SMI Capital Markets LLC

Broker-DealerFINRA MemberEst. 2011
Total AUM
—
Advisory reps
4
Avg account
$0

Firm details

Headquarters
Bellevue, Washington
CRD number
156441
Registered since
November 18, 2011

Firm profile

FINTRX

Overview

SMI Capital Markets LLC is organized as a limited liability company and has been SEC-registered since 2011. FINTRX identifies its ownership as a domestic entity and/or individual, but provides minimal detail about the firm's business model, client focus, fee schedule, or advisory activities. Available records indicate the firm is not positioned as a capital allocator and does not self-identify as an active ESG investor. FINTRX also flags it is not a multi-state adviser, not newly formed, and not a pension consultant. Beyond these registry-level attributes, FINTRX supplies little about investment philosophy, target client segments, or service offerings.

Assets & Accounts

Investments & Alternatives

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

2 of 2
  • Dale Garnett

    Dale Garnett

    President, CEOCRD 724756

  • Kenin Spivak

    Kenin Spivak

    Chairman and Chief Executive OfficerCRD 6555860

Contacts

2 of 2
  • Edward Swanson

    Edward Swanson

    Managing Director, General CounselCRD 6584165

  • Michele Eheler-Chen

    ResearcherCRD 7248293

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

Bellevue, WA

King

Location

Bellevue, WA

Headquartered in Bellevue, WA, anchoring the Seattle-Tacoma, WA metro in the West.

Metro area
Seattle-Tacoma, WA
Region
West
County
King
Address
2018 156th Ave Ne
Time zone
PT (UTC-8)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth