James Smith has been Managing Director, Chief Investment Officer of Parvin Asset Management since June 2021, is a control person of the firm and directly owns 75% or more of it. James Smith holds a BA in Economics from Williams College and an MBA from Tuck School of Business at Dartmouth.
Parvin Asset Management, LLC is a Sioux Falls, SD firm with $179M under management, 101 clients and 3 advisers in one office, as of its March 2026 filing.
J. Steven Smith is Managing Director, Portfolio Manager of Parvin Asset Management. He is the founder of the firm and lead manager for all strategies, with more than 40 years of experience in banking, securities analysis, corporate valuation and portfolio management. Earlier roles include investment committee member at Nuveen in Radnor, PA, investment banker at Morgan Stanley and Lehman Brothers, and Treasurer of Harman International.
James Smith’s longest registration was 10 years at Philadelphia Investment Management Co (2002–2012). Before joining Parvin Asset Management in 2021, James Smith was registered through Parvin Asset Management and Philadelphia Investment Management Co.
- Parvin Asset Management, LLCCurrent– present · 5 yearsSioux Falls, SD · Adviser representative · Firm CRD 315701
- Parvin Fund ManagementAlso current– present · 5 yearsSioux Falls, SD · Adviser representative · Firm CRD 311304
- Parvin Asset Management– · 9 yearsAugusta, GA · Adviser representative · Firm CRD 161656
- Philadelphia Investment Management Co– · 10 yearsChristiana, PA · Adviser representative · Firm CRD 105391
Professional designations
Listed by Parvin Asset Management
- CFA®
Investment adviser representative registrations
James Smith is registered as an investment adviser representative in 5 states. The first approvals date from September 2021; the most recent is North Carolina, in May 2023.
- CaliforniaSince 12 December 2021
- IllinoisSince 3 August 2022
- North CarolinaSince 23 May 2023
- South DakotaSince 21 September 2021
- TexasSince 12 December 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 26 August 1998 |
| Series 7 | General Securities Representative Examination | 6 May 1998 |
| Series 65 | Uniform Investment Adviser Law Examination | 4 September 1992 |
| Series 2 | Non-Member General Securities Examination | 30 July 1992 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Non-Member General Securities Examination
- Full name
- James Steven Smith
- CRD
- 1094733
- Firm
- Parvin Asset Management · CRD 315701
- Role
- Managing Director, Chief Investment Officer
- Office
- 401 E. 8TH STREET, SUITE 200, Sioux Falls, SD 57103
- Registration
- Investment adviser registration
- In the industry since
- February 2002
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- parvinam.com
Where does James Smith work?
James Smith has been Managing Director, Chief Investment Officer of Parvin Asset Management, LLC since June 2021, and is a control person of the firm.
Is James Smith a financial advisor?
Yes. James Smith has a current investment-adviser registration in California, Illinois, North Carolina, South Dakota and Texas, through Parvin Asset Management since October 2021.
How many years of experience does James Smith have?
James Smith has 24 years in the financial industry, since February 2002, across 4 adviser firms.
What exams has James Smith passed?
James Smith has passed 4 licensing exams: the Series 2, Series 65, Series 7 and Series 63. The earliest, the Series 2, was passed in July 1992.
Where did James Smith work before Parvin Asset Management?
Before Parvin Asset Management, James Smith was registered through Philadelphia Investment Management Co, February 2002 to June 2012.
Where is James Smith based?
James Smith’s registered office is in Sioux Falls, SD.
Is James Smith registered with FINRA?
No. James Smith has no current broker registration.
Is James Smith a CFA charterholder?
Parvin Asset Management lists James Smith with the CFA credential (“CFA®”) on its website. CFA Institute confirms certification status.
How can I verify James Smith’s record?
Search CRD 1094733 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Smith’s full registration record.