Smith Moore & Co

CRD#3441
Investment Advisor Firm

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Overview

Smith Moore & Co operates as a financial advisor firm that has its headquarters in Saint Louis, Missouri. The company has $1.5 billion in total assets across 4,657 client accounts, making it one of the biggest investment advisory firms in the United States by assets under management (AUM). Smith Moore & Co has an average-sized group, including 40 financial advisors. Smith Moore & Co does not act as a registered broker-dealer, meaning the firm is not able to buy and sell securities for its customers' and own accounts and instead is required to go through a broker-dealer firm to do so. Securities are defined as tradable fiscal investments like bonds, options and equities.

Smith Moore & Co manages the majority of its client assets on a discretionary basis. Discretionary management means that buy and sell judgments for the client's account are made by a portfolio manager without needing to seek client consent. Smith Moore & Co also administers 507 non-discretionary accounts totaling $137.1 million in assets under management. The advisory firm manages about $311,596 for every account. The typical financial advisor at Smith Moore & Co oversees about 116 client accounts.

Smith Moore & Co's central office is at 7777 Bonhomme Avenue, Saint Louis, Missouri 63105. Smith Moore & Co is legally permitted to provide services to investors throughout 25 U.S. states and territories.

Assets Under Management

$1.5 billion

Number of Advisors

40

Disclosures

No

Office Location

7777 Bonhomme Avenue
Saint Louis, MO 63105

Smith Moore & Co by the Numbers

Total Assets Under Management

$1.5 billion

National Average: $8.6 billion
Total Number of Employees

55

National Average: 64
Total Number of Accounts

4,657

National Average: 375,227
Average Account Size

$311.6 thousand

National Average: $23.0 thousand
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Products and Services

Smith Moore & Co offers a variety of services, including financial planning services, portfolio management for individuals and small businesses and selection of other advisers. In the prior fiscal year, Smith Moore & Co provided 51-100 of its customers with financial planning services. The company does sell products or offer services other than investment advisory services to its clients. The firm also has a number of financial industry affiliations, including with a broker-dealer or securities dealer.

Core Advisor Services

  • Offered by 31% of firms

    Financial Planning Services

    This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

  • Offered by 46% of firms

    Portfolio Management

    This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

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    Market Timing Services

    This is the practice of attempting to make short-term profits on investments by buying low and selling high.

Other Services

  • Offered by 20% of firms

    Selection of Other Advisors

    This is the firm's assistance with choosing other advisors to work with who may have different specialties.

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    Publication of Periodicals

    This is the publication of various financial education materials.

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    Educational Seminars/Workshops

    This is the hosting of seminars or workshops to educate investors on financial concepts.

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Fee Structure

Financial management fees usually vary depending on which services the firm provides the client. However, fee types billed by the company may include the following fee structures: asset-based, hourly or fixed. The company does participate in a wrap fee program, in which the firm offers a service bundle for a single fee.

Available

  • Offered by 69% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 21% of firms

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Offered by 32% of firms

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

Unavailable

  • Find one of the 1% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 26% of firms that offer this fee type

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

  • Find one of the 0% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 10% of firms that offer this fee type

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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Types of Clients

The firm works with a broad range of clients. The company provides services to retail investors, high net worth investors, pension plans, charitable organizations, state or municipal government entities and corporations. Out of its 4,657 accounts, Smith Moore & Co's largest client type is retail investors, although it also manages money for 18 high-net-worth individuals. The SEC defines a high-net-worth individual as an investor who has at least $750,000 under management or a net worth of at least $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the company's accounts are non-U.S. persons.

  • High-Net-Worth Individuals* - 0.39%
  • Other Individuals - 98.76%
  • Corporations - 0.67%
  • Charitable Organizations - 0.19%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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Disclosures

Smith Moore & Co does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Smith Moore & Co

Donna Zoeller
Saint Louis, MO
Christina Hake
Jefferson City, MO
Cory Downer
Saint Louis, MO
Todd Barnthouse
Brandon, MS
Danny Moore
Brandon, MS
Lauren Hemmen
Effingham, IL
Kyle Shaw
Saint Louis, MO
Ian Rothbarth
Saint Louis, MO
Linda Sullivan
Saint Louis, MO

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The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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