James E Smythe

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2025-10-01
IN	RA	APPROVED	2025-09-30
TX	RA	APPROVED	2025-09-30
IL	RA	APPROVED	2025-09-25

Branch Locations

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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Chicago	IL	07/2025	Present
Unemployed	Dublin	OH	08/2015	10/2019
Dewey's Pizza	Dublin	OH	10/2019	02/2021
Potbelly Sandwich Works	Dublin	OH	02/2021	08/2021
University Of Dayton	Dayton	OH	08/2021	05/2022
Fedex	Plain City	OH	05/2022	08/2022
University Of Dayton	Dayton	OH	08/2022	05/2023
Vertiv	Westerville	OH	05/2023	08/2023
University Of Dayton	Dayton	OH	08/2023	05/2024
Merrill Lynch	Cincinnati	OH	05/2024	08/2024
University Of Dayton	Dayton	OH	08/2024	05/2025
Unemployed	Dublin	OH	05/2025	07/2025

07/2025 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chicago, IL
08/2015 → 10/2019

Unemployed

Dublin, OH
10/2019 → 02/2021

Dewey's Pizza

Dublin, OH
02/2021 → 08/2021

Potbelly Sandwich Works

Dublin, OH
08/2021 → 05/2022

University Of Dayton

Dayton, OH
05/2022 → 08/2022

Fedex

Plain City, OH
08/2022 → 05/2023

University Of Dayton

Dayton, OH
05/2023 → 08/2023

Vertiv

Westerville, OH
08/2023 → 05/2024

University Of Dayton

Dayton, OH
05/2024 → 08/2024

Merrill Lynch

Cincinnati, OH
08/2024 → 05/2025

University Of Dayton

Dayton, OH
05/2025 → 07/2025

Unemployed

Dublin, OH

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-09-25