Dane G. Smith

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CRD#: 4588527

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Dane Gregory Smith, who also goes by Gregory Dane Smith, was a registered financial professional .

Dane is a previously registered financial professional and started their career in finance in 2002. Dane had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Gregory Dane 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 4, 2015 - June 28, 2016

INVICTUS CAPITAL PARTNERS

RIA

CRD#: 157315

WASHINGTON, DC

Past

February 4, 2015 - April 2, 2015

INVICTUS CAPITAL PARTNERS

RIA

CRD#: 157315

WASHINGTON, DC

Past

October 23, 2013 - December 31, 2014

INVICTUS CAPITAL PARTNERS

RIA

CRD#: 157315

WASHINGTON, DC

Past

September 18, 2003 - October 23, 2006

B. RILEY SECURITIES, INC.

CRD#: 25027

ARLINGTON, VA

Past

July 1, 2003 - September 4, 2003

WELLS FARGO SECURITIES, LLC

CRD#: 126292

CHARLOTTE, NC

Past

October 15, 2002 - July 1, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

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".

INVICTUS CAPITAL PARTNERS

INVICTUS CAPITAL MANAGEMENT, LP | INVICTUS CAPITAL PARTNERS, LLC | INVICTUS CAPITAL PARTNERS

CRD#: 157315 / SEC#: 801-113156

RIA

Registered Investment Advisory firm - (5/4/2018 Approved)

District of Columbia

Registered Investment Advisory firm - (6/28/2016 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 6/9/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/15/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/14/2002

General Securities Representative Examination

Current Firm

INVICTUS CAPITAL PARTNERS

INVICTUS CAPITAL MANAGEMENT, LP | INVICTUS CAPITAL PARTNERS, LLC | INVICTUS CAPITAL PARTNERS

CRD#: 157315 / SEC#: 801-113156

RIA

Registered Investment Advisory firm - (5/4/2018 Approved)

District of Columbia

Registered Investment Advisory firm - (6/28/2016 Terminated)

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Contact information

Main Address

2001 M St., N.w. Suite 300, Washington, DC 20036

Mailing Address

Phone number

(202) 534-1815

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

INVICTUS CAPITAL MANAGEMENT LP -FORM ADV PART 2A FINAL (5/7/2025)

Regulatory assets under management

Total Number of Accounts	24
AUM (Assets Under Management)	$ 6,163,836,722

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
SEC	ERA - Withdrawn	4/4/2018
District of Columbia	ERA - Withdrawn	4/4/2018

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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Dane G. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INVICTUS CAPITAL PARTNERS

INVICTUS CAPITAL PARTNERS

B. RILEY SECURITIES, INC.

WELLS FARGO SECURITIES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

INVICTUS CAPITAL PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 6/9/2011

Series 63

Date: 12/15/2003

Series 7

Date: 10/14/2002

Current Firm

INVICTUS CAPITAL PARTNERS

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

INVICTUS CAPITAL PARTNERS

TRUST BUT VERIFY

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