Edward A. Smith

RIA ADVISORY GROUP

DES MOINES, IA 50309

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CRD#: 4071649

Professional summary

Edward Allen Smith III is a registered financial advisor currently at RIA ADVISORY GROUP, LLC located in Des Moines, Iowa.

Edward is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Edward has worked at 6 firms and has passed the Series 66, SIE and Series 7 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.

No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 01/30/2018 - 3 Hours Per Month During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward Allen Smith III'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 3, 2020 - Present

RIA ADVISORY GROUP, LLC

Office #1: 500 Sw 7th Street Suite 204, Des Moines, IA 50309

RIA

CRD#: 152566

DES MOINES, IA

Past

July 27, 2018 - November 20, 2020

BALEFIRE, LLC

RIA

CRD#: 168733

Des Moines, IA

Past

January 17, 2018 - July 31, 2020

LPL FINANCIAL LLC

RIA

CRD#: 6413

DES MOINES, IA

Past

June 16, 2017 - December 31, 2017

BALEFIRE, LLC

RIA

CRD#: 168733

West Des Moines, IA

Past

June 15, 2017 - July 31, 2020

LPL FINANCIAL LLC

CRD#: 6413

DES MOINES, IA

Past

December 4, 2006 - June 16, 2017

EDWARD JONES

RIA

CRD#: 250

PERRY, IA

Past

October 22, 2002 - June 16, 2017

EDWARD JONES

CRD#: 250

PERRY, IA

Past

May 8, 2000 - October 22, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

HIAWATHA, IA

Past

January 28, 2000 - October 22, 2002

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 28, 2000 - October 22, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

RIA ADVISORY GROUP, LLC

CRD#: 152566 / SEC#: 801-117837

RIA

Registered Investment Advisory firm - (1/2/2020 Approved)

Iowa

Registered Investment Advisory firm - (1/2/2020 Terminated)

Minnesota

Registered Investment Advisory firm - (1/6/2020 Terminated)

Missouri

Registered Investment Advisory firm - (1/2/2020 Terminated)

Nevada

Registered Investment Advisory firm - (2/5/2020 Terminated)

Texas

Registered Investment Advisory firm - (1/2/2020 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

Iowa
(8/3/2020)

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

What does exam status mean?

State Security Law Exam

IAR

Series 66

Status Unavailable

Passed: 1/6/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 1/10/2000

General Securities Representative Examination

Current Firm

RIA ADVISORY GROUP, LLC

CRD#: 152566 / SEC#: 801-117837

RIA

Registered Investment Advisory firm - (1/2/2020 Approved)

Iowa

Registered Investment Advisory firm - (1/2/2020 Terminated)

Minnesota

Registered Investment Advisory firm - (1/6/2020 Terminated)

Missouri

Registered Investment Advisory firm - (1/2/2020 Terminated)

Nevada

Registered Investment Advisory firm - (2/5/2020 Terminated)

Texas

Registered Investment Advisory firm - (1/2/2020 Terminated)

PREMIUM

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Contact information

Main Address

500 Sw 7th Street Suite 204, Des Moines, IA 50309

Mailing Address

6300 S. Old Village Place #100, Sioux Falls, SD 57108

Phone number

(515) 965-8588

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV FORM 2A CLIENT BROCHURE (3/30/2026)

Regulatory assets under management

Total Number of Accounts	3,228
AUM (Assets Under Management)	$ 568,379,295

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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Edward A. Smith

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward Allen Smith III's CRS (Customer Relationship Summary).

Certified licenses

Experience

BALEFIRE, LLC

LPL FINANCIAL LLC

BALEFIRE, LLC

LPL FINANCIAL LLC

EDWARD JONES

EDWARD JONES

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

RIA ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Passed: 1/6/2007

SIE

Passed: 10/1/2018

Series 7

Passed: 1/10/2000

Current Firm

RIA ADVISORY GROUP, LLC

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RIA ADVISORY GROUP, LLC

TRUST BUT VERIFY

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