RS
Robert J. Smith
KOVITZ INVESTMENT GROUP PARTNERS
Scottsdale, AZ 85260
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CRD#: 1797631
RS
Professional summary
Robert James Smith III, who also goes by Robert James III Smith, is a registered financial advisor currently at KOVITZ INVESTMENT GROUP PARTNERS, LLC located in Scottsdale, Arizona.
Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Robert has worked at 9 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert James Iii Smith
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.
Mr. Smith is employed full time by TMD Insurance Services LLC (dba Scottsdale Financial Group), an unregistered affiliate of Kovitz Investment Group Partners. He devotes all of his time during business hours to insurance-related sales efforts. Mr. Smith is licensed and registered with various state insurance departments. He is appointed with several insurance companies and receives separate compensation for fee-based transactions implemented through various insurance companies for life, accident and health contracts. Insurance compensation will be separate and distinct from any financial planning fees and portfolio management fees charged by Kovitz. From time to time, he may refer insurance clients to Kovitz for advisory and planning services and may receive compensation for such referrals. Clients are not obligated to utilize any of these services for insurance purchases. All clients are free to utlize any insurance agent they choose. AUTHOR; 8320 N HAYDEN ROAD,STE B111,SCOTTSDALE AZ 85258;FOR MY RUSH LLC IS THE ENTITY THE AGENT OWNS AND HAS WRITTEN A BOOK CALLED RUSH ABOUT GENERAL SALES TECHNIQUES;AUTHOR/SPEAKER; NO-0 HRS/MON; NON INVESTMENT RELATED]
CRS (Client Relationship Summary) - RIA
Click below to view Robert James Smith III'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
February 27, 2025 - Present
KOVITZ INVESTMENT GROUP PARTNERS, LLC
Office #1: 15333 N. Pima Road Suite 200, Scottsdale, AZ 85260RIA
CRD#: 282241
Scottsdale, AZ
Past
October 7, 2024 - December 31, 2024
KOVITZ INVESTMENT GROUP PARTNERS, LLC
RIA
CRD#: 282241
Scottsdale, AZ
Past
March 9, 2022 - July 1, 2024
TMD WEALTH MANAGEMENT
RIA
CRD#: 309514
SCOTTSDALE, AZ
Past
July 1, 2011 - April 18, 2018
NYLIFE SECURITIES LLC
BD
CRD#: 5167
SCOTTSDALE, AZ
Past
August 9, 2000 - June 14, 2011
LPL FINANCIAL LLC
BD
CRD#: 6413
SCOTTSDALE, AZ
Past
July 24, 1998 - August 7, 2000
AURUM SECURITIES CORP.
BD
CRD#: 38598
SAN JOSE, CA
Past
April 28, 1997 - July 7, 1998
BA INVESTMENT SERVICES, INC.
BD
CRD#: 12965
OAKLAND, CA
Past
April 6, 1992 - April 14, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, MA
Past
November 16, 1989 - March 14, 1992
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Past
June 20, 1988 - November 2, 1989
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
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".
KOVITZ INVESTMENT GROUP PARTNERS, LLC
FIRST HOUSTON CAPITAL | WEATHERSTONE CAPITAL MANAGEMENT | TRANSFORM WEALTH | TMD WEALTH MANAGEMENT | TELEMUS CAPITAL | STRATEGIC WEALTH PARTNERS | RELATIVE VALUE PARTNERS | NORTHCOAST ASSET MANGEMENT | KOVITZ INVESTMENT GROUP PARTNERS, LLC | KOVITZ | IFAM CAPITAL | FORT PITT CAPITAL GROUP
CRD#: 282241 / SEC#: 801-107054
RIA
Registered Investment Advisory firm - (12/24/2015 Approved)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
Arizona(2/27/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
KOVITZ INVESTMENT GROUP PARTNERS, LLC
FIRST HOUSTON CAPITAL | WEATHERSTONE CAPITAL MANAGEMENT | TRANSFORM WEALTH | TMD WEALTH MANAGEMENT | TELEMUS CAPITAL | STRATEGIC WEALTH PARTNERS | RELATIVE VALUE PARTNERS | NORTHCOAST ASSET MANGEMENT | KOVITZ INVESTMENT GROUP PARTNERS, LLC | KOVITZ | IFAM CAPITAL | FORT PITT CAPITAL GROUP
CRD#: 282241 / SEC#: 801-107054
RIA
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Contact information
Main Address
10 S Wacker Drive Suite 2600, Chicago, IL 60606
Mailing Address
Phone number
(312) 334-7300
Established
Firm type
Fiscal year end
# of Employees
372
SEC notice filing (48 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 38,915 |
| AUM (Assets Under Management) | $ 31,731,798,984 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/23/2025 | ||
| 08/15/2024 | ||
| 07/19/2023 |
Red Flags
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