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President/director/chief Compliance Officer · Baxter Capital Management Inc

David C. Smith

CRD 5696402 · Named on Form ADV at one SEC-registered adviser

At a glance

Baxter Capital Management Inc, an SEC-registered asset manager based in Indianapolis, IN with $4.2 billion in regulatory assets, lists David C. Smith on its Form ADV as President/director/chief Compliance Officer, a control person.

Firms and roles

AtlasMembers

David’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

  • Gary L. BaxterChief Economist/director/secretary-Treasurer, Baxter Capital Management Inc

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For David’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.