Smith Graham of Rochester, NY appears across SEC filings — Form ADV advisers, Form D, Reg A, and crowdfunding offerings. Smith Graham appears on 4 filing roles across Form ADV (3), Form D (1).
| Filed | Source | Entity | Role | Location |
|---|---|---|---|---|
| — | Form ADV | FIGMENT INVESTMENT MANAGEMENT, LLC | OFFICER | NEW YORK, NY |
| — | Form ADV | J. & W. SELIGMAN & CO. INCORPORATED | DIRECTOR & MANAGING DIRECTOR | NEW YORK, NY |
| — | Form ADV | GE ASSET MANAGEMENT CANADA COMPANY | CEO | MONTREAL |
| 2015-01-09 | Form D | Open Energy Group LLC | Executive Officer | ROCHESTER, NY |