John D. Brim

SMITH GROUP ASSET MANAGEMENT

DALLAS, TX 75201

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CRD#: 2933011

Professional summary

John David Brim is a registered financial advisor currently at SMITH GROUP ASSET MANAGEMENT, LLC located in Dallas, Texas and CANTOR FITZGERALD INVESTMENT ADVISORS located in New York, New York.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. John has worked at 4 firms and has passed the Series 65 and Series 63 exams.

At a Glance

Always 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) - RIA

Click below to view John David Brim'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

August 4, 2021 - Present

SMITH GROUP ASSET MANAGEMENT, LLC

Office #1: 100 Crescent Court Suite 600, Dallas, TX 75201

RIA

CRD#: 313265

DALLAS, TX

Current

July 1, 2026 - Present

CANTOR FITZGERALD INVESTMENT ADVISORS

Office #1: 110 East 59th Street 7th Floor, New York, NY 10022

RIA

CRD#: 159296

NEW YORK, NY

Past

October 5, 2000 - November 28, 2006

DISCOVERY MANAGEMENT, LTD.

RIA

CRD#: 114222

DALLAS, TX

Past

October 5, 2000 - July 1, 2026

SMITH GROUP ASSET MANAGEMENT

RIA

CRD#: 106301

DALLAS, TX

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".

CANTOR FITZGERALD INVESTMENT ADVISORS

CRD#: 159296 / SEC#: 801-72852

RIA

Registered Investment Advisory firm - (11/15/2011 Approved)

Delaware

Registered Investment Advisory firm - (5/22/2018 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

Texas
(8/4/2021)

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: 8/19/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/1/1997

Uniform Securities Agent State Law Examination

Current Firm

CANTOR FITZGERALD INVESTMENT ADVISORS

CRD#: 159296 / SEC#: 801-72852

RIA

Registered Investment Advisory firm - (11/15/2011 Approved)

Delaware

Registered Investment Advisory firm - (5/22/2018 Terminated)

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Contact information

Main Address

110 East 59th Street 7th Floor, New York, NY 10022

Mailing Address

Phone number

(212) 915-1722

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CFIA ADV PART 2 & 2B 2025 (3/14/2025)

Regulatory assets under management

Total Number of Accounts	1,286
AUM (Assets Under Management)	$ 2,384,816,869

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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John D. Brim

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John David Brim's CRS (Customer Relationship Summary).

Certified licenses

Experience

SMITH GROUP ASSET MANAGEMENT, LLC

CANTOR FITZGERALD INVESTMENT ADVISORS

DISCOVERY MANAGEMENT, LTD.

SMITH GROUP ASSET MANAGEMENT

Primary Firm SEC Registration

CANTOR FITZGERALD INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 8/19/1997

Series 63

Date: 8/1/1997

Current Firm

CANTOR FITZGERALD INVESTMENT ADVISORS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CANTOR FITZGERALD INVESTMENT ADVISORS

TRUST BUT VERIFY

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