SEC-registered wealth management firm Broker-dealer affiliated
Smith Moore & Co.
As of its Form ADV filed March 31, 2026, Smith Moore & Co., an SEC-registered, broker-dealer affiliated wealth management firm in Clayton, Missouri, reported $2.4 billion in regulatory assets under management across 5,865 accounts, ranking #22 among all wealth firms in Missouri by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 3441
- SEC file number
- 801-68175
- Registered since
- August 8, 2007
- Latest Form ADV filing
- March 31, 2026
- Organized as
- Corporation
- Fiscal year ends
- December
- Other offices
- 9
Key figures
- Regulatory assets under management
- $2.4 billion
- Discretionary
- $2.1 billion (88.8%)
- Non-discretionary
- $266.4 million
- Accounts
- 5,865 (5,265 discretionary)
- Clients
- 4,143, approximate as reported
- Employees
- 65
- Advisory staff
- 50 performing investment advisory functions
- Average account
- $404,389
- Asset growth, 1 year
- 18.1% (from $2.0 billion a year earlier)
- Asset growth, 3-year annual rate
- 17.8% (from $1.5 billion three years earlier)
- Asset growth, 5-year annual rate
- 13.2% (from $1.3 billion five years earlier)
- Client growth, 1 year
- 6.2% (from 3,902)
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2010 | $36.1 million |
| October 3, 2011 | $277.7 million |
| October 1, 2012 | $281.6 million |
| October 1, 2013 | $431.0 million |
| October 1, 2014 | $504.7 million |
| October 1, 2015 | $514.1 million |
| October 3, 2016 | $611.8 million |
| October 2, 2017 | $748.2 million |
| October 1, 2018 | $960.7 million |
| October 1, 2019 | $863.4 million |
| October 1, 2020 | $1.1 billion |
| October 4, 2021 | $1.3 billion |
| October 3, 2022 | $1.6 billion |
| October 5, 2023 | $1.5 billion |
| October 1, 2024 | $1.7 billion |
| September 2, 2025 | $2.0 billion |
| October 2, 2026 | $2.4 billion |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 1,254 clients | $1.5 billion | |
| Individuals (other than high net worth) 2,841 clients | $688.8 million | |
| Corporations or other businesses 16 clients | $117.3 million | |
| State or municipal government entities 3 clients | $66.8 million | |
| Pension and profit sharing plans 18 clients | $8.2 million | |
| Charitable organizations 10 clients | $6.4 million |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Selection of other advisers
Financial planning clients (Item 5.H): 51-100.
Wrap fee program sponsor or portfolio manager: yes.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
- Insurance broker or agent
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Other investment adviser
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 45
- Also registered through a broker-dealer
- 45
- Employees who are IARs (Form ADV 5.B(3))
- 50
Designations held by the firm's IARs: CFP 7.
Between 9 and 10 of the firm's 45 IARs are registered in jurisdictions that require IAR CE. The source counts registrations by jurisdiction, and many IARs are registered in more than one, so the exact number is not knowable from it. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 1 disclosure question. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Missouri
| Firm | City | RAUM |
|---|---|---|
| Zemenick & Walker Inc | St. Louis | $2.6 billion |
| Argos Capital Partners, LLC | St. Louis | $2.6 billion |
| Acropolis Investment Management | Chesterfield | $2.6 billion |
| American Century Investments Private Client Group, Inc. | Kansas City | $2.3 billion |
| First Heartland Consultants, Inc. | Lake St. Louis | $2.1 billion |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Smith Moore & Co. on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.smithmoore.com
- Wealth management firms in Missouri
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.