CATHERINE R. SMITH, FINANCIAL PLANNER, LLC

Overview

Catherine R. Smith, Financial Planner, LLC is an independent, owner-operated Registered Investment Adviser that focuses on financial planning and tailored portfolio management for individuals and small businesses. Catherine R. Smith leads the firm’s advisory work and positions the practice as a capital allocator: she selects outside managers and structures client portfolios with an emphasis on liquidity and customization. The firm charges clients on an hourly or fixed-fee basis rather than on asset-based recurring fees, and it identifies as an active ESG investor, integrating environmental, social and governance considerations into its advice where appropriate. Investment activity shows a conservative tilt in deployed capital: a large share of assets sits in cash and cash equivalents, while equity and fixed income exposure is implemented primarily through mutual funds and selected third-party managers. The practice is not a multi-state RIA and does not operate as a pension consultant or affiliated adviser; instead it concentrates on a small roster of high-net-worth individual and family clients and on sourcing external managers to fill specialized allocation needs.

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