# SMITH JAMES RICHARD

SMITH JAMES RICHARD appears across SEC filings — Form ADV advisers, Form D, Reg A, and crowdfunding offerings. 36 filing roles across Form ADV (36).

## Filings (36)

| Filed | Source | Entity | Role | Location |
| --- | --- | --- | --- | --- |
| — | Form ADV | [ALDEN INVESTMENT GROUP](https://search.stillhousedata.com/firm/317077) | CHIEF COMPLIANCE OFFICER | WAYNE, PA |
| — | Form ADV | [ALDEN CAPITAL](https://search.stillhousedata.com/firm/293551) | CHIEF COMPLIANCE OFFICER | WAYNE, PA |
| — | Form ADV | [SIGNIFICANT WEALTH PARTNERS LLC](https://search.stillhousedata.com/firm/293060) | SHAREHOLDER | CARY, IL |
| — | Form ADV | [WEALTH BUILDER FUNDS, LLC](https://search.stillhousedata.com/firm/328782) | MANAGING PARTNER | CARY, IL |
| — | Form ADV | [JANUS HENDERSON INVESTORS US LLC](https://search.stillhousedata.com/firm/104652) | CHIEF INVESTMENT OFFICER, FIXED INCOME | DENVER, CO |
| — | Form ADV | [PELOTON CAPITAL MANAGEMENT INC.](https://search.stillhousedata.com/firm/323826) | TRUSTEE | TORONTO, ONTARIO |
| — | Form ADV | [EQUALIZE CAPITAL LLC](https://search.stillhousedata.com/firm/300640) | CHIEF COMPLIANCE OFFICER | SAN JUAN, PR |
| — | Form ADV | [BLUESTONE CAPITAL MANAGEMENT, LLC](https://search.stillhousedata.com/firm/157841) | CCO | WAYNE, PA |
| — | Form ADV | [JENSEN INVESTMENT MANAGEMENT INC](https://search.stillhousedata.com/firm/105281) | VICE PRESIDENT AND MANAGING DIRECTOR | LAKE OSWEGO, OR |
| — | Form ADV | [COHEN & COMPANY FINANCIAL MANAGEMENT, LLC](https://search.stillhousedata.com/firm/133171) | CHIEF COMPLIANCE OFFICER | NEW YORK, NY |
| — | Form ADV | [CAPITAL ADVISORY GROUP, LLC](https://search.stillhousedata.com/firm/139874) | CHAIRMAN, CHIEF COMPLIANCE OFFICER | RICHMOND, VA |
| — | Form ADV | [FOSTER INVESTMENT CONSULTING LLC](https://search.stillhousedata.com/firm/130624) | CHIEF COMPLIANCE OFFICER | LOS ANGELES, CA |
| — | Form ADV | [SMART INVESTMENTS ADVISORY INCORPORATED](https://search.stillhousedata.com/firm/107778) | CHIEF COMPLIANCE OFFICER | REDLANDS, CA |
| — | Form ADV | [SAGEPOINT FINANCIAL, INC.](https://search.stillhousedata.com/firm/133763) | MANAGER, NATIONAL SALES BUSINESS ANALYST | PHOENIX, AZ |
| — | Form ADV | [PRIME SOLUTIONS FINANCIAL SERVICES CORP.](https://search.stillhousedata.com/firm/120499) | EXECUTIVE VICE PRESIDENT & DIRECTOR | NEWTOWN SQUARE, PA |
| — | Form ADV | [PERKINS INVESTMENT MANAGEMENT LLC](https://search.stillhousedata.com/firm/126925) | MANAGER | CHICAGO, IL |
| — | Form ADV | [CIRA SCM, LLC](https://search.stillhousedata.com/firm/134956) | CHIEF COMPLIANCE OFFICER | PHILADELPHIA, PA |
| — | Form ADV | [SAPIN CAPITAL MANAGEMENT, LLC](https://search.stillhousedata.com/firm/144553) | CHIEF COMPLIANCE OFFICER | PHILADELPHIA, PA |
