Charles R. Smart

CROSS CREEK ADVISORS

Salt Lake City, UT 84108

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CRD#: 5933746

Professional summary

Charles Rich Smart II, who also goes by Charles Smart, is a registered financial advisor currently at CROSS CREEK ADVISORS, LLC located in Salt Lake City, Utah.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Charles has worked at 2 firms and has passed the Series 65, Series 63 and Series 79 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charles Smart

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) - RIA

Click below to view Charles Rich Smart II'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®

None

Experience

Current

October 16, 2017 - Present

CROSS CREEK ADVISORS, LLC

Office #1: 505 Wakara Way Suite 215, Salt Lake City, UT 84108

RIA

CRD#: 165803

Salt Lake City, UT

Past

September 19, 2011 - August 13, 2013

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

SAN FRANCISCO, 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".

CROSS CREEK ADVISORS, LLC

CRD#: 165803 / SEC#: 801-77391

RIA

Registered Investment Advisory firm - (11/27/2012 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.

Highlighted states indicate IAR registrations

IAR

Utah
(10/16/2017)

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: 10/13/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/8/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79

Date: 9/16/2011

Investment Banking Registered Representative Examination

Current Firm

CROSS CREEK ADVISORS, LLC

CRD#: 165803 / SEC#: 801-77391

RIA

Registered Investment Advisory firm - (11/27/2012 Approved)

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Contact information

Main Address

505 Wakara Way Suite 215, Salt Lake City, UT 84108

Mailing Address

Phone number

(801) 214-0091

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

CROSS CREEK ADVISORS DISCLOSURE BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	15
AUM (Assets Under Management)	$ 1,264,000,800

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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Firm Stability Insights

Charles R. Smart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Rich Smart II's CRS (Customer Relationship Summary).

Certified licenses

Experience

CROSS CREEK ADVISORS, LLC

DEUTSCHE BANK SECURITIES INC.

Primary Firm SEC Registration

CROSS CREEK ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/13/2017

Series 63

Date: 9/8/2011

Series 79

Date: 9/16/2011

Current Firm

CROSS CREEK ADVISORS, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CROSS CREEK ADVISORS, LLC

TRUST BUT VERIFY

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