Theodore B. Smith

NEXT CAPITAL MANAGEMENT LLC

SILVER SPRING, MD

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CRD#: 5984224

Professional summary

Theodore Baskin Smith, who also goes by Ted Smith, is a registered financial advisor currently at NEXT CAPITAL MANAGEMENT LLC located in Silver Spring, Maryland and INNOVATION PARTNERS LLC located in Charlotte, North Carolina.

Theodore is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Theodore has worked at 6 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ted 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) - RIA

Click below to view Theodore Baskin 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

March 2, 2022 - Present

NEXT CAPITAL MANAGEMENT LLC

RIA

CRD#: 110793

SILVER SPRING, MD

Current

January 25, 2021 - Present

INNOVATION PARTNERS LLC

Office #1: 5950 Fairview Road Suite 140, Charlotte, NC 28210

RIA

CRD#: 146344

Charlotte, NC

Past

March 23, 2018 - January 24, 2021

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

September 26, 2014 - January 20, 2016

MOUNT YALE SECURITIES, LLC

CRD#: 126870

MINNEAPOLIS, MN

Past

August 6, 2013 - September 22, 2014

LPL FINANCIAL LLC

CRD#: 6413

ROCKVILLE, MD

Past

November 3, 2011 - February 27, 2012

FORTIGENT SECURITIES COMPANY, LLC.

CRD#: 46022

ROCKVILLE, MD

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".

NEXT CAPITAL MANAGEMENT LLC

NEXT CAPITAL | NEXT CAPITAL MANAGEMENT LLC

CRD#: 110793 / SEC#: 801-56281

RIA

Registered Investment Advisory firm - (3/24/1999 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

Maryland
(1/25/2021)

IAR

Maryland
(3/2/2022)

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: 3/2/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/18/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/2/2011

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

NEXT CAPITAL MANAGEMENT LLC

NEXT CAPITAL | NEXT CAPITAL MANAGEMENT LLC

CRD#: 110793 / SEC#: 801-56281

RIA

Registered Investment Advisory firm - (3/24/1999 Approved)

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Contact information

Main Address

Eleven Times Square 15th Floor, New York, NY 10036

Mailing Address

Phone number

(212) 433-1111

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	1,945
AUM (Assets Under Management)	$ 1,784,921,125

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/23/2024	Cover Page	Report
01/25/2024	Cover Page	Report
11/23/2022	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.

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Theodore B. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Theodore Baskin Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

INNOVATION PARTNERS LLC

NORTHERN LIGHTS DISTRIBUTORS, LLC

MOUNT YALE SECURITIES, LLC

LPL FINANCIAL LLC

FORTIGENT SECURITIES COMPANY, LLC.

Primary Firm SEC Registration

NEXT CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/2/2022

Series 66

Date: 12/18/2014

SIE

Date: 10/1/2018

Series 7

Date: 11/2/2011

FINRA

Current Firm

NEXT CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NEXT CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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