Rix SmithCRD Number: 1061442
Current Firm: Dominion Portfolio Management, Inc.
Rix Smith (CRD# 1061442) is an Investment Advisor Representative working at Dominion Portfolio Management, Inc. in Horseshoe Bay, TX and has over 35 years of experience in the finance industry.
Afam Capital, Inc.
Bares Capital Management, Inc.
Summit Financial Group Inc.
|Dominion Portfolio Management, Inc.||Horseshoe Bay, TX||May 1995 - Current||22|
|Dominion Investor Services, Inc.||San Antonio, TX||Jan 1991 - Current||27|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1982|
|S65||NASAA Investment Advisors Law Examination||Sep 1996|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
- Regulatory Event
Total Assets Under Management15MILLIONS
Total Number of Accounts79ACCOUNTS
Average Account Value$188,790
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
CO, IN, LA, MI, OK, TN, TX, WA