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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

SMS INVESTMENT COMPANY, LLC

CRD 111024

GIG HARBOR, WA

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:f546486a-3c09-8a90-0788-27ed538fb080

Data as of Mar 29, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Aug 8, 2012 to Mar 29, 2017
6 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 1
Advisory employees: 1
SEC number: 801-60173
CRD: 111024
Filings on the tape: 6
First filed: Aug 8, 2012
Latest filed: Mar 29, 2017
Organised: Limited Liability Company, Washington

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
LAZAR, EDWARD, MATTHEW	Trustee	F	yes	01/2009	Aug 8, 2012	Mar 29, 2017
LAZAR, EDWARD, MATTHEW	Manager	Na	yes	03/2001	Aug 8, 2012	Mar 29, 2017
MORTON, JAMES, HAMILTON	Trustee	F	yes	01/2009	Aug 8, 2012	Mar 29, 2017
RT MANAGEMENT, LLC	MANAGING MEMBER	E	yes	04/2010	Aug 8, 2012	Mar 29, 2017
THRESHOLD GROUP, LLC	Owner	E	yes	03/2001	Aug 8, 2012	Mar 29, 2017
EWASKO, JASON, MICHAEL	CHIEF COMPLIANCE OFFICER	Na	no	03/2014	Mar 28, 2014	Mar 29, 2017

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
THRESHOLD GROUP, LLC	n/a	Former SEC adviser	$3.4B	Y	yes	n/a

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
2016	Mar 29, 2017	n/a	n/a	1	1	n/a	n/a	n/a
2015	Mar 30, 2016	n/a	n/a	1	1	n/a	n/a	n/a
2014	Mar 27, 2015	n/a	n/a	3	3	n/a	n/a	n/a
2013	Mar 28, 2014	n/a	n/a	3	3	n/a	n/a	n/a
2012	Apr 1, 2013	n/a	n/a	2	2	n/a	n/a	n/a
2011	Aug 8, 2012	n/a	n/a	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
2016	n/a	n/a	n/a	n/a	n/a	1	1	n/a	n/a

Relationships

Affiliated with (2)

← THRESHOLD GROUP, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ THRESHOLD GROUP, LLCRegistered adviserother investment adviser, control, common control
factForm ADV

Controls (4)

← THRESHOLD GROUP, LLCOwnerOWNER, ownership code E, domestic entity
Aug 8, 2012 to presentfactForm ADV
← LAZAR, EDWARD, MATTHEWOwnerTRUSTEE, ownership code F, individual
Aug 8, 2012 to presentfactForm ADV
← MORTON, JAMES, HAMILTONOwnerTRUSTEE, ownership code F, individual
Aug 8, 2012 to presentfactForm ADV
← RT MANAGEMENT, LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Aug 8, 2012 to presentfactForm ADV

Owns (1)

← EWASKO, JASON, MICHAELOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2014 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f546486a-3c09-8a90-0788-27ed538fb080
First observed: Aug 8, 2012
Last observed: Mar 29, 2017 115 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.

SMS INVESTMENT COMPANY, LLC

CRD 111024

GIG HARBOR, WA

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:f546486a-3c09-8a90-0788-27ed538fb080

Data as of Mar 29, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:59 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LAZAR, EDWARD, MATTHEW

Trustee

yes

01/2009

Aug 8, 2012

Mar 29, 2017

LAZAR, EDWARD, MATTHEW

Manager

yes

03/2001

Aug 8, 2012

Mar 29, 2017

MORTON, JAMES, HAMILTON

Trustee

yes

01/2009

Aug 8, 2012

Mar 29, 2017

RT MANAGEMENT, LLC

MANAGING MEMBER

yes

04/2010

Aug 8, 2012

Mar 29, 2017

THRESHOLD GROUP, LLC

Owner

yes

03/2001

Aug 8, 2012

Mar 29, 2017

EWASKO, JASON, MICHAEL

CHIEF COMPLIANCE OFFICER

03/2014

Mar 28, 2014

Mar 29, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

THRESHOLD GROUP, LLC

n/a

Former SEC adviser

$3.4B

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 29, 2017

n/a

2015

Mar 30, 2016

n/a

2014

Mar 27, 2015

n/a

2013

Mar 28, 2014

n/a

2012

Apr 1, 2013

n/a

2011

Aug 8, 2012

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

n/a