David Smith has been Chief Investment Officer of Bailard since July 2025, is not listed as a control person, but directly owns under 5% of the firm. David Smith holds a BA in Business Administration & Economics from the University of California, Berkeley and an MBA from Haas School of Business, University of California, Berkeley.
Bailard, Inc. is a Foster City, CA firm with $7.56B under management, 1,137 clients and 42 advisers across 3 offices, as of its September 2026 filing.
Dave Harrison Smith is Executive Vice President and Chief Investment Officer of Bailard, Inc. Smith joined Bailard in 2009 and was appointed Chief Investment Officer in 2025. Smith leads Bailard's research teams across all asset classes and acts as co-portfolio manager for the firm's technology strategies.
Professional designations
Listed by Bailard
- Chartered Financial Analyst®
Investment adviser representative registrations
David Smith is registered as an investment adviser representative in California, since September 2009.
- CaliforniaSince 10 September 2009
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 9 September 2009 |
| Series 66 | Uniform Combined State Law Examination | 24 August 2009 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Combined State Law Examination
- Full name
- David Harrison Smith
- CRD
- 5685131
- Firm
- Bailard · CRD 110550
- Role
- Chief Investment Officer
- Office
- 950 TOWER LN, STE 1900, Foster City, CA 94404-2131
- Registration
- Investment adviser registration
- In the industry since
- September 2009
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- bailard.com
Where does David Smith work?
David Smith has been Chief Investment Officer of Bailard, Inc. since July 2025.
Is David Smith a financial advisor?
Yes. David Smith has a current investment-adviser registration in California, through Bailard since September 2009.
How many years of experience does David Smith have?
David Smith has 17 years in the financial industry, since September 2009, across 1 adviser firm.
What exams has David Smith passed?
David Smith has passed 2 licensing exams: the Series 66 and Series 7. The earliest, the Series 66, was passed in August 2009. FINRA credited David Smith with the SIE, which began in October 2018.
Where is David Smith based?
David Smith’s registered office is in Foster City, CA.
Is David Smith registered with FINRA?
No. David Smith has no current broker registration.
Is David Smith a CFA charterholder?
Bailard lists David Smith with the CFA credential (“Chartered Financial Analyst®”) on its website. CFA Institute confirms certification status.
How can I verify David Smith’s record?
Search CRD 5685131 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes David Smith’s full registration record.
Sonya MughalChief Executive Officer; Director of Bailard, Inc, BB&K Holdings, and Bailard General Partners I, Inc.
Michael FaustEVP; President, Wealth Management; Director, Bailard, Inc. (Since 05/2022)
Blaine TownsendExecutive Vice President, Director of Srii
Pavita FleischerChief Compliance Officer
Tess GruensteinEVP Head of Portfolio Management - Real Estate, Co-CEO of Bailard Real Estate Investment Truts, Inc.
James PinkertonEVP Head of Investments - Real Estate, Co-CEO of Bailard Real Estate Investment Truts, Inc.- Fuju WuSenior VP, Finance and Operations of Bailard, Inc.; Treasurer of Bailard, Inc. and BB&K Holdings