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CRD 131763
WILMETTE, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| JEFFREY ROBERT SMITH | Certified Financial Planner | WILMETTE, IL | 22 | 38 | 1 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| SMITH, DARLENE, ANN | Administration | D | yes | 01/2004 | Sep 15, 2022 | Feb 23, 2024 |
| SMITH, JEFFREY, ROBERT | PRESIDENT & CCO | D | yes | 01/2004 | May 4, 2020 | Feb 23, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Feb 27, 2026 | $171M | $0 | 1 | 1 | 0 | n/a | n/a |
| 2024 | Mar 14, 2025 | $149M | $0 | 1 | 1 | 0 | n/a | n/a |
| 2023 | Feb 23, 2024 | $141M | $0 | 1 | 1 | 0 | n/a | n/a |
| 2022 | Mar 6, 2023 | $130M | $0 | 1 | 1 | 0 | n/a | n/a |
| 2021 | Feb 25, 2022 | $152M | $0 | 2 | 1 | 0 | n/a | n/a |
| 2020 | Mar 22, 2021 | $135M | $0 | 2 | 1 | 0 | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 0 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $171M | $149M | 14.7% | $130M | 9.3% | 1 | 1 | 0 | 0 |