RS
Ryan O. Smith
DIVERSIFY ADVISORY SERVICES
Sandy, UT 84070
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CRD#: 4340304
RS
Professional summary
Ryan Omer Smith is a registered financial advisor currently at DIVERSIFY ADVISORY SERVICES, LLC located in Sandy, Utah and DFPG INVESTMENTS, LLC located in Sandy, Utah.
Ryan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Ryan has worked at 11 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 14 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.
1. DIVERSIFY, INC.; INVESTMENT RELATED; SANDY, UT; WEALTH MANAGEMENT; PRESIDENT/CO-OWNER; 10/2004; 40% DURING BUSINESS HOURS; OVERSEE COMPANY OPERATIONS, BUSINESS DEVELOPMENT, AND MEET WITH CLIENTS. BRANCH OFFICE OF DFPG INVESTMENTS, PROVIDING INVESTMENT ADVICE AS BOTH RIA AND BD, ALSO PROVIDES HOME, LIFE, HEALTH, DISABILITY, LONG TERM CARE, AND GROUP BENEFITS AS INSURANCE AGENCY. 2. DIVERSIFY INSURANCE, INC; NON-INVESTMENT RELATED; SANDY, UT; INSURANCE; PRESIDENT; 10/2004; 1% DURING BUSINESS HOURS; OVERSEE AGENTS, OFFER INSURANCE PRODUCTS SUCH AS LIFE, HEALTH, LONG TERM CARE, DISABILITY, AUTO, AND HOME. 3. ANJANAHARY CAPITAL, LLC; NON-INVESTMENT RELATED; SANDY, UT; HOLDING COMPANY; MANAGER; 07/2019; 0% DURING BUSINESS HOURS; HOLDING COMPANY ONLY, MAINTENANCE 4. RIVERSIDE 90, LLC; NON-INVESTMENT RELATED; SANDY, UT; REAL ESTATE; MEMBER; 11/2016; <1%; HOLDS REAL COMMERCIAL BUILDING 5. ALTA CANYON ADVISORS, LLC; NON-INVESTMENT RELATED; SANDY, UT; MEMBER; 11/2021; <1%; HOLDING COMPANY FOR PRIVATE INVESTMENTS 6. OC MORRIS CAPITAL, LLC; NON-INVESTMENT RELATED; COTTONWOOD HEIGHTS, UT; MEMBER; 09/2021; <1%; HOLDING COMPANY FOR FAMILY INVESTMENTS 7. DCJL INVESTCO, LLC; NON-INVESTMENT RELATED; COTTONWOOD HEIGHTS, UT; MEMBER; 05/2023; <1% HOLDING FOR JOINT PERSONAL INVESTMENT 8. DIVERSIFY ADVISORY SERVICES, LLC; INVESTMENT RELATED; SANDY, UT; WEALTH MANAGEMENT; PRESIDENT/CO-OWNER; 07/2023; 40% DURING BUSINESS HOURS; OVERSEE COMPANY OPERATIONS, BUSINESS DEVELOPMENT, AND MEET WITH CLIENTS 9. 1354 INVESTMENT HOLDINGS, LLC; INVESTMENT RELATED; COTTONWOOD HEIGHTS, UT; INVESTMENTS IN LOCAL REAL ESTATE AND POTENTIAL BUSINESSES. MEMBER/MANAGER; 04/2023;2% DURING BUSINESS HOURS; DUTIES ARE PASSIVE, PRIMARILY RAN BY FAMILY MEMBERS. COMPANY STARTED IN APRIL 2023 BUT DID NOT BEGIN ACTUAL ACTIVITIES UNTIL OCTOBER 2023. 10. RAVEN 23, LLC; NON-INVESTMENT RELATED; 1022 QUAIL HOLLOW LN ALPINE, UT 84004. ENTITY THAT MADE AN INVESTMENT INTO A MED SPA NAMED SPA TROUVE. MEMBER OF THE LLC AND SIMPLY AN INVESTOR. DURING BUSINESS HOURS=0%.
CRS (Client Relationship Summary) - RIA
Click below to view Ryan Omer Smith'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®
NoneExperience
Current
September 15, 2023 - Present
DIVERSIFY ADVISORY SERVICES, LLC
Office #1: 9017 S Riverside Dr. Suite 210, Sandy, UT 84070RIA
CRD#: 326060
Sandy, UT
Current
May 25, 2011 - Present
DFPG INVESTMENTS, LLC
Office #1: 9017 S Riverside Dr Suite 200, Sandy, UT 84070Office #2: 9017 S Riverside Drive Suite 210, Sandy, UT 84070Office #3: 10085 Carroll Canyon Rd. Ste 200d, San Diego, CA 92131Office #4: 5000 Birch St. Suite 4000, Newport Beach, CA 92660Office #5: 9017 S Riverside Drive Suite 210, Sandy, UT 84070BD
CRD#: 155576
Sandy, UT
Past
September 1, 2023 - September 8, 2023
DIVERSIFY ADVISORY SERVICES, LLC
RIA
CRD#: 326060
SANDY, UT
Past
January 26, 2016 - April 17, 2018
BFY SECURITIES, LLC
BD
CRD#: 187514
Sandy, UT
Past
April 7, 2015 - July 12, 2024
DFPG INVESTMENTS, LLC
RIA
CRD#: 155576
Honolulu, HI
Past
December 20, 2013 - November 16, 2015
DIVERSIFY WEALTH MANAGEMENT, INC.
