Sms Financial & Investment Management
Answer a few questions and
get matched with an advisor.
Learn more about Sms Financial & Investment Management
Overview
Sms Financial & Investment Management is a financial advisory company that has its headquarters in Tulsa, Oklahoma. It controls $190.8 million in assets throughout 265 accounts, placing it in the mid-tier of firms in the United States by assets under management (AUM). Sms Financial & Investment Management has a small group, including 3 financial advisors. Sms Financial & Investment Management is not a registered broker-dealer, meaning the firm cannot buy and sell securities for its accounts and those of its clients and instead has to go through a broker-dealer firm to do so. Securities are defined as tradable financial investments like options, equities and bonds.
Sms Financial & Investment Management administers most of its accounts in a discretionary manner. Discretionary management means that transaction choices are made by an investment advisor without requiring client approval. The firm also has three non-discretionary accounts totaling $9.0 million in AUM. The company manages about $720,072 in assets for every customer account. The average advisor at Sms Financial & Investment Management oversees around 88 client accounts.
Sms Financial & Investment Management's headquarters is at 4111 S. Darlington, Tulsa, Oklahoma 74135. It is legally registered to serve investors throughout a few states, including Arkansas, Oklahoma and Texas.
Assets Under Management
Number of Advisors
Disclosures
Office Location
Sms Financial & Investment Management by the Numbers
$190.8 million
5
265
$720.1 thousand
Products and Services
Financial services provided by Sms Financial & Investment Management can include financial planning services and portfolio management for individuals and small businesses. In the prior fiscal year, the company provided financial planning services to 1-10 of its accounts. The company is involved in selling products or offering services other than investment advisory services to its clients.
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.
-
Find a firm that offers this service
Market Timing Services
This is the practice of attempting to make short-term profits on investments by buying low and selling high.
Other Services
-
Find a firm that offers this service
Selection of Other Advisors
This is the firm's assistance with choosing other advisors to work with who may have different specialties.
-
Find a firm that offers this service
Publication of Periodicals
This is the publication of various financial education materials.
-
Find a firm that offers this service
Educational Seminars/Workshops
This is the hosting of seminars or workshops to educate investors on financial concepts.
Fee Structure
Fees for financial advice usually depend on which services the firm provides the client. However, fee types charged by the company may include any blend of the following fee types: asset-based, hourly, fixed or performance-based. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by the firm.
Available
-
Offered by 69% of firms
Percentage of Assets
-
Offered by 21% of firms
Hourly
-
Offered by 26% of firms
Performance-based
-
Offered by 32% of firms
Fixed
Unavailable
Types of Clients
Sms Financial & Investment Management works with retail investors and high net worth investors. Out of its 265 customers, Sms Financial & Investment Management's biggest client type is retail investors, but it also serves 32 high-net-worth individuals. A high-net-worth individual is defined by the SEC as a person 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 firm's accounts are from outside of the U.S.
- High-Net-Worth Individuals* - 36.36%
- Other Individuals - 63.64%
- Corporations - 0%
- Charitable Organizations - 0%
* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.
Find an advisor who will work directly with you
Sometimes a big firm may not be able to give you the one-on-one service that you need. That's where we come in to help match you with great personal financial advisors. Click here to find your advisor matches today.
Disclosures
Sms Financial & Investment Management does not have any disclosures.
Please visit its Form ADV for more details.
Find a financial advisor near you
If you're interested in working with an advisor closer to you, we can help you find one. Click here to find your advisor matches today.
Financial Advisors at Sms Financial & Investment Management
Tulsa, OK
Tulsa, OK
Tulsa, OK
Claremore, OK
Not sure which advisor is right for you? Use our matching tool
Our matching tool simplifies the process of finding a financial advisor. To match you with top financial advisors nearby, we ask you a series of questions about your retirement plans, life status, investment goals and advisor preferences, which are all important topics to consider when choosing a financial advisor. Click here to find your advisor matches today
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.
The named financial professional and firm have not reviewed, approved, or endorsed this profile and are not responsible for its accuracy. Profile content is produced by SmartAsset independently of any business relationships that might exist between SmartAsset and the named financial professional and firm. Financial professionals and firms having business relationships with SmartAsset receive no special treatment or consideration in SmartAsset’s profiles.
This profile may include a firm or advisor that has a business relationship with SmartAsset, in which SmartAsset is compensated for lead referrals. SmartAsset is not a client of the aforementioned firms or advisors. SmartAsset did not receive compensation for including any of the firms or advisors in the aforementioned profile.
This page contains links to SmartAsset’s financial advisor matching tool, which may or may not match you with the advisor or firm mentioned in this profile. The matching tool does not include all available advisors and firms and matches based on specific criteria (investable assets, geography, and willingness to work with a remote advisor).
Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.