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AS

Ashley D. Smith-roos

Some features on this profile are disabled
CRD#: 5454067
AS

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.

Ashley Dolores Smith-roos was a registered financial professional .

Ashley is a previously registered financial professional and started their career in finance in 2017. Ashley had worked at 3 firms and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

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

August 31, 2020 - July 1, 2025

WILSHIRE ASSOCIATES INCORPORATED

RIA
CRD#: 6210
SANTA MONICA, CA
Past

December 2, 2019 - December 9, 2019

MERSBERGER ADVISORY GROUP, LLC

RIA
CRD#: 306328
Beverly Hills, CA
Past

August 25, 2017 - March 9, 2018

CHURCHILL MANAGEMENT GROUP

RIA
CRD#: 109651
Los Angeles, CA

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".
WILSHIRE ASSOCIATES INCORPORATED
WILSHIRE ASSOCIATES INCORPORATED
WILSHIRE | WILSHIRE ASSOCIATES INCORPORATED | WILSHIRE ASSOCIATES | WILSHIRE ADVISORS, LLC | WILSHIRE ADVISORS LLC

CRD#: 6210 / SEC#: 801-36233, 8-23852

RIA
Registered Investment Advisory firm - SEC (3/16/1990 Approved)
BD
Terminated by SEC on 01/17/2005

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/25/2017
Uniform Investment Adviser Law Examination

Current Firm

WILSHIRE ASSOCIATES INCORPORATED
WILSHIRE ASSOCIATES INCORPORATED
WILSHIRE | WILSHIRE ASSOCIATES INCORPORATED | WILSHIRE ASSOCIATES | WILSHIRE ADVISORS, LLC | WILSHIRE ADVISORS LLC

CRD#: 6210 / SEC#: 801-36233, 8-23852

RIA
Registered Investment Advisory firm - SEC (3/16/1990 Approved)
BD
Terminated by SEC on 01/17/2005
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Contact information

Main Address
1299 Ocean Avenue Suite 600, Santa Monica, CA 90401-1085
Mailing Address
Phone number
(310) 451-3051
Established
California since 02/07/1972
Firm type
Corporation
Fiscal year end
December
# of Employees
270

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WILSHIRE ADV PART 2A (4/1/2025)

Direct owners and executive officers

NamePositionCRD#
TITO, DENNIS ANTHONYDIRECTOR & CHIEF EXECUTIVE OFFICER447344
RAAB, ROBERT JOHNDIRECTOR1100389
BONAFEDE, JULIA KATHLEENDIRECTOR2611534
CONWAY, JOSEPH RICHARDCHIEF COMPLIANCE OFFICER1666588
HEWSENIAN, ROSALIND MARGARETDIRECTOR2302664
KUBEREK, ROBERT CHARLESDIRECTOR2302665
LOO, CECILIA INFEEDIRECTOR2428491
LYNCH, THOMAS KEVINDIRECTOR1595142
MANNING, ALAN LAWRENCECHIEF LEGAL OFFICER1209408
NAPOLI, MICHAEL JOSEPH JRDIRECTOR1267378
SLAWSON, SAN OLIVIAPRINCIPAL FINANCIAL OFFICER1110908
YATA, HOWARD TAMOTSUDIRECTOR2302666

Regulatory assets under management

Total Number of Accounts287,663
AUM (Assets Under Management)$ 99,099,327,356

Disclosures

Regulatory Event4

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/29/2025
Cover Page
Report
03/31/2025
Cover Page
Report

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.

Company Information

WILSHIRE ASSOCIATES INCORPORATED

WILSHIRE ASSOCIATES INCORPORATED

CRD#: 6210

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