RIA
CRD#: 169032
SOUTH JORDAN, UT
Past
October 11, 2011 - October 6, 2014
DIVERSIFY WEALTH MANAGEMENT LLC
RIA
CRD#: 145593
SOUTH JORDAN, UT
Past
March 9, 2011 - August 26, 2011
AILSA CAPITAL, INC.
RIA
CRD#: 136463
DRAPER, UT
Past
November 18, 2005 - May 24, 2011
OMNI INVESTMENT ADVISORS INC
RIA
CRD#: 110364
SALT LAKE CITY, UT
Past
September 11, 2004 - April 28, 2011
OMNI BROKERAGE, INC.
BD
CRD#: 16878
SOUTH JORDAN, UT
Past
August 6, 2004 - September 22, 2004
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
April 2, 2004 - August 12, 2004
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
March 27, 2001 - November 21, 2001
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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".
DA
DIVERSIFY ADVISORY SERVICES, LLC
ADVANCED WEALTH STRATEGIES GROUP | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SPARK FINANCIAL SERVICE | SERRATELLI FINANCIAL GROUP | ROCKY MOUNTAIN WEALTH ADVISORS | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PATTERSON FINANCIAL SOLUTIONS | PARKVIEW WEALTH ADVISORS | NUCLEUS FINANCIAL GROUP | MARCH FORWARD | LONGHORN FINANCIAL | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | INVENTA WEALTH ADVISORS | INPAC WEALTH SOLUTIONS | ICONA WEALTH | HARDING FINANCIAL & INSURANCE | GROVE WEALTH ADVISORS | GRIFFIN WEALTH PARTNERS | GRADY CAPITAL GROUP | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC. | EVERGREEN ADVISOR GROUP | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES, LLC | DIVERSIFY ADVISOR NETWORK | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | CAPATA FINANCIAL | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BOSTON WEALTH ADVISOR GROUP | ASHLAND PACIFIC | ANIMAS CAPITAL MANAGEMENT LLC
CRD#: 326060 / SEC#: 801-128675
RIA
Registered Investment Advisory firm - (8/31/2023 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/8/2011)
RR
Alaska(6/1/2011)
RR
Arizona(6/8/2011)
RR
Arkansas(12/13/2019)
RR
California(6/2/2011)
RR
Colorado(6/10/2011)
RR
Connecticut(6/27/2012)
RR
Delaware(9/26/2012)
RR
Florida(6/29/2011)
RR
Georgia(10/24/2011)
RR
Hawaii(7/11/2011)
RR
Idaho(6/1/2011)
RR
Illinois(6/16/2011)
RR
Indiana(7/6/2011)
RR
Iowa(6/14/2011)
RR
Kansas(7/15/2011)
RR
Kentucky(6/6/2011)
RR
Louisiana(11/5/2012)
RR
Maine(11/16/2012)
RR
Maryland(6/28/2011)
RR
Massachusetts(6/30/2011)
RR
Michigan(6/13/2011)
RR
Mississippi(6/2/2011)
RR
Missouri(6/27/2011)
RR
Montana(6/8/2011)
RR
Nebraska(9/8/2021)
RR
Nevada(6/1/2011)
RR
New Hampshire(5/8/2013)
RR
New Jersey(7/18/2011)
RR
New Mexico(2/3/2012)
RR
New York(6/8/2011)
RR
North Carolina(6/2/2015)
RR
North Dakota(4/9/2013)
RR
Ohio(6/21/2011)
RR
Oklahoma(6/2/2011)
RR
Oregon(7/8/2011)
RR
Pennsylvania(2/16/2012)
RR
Tennessee(8/19/2011)
RR
Texas(7/5/2011)
RR
Utah(5/31/2011)
IAR
Utah(9/15/2023)
RR
Virginia(6/17/2011)
RR
Washington(6/2/2011)
RR
Wyoming(6/15/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DA
DIVERSIFY ADVISORY SERVICES, LLC
ADVANCED WEALTH STRATEGIES GROUP | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SPARK FINANCIAL SERVICE | SERRATELLI FINANCIAL GROUP | ROCKY MOUNTAIN WEALTH ADVISORS | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PATTERSON FINANCIAL SOLUTIONS | PARKVIEW WEALTH ADVISORS | NUCLEUS FINANCIAL GROUP | MARCH FORWARD | LONGHORN FINANCIAL | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | INVENTA WEALTH ADVISORS | INPAC WEALTH SOLUTIONS | ICONA WEALTH | HARDING FINANCIAL & INSURANCE | GROVE WEALTH ADVISORS | GRIFFIN WEALTH PARTNERS | GRADY CAPITAL GROUP | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC. | EVERGREEN ADVISOR GROUP | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES, LLC | DIVERSIFY ADVISOR NETWORK | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | CAPATA FINANCIAL | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BOSTON WEALTH ADVISOR GROUP | ASHLAND PACIFIC | ANIMAS CAPITAL MANAGEMENT LLC
CRD#: 326060 / SEC#: 801-128675
RIA
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Contact information
Main Address
9017 S Riverside Dr. Suite 210, Sandy, UT 84070
Mailing Address
Phone number
(801) 890-7577
Established
Firm type
Fiscal year end
# of Employees
171
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,318 |
| AUM (Assets Under Management) | $ 3,206,698,268 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 |
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.
