James Smith
Advisor at Capital Analysts
Updated today
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
Capital Analysts
Location
Ft Jennings, OH 45844
Credentials
Series 63
Industry experience
25 years
About
James Smith is a financial advisor with Lincoln Investment, holding a Series 63 designation and bringing 25 years of industry experience. He has worked at Lincoln Investment since 2012 and has been associated with Capital Analysts Incorporated since 2000. Outside of his advisory role, Smith serves as the mayor of Fort Jennings, Ohio, and is president and sole owner of Commercial Tax Records, Inc., a tax preparation and bookkeeping business. Lincoln Investment is an SEC-registered investment adviser and broker-dealer with approximately $18.9 billion in assets under management and nearly 900 advisors. The firm serves individuals, employers, retirement plan participants, charitable organizations, corporations, and other registered investment advisers, offering a range of services including financial planning, advisor-managed portfolios, and access to third-party managers.
Client services
Based on Capital Analysts
Portfolio management
Pension consulting
Selection of other advisers
Expertise
Based on Capital Analysts
ESG / Sustainable investing
Tax-loss harvesting
Passive / index investing
Active portfolio management
Fee options
$0 - $500,000: 0.15% or $200 minimum annually $500,000 - $1,000,000: 0.12% $1,000,000 - $2,000,000: 0.10% $2,000,000+: 0.08%
Minimum fee: Annual Capital Analysts Administrative Fee with minimum $200/year ($16.67/month), assessed as 0.15% (or $200 minimum) on first $500,000, 0.12% on next $500,000, 0.10% on next $1,000,000, and 0.08% over $2,000,000 for Advisor Managed Model Portfolios and Client Custom Portfolios (closed to new accounts) Fee-only: Advisory fees negotiated by individual Advisor up to 1.25% annually of assets under management; includes Advisor Consulting, Client Custom Portfolios, and Advisor Managed Model Portfolios.
Location
120 Second Street, Po Box 85
Ft Jennings, OH 45844
Most active in
James S has reported serving >5 clients in these states in the last 12 months.
Ohio
Work history
Lincoln Investment
2012 - Present (14 years)
Capital Analysts Incorporated
2000 - Present (26 years)
Commercial Tax Records
1986 - Present (40 years)
Disclosures
Disclosures include customer complaints, regulatory actions, employment terminations, bankruptcies, and certain legal protections.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Is not active or affiliated with:
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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