DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

HOLT-SMITH ADVISORS

HOLT-SMITH ADVISORS, INC., CRD 105901

MADISON, WI

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:98ff108d-96b1-6b40-98c9-64c57cae9599

Data as of Mar 20, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 8, 2012 to Mar 20, 2013
4 observations

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $99.0MItem 5.F on the latest filing (2013-03-20); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $99.0M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees: 4
Accounts: 134
SEC number: 801-30171
CRD: 105901
Filings on the tape: 4
First filed: Mar 8, 2012
Latest filed: Mar 20, 2013
Organised: Corporation, Wisconsin

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ERICKSON, RYAN, DANIEL	EXECUTIVE VICE PRESIDENT, SENIOR PORTFOLIO MANAGER	Na	yes	03/2010	Mar 8, 2012	Mar 20, 2013
HOLT-SMITH, MARILYN	PRESIDENT, TREASURER	E	yes	06/1987	Mar 8, 2012	Mar 20, 2013
SMITH, EVA, SOLCOVA	CHIEF COMPLIANCE OFFICER	Na	yes	06/2009	Mar 8, 2012	Mar 20, 2013
WILSON, MICHAEL, JOHN	VICE PRESIDENT	Na	no	03/2010	Mar 8, 2012	Mar 20, 2013

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Mar 20, 2013	$99.0M	$99.0M	6	4	n/a	n/a	n/a
2011	Mar 8, 2012	$181M	$181M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$99.0M	$181M	-45.3%	n/a	n/a	6	n/a	n/a	n/a

Relationships

Controls (3)

← ERICKSON, RYAN, DANIELOwnerEXECUTIVE VICE PRESIDENT, SENIOR PORTFOLIO MANAGER, ownership code NA, individual
Mar 8, 2012 to presentfactForm ADV
← HOLT-SMITH, MARILYNOwnerPRESIDENT, TREASURER, ownership code E, individual
Mar 8, 2012 to presentfactForm ADV
← SMITH, EVA, SOLCOVAOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 8, 2012 to presentfactForm ADV

Owns (1)

← WILSON, MICHAEL, JOHNOwnerVICE PRESIDENT, ownership code NA, individual
Mar 8, 2012 to presentfactForm ADV

Registered with (3)

← RYAN DANIEL ERICKSONAdvisorregistration: previous registration
Mar 29, 1994 to Oct 30, 2013factForm ADV
← NOEL DAVID GOEDDELAdvisorregistration: previous registration
Jan 21, 2000 to Aug 23, 2012factForm ADV
← JASON WAYNE JOANISAdvisorregistration: previous registration
Dec 30, 1999 to Sep 7, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:98ff108d-96b1-6b40-98c9-64c57cae9599
First observed: Mar 8, 2012
Last observed: Mar 20, 2013 164 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

HOLT-SMITH ADVISORS

HOLT-SMITH ADVISORS, INC., CRD 105901

MADISON, WI

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:98ff108d-96b1-6b40-98c9-64c57cae9599

Data as of Mar 20, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:46 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ERICKSON, RYAN, DANIEL

EXECUTIVE VICE PRESIDENT, SENIOR PORTFOLIO MANAGER

yes

03/2010

Mar 8, 2012

Mar 20, 2013

HOLT-SMITH, MARILYN

PRESIDENT, TREASURER

yes

06/1987

Mar 8, 2012

Mar 20, 2013

SMITH, EVA, SOLCOVA

CHIEF COMPLIANCE OFFICER

yes

06/2009

Mar 8, 2012

Mar 20, 2013

WILSON, MICHAEL, JOHN

VICE PRESIDENT

03/2010

Mar 8, 2012

Mar 20, 2013

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Mar 20, 2013

$99.0M

n/a

2011

Mar 8, 2012

$181M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$99.0M

$181M

-45.3%

n/a