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Richard Smith

10 Years of Experience
Princeton, NJ
Broker

Richard Smith is a registered investment advisor at Blackrock Investment Management, LLC, based in Princeton, NJ, with 10 years of industry experience. Richard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 11,238 clients with $510B in assets under management.

Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
677 advisors
IM Fee
Planning only
Assets Under Management
$508.2B

Fee Structure

Investment management only (planning not offered)

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

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Location

1 University Square Drive, Princeton, NJ, 08540

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Blackrock Investment Management, LLC
October 2025 - Present · 7 mos
Blackrock Investments, LLC
September 2025 - Present · 8 mos
Blackrock Investments, LLCBroker
September 2025 - Present · 8 mos
Previous Registrations
Nuveen Securities, LLCBroker
April 2024 - August 2025 · 1 yr 4 mos
Cco Capital, LLCBroker
March 2014 - April 2022 · 8 yrs 1 mo
Steben & Company, INC.Broker
June 2013 - February 2014 · 8 mos
Raymond James Financial Services, INC.Broker
April 2013 - June 2013 · 2 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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.
Richard Smith - Financial Advisor | TrueAdvisor