Ranks are recomputed monthly against the full population of registered advisors — including the majority whose scores are not published. No advisor can pay to move a rank, and no advisor can choose to hide one.
James Richard Smith (CRD 2912761) is an investment adviser representative at PRIME SOLUTIONS FINANCIAL SERVICES CORP. in Horshame , PA. The filings show James Richard Smith is fee-only, discloses no affiliated insurance carrier and discloses no in-house fund family. There is no disciplinary history on the record. Fidelon scores this record 95.3 of 100 from SEC Form ADV and FINRA BrokerCheck.
James Richard Smith states that they work with technology employees and executives & directors on equity compensation (RSUs/options/ESPP) and tax planning in the Philadelphia, PA area, typically for households holding $1M-$5M. James Richard Smith states that they focus on employees of NVIDIA and Intel — client focus only, with no affiliation or endorsement between them and those companies. James Richard Smith states their practice is usually not a fit for day traders, or people looking for someone to pick stocks.
James Richard Smith states that works with technology employees and executives & directors in the Philadelphia, PA area on equity compensation (RSUs/options/ESPP) and tax planning, typically for households holding $1M-$5M.
I work with technology employees and executives whose pay includes restricted stock, on vesting and sale timing and the tax year the sale lands in. I coordinate with the client's CPA rather than replacing one.
This score is computed independently by Fidelon from public regulatory filings. No advisor payments influence it, and James cannot edit it.
Fewer red flags than most advisors in this peer cluster. The advisor names conflicts plainly and has no recent regulatory record.
Yes. James is an investment adviser representative of an SEC-registered investment adviser, which carries a fiduciary duty to act in the client’s best interest at all times — not only when giving a recommendation.
Fee-only, which is the stricter of the two. A fee-based adviser can take both a fee from the client and a commission from a product sponsor; these filings disclose no commission income and no brokerage compensation.
James Richard Smith states: “Planning, tax coordination with your CPA, and quarterly reviews. Custody and trading costs are billed separately.”
No. Clean 5-year regulatory record. Enforcement History scores 89 of 100.
Every TransparencyScore on Fidelon is computed by an independent transparency platform from public regulatory filings — SEC Form ADV, FINRA BrokerCheck, state registries. No advisor or firm payments influence the score. Records refresh monthly. If an advisor or a member of the public believes a score is wrong, the dispute process on the methodology page reviews the underlying filings and corrects the record.
A qualified custodian holds client assets — a bank or broker-dealer separate from the adviser. James directs trades and bills fees from the account, and account statements come from the custodian rather than from the adviser. That separation is what makes an independent statement possible.
James Richard Smith states that they work with technology employees and executives & directors in the Philadelphia, PA area.
James Richard Smith states that they work on equity compensation (RSUs/options/ESPP) and tax planning.
James Richard Smith states that they focus on employees of NVIDIA and Intel. Employer names indicate client focus only; no affiliation or endorsement.
James Richard Smith states that their typical client holds $1M-$5M. This is a fit signal the advisor provided, not a stated minimum — ask directly.
James Richard Smith states: “Day traders, or people looking for someone to pick stocks.”
James’s TransparencyScore is 95 of 100 — Strong — higher than 99% of peers. Rankings are by TransparencyScore only — a measure of fee clarity, conflict disclosure, regulatory record and filing quality — not investment performance, which Fidelon does not measure.
James is based in Horshame , PA and is associated with Prime Solutions Financial Services Corp..
It is Fidelon's 0–100 measure of four things in an adviser's public filings: disclosure record, conflict exposure, regulatory standing and filing quality. It does not measure investment performance, which Fidelon does not track. No payment affects it, and no adviser can edit it.