Smead Funds Distributors, LLC

Broker-DealerFINRA MemberEst. 2015
Total AUM
—
Advisory reps
32
Avg account
$0

Firm details

Headquarters
Portland, Maine
CRD number
173734
Registered since
May 15, 2015

Firm profile

FINTRX

Overview

Smead Funds Distributors, LLC is organized as a limited liability company and has been SEC-registered since 2015. Its declared classification is "Fund Distributor," which signals that the firm's principal role is distribution of fund products rather than acting as a discretionary capital allocator or traditional registered investment adviser. Ownership is described as a mix of domestic entities and individuals. Available disclosures indicate the firm does not position itself as an active ESG investor, it is not a multi-state adviser, and it does not serve as a pension consultant or related adviser. Those attributes, together with the "Fund Distributor" label, suggest its business model centers on product distribution and intermediary relationships rather than direct portfolio management or advisory services.

Assets & Accounts

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

3 of 4
  • Gordon Taylor

    Gordon Taylor

    Chief Compliance OfficerCRD 2990648

  • Brian Briggs

    Brian Briggs

    Chief Compliance OfficerCRD 4397218

  • Susan La Fond

    Susan La Fond

    Managing Director, Chief Compliance OfficerCRD 4512785

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Contacts

3 of 28
  • Marguerita Hardy

    Registered RepresentativeCRD 6294272

  • Mildred Dorta

    Mildred Dorta

    Registered RepresentativeCRD 1725723

  • Daniel Marshall

    Daniel Marshall

    Vice President, OperationsCRD 6004317

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

Portland, ME

Cumberland

Location

Portland, ME

Headquartered in Portland, ME, anchoring the Portland-Lewiston-South Portland, ME metro in the Northeast.

Metro area
Portland-Lewiston-South Portland, ME
Region
Northeast
County
Cumberland
Address
190 Middle St
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth