Thad F. Smith

DURATION ASSET MANAGEMENT | Executive Director

Dallas, TX 75225

Some features on this profile are disabled

CRD#: 4386078

Professional summary

Thad F Smith, who also goes by Thad Frensley Smith, Thad Frensley Smith, is a registered financial advisor currently at DURATION ASSET MANAGEMENT, LLC located in Dallas, Texas and SMITH CAPITAL MARKETS, LLC. located in Dallas, Texas.

Thad is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Thad has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Financial planning

What is your current number of clients?

Under 50

What is your minimum asset requirement?

100K

Are you a "fiduciary"?

Yes

Aliases

Thad Frensley Smith | Thad Frensley Smith

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.

Entity Name: Meregrass Inc. Position: Charter Sales Investment related: No Address: Dallas, TX 75205 Nature of the other business: Charter company Start Date: 04/2024; Entity Name: Duration Asset Management, LLC. Position: Managing Director Investment related: Yes Address: Dallas, TX 75225 Nature of the other business: Registered Investment Adviser Start Date: 04/2024;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thad F 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

April 17, 2024 - Present

DURATION ASSET MANAGEMENT, LLC

Office #1: 8333 Douglas Ave Suite 1450, Dallas, TX 75225

RIA

CRD#: 298651

Dallas, TX

Current

April 17, 2024 - Present

SMITH CAPITAL MARKETS, LLC.

Office #1: 8333 Douglas Ave., Suite 1450, Dallas, TX 75225

CRD#: 121430

DALLAS, TX

Past

March 19, 2018 - April 16, 2024

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

DALLAS, TX

Past

February 6, 2002 - April 16, 2024

J.P. MORGAN SECURITIES LLC

CRD#: 79

DALLAS, TX

Past

May 25, 2001 - December 17, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

DURATION ASSET MANAGEMENT, LLC

CRD#: 298651 / SEC#: 801-114084

RIA

Registered Investment Advisory firm - (10/4/2018 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.

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

Colorado
(4/17/2024)

Florida
(4/17/2024)

North Carolina
(4/17/2024)

Texas
(4/17/2024)

IAR

Texas
(4/17/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/10/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/8/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/24/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

DURATION ASSET MANAGEMENT, LLC

CRD#: 298651 / SEC#: 801-114084

RIA

Registered Investment Advisory firm - (10/4/2018 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

8333 Douglas Ave Suite 1450, Dallas, TX 75225

Mailing Address

Phone number

(214) 420-0300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (2/25/2025)

Regulatory assets under management

Total Number of Accounts	10
AUM (Assets Under Management)	$ 467,286,324

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

Similar Advisors

David Alvarez

EDWARD JONES

IAR

Grapevine, TX

Kenneth Hopkins

ORION WEALTH MANAGEMENT LLC

IAR

Garland, TX

Jonathan Meaney

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

IAR

DALLAS, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thad F. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thad F Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

SMITH CAPITAL MARKETS, LLC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

DURATION ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/10/2001

Series 63

Date: 6/8/2001

SIE

Date: 10/1/2018

Series 7

Date: 5/24/2001

FINRA

Current Firm

DURATION ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DURATION ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

Similar Advisors