Smith Group Asset Management, LLC

RIASEC Registered

Total AUM

$1.4B

Discretionary

$1.4B

100% of AUM

Avg account

$608K

Accounts

2,320

Employees

Advisory reps

Firm details

Headquarters: Dallas, Texas
CRD number: 313265
Registered since: May 5, 2021
Website: smithasset.com
Custodians: UMB FINANCIAL SERVICES, INC., UBS FINANCIAL SERVICES INC.
Fee structure: Percentage of AUM
Client types: HNWI55.48%
State / Municipal Government16.32%
Charitable Organizations12.89%
Pension & Profit Sharing Plans9.73%
Investment Companies2.79%
Services: Portfolio Management for IndividualsPortfolio Management for Investment CompaniesPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

Smith Group Asset Management, LLC is a privately held limited liability company that provides fee-based investment advisory services to both individual/family clients and institutional investors. The firm is registered with the SEC (registered in 2021) and charges clients on a percentage-of-assets-under-management basis. Its advisory scope spans discretionary portfolio management for individuals and small businesses, investment companies, pooled investment vehicles, and institutions; the firm also provides pension consulting services. Operationally, the firm is not positioned as an ESG-focused manager and is not labeled a multi-state or newly formed adviser. Ownership is reported as a domestic entity/individual. Smith Group maintains a set of industry affiliations that extend beyond traditional advisory activity — filings list relationships consistent with broker-dealer activity, other investment advisory roles, futures and swaps capacity (including CPO/CTA and registered security-based swap dealer designations), and sponsor/GP/manager roles for pooled investment vehicles.