SMITH JAMES RICHARD appears across SEC filings — Form ADV advisers, Form D, Reg A, and crowdfunding offerings. SMITH JAMES RICHARD appears on 36 filing roles across Form ADV (36).
| Filed | Source | Entity | Role | Location |
|---|---|---|---|---|
| — | Form ADV | ALDEN INVESTMENT GROUP | CHIEF COMPLIANCE OFFICER | WAYNE, PA |
| — | Form ADV | ALDEN CAPITAL | CHIEF COMPLIANCE OFFICER | WAYNE, PA |
| — | Form ADV | SIGNIFICANT WEALTH PARTNERS LLC | SHAREHOLDER | CARY, IL |
| — | Form ADV | WEALTH BUILDER FUNDS, LLC | MANAGING PARTNER | CARY, IL |
| — | Form ADV | JANUS HENDERSON INVESTORS US LLC | CHIEF INVESTMENT OFFICER, FIXED INCOME | DENVER, CO |
| — | Form ADV | PELOTON CAPITAL MANAGEMENT INC. | TRUSTEE | TORONTO, ONTARIO |
| — | Form ADV | EQUALIZE CAPITAL LLC | CHIEF COMPLIANCE OFFICER | SAN JUAN, PR |
| — | Form ADV | BLUESTONE CAPITAL MANAGEMENT, LLC | CCO | WAYNE, PA |
| — | Form ADV | JENSEN INVESTMENT MANAGEMENT INC | VICE PRESIDENT AND MANAGING DIRECTOR | LAKE OSWEGO, OR |
| — | Form ADV | COHEN & COMPANY FINANCIAL MANAGEMENT, LLC | CHIEF COMPLIANCE OFFICER | NEW YORK, NY |
| — | Form ADV | CAPITAL ADVISORY GROUP, LLC | CHAIRMAN, CHIEF COMPLIANCE OFFICER | RICHMOND, VA |
| — | Form ADV | FOSTER INVESTMENT CONSULTING LLC | CHIEF COMPLIANCE OFFICER | LOS ANGELES, CA |
| — | Form ADV | SMART INVESTMENTS ADVISORY INCORPORATED | CHIEF COMPLIANCE OFFICER | REDLANDS, CA |
| — | Form ADV | SAGEPOINT FINANCIAL, INC. | MANAGER, NATIONAL SALES BUSINESS ANALYST | PHOENIX, AZ |
| — | Form ADV | PRIME SOLUTIONS FINANCIAL SERVICES CORP. | EXECUTIVE VICE PRESIDENT & DIRECTOR | NEWTOWN SQUARE, PA |
| — | Form ADV | PERKINS INVESTMENT MANAGEMENT LLC | MANAGER | CHICAGO, IL |
| — | Form ADV | CIRA SCM, LLC | CHIEF COMPLIANCE OFFICER | PHILADELPHIA, PA |
| — | Form ADV | SAPIN CAPITAL MANAGEMENT, LLC | CHIEF COMPLIANCE OFFICER | PHILADELPHIA, PA |
| — | Form ADV | DEKANIA CAPITAL MANAGEMENT, LLC | CHIEF COMPLIANCE OFFICER | NEW YORK, NY |
| — | Form ADV | COHEN & COMPANY MANAGEMENT, LLC | CHIEF COMPLIANCE OFFICER | PHILADELPHIA, PA |
| — | Form ADV | EMPORIA CAPITAL MANAGEMENT, LLC | CHIEF COMPLIANCE OFFICER | NEW YORK, NY |
| — | Form ADV | BRIGADIER CAPITAL MANAGEMENT LLC | CHIEF COMPLIANCE OFFICER | NEW YORK, NY |
| — | Form ADV | COHEN MUNICIPAL CAPITAL MANAGEMENT, LLC | CHIEF COMPLIANCE OFFICER | NEW YORK, NY |
| — | Form ADV | PLEASANTON FINANCIAL ADVISORS, LLC | MEMBER OF LLC | PLEASANTON, CA |
| — | Form ADV | HANCOCK INSTITUTIONAL ADVISORS, LLC | PORTFOLIO MANAGER | ST. LOUIS, MO |
| — | Form ADV | CAPRIN ASSET MANAGEMENT LLC | PRESIDENT | HENRICO, VA |
| — | Form ADV | CAPGROUP INVESTMENT ADVISORS, INC. | PRESIDENT | RICHMOND, VA |
| — | Form ADV | COHEN BROS. TOROIAN INVESTMENT MANAGEMENT, INC. | SVP, DIRECTOR OF OPERATIONS / CHIEF COMPLIANCE OFFICER | PHILADELPHIA, PA |
| — | Form ADV | NR SMITH & ASSOCIATES, P.S. | CHIEF COMPLIANCE OFFICER/PRESIDENT | OLYMPIA, WA |
| — | Form ADV | JANUS CAPITAL INSTITUTIONAL ADVISERS LLC | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | DENVER, CO |
| — | Form ADV | COHEN BROS. TOROIAN INVESTMENT MANAGEMENT, LLC | CHIEF COMPLIANCE OFFICER | PHILADELPHIA, PA |
| — | Form ADV | THE SEIDLER COMPANIES INCORPORATED | CHIEF COMPLIANCE OFFICER | LOS ANGELES, CA |
| — | Form ADV | SP CAPITAL FUND D, LLC | FUND MANAGER | THOUSAND OAKS, CA |
| — | Form ADV | SP CAPITAL FUND C, LLC | FUND MANAGER | THOUSAND OAKS, CA |
| — | Form ADV | SP CAPITAL FUND M, LLC | FUND MANAGER | THOUSAND OAKS, CA |
| — | Form ADV | MINOT CAPITAL, LP | PARTNER/CHIEF INVESTMENT OFFICER | BROOMFIELD, CO |