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Brian James Smith

Axis Point Capital

Newport Beach, CA

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Current Employers
Axis Point Capital

Newport Beach, CA • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-11-10
  • CA RA
    APPROVED
    Since 2025-11-10

Branch Locations

Newport Beach, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
The Tcw Group Los Angeles CA 09/2011 08/2017
Arts & Sciences Investment Mnagement Los Angeles CA 06/2018 09/2019
Commonwealth Asset Management Los Angeles CA 10/2019 08/2020
Axis Point Capital Los Angeles CA 09/2020 Present
Axis Point Capital Los Angeles CA 09/2017 05/2018
  • 09/2011 → 08/2017
    The Tcw Group
    Los Angeles, CA
  • 06/2018 → 09/2019
    Arts & Sciences Investment Mnagement
    Los Angeles, CA
  • 10/2019 → 08/2020
    Commonwealth Asset Management
    Los Angeles, CA
  • 09/2020 → Present
    Axis Point Capital
    Los Angeles, CA
  • 09/2017 → 05/2018
    Axis Point Capital
    Los Angeles, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-10-06
S63 Uniform Securities Agent State Law Examination 2006-08-23
  • S65 Uniform Investment Adviser Law Examination
    2020-10-06
  • S63 Uniform Securities Agent State Law Examination
    2006-08-23
Other Names
  • Brian Smith

View on SEC IAPD

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