Richard A. Smyth

AIONIOS CAPITAL PARTNERS

Newport Beach, CA 92660

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CRD#: 2130201

Professional summary

Richard Andrew Smyth, who also goes by Dick Smyth, Rick Smyth, Ricky Smyth, is a registered financial advisor currently at AIONIOS CAPITAL PARTNERS, LLC located in Newport Beach, California.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Richard has worked at 2 firms and has passed the Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dick Smyth | Rick Smyth | Ricky Smyth

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.

UNIVERSITY PROFESSOR; NOT INVESTMENT-RELATED; 316 BOULEVARD, ANDERSON, SOUTH CAROLINA 29621; EDUCATION; ADJUNCT PROFESSOR; 08/25/23 START DATE; 18 HOURS PER MONTH; 10 HOURS PER MONTH DURING SECURITIES TRADING HOURS; TEACHING INVESTMENT ANALYSIS, PORTFOLIO MANAGEMENT & DERIVATIVES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Andrew Smyth'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®

None

Experience

Current

July 1, 2021 - Present

AIONIOS CAPITAL PARTNERS, LLC

Office #1: 5000 Birch St-west Tower Suite 3000, Newport Beach, CA 92660

RIA

CRD#: 313190

Newport Beach, CA

Past

May 13, 1991 - October 31, 2006

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

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

California
(7/1/2021)

IAR

South Carolina
(4/25/2022)

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

General Industry/Product Exam

Series 7

Date: 1/29/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/4/1991

Investment Company Products/Variable Contracts Representative Examination

Current Firm

AIONIOS CAPITAL PARTNERS, LLC

CRD#: 313190 / SEC#: 801-121662

RIA

Registered Investment Advisory firm - (12/2/2021 Terminated)

California

Registered Investment Advisory firm - (11/23/2021 Approved)

South Carolina

Registered Investment Advisory firm - (4/25/2022 Approved)

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).

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Contact information

Main Address

5000 Birch St-west Tower Suite 3000, Newport Beach, CA 92660

Mailing Address

Phone number

(949) 432-6149

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 2,660,168

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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Richard A. Smyth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Andrew Smyth's CRS (Customer Relationship Summary).

Certified licenses

Experience

AIONIOS CAPITAL PARTNERS, LLC

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

State Registrations and Notice Filings

Exams

Series 7

Date: 1/29/1993

Series 6

Date: 4/4/1991

Current Firm

AIONIOS CAPITAL PARTNERS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

AIONIOS CAPITAL PARTNERS, LLC

TRUST BUT VERIFY

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