<SEC-DOCUMENT>9999999997-21-005299-index.html : 20211018 <SEC-HEADER>9999999997-21-005299.hdr.sgml : 20211018 <ACCEPTANCE-DATETIME>20211018095132 <PAPER> ACCESSION NUMBER: 9999999997-21-005299 CONFORMED SUBMISSION TYPE: X-17A-5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210430 FILED AS OF DATE: 20210629 DATE AS OF CHANGE: 20211018 EFFECTIVENESS DATE: 20210629 PERIOD START: 20200501 FILER: COMPANY DATA: COMPANY CONFORMED NAME: R.W. SMITH & ASSOCIATES, LLC CENTRAL INDEX KEY: 0000771491 IRS NUMBER: 464360627 STATE OF INCORPORATION: NJ FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: X-17A-5 SEC ACT: 1934 Act SEC FILE NUMBER: 008-34240 FILM NUMBER: 21004810 BUSINESS ADDRESS: STREET 1: 111 TOWN SQUARE PLACE STREET 2: STE 1500 CITY: JERSEY CITY STATE: NJ ZIP: 07310 BUSINESS PHONE: 201-217-8031 MAIL ADDRESS: STREET 1: 111 TOWN SQUARE PLACE STREET 2: STE 1500 CITY: JERSEY CITY STATE: NJ ZIP: 07310 FORMER COMPANY: FORMER CONFORMED NAME: RW SMITH & ASSOCIATES, LLC DATE OF NAME CHANGE: 20141113 FORMER COMPANY: FORMER CONFORMED NAME: R.W. SMITH & ASSOCIATES, INC. DATE OF NAME CHANGE: 20141103 FORMER COMPANY: FORMER CONFORMED NAME: R.W. SMITH & ASSOCIATES, LLC DATE OF NAME CHANGE: 20141017 </SEC-HEADER> <DOCUMENT> <TYPE>X-17A-5 <SEQUENCE>1 <FILENAME>9999999997-21-005299.paper <DESCRIPTION>AUTO-GENERATED PAPER DOCUMENT <TEXT> Document 1 - file: 9999999997-21-005299.paper
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