| — | Form ADV | [DEKANIA CAPITAL MANAGEMENT, LLC](https://search.stillhousedata.com/firm/133169) | CHIEF COMPLIANCE OFFICER | NEW YORK, NY |
| — | Form ADV | [COHEN & COMPANY MANAGEMENT, LLC](https://search.stillhousedata.com/firm/139603) | CHIEF COMPLIANCE OFFICER | PHILADELPHIA, PA |
| — | Form ADV | [EMPORIA CAPITAL MANAGEMENT, LLC](https://search.stillhousedata.com/firm/136895) | CHIEF COMPLIANCE OFFICER | NEW YORK, NY |
| — | Form ADV | [BRIGADIER CAPITAL MANAGEMENT LLC](https://search.stillhousedata.com/firm/141938) | CHIEF COMPLIANCE OFFICER | NEW YORK, NY |
| — | Form ADV | [COHEN MUNICIPAL CAPITAL MANAGEMENT, LLC](https://search.stillhousedata.com/firm/144285) | CHIEF COMPLIANCE OFFICER | NEW YORK, NY |
| — | Form ADV | [PLEASANTON FINANCIAL ADVISORS,  LLC](https://search.stillhousedata.com/firm/132160) | MEMBER OF LLC | PLEASANTON, CA |
| — | Form ADV | [HANCOCK INSTITUTIONAL ADVISORS, LLC](https://search.stillhousedata.com/firm/149294) | PORTFOLIO MANAGER | ST. LOUIS, MO |
| — | Form ADV | [CAPRIN ASSET MANAGEMENT LLC](https://search.stillhousedata.com/firm/106657) | PRESIDENT | HENRICO, VA |
| — | Form ADV | [CAPGROUP INVESTMENT ADVISORS, INC.](https://search.stillhousedata.com/firm/105611) | PRESIDENT | RICHMOND, VA |
| — | Form ADV | [COHEN BROS. TOROIAN INVESTMENT MANAGEMENT, INC.](https://search.stillhousedata.com/firm/119596) | SVP, DIRECTOR OF OPERATIONS / CHIEF COMPLIANCE OFFICER | PHILADELPHIA, PA |
| — | Form ADV | [NR SMITH & ASSOCIATES, P.S.](https://search.stillhousedata.com/firm/116894) | CHIEF COMPLIANCE OFFICER/PRESIDENT | OLYMPIA, WA |
| — | Form ADV | [JANUS CAPITAL INSTITUTIONAL ADVISERS LLC](https://search.stillhousedata.com/firm/157878) | CO-CHIEF INVESTMENT OFFICER & EXECUTIVE V.P. | DENVER, CO |
| — | Form ADV | [COHEN BROS. TOROIAN INVESTMENT MANAGEMENT, LLC](https://search.stillhousedata.com/firm/133326) | CHIEF COMPLIANCE OFFICER | PHILADELPHIA, PA |
| — | Form ADV | [THE SEIDLER COMPANIES INCORPORATED](https://search.stillhousedata.com/firm/3911) | CHIEF COMPLIANCE OFFICER | LOS ANGELES, CA |
| — | Form ADV | [SP CAPITAL FUND D, LLC](https://search.stillhousedata.com/firm/302036) | FUND MANAGER | THOUSAND OAKS, CA |
| — | Form ADV | [SP CAPITAL FUND C, LLC](https://search.stillhousedata.com/firm/301958) | FUND MANAGER | THOUSAND OAKS, CA |
| — | Form ADV | [SP CAPITAL FUND M, LLC](https://search.stillhousedata.com/firm/306174) | FUND MANAGER | THOUSAND OAKS, CA |
| — | Form ADV | [MINOT CAPITAL, LP](https://search.stillhousedata.com/firm/126668) | PARTNER/CHIEF INVESTMENT OFFICER | BROOMFIELD, CO |


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Source: public SEC filing data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.