Mon - Fri : 9:00 - 5:00
johnsmarttcpa@yahoo.com
1 865-525-9793

Regulations

I am a Registered Investment Advisor (“RIA”), regulated by the State of Tennessee.  My firm brochure (also known as the “Required Disclosure”) is required to be provided to each client as I begin to serve them.  In a few pages the brochure summarizes how I work with clients, how you are charged for my services, my educational and business background and some detail of my investment philosophy.  Here is a copy of my firm brochure

 

For your protection all of the investments for which RIAs are directly responsible, are required to be custodied in accounts maintained at an independent brokerage.  The brokerage firm sends you statements directly each month.

 

Much more detailed, annually updated registration is filed with the IARD system as required by the State of Tennessee.  At the sec.gov website searches on Investment Advisers will, with some clunky search logic, find my firm’s information, firm number 112292.