JOEL SMITH & ASSOCIATES, LLC

Overview

Joel Smith & Associates, LLC is a small, client-focused advisory and brokerage firm that combines portfolio management and financial planning with insurance distribution. The firm tilts its public portfolio exposure toward equities but maintains a sizable allocation to non-traditional and insurance-linked holdings. It operates primarily as a broker-dealer and insurance broker while providing fee-based advisory services, and uses a mix of percentage-of-AUM, hourly and fixed-fee billing depending on the engagement. Investment activity centers on discretionary portfolio management—most client assets are managed under discretion—while the firm also retains non-discretionary relationships. It serves both individual and family clients and institutional or small-business accounts, and its offerings are geared toward customized planning and portfolio construction for relatively concentrated client relationships rather than mass-market wealth platforms. Joel Smith & Associates does not position itself as an ESG-focused allocator, and it is not structured as a multistate adviser.

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Investments & Alternatives

Location & Offices