer picks for itself on the form. A change can mean the business grew or shrank — or that it chose not to say. Ask for current numbers.
British Columbia, Canada (as filed: A1) on 21 filings (Jan 6, 2010 to May 7, 2026); PA on 3 filings (Aug 25, 2021 to Dec 15, 2021).
What this means The address on a Form D is usually the company's, not the person's home, so this often just reflects different companies. It can also mean a move. Nothing wrong by itself.
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.
4 of 23 offerings report sales commissions totalling $89,049; 1 reports finder's fees totalling $15,428; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)
| Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it | Source |
|---|---|---|---|---|---|
| May 7, 2026 D Canter Resources Corp. File 021-583147 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Feb 6, 2026 D AMERICAN PACIFIC MINING CORP File 021-572761 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| May 20, 2025 D Canter Resources Corp. File 021-546693 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Nov 27, 2024 D Canter Resources Corp. File 021-530568 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Nov 12, 2024 D Canter Resources Corp. File 021-529059 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| May 24, 2024 D Canter Resources Corp. File 021-514223 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Apr 17, 2024 D AMERICAN PACIFIC MINING CORP File 021-510821 | $0 | $0 | $0 In the ordinary course of business, the Issuer may use some of the proceeds of the offering to pay salaries to certain of its executive officers and directors. | None listed on this filing | EDGAR ↗ |
| Dec 21, 2021 D AMERICAN PACIFIC MINING CORP File 021-426191 | $0 | $0 | $0 In the ordinary course of business, the issuer may use some of the proceeds of the offering to pay salaries to certain of its executive officers and directors. | None listed on this filing | EDGAR ↗ |
| Dec 15, 2021 D/A Radar USA Inc. File 021-417164 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Sep 21, 2021 D AMERICAN PACIFIC MINING CORP File 021-414017 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Aug 25, 2021 D Radar USA Inc. File 021-411120 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| May 27, 2020 D AMERICAN PACIFIC MINING CORP File 021-367764 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Aug 6, 2019 D AMERICAN PACIFIC MINING CORP File 021-345889 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Mar 7, 2019 D AMERICAN PACIFIC MINING CORP File 021-334309 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jan 18, 2018 D AMERICAN PACIFIC MINING CORP File 021-303523 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jan 5, 2018 D AMERICAN PACIFIC MINING CORP File 021-302533 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jan 5, 2018 D AMERICAN PACIFIC MINING CORP File 021-302538 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Mar 14, 2017 D LOTTOGOPHER HOLDINGS INC File 021-282506 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jun 18, 2013 D SILVER X MINING CORP. File 021-198220 | $0 | $15,428 | $0 | FINCOM INVESTMENT PARTNERS no CRD number reported | EDGAR ↗ |
| Mar 31, 2011 D Prospero Silver Corp. File 021-157689 | $25,328 | $0 | $0 | Canaccord Genuity Corp. no CRD number reported via Canaccord Wealth Management (USA) Inc. (CRD 7449 ↗) | EDGAR ↗ |
| Sep 3, 2010 D SILVER X MINING CORP. File 021-147278 | $7,434 | $0 | $0 | CANACCORD CAPITAL CORPORATION no CRD number reported via CANACCORD GENUITY INC. (CRD 1020 ↗) | EDGAR ↗ |
| Feb 10, 2010 D SILVER X MINING CORP. File 021-138624 | $23,940 (est.) | $0 | $0 | Canaccord Financial Ltd. no CRD number reported via Canaccord Financial (USA) Inc. (CRD 7449 ↗) | EDGAR ↗ |
| Jan 6, 2010 D Prospero Silver Corp. File 021-137479 | $32,347 | $0 | $0 | Canaccord Capital Corporation no CRD number reported via Canaccord Capital Corporation USA, Inc. (CRD 7449 ↗) | EDGAR ↗ |
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).
Every issuer that named Warwick Smith on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.
Raised $968K from 21 investors (100% of the $40K target) as of the latest filing. Warwick is listed as director on 5 filings for this deal.
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(b) (18,678 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.
Raised $2.51M from 28 investors (100% of the $19K target) as of the latest filing. Warwick is listed as executive officer, director on 10 filings for this deal.
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(b) (18,678 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.
Raised $1.66M from 31 investors (100% of the $1.66M target) as of the latest filing. Warwick is listed as executive officer on 3 filings for this deal.
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 Technology / 506(c) (805 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.
Raised $3.51M from 3 investors (100% of the $36K target) as of the latest filing. Warwick is listed as executive officer, director.
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(b) (18,678 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.
Raised $3.5M from 20 investors (100% of the $2.09M target) as of the latest filing. Warwick is listed as executive officer, director, promoter on 3 filings for this deal.
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.
Raised $747K from 39 investors (61% of the $1.23M target) as of the latest filing. Warwick is listed as executive officer, director on 2 filings for this deal.
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.
Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.
Listed on the same filings as Warwick Smith. Their page shows their other deals.
Alnesh Mohan is on 11 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Warwick Smith. Their page shows their other deals.
Joness Lang is on 6 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Warwick Smith. Their page shows their other deals.
Listed on the same filings as Warwick Smith. Their page shows their other deals.
Ralph Rushton is on 8 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Warwick Smith. Their page shows their other deals.
Listed on the same filings as Warwick Smith. Their page shows their other deals.
Listed on the same filings as Warwick Smith. Their page shows their other deals.
Michael Williams is on 11 issuers in total — a repeat sponsor. Their page lists every one.
Kevin Bales is on 8 issuers in total — a repeat sponsor. Their page lists every one.
William Murray is on 5 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Warwick Smith. Their page shows their other deals.
Listed on the same filings as Warwick Smith. Their page shows their other deals.
Listed on the same filings as Warwick Smith. Their page shows their other deals.
Listed on the same filings as Warwick Smith. Their page shows their other deals.
Listed on the same filings as Warwick Smith. Their page shows their other deals.
John Watson is on 5 issuers in total — a repeat sponsor. Their page lists every one.
DOUGLAS FORD is on 5 issuers in total — a repeat sponsor. Their page lists every one.
A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.
None of the 6 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.
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 are matched to companies only, never to individuals, so none are matched to Warwick 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 6 issuers this person is listed on — nothing matched.
Websites and social links of the issuers Warwick Smith is listed on: none on file. No website or social profile named in Prospero Silver Corp.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #253,107 of 374,652 in line (1,201 issuers searched so far). One-tap searches: Look further ↓
One-tap searches on sites we do not index ourselves, with the name pre-filled (Vancouver, A1). Each opens in a new tab; what you find there is not verified by PartnerFacts.
No corrections have been requested for this page.
Free. Logged with status: received → under review → fixed / confirmed with source.
If this is you or your firm, add a sourced explanation next to any fact. Reviewed before publishing.
Members get an email when Warwick Smith appears on a new Form D, or when a court case or SEC action is matched to them. See plans →