Eric A. Smith

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CRD#: 1495628

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Eric Andrew Smith, AIF®, CFP® was a registered financial professional .

Eric is a previously registered financial professional and started their career in finance in 1986. Eric had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Experience

Past

August 8, 2016 - February 25, 2026

NATURAL INVESTMENTS

RIA

CRD#: 113348

Seattle, WA

Past

January 12, 1989 - August 8, 2016

KMS FINANCIAL SERVICES, INC.

RIA

CRD#: 3866

SEATTLE, WA

Past

August 11, 1988 - August 8, 2016

KMS FINANCIAL SERVICES, INC.

CRD#: 3866

SEATTLE, WA

Past

May 27, 1986 - August 3, 1988

LOWRY FINANCIAL SERVICES CORPORATION

CRD#: 7291

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".

NATURAL INVESTMENTS

CRD#: 113348 / SEC#: 801-63874

RIA

Registered Investment Advisory firm - (2/10/2005 Approved)

California

Registered Investment Advisory firm - (2/23/2005 Terminated)

Colorado

Registered Investment Advisory firm - (3/16/2005 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 12/23/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/8/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/8/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/17/1986

General Securities Representative Examination

Current Firm

NATURAL INVESTMENTS

CRD#: 113348 / SEC#: 801-63874

RIA

Registered Investment Advisory firm - (2/10/2005 Approved)

California

Registered Investment Advisory firm - (2/23/2005 Terminated)

Colorado

Registered Investment Advisory firm - (3/16/2005 Terminated)

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Contact information

Main Address

Windsor, CA

Mailing Address

P.o. Box 7775, #43366, San Francisco, CA 94120-7775

Phone number

(707) 758-0171

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2026 ADV PART 2-REVISED (2/24/2026)

Regulatory assets under management

Total Number of Accounts	4,846
AUM (Assets Under Management)	$ 2,049,934,012

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Eric A. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KMS FINANCIAL SERVICES, INC.

KMS FINANCIAL SERVICES, INC.

LOWRY FINANCIAL SERVICES CORPORATION

Primary Firm SEC Registration

NATURAL INVESTMENTS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/23/1998

Series 63

Date: 7/8/1986

SIE

Date: 8/8/2016

Series 7

Date: 5/17/1986

Current Firm

NATURAL INVESTMENTS

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NATURAL INVESTMENTS

TRUST BUT VERIFY

Contact information

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