David Smyth

401 Lewis Hargett Circle
Suite #210
Lexington, Kentucky, 40503

Telephone: 859.219.1006

Registry Member Since 2007

Business Philosophy

David Smyth is an approachable retirement planner and senior partner at Family Financial Partners. David and his team will proactively work with you to develop a personalized financial plan and give you time to focus on what matters most--family. Examples of recent planning services provided to client families: Created a retirement plan for empty nest parents with ten years until retirement; Retirement planning for a client who sold their family business; Helped a client family organize their assets held throughout several states; Worked with an attorney to help client fund a family trust to keep the family farm in the family; Reviewed and rebalanced a clients portfolio that was held with various investment advisors

1. What are your firm names?

Registered Investment Advisor
ONIMCO
Broker Dealer
ONESCO

2. What is your type of RIA registration?

3. Are you a sole practitioner or a member of a firm or team?

Member of a Team

4. What is your relationship to your Registered Investment Advisor?

Owner

5. What are your years of applicable financial service experience?

16 Years

6. Do you have any college degree(s)?

School

Degree

Major

Asbury University

BA Communication

7. Do you belong to any industry associations?

NAIFA
MDRT

8. What is your CRD or IARD number?

3269211

9. Do you hold any active securities licenses?

Series 7
Series 63
Series 66

10. Which categories of financial services do you provide?

Financial Planning Advice & Services
Investment Advice & Services
Insurance Advice & Services
Tax Advice & Services

11. Which planning services do you provide?

Financial Plans
Retirement Plans
College Plans
Estate Plans
Charitable Plans
Tax Plans
Other

12. Which investment advisory services do you provide?

Investment Strategy & Policy
Risk Management
Rebalancing
Money Manager Selection
Performance Reports
Asset Allocation
Other

13. If you make investment decisions for clients, how do you invest their assets?

Did Not Provide

14. How many clients (not accounts) do you currently service?

Did Not Provide

15. What amount of client assets is currently under your management or advisement?

$105 Million

16. What is your minimum fee for your planning services?

Did Not Provide

17. What is your minimum fee for your investment services?

Did Not Provide

18. What is your minimum asset requirement for your investment services?

$250,000

19. What is your minimum net worth requirement for your planning services?

$500,000

20. What type of compensation do you receive for your planning services?

Fixed Fees
Hourly Fees
Asset Based Fees

21. What type of compensation do you receive for your investment advisory services?

Fixed Fees
Hourly Fees
Asset Based Fees
Commission (Investment)
Commission (Insurance)
Other

22. Do you work with remote clients over the Internet and telephone?

23. Do you hold any active insurance licenses?

Life
Health Disability
Long Term Care

24. Are you a Registered Investment Advisor or an Investment Advisor Representative?

25. Do you acknowledge you are a fiduciary when you provide financial advice and services for fees?

26. What states are covered by your registration(s) to sell investment advisory services?

Alabama
California
Colorado
Connecticut
Florida
Georgia
Indiana
Kentucky
Maryland
Michigan
Missouri
Nevada
New Hampshire
North Carolina
Ohio
Pennsylvania
Tennessee
Texas
Virginia
Washington

27. What states are covered by your registration(s) to sell investment and brokerage products?

Alabama
California
Colorado
Connecticut
Florida
Georgia
Indiana
Kentucky
Maryland
Michigan
Missouri
Nevada
New Hampshire
North Carolina
Ohio
Pennsylvania
Tennessee
Texas
Virginia
Washington

28. What states are covered by your registration(s) to sell insurance products?

California
Colorado
Florida
Georgia
Indiana
Kentucky
Louisiana
Maryland
New Hampshire
Ohio
Tennessee
Washington

29. Do you have any compliance disclosures for the past 5 years?

Investment Disclosures: No
Insurance Disclosures: No

30. Do you have any criminal disclosures since you became an adult?

Misdemeanors: No
Felonies: No

31. How do investors view your ADV Part II?

Available Upon Request

32. Additional Disclosure Statements or Comments

Securities offered through: The O.N. Equity Sales Company, Member FINRA/SIPC, One Financial Way, Cincinnati, OH 45242. 513.794.6794 Investment Advisory Services offered through O.N. Investment Management Company.

33. What languages do you speak fluently?

English

34. What is your primary role?

Financial Planner

35. Which investment products do you sell?

Mutual Funds
Commodities
REITs
Private Placements
Other
Hedge Funds

36. Which insurance products do you sell?

Life
Variable Annuities
Long Term Care
Disability Income
Health
Business

37. Do you provide tax advice and services?

38. Do you provide legal advice and services?

39. Do you provide any limited engagement services?

Planning Only (No investment services)
Financial Plan Reviews

40. What types of clients do you work with?

Individuals
Companies (Non-Pension)

41. Where does your first meeting with a prospective client take place?

Investor Preference

42. Which companies act as custodians for your clients assets?

Pershing

43. What types of reports do you provide your clients and what is the frequency?

Performance (Not Applicable)
Brokerage Statement (Not Applicable)
Market Environment (Not Applicable)
Newsletters (Not Applicable)
Other (Not Applicable)

44. General Comments:

Did Not Provide

Certification

I certify all of the information in my professional profile is accurate and up-to-date.

Advisor Name: David Smyth
Most Recent Update: Jun 16, 2013