Bryce A. James

SMART PORTFOLIOS

LAKE FOREST PARK, WA 98155

Some features on this profile are disabled

CRD#: 1162409

Professional summary

Bryce Arnevick James is a registered financial advisor currently at SMART PORTFOLIOS, LLC located in Lake Forest Park, Washington.

Bryce is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Bryce has worked at 11 firms and has passed the Series 65, Series 63 and Series 7 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.

SHIELD INVESMENTS, LLC IS A HOLDING COMPANY WHICH OWNS 100% OF SMART PORTFOLIOS, LLC. I AM AN AFFILIATE OF BOTH SHIELD AND SMART.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bryce Arnevick James's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 2, 2004 - Present

SMART PORTFOLIOS, LLC

Office #1: 17849 Ballinger Way Ne, Lake Forest Park, WA 98155

RIA

CRD#: 131342

LAKE FOREST PARK, WA

Past

October 27, 2005 - December 31, 2006

SWAN STRATEGIES, LLC

RIA

CRD#: 135158

SEATTLE, WA

Past

June 2, 2004 - November 12, 2004

STONEBRIDGE SECURITIES LLC

CRD#: 47659

BELLEVUE, WA

Past

October 23, 2002 - December 31, 2005

SHIELD INVESTMENT ADVISORS, LLC

RIA

CRD#: 116729

SNOHOMISH, WA

Past

May 8, 2001 - June 7, 2002

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SEATTLE, WA

Past

April 25, 2001 - June 7, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

January 27, 1999 - November 19, 1999

ALEXANDER HUTTON CAPITAL, L.L.C.

CRD#: 37234

SEATTLE, WA

Past

March 2, 1998 - December 23, 1998

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

August 6, 1993 - March 2, 1998

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

May 26, 1989 - August 12, 1993

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

December 18, 1984 - July 22, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

December 20, 1983 - December 26, 1984

MORGAN STANLEY DW INC.

CRD#: 7556

Past

July 21, 1983 - December 27, 1983

EVANS LLEWELLYN SECURITIES, INC.

CRD#: 8404

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".

SMART PORTFOLIOS, LLC

SMART PORTFOLIOS, LLC | SWAN STRATEGIES, LLC | STAR INVESTMENT ADVISORS, LLC | SMART PORTFOLIOS, LLC DBA SWAN STRATEGIES, LLC

CRD#: 131342 / SEC#: 801-67772

RIA

Registered Investment Advisory firm - (5/11/2007 Approved)

Washington

Registered Investment Advisory firm - (11/3/2008 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Washington
(7/2/2004)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/10/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/25/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/16/1983

General Securities Representative Examination

Current Firm

SMART PORTFOLIOS, LLC

SMART PORTFOLIOS, LLC | SWAN STRATEGIES, LLC | STAR INVESTMENT ADVISORS, LLC | SMART PORTFOLIOS, LLC DBA SWAN STRATEGIES, LLC

CRD#: 131342 / SEC#: 801-67772

RIA

Registered Investment Advisory firm - (5/11/2007 Approved)

Washington

Registered Investment Advisory firm - (11/3/2008 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

17849 Ballinger Way Ne, Lake Forest Park, WA 98155

Mailing Address

Phone number

(206) 686-3636

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SMART PORTFOLIOS ADV PART 2A (9/26/2025)

Regulatory assets under management

Total Number of Accounts	470
AUM (Assets Under Management)	$ 202,918,930

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Dale Miller

MORGAN STANLEY

IAR

Moscow, ID

Gregg Quinn

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Redmond, WA

Alyssa Jarman

OSAIC WEALTH, INC.

IAR

Bellevue, WA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Bryce A. James

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bryce Arnevick James's CRS (Customer Relationship Summary).

Certified licenses

Experience

SWAN STRATEGIES, LLC

STONEBRIDGE SECURITIES LLC

SHIELD INVESTMENT ADVISORS, LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

ALEXANDER HUTTON CAPITAL, L.L.C.

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

PRUDENTIAL EQUITY GROUP, LLC

DREXEL BURNHAM LAMBERT INCORPORATED

MORGAN STANLEY DW INC.

EVANS LLEWELLYN SECURITIES, INC.

Primary Firm SEC Registration

SMART PORTFOLIOS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/10/1992

Series 63

Date: 7/25/1983

Series 7

Date: 7/16/1983

Current Firm

SMART PORTFOLIOS, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SMART PORTFOLIOS, LLC

TRUST BUT VERIFY

Similar Advisors