Smith Affiliated Capital Corp.

RIASEC Registered

Total AUM

$1.7B

Discretionary

$853M

51% of AUM

Avg account

$8.5M

Accounts

197

Employees

10

Advisory reps

9

Firm details

Headquarters: New York, New York
CRD number: 107675
Registered since: April 1, 1982
Website: smithcapital.com
Custodians: THE NORTHERN TRUST INTERNATIONAL BANKING CORPORATION, CHARLES SCHWAB & CO., INC.
Fee structure: Percentage of AUM
Client types: Corporations / Businesses61.67%
HNWI14.98%
Other7.97%
Individuals6.92%
Pension & Profit Sharing Plans4.34%
Services: Portfolio Management for IndividualsPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

Smith Affiliated Capital Corp. is an institutional registered investment adviser that has been SEC-registered since 1982. The firm operates under a percentage-of-AUM fee model and serves both high-net-worth individuals and families as well as institutional clients. Its advisory work centers on portfolio management for individuals and small businesses, and portfolio management for businesses or institutions. The firm is not classified as a capital allocator and does not describe itself as an active ESG investor.

Assets & Accounts

Investments & Alternatives

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

Cash & Cash Equivalents32%
Investment Grade Corp Bonds25%
US Government Bonds21%
State & Local Bonds21%
Exchange Traded Equities1%

Owners & executives

3 of 5

Jiang Peng
Chief Investment OfficerCRD 6046227
Maria Smith
Chief Executive OfficerCRD 2287357
Christina Coster
Chief Operating OfficerCRD 7530763

Unlock 2 more executives →

Contacts

3 of 4

Robert Smith
Founder and ChairmanCRD 2225817
Matthew Smith
PresidentCRD 4353458
Paul Matus
Vice PresidentCRD 4953195

Unlock 1 more contacts →

Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

Primary office

New York, NY

New York

Location

New York, NY

Headquartered in New York, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area: New York-Newark, NY-NJ-CT-PA
Region: Northeast
County: New York
Address: 45 Broadway
Time zone: ET (UTC-5)
Office locations

Similar firms

Ember Infrastructure

New York, NY

AUM $1.7BTEAM 21REPS 4

Dominus Capital Management, L.P.

New York, NY

AUM $1.7BTEAM 14REPS 4

Aterian Investment Management, LP

New York, NY

AUM $1.7BTEAM 22REPS 4

Island Investment Management LLC

New York, NY

AUM $1.7BTEAM 80REPS 13

Citrin Cooperman Wealth Management, LLC

New York, NY

AUM $1.7BTEAM 9REPS 10

Liontree Investment Management, LLC

New York, NY

AUM $1.7BTEAM 32REPS 4

More RIAs in New York →All New York RIAs →