Kevin C. Smith

CRESCAT PORTFOLIO MANAGEMENT LLC

Denver, CO 80206

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CRD#: 2270325

Professional summary

Kevin Clark Smith is a registered financial advisor currently at CRESCAT PORTFOLIO MANAGEMENT LLC located in Denver, Colorado.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Kevin has worked at 9 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Clark Smith'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

May 31, 2006 - Present

CRESCAT PORTFOLIO MANAGEMENT LLC

Office #1: 44 Cook Street Suite 100, Denver, CO 80206

RIA

CRD#: 139620

Denver, CO

Past

November 11, 2002 - April 16, 2008

SMITH PORTFOLIO MANAGEMENT LLC

RIA

CRD#: 122428

GOLDEN, CO

Past

May 29, 2002 - October 3, 2002

CAPWEST SECURITIES, INC.

CRD#: 30002

GREELEY, CO

Past

March 21, 2000 - December 31, 2002

BLAKE STREET BCM MANAGEMENT LLC

RIA

CRD#: 113704

DENVER, CO

Past

January 1, 1999 - December 31, 2002

BLAKE STREET ADVISORS LLC

RIA

CRD#: 112159

DENVER, CO

Past

July 21, 1998 - August 20, 2002

BLAKE STREET SECURITIES LLC

CRD#: 44905

GOLDEN, CO

Past

April 28, 1997 - September 23, 1998

LAIDLAW GLOBAL SECURITIES, INC.

CRD#: 19018

NEW YORK, NY

Past

January 28, 1995 - May 6, 1997

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

October 7, 1992 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

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".

CRESCAT PORTFOLIO MANAGEMENT LLC

CRESCAT CAPITAL LLC | CRESCAT PORTFOLIO MANAGEMENT LLC | CRESCAT PARTNERS LLC | CRESCAT HEDGE PARTNERS LLC

CRD#: 139620 / SEC#: 801-69008

RIA

Registered Investment Advisory firm - (4/2/2008 Approved)

Colorado

Registered Investment Advisory firm - (4/24/2008 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

Colorado
(5/31/2006)

IAR

Texas
(5/1/2021)

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: 10/16/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/12/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 2/15/2023

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/5/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/26/1998

General Securities Principal Examination

Current Firm

CRESCAT PORTFOLIO MANAGEMENT LLC

CRESCAT CAPITAL LLC | CRESCAT PORTFOLIO MANAGEMENT LLC | CRESCAT PARTNERS LLC | CRESCAT HEDGE PARTNERS LLC

CRD#: 139620 / SEC#: 801-69008

RIA

Registered Investment Advisory firm - (4/2/2008 Approved)

Colorado

Registered Investment Advisory firm - (4/24/2008 Terminated)

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Contact information

Main Address

44 Cook Street Suite 100, Denver, CO 80206

Mailing Address

Phone number

(303) 271-9997

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CPM ADV PART 2A (3/24/2025)

Regulatory assets under management

Total Number of Accounts	147
AUM (Assets Under Management)	$ 223,772,565

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

Kevin C. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Clark Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

SMITH PORTFOLIO MANAGEMENT LLC

CAPWEST SECURITIES, INC.

BLAKE STREET BCM MANAGEMENT LLC

BLAKE STREET ADVISORS LLC

BLAKE STREET SECURITIES LLC

LAIDLAW GLOBAL SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

KIDDER, PEABODY & CO. INCORPORATED

Primary Firm SEC Registration

CRESCAT PORTFOLIO MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/16/1992

Series 63

Date: 10/12/1992

Series 3

Date: 2/15/2023

Series 7

Date: 10/5/1992

Series 24

Date: 8/26/1998

Current Firm

CRESCAT PORTFOLIO MANAGEMENT LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CRESCAT PORTFOLIO MANAGEMENT LLC

TRUST BUT VERIFY

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