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 a limited liability company that registered with the SEC in 2015 and is classified as a fund distributor. The firm is identified as a domestic entity/individual ownership type and is not a capital allocator or a related adviser. Publicly reported fields indicate the firm does not identify as an active ESG investor, is not a multi-state adviser, and does not act as a pension consultant. The source data does not provide details on advisory activities, fee structure, client segments, or other business lines. The available facts point to a role focused on fund distribution rather than providing discretionary investment management or portfolio construction for third‑party clients.

Assets & Accounts

Location & Offices

Investment profile

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Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

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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

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Recent M&A activity

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Recent filings

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Awards

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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