Robert J. Smith

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CRD#: 1797631

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.

Robert James Smith III, who also goes by Robert James III Smith, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1988. Robert had worked at 9 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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.

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®

None

Experience

Past

February 27, 2025 - January 8, 2026

NORTHCOAST ASSET MANAGEMENT LLC

RIA

CRD#: 282241

Scottsdale, AZ

Past

October 7, 2024 - December 31, 2024

NORTHCOAST ASSET MANAGEMENT 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

CRD#: 5167

SCOTTSDALE, AZ

Past

August 9, 2000 - June 14, 2011

LPL FINANCIAL LLC

CRD#: 6413

SCOTTSDALE, AZ

Past

July 24, 1998 - August 7, 2000

AURUM SECURITIES CORP.

CRD#: 38598

SAN JOSE, CA

Past

April 28, 1997 - July 7, 1998

BA INVESTMENT SERVICES, INC.

CRD#: 12965

OAKLAND, CA

Past

April 6, 1992 - April 14, 1997

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

Past

November 16, 1989 - March 14, 1992

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

June 20, 1988 - November 2, 1989

EQUITY SERVICES, INC.

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".

NORTHCOAST ASSET MANAGEMENT LLC

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.

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

Series 63

Date: 6/30/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/18/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/17/1988

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 10/27/2000

Investment Company Products/Variable Contracts Principal Examination

Current Firm

NORTHCOAST ASSET MANAGEMENT LLC

CRD#: 282241 / SEC#: 801-107054

RIA

Registered Investment Advisory firm - (12/24/2015 Approved)

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Contact information

Main Address

400 Atlantic Sreet 6th Floor, Stamford, CT 06901

Mailing Address

Phone number

(203) 532-7000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NORTHCOAST ASSET MANAGEMENT ADV PART 2A BROCHURE (2/19/2026)

Regulatory assets under management

Total Number of Accounts	7,122
AUM (Assets Under Management)	$ 4,967,977,227

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/23/2025	Cover Page	Report
08/15/2024	Cover Page	Report
07/19/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Robert J. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NORTHCOAST ASSET MANAGEMENT LLC

TMD WEALTH MANAGEMENT

NYLIFE SECURITIES LLC

LPL FINANCIAL LLC

AURUM SECURITIES CORP.

BA INVESTMENT SERVICES, INC.

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

VERAVEST INVESTMENTS, INC.

EQUITY SERVICES, INC.

Primary Firm SEC Registration

NORTHCOAST ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/30/1988

SIE

Date: 4/18/2018

Series 6

Date: 6/17/1988

Series 26

Date: 10/27/2000

Current Firm

NORTHCOAST ASSET MANAGEMENT LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NORTHCOAST ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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