Chief Compliance Officer, Chief Financial Officer and Shareholder · Windmark Investment Partners, Inc.
Sophia S. Smith
CRD 6914068 · Named on Form ADV at one SEC-registered adviser
At a glance
Windmark Investment Partners, Inc., an SEC-registered asset manager based in Wilmington, DE with $233 million in regulatory assets, lists Sophia S. Smith on its Form ADV as Chief Compliance Officer, Chief Financial Officer and Shareholder, a control person.
Firms and roles
- Windmark Investment Partners, Inc.Chief Compliance Officer, Chief Financial Officer and ShareholderAsset manager · Wilmington, DE · $233M in regulatory assets
AtlasMembers
Sophia’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
- Locked
- Control-person status
- 1 firmLocked
- When each role began
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- Each firm’s assets and growth
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Colleagues named on the same filings
- Robert D. GooderhamPresident and Chief Operating Officer, Windmark Investment Partners, Inc.
- Garry A MustoManaging Director and Shareholder, Windmark Investment Partners, Inc.
- Seth J. YablonovitzManaging Director and Shareholder, Windmark Investment Partners, Inc.
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Sophia’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.