Unclaimed Profile

Rix Carlton Smith

DOMINION PORTFOLIO MANAGEMENT, INC.·HORSESHOE BAY, Texas

SIE, Series 4, Series 7, Series 24, Series 52TO, Series 53, Series 63, Series 65, Series 99TO30 years registeredDOMINION PORTFOLIO MANAGEMENT, INC.

9000 HIGHWAY 2147 WEST, HORSESHOE BAY, TX 78657CRD# 1061442Firm CRD# 106918

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Rix Carlton Smith · HORSESHOE BAY, TX

Registration

CRD #1061442 · DOMINION PORTFOLIO MANAGEMENT, INC. · 30 years registered

Brand Profile

Not yet started

Career History

CALTON & ASSOCIATES, INC.

Jul 2023 – present

DOMINION PORTFOLIO MANAGEMENT, INC.

Mar 1996 – present

GQO INVESTMENT ADVISORS, INC.

Jan 2021 – Jul 2026

HORSESHOE BAY, TX

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 24

Series 52TO

Series 53

Series 63

Series 65

Series 99TO

Registration record

First registered · March 6, 1996

Years registered · 30

Disclosure History

2000Regulatory·Final

1999Customer Dispute·Closed-No Action

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD. Resolutions may have changed since.

Firm Overview

Firm

DOMINION PORTFOLIO MANAGEMENT, INC.

CRD 106918 · SEC 801-115280

AUM

$153M

Regulatory assets under management

Employees

950 client accounts

Services offered by DOMINION PORTFOLIO MANAGEMENT, INC.

Per Form ADV

Portfolio management (individuals)

Client types served by the firm

Per Form ADV

Individuals

View all advisors at DOMINION PORTFOLIO MANAGEMENT, INC. →

Introduction

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Frequently Asked Questions

What services does Rix Carlton Smith offer?

Rix Carlton Smith specializes in Investment Management, Fee-Only Advisory. Contact their office in HORSESHOE BAY, Texas for a consultation.

What are Rix Carlton Smith's credentials?

Rix Carlton Smith is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Rix Carlton Smith located?

Rix Carlton Smith is based in HORSESHOE BAY, Texas, working with DOMINION PORTFOLIO MANAGEMENT, INC.. Their office serves clients in the HORSESHOE BAY metropolitan area and surrounding communities.

How does Rix Carlton Smith charge for services?

Rix Carlton Smith's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is DOMINION PORTFOLIO MANAGEMENT, INC.?

DOMINION PORTFOLIO MANAGEMENT, INC. has approximately 21 employees and manages $153M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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