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RIA / WealthAdvisor23 years in industry

RICHARD EUGENE SMITH

Advisor at SRC CAPITAL MANAGEMENT

CHICAGO, IL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Apr 7, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SRC CAPITAL MANAGEMENT
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 7, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Mar 7, 2003
First registration: Apr 7, 2003
Dual registered: no
IAPD individual key: 4625299

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SRC CAPITAL MANAGEMENT	State registered	Jan 3, 2011	n/a	yes	CHICAGO, IL	Current employment
SRC CAPITAL MANAGEMENT	State registered	Jan 3, 2011	Dec 31, 2020	no	CHICAGO, IL	Previous registration
SRC CAPITAL MANAGEMENT	State registered	Jan 3, 2011	Dec 31, 2017	no	CHICAGO, IL	Previous registration
SRC CAPITAL MANAGEMENT	State registered	May 23, 2007	Dec 31, 2008	no	CHICAGO, IL	Previous registration
JMC CAPITAL MANAGEMENT, LLC	n/a	May 15, 2007	Dec 31, 2008	no	CHICAGO, IL	Previous registration
H. BECK, INC.	Former SEC adviser	Mar 30, 2006	Mar 23, 2007	no	CHICAGO, IL\|CHICAGO, IL	Previous registration
WOODBURY FINANCIAL SERVICES, INC.	Former SEC adviser	Aug 23, 2004	Nov 30, 2005	no	MATTESON, IL	Previous registration
WADDELL & REED	Former SEC adviser	Apr 7, 2003	Apr 14, 2004	no	EVERGREEN PARK, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
JMC CAPITAL MANAGEMENT, LLC	SRC CAPITAL MANAGEMENT	Dec 31, 2008	May 23, 2007	-588	Firm change after gap	Other
H. BECK, INC.	JMC CAPITAL MANAGEMENT, LLC	Mar 23, 2007	May 15, 2007	53	Firm change	Other
WOODBURY FINANCIAL SERVICES, INC.	H. BECK, INC.	Nov 30, 2005	Mar 30, 2006	120	Firm change	Other
WADDELL & REED	WOODBURY FINANCIAL SERVICES, INC.	Apr 14, 2004	Aug 23, 2004	131	Firm change	Other

Relationships

Registered with (5)

→ SRC CAPITAL MANAGEMENTRegistered adviserregistration: previous registration
Jan 3, 2011 to Dec 31, 2020factForm ADV
→ JMC CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
May 15, 2007 to Dec 31, 2008factForm ADV
→ H. BECK, INC.Registered adviserregistration: previous registration
Mar 30, 2006 to Mar 23, 2007factForm ADV
→ WOODBURY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Aug 23, 2004 to Nov 30, 2005factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Apr 7, 2003 to Apr 14, 2004factForm ADV

Dated events

No dated event names this entity yet.