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AS
CFP · ChFC
AS
CFP · ChFC

Adam Smith

Cambridge Investment Research Advisors, INC.
25 Years of Experience
Angola, IN
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Adam Smith is a CFP, ChFC-designated registered investment advisor at Cambridge Investment Research Advisors, INC., based in Angola, IN, with 25 years of industry experience. Adam is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Divorce Planning, Education Planning, Estate Planning, Financial Planning & Coaching, and 6 more. Their firm serves 361,213 clients with $140B in assets under management.

Cambridge Investment Research Advisors, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3940 advisors
Number of Clients
361,213 clients
Average Client Portfolio
$384K average
Assets Under Management
$138.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum allowable advisory fee is 2.25% annually across platforms. Actual fees are negotiable and set by your financial professional based on account size, complexity, and specific program selected.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

211 E Maumee St., Angola, IN, 46703

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 2010
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Adam is an independent insurance agent for various companies since 2018, dedicating a few hours per week to this activity. He also works as an advisory representative of a RIA, spending about 10-20% of his time on this. Finally, he is a W2 employee using a trade name, dedicating full-time hours to this.

Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
March 2018 - Present · 8 yrs 7 mos
Cambridge Investment Research, INC.Broker
March 2018 - Present · 8 yrs 7 mos
Previous Registrations
Raymond James Financial Services Advisors, INC
July 2009 - March 2018 · 8 yrs 8 mos
Raymond James Financial Services, INC.Broker
July 2009 - March 2018 · 8 yrs 8 mos
Wells Fargo Investments, LLC
October 2007 - July 2009 · 1 yr 9 mos
Wells Fargo Brokerage Services, L.L.C.Broker
October 2002 - December 2003 · 1 yr 2 mos
Wells Fargo Investments, LLCBroker
January 2002 - July 2009 · 7 yrs 6 mos
Commonwealth Financial NetworkBroker
April 2001 - November 2001 · 7 mos
State Registrations13 states
AZCOFLINMINYOHPASCTNTXVAWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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