RS
Rix C. Smith
DOMINION PORTFOLIO MANAGEMENT
Marble Falls, TX 78654
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CRD#: 1061442
RS
Professional summary
Rix Carlton Smith is a registered financial advisor currently at DOMINION PORTFOLIO MANAGEMENT, INC. located in Marble Falls, Texas and GQO INVESTMENT ADVISORS, INC. located in Horseshoe Bay, Texas.
Rix is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Rix has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. PRESIDENT/DIRECTOR OF DOMINION FINANCIAL SERVICES, INC. 2. PRESIDENT OF GQO INVESTMENT ADVISORS, INC. 3. Dominion Investor Services, Inc; CEO; No longer an operating company but still exists as an entity until the appropriate time when the company can be closed, estimating in 2026.
CRS (Client Relationship Summary) - RIA
Click below to view Rix Carlton Smith's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 6, 1996 - Present
DOMINION PORTFOLIO MANAGEMENT, INC.
Office #1: 1002 Marble Heights Dr. Ste 101, Marble Falls, TX 78654RIA
CRD#: 106918
Marble Falls, TX
Current
January 28, 2021 - Present
GQO INVESTMENT ADVISORS, INC.
Office #1: 9000 Highway 2147 West Suite 201, Horseshoe Bay, TX 78657RIA
CRD#: 118002
HORSESHOE BAY, TX
Current
July 2, 2023 - Present
CALTON & ASSOCIATES, INC.
Office #1: 1002 Marble Heights Drive Suite 101, Marble Falls, TX 78654RIA
BD
CRD#: 20999
Marble Falls, TX
Past
January 2, 1991 - December 20, 2024
DOMINION INVESTOR SERVICES, INC.
BD
CRD#: 21548
MARBLE FALLS, TX
Past
January 13, 1989 - December 31, 1990
T.L. REED SECURITIES, INC.
BD
CRD#: 19875
Past
August 21, 1985 - January 4, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
BD
CRD#: 839
Past
October 1, 1982 - August 22, 1985
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
Past
August 26, 1982 - February 12, 1985
SCHNEIDER, BERNET & HICKMAN, INC.
BD
CRD#: 750
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
DP
DOMINION PORTFOLIO MANAGEMENT, INC.
DOMINION FINANCIAL ADVISORS INC. | NONE | DOMINION WEALTH ADVISORS, INC. | DOMINION PORTFOLIO MANAGEMENT, INC. | DOMINION FINANCIAL ADVISORS, INC.
CRD#: 106918 / SEC#: 801-115280
RIA
Registered Investment Advisory firm - (5/13/2019 Approved)California
Registered Investment Advisory firm - (4/25/2001 Cancelled)Colorado
Registered Investment Advisory firm - (5/22/2019 Terminated)Indiana
Registered Investment Advisory firm - (5/20/2019 Terminated)Louisiana
Registered Investment Advisory firm - (5/14/2019 Terminated)Michigan
Registered Investment Advisory firm - (5/15/2019 Terminated)Oklahoma
Registered Investment Advisory firm - (5/14/2019 Terminated)Tennessee
Registered Investment Advisory firm - (5/14/2019 Terminated)Texas
Registered Investment Advisory firm - (5/14/2019 Terminated)Washington
Registered Investment Advisory firm - (5/21/2019 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(7/5/2023)
RR
Michigan(8/14/2023)
IAR
Texas(3/6/1996)
RR
Texas(7/4/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DP
DOMINION PORTFOLIO MANAGEMENT, INC.
DOMINION FINANCIAL ADVISORS INC. | NONE | DOMINION WEALTH ADVISORS, INC. | DOMINION PORTFOLIO MANAGEMENT, INC. | DOMINION FINANCIAL ADVISORS, INC.
CRD#: 106918 / SEC#: 801-115280
RIA
Registered Investment Advisory firm - (5/13/2019 Approved)California
Registered Investment Advisory firm - (4/25/2001 Cancelled)Colorado
Registered Investment Advisory firm - (5/22/2019 Terminated)Indiana
Registered Investment Advisory firm - (5/20/2019 Terminated)Louisiana
Registered Investment Advisory firm - (5/14/2019 Terminated)Michigan
Registered Investment Advisory firm - (5/15/2019 Terminated)Oklahoma
Registered Investment Advisory firm - (5/14/2019 Terminated)Tennessee
Registered Investment Advisory firm - (5/14/2019 Terminated)Texas
Registered Investment Advisory firm - (5/14/2019 Terminated)Washington
Registered Investment Advisory firm - (5/21/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1002 Marble Heights Dr Suite 101, Marble Falls, TX 78654
Mailing Address
2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607
Phone number
(813) 264-0440
Established
Firm type
Fiscal year end
# of Employees
20
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 616 |
| AUM (Assets Under Management) | $ 261,299,355 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
DOMINION PORTFOLIO MANAGEMENT, INC.
CRD#: 106918Marble Falls, TX 78654TRUST BUT VERIFY
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